GB/T 39662-2020. Interface specification for fund industry central data backup.
1 Scope
GB/T 39662 specifies the data exchange format and data interface used by securities investment fund registration institutions to submit daily business data
to the central data exchange platform. GB/T 39662 applies to fund managers, registrants, etc. to perform centralized backup of fund industry data on the central data exchange platform.
2 Normative references
The contents of the following documents constitute essential provisions of this document through normative references in this text. Among them, for referenced documents with dates, only the versions corresponding to the dates apply to this document; for referenced documents without dates, the latest versions (including all amendments) apply to this document.
GB/T 1988-1998 Information technology Seven-bit coded character set for information exchange
GB/T 2260-2007 Administrative division code of the People's Republic of China
GB/T 2261.1-2003 Classification and coding of basic personal information Part 1: Gender code of persons
GB/T 2659-2000 Codes for names of countries and regions in the world
GB/T 4754-2017 Classification of national economic industries
GB/T 7408-2005 Data elements and exchange formats Representation of date and time for information exchange
GB/T 12406-2008 Codes for currency and funds
GB/T 13497-1992 Code for national clearing centers
GB/T 39595-2020 Open-end Fund Business Data Exchange Protocol
3 Terms and Definitions
The terms and definitions defined in GB/T 39595-2020 and the following terms and definitions apply to this document. For ease of use, some terms and definitions in GB/T 39595-2020 are repeated below.
3.1
Fund business party
All institutions and individuals related to the processing of fund business.
[Source: GB/T 39595-2020, 3. 1]
3.1.1
Fund founder-member
An institution that establishes a fund for the purpose of establishing a fund and in accordance with the prescribed establishment conditions and procedures.
3.1.2
Fund manager
A fund management company that engages in investment fund management in accordance with the law.
[Source: GB/T 39595-2020,3.2.1]
This document specifies the data exchange format and data interface used by securities investment fund registration institutions to submit daily business data to the central data exchange platform. This document is applicable to fund managers, registrants, etc. to centrally back up fund industry data to the central data exchange platform.

ICS03.060
CCS A 11
National Standard of the People's Republic of China
GB/T39662—2020
Interface specification for fund industry central data backupPublished on 2020-12-14
State Administration for Market Regulation
National Administration of Standardization
Published
2021-07-01Implementation
Foreword
Scope
Normative references
Terms and definitions
Information exchange format
Description
Information header
Information body
Information footer
Data reporting mechanism||t t||4.5.1
4.5.2
4.5.3
Instructions for data submitted by public funds
Instructions for data submitted by private funds
Other instructions
Data interface
Data type
Data processing
Interface file name
TA business code
Business data items
5.5.1
5.5.2
5.5.3
5.5. 4
5.5.5
5.5.6
5.5.7
5.5.8
5.5.9
5.5.10
5.5.11
5.5.12
5.5.13
5.5.14
Description
Account opening confirmation service (101)
Account closing confirmation service (102)
Customer information modification confirmation service (103 )
Confirmation of cancelling trading account (109)
Confirmation of changing trading account (158)
Subscription business data item (120)
Subscription result business data item (130)
Subscription business data item (122)
Regular subscription business data item (139) times
Exchange traded open-end index fund (ETF) primary subscription business data item (191) ETF secondary subscription business data item (192) Redemption business data item (1 24) Data items for periodic fixed amount redemption business (163) Data items for compulsory redemption business (142)
GB/T39662—2020
GB/T39662—2020
5.5.15
5.5.16
5.5.17
5.5.18
5.5.19
5.5.20
5.5.21
5.5.22
5. 5.23
5.5.24
5.5.25
5.5.26
5.5.27
5.5.28
5.5.29
5.5.30
5.5.31
5.5.32
5.5.33
5.5.34
5.5.35
5.5.36
5.5.37
E TF primary redemption business data items (193
ETF secondary redemption business data items (194
Appointment redemption business data items (125)
Cancellation order business data items (153)
Custody transfer business data items (126):
Custody transfer-in business data items (127)
Custody transfer-out business data items (128)
Dividend distribution method setting business data items (129)Share freezing business data items (131)
Unfreezing of shares business data item (132)
Non-transaction transfer business data item (133)
Non-transaction transfer-out business data item (135) Non-transaction transfer-in business data item (134) Fund conversion business data item (136)
Fund conversion-out business data item (138)
Fund converter business data item (137)
Dividend business data item (143)
Forced increase business data item (144)
Forced reduction business data item ( 145)
Opening the fixed-amount agreement business data item (159)Canceling the fixed-amount agreement business data item (160)Changing the fixed-amount agreement business data item (161)Proportional allocation failure (149)
File summary data item
5.6.1
5.6.2
5.6.3
5.6.4
Account information notification (92)
Transaction confirmation (94)
Share reconciliation (95)|| tt||Dividend information (96)
5.6.5Fund TA parameters (T1)
Fund operation information (T2)
5.6.6
Cross-border fund tax calculation parameters (G1)
5.6.7
Appendix A (Normative) Interface file specification data type description A.1 Interface file specification data type description
Data processing rules
File organization structure
A.4Data index file name
Data index Reference file format
A.6 Data file name
Data file format
Appendix B (normative)
Data dictionary
Appendix C (normative)
Appendix D (normative)
Data sending time
Daily data reporting description
Table 1 Information header content column
Table 2 Information body content column
Table 3 Data type
Table 4 TA file received by this system
Table 5||tt| |TA support business table
Account opening confirmation data
Table 6
Account cancellation confirmation data
Table 7
Table 8
Table 9
Table 10
Table 11
Table 12
Table 13
Table 14
Table 15
Table 16
Table 17
Table 18
Table 19
Table 20
Table 21
Table 22
Table 23
Table 24
Table 25
Table 26
Table 27
Table 28
Table 29
Customer information modification confirmation data
Trading account cancellation confirmation data
Trading account change confirmation data.
Subscription business confirmation data
Subscription result business confirmation data.
Subscription business confirmation data
Regular fixed amount subscription business confirmation data| |tt||ETF one-time subscription business confirmation data·
ETF two-time subscription business confirmation data·
Redemption business/regular fixed amount redemption business confirmation dataForced redemption business confirmation data
TF one-time redemption business confirmation data
ETF two-time redemption business confirmation data.
