GB/T 39595-2020.Open-ended fund business data exchange protocol.
1 Scope
GB/T 39595 specifies the information exchange format, basic requirements, business type codes, business exchange data items and data dictionary for data exchange between institutions in open-ended fund business.
GB/T 39595 applies to data exchange between fund managers, registrants, fund sales persons, fund custodians, etc.
2 Normative references
The contents of the following documents constitute the essential terms of this document through normative references in this text. Among them, for dated references, only the version corresponding to that date applies to this document; for undated references, the latest version (including all amendments) applies to this document.
GB/T 1988-1998 Information technology Seven-bit coded character set for information exchange
GB/T 2260-2007 Administrative division codes of the People's Republic of China
GB/T 2261.1-2003 Classification and coding of basic personal information Part 1: Gender codes of persons
GB/T 2261.2-2003 Classification and coding of basic personal information Part 2: Marital status codes
GB/ T 2659-2000 Codes for names of countries and regions of the world
GB/T 4754-2017 Classification of national economic industries
GB/T 7408-2005 Data elements and exchange formats Representation of dates and times for information exchange
GB/T 12406 Codes for the representation of currency and funds
GB/T 13000-2010 Information Technology Universal Multi-Octet Coded Character Set (UCS)
3 Terms and Definitions
The following terms and definitions apply to this document.
3.1
Open-ended fund
A fund or collective asset management plan whose total size of fund units or shares is not fixed, which sells fund units or shares to investors at any time and can redeem outstanding fund units or shares upon the request of investors.
3.2
Fund business party
All institutions and individuals related to the handling of fund business.
3.2.1
Fund manager
A