Appointment redemption business confirmation data·
Appointment withdrawal business confirmation data:
Custody transfer business confirmation data.
Custody transfer business confirmation data||t t||Confirmation data of custody transfer business ·
Confirmation data of dividend distribution mode setting businessbzxZ.net
Confirmation data of share freezing business
Confirmation data of share thawing business
Confirmation data of non-transaction transfer business
Table 30
Confirmation data of non-transaction transfer business.
Table 31
Confirmation data of non-transaction transferee business
GB/T39662—2020
GB/T39662—2020||t t||Table 32
Table 33
Table 34
Table 35
Table 36
Table 37
Table 38
Table 39
Table 40
Table 41
Table 42
Table 43
Table 44
Table 45
Table 46
Table 47
Table 48
Table A.1
Table A.2
Table B.1
Table C.1
Fund conversion business confirmation data
Fund conversion out business confirmation data
Fund conversion in business confirmation data
Dividend business confirmation data:
Forced increase business confirmation data…
Forced reduction business confirmation data….
Opening periodic payment agreement business confirmation data
Cancellation of periodic payment agreement business confirmation data
Change of periodic payment agreement business confirmation data
Proportional allocation failure business confirmation data
Account information notification
Transaction confirmation
Share reconciliation
Dividend information
Fund TA parameters (T1)
Fund operation information (T2)
Cross-border fund tax calculation parameters (G1)
Data index file format
Data file format
Data dictionary
Data sending time point description
Foreword
GB/T39662—2020
This document is drafted in accordance with the provisions of GB/T1.1—2020 "Guidelines for Standardization Work Part 1: Structure and Drafting Rules for Standardization Documents".
Please note that some contents of this document may involve patents. The issuing agency of this document does not assume the responsibility for identifying patents. This document is proposed by the People's Bank of China.
This document is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180). This document was drafted by: China Securities Regulatory Commission, China Securities Depository and Clearing Corporation Limited, China Securities Information Technology Services Co., Ltd., Asset Management Association of China, China Asset Management Co., Ltd., Industrial and Commercial Bank of China Limited, Agricultural Bank of China Limited, China Construction Bank Corporation, Bank of China Limited, China Merchants Bank Co., Ltd. The main drafters of this document: Yao Qian, Dai Wenhua, Hong Lei, Hao Xiaoyong, Liu Tiebin, Kong Qingwen, Fan Yu, Zhong Rongsa, Wang Kai, Zhou Yunhui, Song Xiaodong, Wang Chaoyang, Fang, Liu Dahai, Chen Honghu, Sun Hongwei, Li Xiangdong, Xiong Xin, Tang Yueyue, Meng Fankuo, Zhang Yuanqi, Wang Xinbo, Hu, Han Junwei, Wang Xuan, Kang Peng, Zhou Bo, Wang Xinyi, Lu Jingya, He Fei, E Xiaojun, Lao Weixiong, Zhou Yiqi, Tang Qiang, Zou Gang, Qian Xiangyang, Liu Yucheng. V
1 Scope
Fund Industry Data Centralized Backup Interface Specification GB/T39662—2020
This document specifies the data exchange format and data interface used by securities investment fund registration institutions when reporting daily business data to the central data exchange platform.
This document is applicable to fund managers, registrants, etc. for centralized backup of fund industry data to the central data exchange platform. Normative Reference Documents
The contents of the following documents constitute the essential terms of this document through normative references in the text. Among them, for referenced documents with dates, only the versions corresponding to the dates are applicable to this document; for referenced documents without dates, the latest versions (including all amendments) are applicable to this document.
GB/T1988-1998 Information technology Seven-bit coded character set for information exchange GB/T2260-2007 Administrative division code of the People's Republic of China 3 Classification and code of basic personal information Part 1: Gender code of a person GB/T2261.1-2003
GB/T2659-2000 Code for the names of countries and regions in the world GB/T4754-2017
GB/T74082005
Classification of national economic industries
Data Exchange of information in yuan and exchange format
Date and time representation
GB/T12406—2008
Codes for indicating the market and funds
GB/T13497—1992
GB/T39595—2020
Terms and definitions
National clearing center code
Open-ended fund business data exchange protocol
GB/T39595-2020 defines the following terms and definitions applicable to this document. For ease of use, some terms and definitions in GB/T39595-2020 are repeated below 3.1
Fund business parties fundbusinessparty All institutions and individuals related to fund business processing [Source: GB/T39595—2020,3.1]]3.1.1
Fund founder
fund founder-member
An institution that establishes a fund for the purpose of establishing a fund and in accordance with the prescribed conditions and procedures for establishment3.1.2
Fund manager
Fund manager
A fund management company that legally manages investment funds. [Source: GB/T39595—2020.3.2.1]GB/T39662—2020
3.1.3
Fund custodian
Fund custodian
An institution that legally keeps fund assets and supervises the investment activities of managers. [Source: GB/T39595—2020.3.2.2]Note: Generally, institutions that have obtained a custody license can become fund custodians. 3.1.4
Registration (transfer) registrant
transfer agent;TA
An institution responsible for the custody of fund investor accounts, preservation of transaction records, agency dividends, investor account reports, registration of fund shares and other services.
[Source: GB/T39595—2020.3.2.3]3.1.5
Fund holder
Fund holder
An investor who holds securities investment fund shares. [Source: GB/T39595—2020.3.2.4]3.1.6
Fund sales agency
Fund saler
A legal person who sells funds.
[Source: GB/T39595—2020,3.2.5]Note: There are two current sales methods: direct sales and agency sales. 3.2
Business type
Business type involved in fund business processing. [Source: GB/T39595—2020.3.3]3.2.1
Open an account
Open an account
Business where fund investors apply to set up a registered fund account [Source: GB/T39595—2020,3.3.2]3.2.2
Fund account
Transfer agent account
Fund quantity account set up by the registrant for fund investors to record and save the number of fund units of the holder. 3.2.3
Direct sales
subscribe
Fund managers sell funds directly to fund investors3.2.4
Agency sales
sale
Fund managers entrust another party to sell the funds they manage through an agreement. 3.2.5
Subscription
commission
The act of an investor applying to purchase an open-end fund during the fund raising period. Source: GB/T39595-2020, 3.3.3
3.2.6
Buy
The act of an investor applying to purchase an established open-end fund. [Source: GB/T39595-2020, 3.3.4] 3.2.7
Redemptionredeem
GB/T39662-2020
The act of a fund holder applying to an open-end fund manager to buy back the open-end fund managed by the investor. [Source: GB/T39595-2020, 3.3.5]3.2.8
vastlyredeem
huge redemption
On a single open day of the fund, the net redemption application of the fund exceeds 10% of the total shares of the fund. Source: GB/T395952020, 3.3.6
Note: This ratio is in accordance with the provisions of the "Pilot Measures for Open-Ended Securities Investment Funds" issued by the Securities Regulatory Commission [2000173]. 3.2.9
preengage redeem
preengage redeem
The application for redemption on a future date issued in advance by the fund holder to give the fund manager a certain amount of time to handle the redemption business. [Source: GB/T39595-2020, 3.3.7]3.2.10
Dividend
According to the provisions of the fund contract, the fund manager distributes the income from fund operation to fund holders in a certain proportion in each fiscal year
［Source: GB/T39595-2020, 3.3.8]3.2.11
Registration date
register date
The time when the fund holders are registered to enjoy the fund dividend rights according to the funds they hold. [Source: GB/T39595-2020, 3.3.9]3.2.12
Dividend payment date
dividend date
The date on which the dividends are paid to the fund holders, 3.2.13
Dividend reinvestment
dividend reinvestment
The fund holders automatically apply to convert the cash dividends they receive from the funds they hold into the investment activities of holding the fund units. [Source: GB/T39595—2020.3.3.10] Note: Fund managers are generally willing to provide this service to encourage investors to continue holding fund assets. 3.2.14
Non-transaction transfer
transfer
Transfer business involving both parties and changes in the number of fund units, such as fund donation, inheritance, and assistance in the execution of judicial decisions. Source: GB/T395952020, 3.3.11
3.2.15
Fund conversion
fundconversion
The service provided by the fund manager to the fund holder to convert a fund of the fund holder into another fund managed by the same fund manager.
GB/T39662—2020
Fund information fundinformation
Characteristic information about the fund itself.
Source: GB/T395952020.3.4
3.3.1
Net asset value of fund units
net asset value
The net asset value of the fund after the market closes on the fund's opening day divided by the number of fund units remaining on that day. Note: The specific calculation method is specified in the fund contract and prospectus. 3.3.2
Subscription charge
buy charge
The fee that investors need to pay when subscribing to open-end fund units Note: The subscription fee can be charged when investors subscribe to fund units, that is, the pre-collection subscription fee: or charged when investors sell fund units, that is, the post-collection subscription fee 3.3.3
Redemption charge
redemption charge
The fee paid by investors when redeeming open-end fund units [Source: GB/T39595—2020.3.4.2] 3.3.4
Account management charge
account management charge
The fee charged by the fund manager to the investor for managing and maintaining the investor's fund account. [Source: GB/T39595—2020.3.4.3] 3.3.5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agent agreement. Note: The registration (transfer) registration agent may charge for the following business items: account opening, subscription, application, redemption of fund unit registration, transfer and other business items related to investor account activities.
3.3.6
rake-off
trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: The trailing commission is generally calculated based on the quarterly average balance of the fund assets under its management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the centralized backup of fund registration data on the sales side. Note: The platform was built and operated in 2011. 4 Information exchange format
4.1 Description
Each (time) exchanged information consists of three parts: information header, information body and information footer. The agreement on the file exchange method adopts the format in Appendix A4
.
Information header
GB/T39662—2020
The information header indicates the beginning of a data exchange and gives the information summary of this data exchange. Its contents are listed in Table 1. Table 1
Name
Message header identifier
Protocol version number
Message creator
Message recipient
Transmission date
Message body
Includes the content of data exchange, the content of which is listed in Table 2. Information header content column
Description
Used to indicate the format type of the file
TA/fund manager code
Adopt 5.2.1,1 Basic format Table 2 in GB/T7408-2005
Information body content column
Name
Business type code
Sender
Recipient
Number of fields
Field ID1
Field IDN
Number of records
Record 1
Record 2
Record 3
Record M
Information body end identifier
Information tail
Indicates the end of a data exchange.
Description
See 5.4 Business Code Table, used to indicate the function type of the file. Indicates the number of fields that make up the data file
ID numbers with less than 4 digits are padded with 0 on the left
Number of data records contained in the data file
Used to indicate the end of the information body
GB/T39662—2020
Data reporting mechanism
4.5.1
Explanation of data submitted by public funds
Explanation of data submitted by public funds is as follows:
Daily report incremental data (92/94/95/96 files, see 5.6.1~5.6.4) and full data (T1/T2/G1, see 5.6.5~a)
5.6.7). Incremental refers to the data information that is newly added or changed on that day. Regularly submit the full data of Q2/Q5 files (see 5.6.1 and 5.6.3, the format is the same as 92/95 files) (the incremental data of 92/95 files will not be submitted on the same day; the business type in the Q2 full file is uniformly filled in "101"). 4.5.2 Explanation of private equity fund submission data
Regular submission method is adopted to submit full data (Q2/Q5/T1/T2 files) and incremental data (94/96 files, which refers to the data information added or changed between two full data). Note: If TA (or manager) has both public and private funds, the incremental 92/94/95/96 files and the full T1/T2/G1 files of public funds shall be submitted daily. When submitting full data of private funds on a regular basis, the Q2/Q5 files shall contain the full data of public funds (i.e., the Q2/Q5 files contain both public and private funds), and the 94/96 files shall also contain the incremental data of both public and private funds. 4.5.3 Other Notes
Instructions for submitting other data are as follows:
a) TA (or manager) shall ensure that the data files are uploaded first, and then the index files are uploaded. The file list in the index file shall be the same as the number of files actually uploaded:
b) TA (or manager) shall generate and send data based on the TA confirmation data of the day (referring to the confirmation data applied for the previous working day);
In the business data file, the specific values ??of the fields in each business item are shown in Appendix B; the data sending time is shown in Appendix C, and the instructions for submitting data are shown in Appendix D. d)
5 Data interface
Data type
The data types used in this document are shown in Table 3
Table 3 Data types
Identifier
2 Data processing
Data processing rules:
a) If there is an application, there should be confirmation;
Character type
Digital character type. Limited to 09
Numeric type, and can participate in numerical calculation
TypeLimited to 09
numeric type, and can participate in numerical calculation
typeLimited to 09
numeric type, and can participate in numerical calculation
type11
Registration date
register date
The time when the registered fund holder enjoys the right to fund dividends according to the funds held. [Source: GB/T39595-2020, 3.3.9]3.2.12
Dividend payment date
dividend date
The date on which dividends are paid to fund holders, 3.2.13
Dividend reinvestment
dividend reinvestment
The fund holder automatically applies to convert the cash dividends distributed to the fund held into the investment activities of holding the fund units. [Source: GB/T39595-2020.3.3.10]Note: Fund managers are generally willing to provide this service to encourage investors to continue holding fund assets. 3.2.14
Non-transaction transfer
transfer
Transfer business involving two parties and involving changes in the number of fund units, such as fund donation, inheritance, and assistance in the execution of judicial decisions. Source: GB/T39595-2020, 3.3.11
3.2.15
Fund conversion
fundconversion
The service provided by the fund manager to the fund holder to convert a fund of the fund holder into another fund managed by the same fund manager.
GB/T39662—2020
Fund information fundinformation
Characteristic information about the fund itself.
Source: GB/T395952020.3.4
3.3.1
Net asset value of fund units
net asset value
The net asset value of the fund after the market closes on the fund's opening day divided by the number of fund units remaining on that day. Note: The specific calculation method is specified in the fund contract and prospectus. 3.3.2
Subscription charge
buy charge
The fee that investors need to pay when subscribing to open-end fund units Note: The subscription fee can be charged when investors subscribe to fund units, that is, the pre-collection subscription fee: or charged when investors sell fund units, that is, the post-collection subscription fee 3.3.3
Redemption charge
redemption charge
The fee paid by investors when redeeming open-end fund units [Source: GB/T39595—2020.3.4.2] 3.3.4
Account management charge
account management charge
The fee charged by the fund manager to investors for managing and maintaining investors' fund accounts. [Source: GB/T39595—2020.3.4.3] 3.3.5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agent agreement. Note: The registration (transfer) registration agent may charge for the following business items: registration, transfer of fund units for account opening, subscription, application, and redemption, and other business items related to investor account activities.
3.3.6
rake-off
trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: The trailing commission is generally calculated based on the quarterly average balance of the fund assets under its management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the centralized backup of fund registration data on the sales side. Note: The platform was built and operated in 2011. 4 Information exchange format
4.1 Description
Each (time) exchanged information consists of three parts: information header, information body and information footer. The agreement on the file exchange method adopts the format in Appendix A4
.
Information header
GB/T39662—2020
The information header indicates the beginning of a data exchange and gives the information summary of this data exchange. Its contents are listed in Table 1. Table 1
Name
Message header identifier
Protocol version number
Message creator
Message recipient
Transmission date
Message body
Includes the content of data exchange, the content of which is listed in Table 2. Information header content column
Description
Used to indicate the format type of the file
TA/fund manager code
Adopt 5.2.1,1 Basic format Table 2 in GB/T7408-2005
Information body content column
Name
Business type code
Sender
Recipient
Number of fields
Field ID1
Field IDN
Number of records
Record 1
Record 2
Record 3
Record M
Information body end identifier
Information tail
Indicates the end of a data exchange.
Description
See 5.4 Business Code Table, used to indicate the function type of the file. Indicates the number of fields that make up the data file
ID numbers with less than 4 digits are padded with 0 on the left
Number of data records contained in the data file
Used to indicate the end of the information body
GB/T39662—2020
Data reporting mechanism
4.5.1
Explanation of data submitted by public funds
Explanation of data submitted by public funds is as follows:
Daily report incremental data (92/94/95/96 files, see 5.6.1~5.6.4) and full data (T1/T2/G1, see 5.6.5~a)
5.6.7). Incremental refers to the data information that is newly added or changed on that day. Regularly submit the full data of Q2/Q5 files (see 5.6.1 and 5.6.3, the format is the same as 92/95 files) (the incremental data of 92/95 files will not be submitted on the same day; the business type in the Q2 full file is uniformly filled in "101"). 4.5.2 Explanation of private equity fund submission data
Regular submission method is adopted to submit full data (Q2/Q5/T1/T2 files) and incremental data (94/96 files, which refers to the data information added or changed between two full data). Note: If TA (or manager) has both public and private funds, the incremental 92/94/95/96 files and the full T1/T2/G1 files of public funds shall be submitted daily. When submitting full data of private funds on a regular basis, the Q2/Q5 files shall contain the full data of public funds (i.e., the Q2/Q5 files contain both public and private funds), and the 94/96 files shall also contain the incremental data of both public and private funds. 4.5.3 Other Notes
Instructions for submitting other data are as follows:
a) TA (or manager) shall ensure that the data files are uploaded first, and then the index files are uploaded. The file list in the index file shall be the same as the number of files actually uploaded:
b) TA (or manager) shall generate and send data based on the TA confirmation data of the day (referring to the confirmation data applied for the previous working day);
In the business data file, the specific values ??of the fields in each business item are shown in Appendix B; the data sending time is shown in Appendix C, and the instructions for submitting data are shown in Appendix D. d)
5 Data interface
Data type
The data types used in this document are shown in Table 3
Table 3 Data types
Identifier
2 Data processing
Data processing rules:
a) If there is an application, there should be confirmation;
Character type
Digital character type. Limited to 09
Numeric type, and can participate in numerical calculation
Type11
Registration date
register date
The time when the registered fund holder enjoys the right to fund dividends according to the funds held. [Source: GB/T39595-2020, 3.3.9]3.2.12
Dividend payment date
dividend date
The date on which dividends are paid to fund holders, 3.2.13
Dividend reinvestment
dividend reinvestment
The fund holder automatically applies to convert the cash dividends distributed to the fund held into the investment activities of holding the fund units. [Source: GB/T39595-2020.3.3.10]Note: Fund managers are generally willing to provide this service to encourage investors to continue holding fund assets. 3.2.14
Non-transaction transfer
transfer
Fund donation, inheritance, assistance in the execution of judicial decisions and other transfer businesses involving both parties and involving changes in the number of fund units. Source: GB/T39595-2020, 3.3.11
3.2.15
Fund conversion
fundconversion
The service provided by the fund manager to the fund holder to convert a fund of the fund holder into another fund managed by the same fund manager.
GB/T39662—2020
Fund information fundinformation
Characteristic information about the fund itself.
Source: GB/T395952020.3.4
3.3.1
Net asset value of fund units
net asset value
The net asset value of the fund after the market closes on the fund's opening day divided by the number of fund units remaining on that day. Note: The specific calculation method is specified in the fund contract and prospectus. 3.3.2
Subscription charge
buy charge
The fee that investors need to pay when subscribing to open-end fund units Note: The subscription fee can be charged when investors subscribe to fund units, that is, the pre-collection subscription fee: or charged when investors sell fund units, that is, the post-collection subscription fee 3.3.3
Redemption charge
redemption charge
The fee paid by investors when redeeming open-end fund units [Source: GB/T39595—2020.3.4.2] 3.3.4
Account management charge
account management charge
The fee charged by the fund manager to investors for managing and maintaining investors' fund accounts. [Source: GB/T39595—2020.3.4.3] 3.3.5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agent agreement. Note: The registration (transfer) registration agent may charge for the following business items: registration, transfer of fund units for account opening, subscription, application, and redemption, and other business items related to investor account activities.
3.3.6
rake-off
trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: The trailing commission is generally calculated based on the quarterly average balance of the fund assets under its management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the centralized backup of fund registration data on the sales side. Note: The platform was built and operated in 2011. 4 Information exchange format
4.1 Description
Each (time) exchanged information consists of three parts: information header, information body and information footer. The agreement on the file exchange method adopts the format in Appendix A4
.
Information header
GB/T39662—2020
The information header indicates the beginning of a data exchange and gives the information summary of this data exchange. Its contents are listed in Table 1. Table 1
Name
Message header identifier
Protocol version number
Message creator
Message recipient
Transmission date
Message body
Includes the content of data exchange, the content of which is listed in Table 2. Information header content column
Description
Used to indicate the format type of the file
TA/fund manager code
Adopt 5.2.1,1 Basic format Table 2 in GB/T7408-2005
Information body content column
Name
Business type code
Sender
Recipient
Number of fields
Field ID1
Field IDN
Number of records
Record 1
Record 2
Record 3
Record M
Information body end identifier
Information tail
Indicates the end of a data exchange.
Description
See 5.4 Business Code Table, used to indicate the function type of the file. Indicates the number of fields that make up the data file
ID numbers with less than 4 digits are padded with 0 on the left
Number of data records contained in the data file
Used to indicate the end of the information body
GB/T39662—2020
Data reporting mechanism
4.5.1
Explanation of data submitted by public funds
Explanation of data submitted by public funds is as follows:
Daily report incremental data (92/94/95/96 files, see 5.6.1~5.6.4) and full data (T1/T2/G1, see 5.6.5~a)
5.6.7). Incremental refers to the data information that is newly added or changed on that day. Regularly submit the full data of Q2/Q5 files (see 5.6.1 and 5.6.3, the format is the same as 92/95 files) (the incremental data of 92/95 files will not be submitted on the same day; the business type in the Q2 full file is uniformly filled in "101"). 4.5.2 Explanation of private equity fund submission data
Regular submission method is adopted to submit full data (Q2/Q5/T1/T2 files) and incremental data (94/96 files, which refers to the data information added or changed between two full data). Note: If TA (or manager) has both public and private funds, the incremental 92/94/95/96 files and the full T1/T2/G1 files of public funds shall be submitted daily. When submitting full data of private funds on a regular basis, the Q2/Q5 files shall contain the full data of public funds (i.e., the Q2/Q5 files contain both public and private funds), and the 94/96 files shall also contain the incremental data of both public and private funds. 4.5.3 Other Notes
Instructions for submitting other data are as follows:
a) TA (or manager) shall ensure that the data files are uploaded first, and then the index files are uploaded. The file list in the index file shall be the same as the number of files actually uploaded:
b) TA (or manager) shall generate and send data based on the TA confirmation data of the day (referring to the confirmation data applied for the previous working day);
In the business data file, the specific values ??of the fields in each business item are shown in Appendix B; the data sending time is shown in Appendix C, and the instructions for submitting data are shown in Appendix D. d)
5 Data interface
Data type
The data types used in this document are shown in Table 3
Table 3 Data types
Identifier
2 Data processing
Data processing rules:
a) If there is an application, there should be confirmation;
Character type
Digital character type. Limited to 09
Numeric type, and can participate in numerical calculation
Type13
Dividend reinvestment
Dividend reinvestment
The fund holder automatically applies to convert the cash dividends distributed to the fund into investment activities for holding the fund units. [Source: GB/T39595—2020.3.3.10] Note: Fund managers are generally willing to provide this service to encourage investors to continue holding fund assets. 3.2.14
Non-transaction transfer
transfer
Transfer business involving two parties and changes in the number of fund units, such as fund donation, inheritance, and assistance in the execution of judicial decisions. Source: GB/T395952020, 3.3.11
3.2.15
Fund conversion
fundconversion
The service provided by the fund manager to the fund holder to convert a fund of the fund holder into another fund managed by the same fund manager.
GB/T39662—2020
Fund information fundinformation
Characteristic information about the fund itself.
Source: GB/T395952020.3.4
3.3.1
Net asset value of fund units
net assetvalue
The net asset value of the fund after the market closes on the fund opening day divided by the number of fund units remaining on that day. Note: The specific calculation method is stated in the fund contract and the prospectus. 3.3.2
Subscription charge
buy charge
The fee that investors need to pay when subscribing to open-end fund units Note: The subscription fee can be charged when investors subscribe to fund units, that is, the pre-collection subscription fee: or charged when investors sell fund units, that is, the post-collection subscription fee 3.3.3
Redemption charge
redemption charge
The fee paid by investors when redeeming open-end fund units [Source: GB/T39595—2020.3.4.2] 3.3.4
Account management charge
account management charge
The fee charged by the fund manager to investors for managing and maintaining investors' fund accounts. [Source: GB/T39595—2020.3.4.3] 3.3.5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agent agreement. Note: The registration (transfer) registration agent may charge for the following business items: registration, transfer of fund units for account opening, subscription, application, and redemption, and other business items related to investor account activities.
3.3.6
rake-off
trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: The trailing commission is generally calculated based on the quarterly average balance of the fund assets under its management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the centralized backup of fund registration data on the sales side. Note: The platform was built and operated in 2011. 4 Information exchange format
4.1 Description
Each (time) exchanged information consists of three parts: information header, information body and information footer. The agreement on the file exchange method adopts the format in Appendix A4
.
Information header
GB/T39662—2020
The information header indicates the beginning of a data exchange and gives the information summary of this data exchange. Its contents are listed in Table 1. Table 1
Name
Message header identifier
Protocol version number
Message creator
Message recipient
Transmission date
Message body
Includes the content of data exchange, the content of which is listed in Table 2. Information header content column
Description
Used to indicate the format type of the file
TA/fund manager code
Adopt 5.2.1,1 Basic format Table 2 in GB/T7408-2005
Information body content column
Name
Business type code
Sender
Recipient
Number of fields
Field ID1
Field IDN
Number of records
Record 1
Record 2
Record 3
Record M
Information body end identifier
Information tail
Indicates the end of a data exchange.
Description
See 5.4 Business Code Table, used to indicate the function type of the file. Indicates the number of fields that make up the data file
ID numbers with less than 4 digits are padded with 0 on the left
Number of data records contained in the data file
Used to indicate the end of the information body
GB/T39662—2020
Data reporting mechanism
4.5.1
Explanation of data submitted by public funds
Explanation of data submitted by public funds is as follows:
Daily report incremental data (92/94/95/96 files, see 5.6.1~5.6.4) and full data (T1/T2/G1, see 5.6.5~a)
5.6.7). Incremental refers to the data information that is newly added or changed on that day. Regularly submit the full data of Q2/Q5 files (see 5.6.1 and 5.6.3, the format is the same as 92/95 files) (the incremental data of 92/95 files will not be submitted on the same day; the business type in the Q2 full file is uniformly filled in "101"). 4.5.2 Explanation of private equity fund submission data
Regular submission method is adopted to submit full data (Q2/Q5/T1/T2 files) and incremental data (94/96 files, which refers to the data information added or changed between two full data). Note: If TA (or manager) has both public and private funds, the incremental 92/94/95/96 files and the full T1/T2/G1 files of public funds shall be submitted daily. When submitting full data of private funds on a regular basis, the Q2/Q5 files shall contain the full data of public funds (i.e., the Q2/Q5 files contain both public and private funds), and the 94/96 files shall also contain the incremental data of both public and private funds. 4.5.3 Other Notes
Instructions for submitting other data are as follows:
a) TA (or manager) shall ensure that the data files are uploaded first, and then the index files are uploaded. The file list in the index file shall be the same as the number of files actually uploaded:
b) TA (or manager) shall generate and send data based on the TA confirmation data of the day (referring to the confirmation data applied for the previous working day);
In the business data file, the specific values ??of the fields in each business item are shown in Appendix B; the data sending time is shown in Appendix C, and the instructions for submitting data are shown in Appendix D. d)
5 Data interface
Data type
The data types used in this document are shown in Table 3
Table 3 Data types
Identifier
2 Data processing
Data processing rules:
a) If there is an application, there should be confirmation;
Character type
Digital character type. Limited to 09
Numeric type, and can participate in numerical calculation
Type13
Dividend reinvestment
Dividend reinvestment
The fund holder automatically applies to convert the cash dividends distributed to the fund into investment activities for holding the fund units. [Source: GB/T39595—2020.3.3.10] Note: Fund managers are generally willing to provide this service to encourage investors to continue holding fund assets. 3.2.14
Non-transaction transfer
transfer
Transfer business involving two parties and changes in the number of fund units, such as fund donation, inheritance, and assistance in the execution of judicial decisions. Source: GB/T395952020, 3.3.11
3.2.15
Fund conversion
fundconversion
The service provided by the fund manager to the fund holder to convert a fund of the fund holder into another fund managed by the same fund manager.
GB/T39662—2020
Fund information fundinformation
Characteristic information about the fund itself.
Source: GB/T395952020.3.4
3.3.1
Net asset value of fund units
net assetvalue
The net asset value of the fund after the market closes on the fund opening day divided by the number of fund units remaining on that day. Note: The specific calculation method is stated in the fund contract and the prospectus. 3.3.2
Subscription charge
buy charge
The fee that investors need to pay when subscribing to open-end fund units Note: The subscription fee can be charged when investors subscribe to fund units, that is, the pre-collection subscription fee: or charged when investors sell fund units, that is, the post-collection subscription fee 3.3.3
Redemption charge
redemption charge
The fee paid by investors when redeeming open-end fund units [Source: GB/T39595—2020.3.4.2] 3.3.4
Account management charge
account management charge
The fee charged by the fund manager to the investor for managing and maintaining the investor's fund account. [Source: GB/T39595—2020.3.4.3] 3.3.5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agent agreement. Note: The registration (transfer) registration agent may charge for the following business items: account opening, subscription, application, redemption of fund unit registration, transfer and other business items related to investor account activities.
3.3.6
rake-off
trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: The trailing commission is generally calculated based on the quarterly average balance of the fund assets under its management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the centralized backup of fund registration data on the sales side. Note: The platform was built and operated in 2011. 4 Information exchange format
4.1 Description
Each (time) exchanged information consists of three parts: information header, information body and information footer. The agreement on the file exchange method adopts the format in Appendix A4
.
Information header
GB/T39662—2020
The information header indicates the beginning of a data exchange and gives the information summary of this data exchange. Its contents are listed in Table 1. Table 1
Name
Message header identifier
Protocol version number
Message creator
Message recipient
Transmission date
Message body
Includes the content of data exchange, the content of which is listed in Table 2. Information header content column
Description
Used to indicate the format type of the file
TA/fund manager code
Adopt 5.2.1,1 Basic format Table 2 in GB/T7408-2005
Information body content column
Name
Business type code
Sender
Recipient
Number of fields
Field ID1
Field IDN
Number of records
Record 1
Record 2
Record 3
Record M
Information body end identifier
Information tail
Indicates the end of a data exchange.
Description
See 5.4 Business Code Table, used to indicate the function type of the file. Indicates the number of fields that make up the data file
ID numbers with less than 4 digits are padded with 0 on the left
Number of data records contained in the data file
Used to indicate the end of the information body
GB/T39662—2020
Data reporting mechanism
4.5.1
Explanation of data submitted by public funds
Explanation of data submitted by public funds is as follows:
Daily report incremental data (92/94/95/96 files, see 5.6.1~5.6.4) and full data (T1/T2/G1, see 5.6.5~a)
5.6.7). Incremental refers to the data information that is newly added or changed on that day. Regularly submit the full data of Q2/Q5 files (see 5.6.1 and 5.6.3, the format is the same as 92/95 files) (the incremental data of 92/95 files will not be submitted on the same day; the business type in the Q2 full file is uniformly filled in "101"). 4.5.2 Explanation of private equity fund submission data
Regular submission method is adopted to submit full data (Q2/Q5/T1/T2 files) and incremental data (94/96 files, which refers to the data information added or changed between two full data). Note: If TA (or manager) has both public and private funds, the incremental 92/94/95/96 files and the full T1/T2/G1 files of public funds shall be submitted daily. When submitting full data of private funds on a regular basis, the Q2/Q5 files shall contain the full data of public funds (i.e., the Q2/Q5 files contain both public and private funds), and the 94/96 files shall also contain the incremental data of both public and private funds. 4.5.3 Other Notes
Instructions for submitting other data are as follows:
a) TA (or manager) shall ensure that the data files are uploaded first, and then the index files are uploaded. The file list in the index file shall be the same as the number of files actually uploaded:
b) TA (or manager) shall generate and send data based on the TA confirmation data of the day (referring to the confirmation data applied for the previous working day);
In the business data file, the specific values ??of the fields in each business item are shown in Appendix B; the data sending time is shown in Appendix C, and the instructions for submitting data are shown in Appendix D. d)
5 Data interface
Data type
The data types used in this document are shown in Table 3
Table 3 Data types
Identifier
2 Data processing
Data processing rules:
a) If there is an application, there should be confirmation;
Character type
Digital character type. Limited to 09
Numeric type, and can participate in numerical calculation
Type15
Fund conversion
fundconversion
The service provided by the fund manager to the fund holder to convert a fund of the fund holder into another fund managed by the same fund manager.
GB/T39662—2020
Fund information fundinformation
Characteristic information about the fund itself.
Source: GB/T395952020.3.4
3.3.1
Net asset value of fund units
net assetvalue
The net asset value of the fund after the market closes on the fund opening day divided by the number of fund units remaining on that day. Note: The specific calculation method is stated in the fund contract and the prospectus. 3.3.2
Subscription charge
buy charge
The fee that investors need to pay when subscribing to open-end fund units Note: The subscription fee can be charged when investors subscribe to fund units, that is, the pre-collection subscription fee: or charged when investors sell fund units, that is, the post-collection subscription fee 3.3.3
Redemption charge
redemption charge
The fee paid by investors when redeeming open-end fund units [Source: GB/T39595—2020.3.4.2] 3.3.4
Account management charge
account management charge
The fee charged by the fund manager to the investor for managing and maintaining the investor's fund account. [Source: GB/T39595—2020.3.4.3] 3.3.5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agent agreement. Note: The registration (transfer) registration agent may charge for the following business items: registration, transfer of fund units for account opening, subscription, application, and redemption, and other business items related to investor account activities.
3.3.6
rake-off
trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: The trailing commission is generally calculated based on the quarterly average balance of the fund assets under its management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the centralized backup of fund registration data on the sales side. Note: The platform was built and operated in 2011. 4 Information exchange format
4.1 Description
Each (time) exchanged information consists of three parts: information header, information body and information footer. The agreement on the file exchange method adopts the format in Appendix A4
.
Information header
GB/T39662—2020
The information header indicates the beginning of a data exchange and gives the information summary of this data exchange. Its contents are listed in Table 1. Table 1
Name
Message header identifier
Protocol version number
Message creator
Message recipient
Transmission date
Message body
Includes the content of data exchange, the content of which is listed in Table 2. Information header content column
Description
Used to indicate the format type of the file
TA/fund manager code
Adopt 5.2.1,1 Basic format Table 2 in GB/T7408-2005
Information body content column
Name
Business type code
Sender
Recipient
Number of fields
Field ID1
Field IDN
Number of records
Record 1
Record 2
Record 3
Record M
Information body end identifier
Information tail
Indicates the end of a data exchange.
Description
See 5.4 Business Code Table, used to indicate the function type of the file. Indicates the number of fields that make up the data file
ID numbers with less than 4 digits are padded with 0 on the left
Number of data records contained in the data file
Used to indicate the end of the information body
GB/T39662—2020
Data reporting mechanism
4.5.1
Explanation of data submitted by public funds
Explanation of data submitted by public funds is as follows:
Daily report incremental data (92/94/95/96 files, see 5.6.1~5.6.4) and full data (T1/T2/G1, see 5.6.5~a)
5.6.7). Incremental refers to the data information that is newly added or changed on that day. Regularly submit the full data of Q2/Q5 files (see 5.6.1 and 5.6.3, the format is the same as 92/95 files) (the incremental data of 92/95 files will not be submitted on the same day; the business type in the Q2 full file is uniformly filled in "101"). 4.5.2 Private equity fund submission data instructions
Regular submission method is adopted to submit full data (Q2/Q5/T1/T2 files) and incremental data (94/96 files, which refers to the data information added or changed between two full data). Note: If TA (or manager) has both public and private funds, the incremental 92/94/95/96 files and the full T1/T2/G1 files of public funds shall be submitted daily. When submitting the full data of private funds on a regular basis, the Q2/Q5 files shall contain the full data of public funds (i.e., the Q2/Q5 files contain both public and private funds), and the 94/96 files shall also contain the incremental data of both public and private funds. 4.5.3 Other Notes
Instructions for submitting other data are as follows:
a) TA (or manager) shall ensure that the data files are uploaded first, and then the index files are uploaded. The file list in the index file shall be the same as the number of files actually uploaded:
b) TA (or manager) shall generate and send data based on the TA confirmation data of the day (referring to the confirmation data applied for the previous working day);
In the business data file, the specific values ??of the fields in each business item are shown in Appendix B; the data sending time is shown in Appendix C, and the instructions for submitting data are shown in Appendix D. d)
5 Data interface
Data type
The data types used in this document are shown in Table 3
Table 3 Data types
Identifier
2 Data processing
Data processing rules:
a) If there is an application, there should be confirmation;
Character type
Digital character type. Limited to 09
Numeric type, and can participate in numerical calculation
Type15
Fund conversion
fundconversion
The service provided by the fund manager to the fund holder to convert a fund of the fund holder into another fund managed by the same fund manager.
GB/T39662—2020
Fund information fundinformation
Characteristic information about the fund itself.
Source: GB/T395952020.3.4
3.3.1
Net asset value of fund units
net assetvalue
The net asset value of the fund after the market closes on the fund opening day divided by the number of fund units remaining on that day. Note: The specific calculation method is stated in the fund contract and the prospectus. 3.3.2
Subscription charge
buy charge
The fee that investors need to pay when subscribing to open-end fund units Note: The subscription fee can be charged when investors subscribe to fund units, that is, the pre-collection subscription fee: or charged when investors sell fund units, that is, the post-collection subscription fee 3.3.3
Redemption charge
redemption charge
The fee paid by investors when redeeming open-end fund units [Source: GB/T39595—2020.3.4.2] 3.3.4
Account management charge
account management charge
The fee charged by the fund manager to the investor for managing and maintaining the investor's fund account. [Source: GB/T39595—2020.3.4.3] 3.3.5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agent agreement. Note: The registration (transfer) registration agent may charge for the following business items: registration, transfer of fund units for account opening, subscription, application, and redemption, and other business items related to investor account activities.
3.3.6
rake-off
trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: The trailing commission is generally calculated based on the quarterly average balance of the fund assets under its management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the centralized backup of fund registration data on the sales side. Note: The platform was built and operated in 2011. 4 Information exchange format
4.1 Description
Each (time) exchanged information consists of three parts: information header, information body and information footer. The agreement on the file exchange method adopts the format in Appendix A4
.
Information header
GB/T39662—2020
The information header indicates the beginning of a data exchange and gives the information summary of this data exchange. Its contents are listed in Table 1. Table 1
Name
Message header identifier
Protocol version number
Message creator
Message recipient
Transmission date
Message body
Includes the content of data exchange, the content of which is listed in Table 2. Information header content column
Description
Used to indicate the format type of the file
TA/fund manager code
Adopt 5.2.1,1 Basic format Table 2 in GB/T7408-2005
Information body content column
Name
Business type code
Sender
Recipient
Number of fields
Field ID1
Field IDN
Number of records
Record 1
Record 2
Record 3
Record M
Information body end identifier
Information tail
Indicates the end of a data exchange.
Description
See 5.4 Business Code Table, used to indicate the function type of the file. Indicates the number of fields that make up the data file
ID numbers with less than 4 digits are padded with 0 on the left
Number of data records contained in the data file
Used to indicate the end of the information body
GB/T39662—2020
Data reporting mechanism
4.5.1
Explanation of data submitted by public funds
Explanation of data submitted by public funds is as follows:
Daily report incremental data (92/94/95/96 files, see 5.6.1~5.6.4) and full data (T1/T2/G1, see 5.6.5~a)
5.6.7). Incremental refers to the data information that is newly added or changed on that day. Regularly submit the full data of Q2/Q5 files (see 5.6.1 and 5.6.3, the format is the same as 92/95 files) (the incremental data of 92/95 files will not be submitted on the same day; the business type in the Q2 full file is uniformly filled in "101"). 4.5.2 Explanation of private equity fund submission data
Regular submission method is adopted to submit full data (Q2/Q5/T1/T2 files) and incremental data (94/96 files, which refers to the data information added or changed between two full data). Note: If TA (or manager) has both public and private funds, the incremental 92/94/95/96 files and the full T1/T2/G1 files of public funds shall be submitted daily. When submitting full data of private funds on a regular basis, the Q2/Q5 files shall contain the full data of public funds (i.e., the Q2/Q5 files contain both public and private funds), and the 94/96 files shall also contain the incremental data of both public and private funds. 4.5.3 Other Notes
Instructions for submitting other data are as follows:
a) TA (or manager) shall ensure that the data files are uploaded first, and then the index files are uploaded. The file list in the index file shall be the same as the number of files actually uploaded:
b) TA (or manager) shall generate and send data based on the TA confirmation data of the day (referring to the confirmation data applied for the previous working day);
In the business data file, the specific values ??of the fields in each business item are shown in Appendix B; the data sending time is shown in Appendix C, and the instructions for submitting data are shown in Appendix D. d)
5 Data interface
Data type
The data types used in this document are shown in Table 3
Table 3 Data types
Identifier
2 Data processing
Data processing rules:
a) If there is an application, there should be confirmation;
Character type
Digital character type. Limited to 09
Numeric type, and can participate in numerical calculation
Type5
Registration (transfer) registration fee
transfer agent charge
The fee charged by the registration agent to the fund manager in accordance with the registration agency agreement. Note: The registration (transfer) registration agent may charge for the following business items: account opening, subscription, application, redemption of fund units registration, transfer and other business items related to investor account activities.
3.3.6
rake-off
Trailing commission
The sales performance remuneration given by the fund manager to the fund sales agency Note: Trailing commission is generally calculated based on the quarterly average balance of the fund assets under management from the 13th month onwards and is paid quarterly. 3.3.7
Service charge
Service charge charged by the sales agent to the fund investors and holders3.4
Central data exchange platform
Central data exchange platformThe central data exchange service platform realizes the centralized exchange of all public fund sales agencies and fund share registration data and the ce
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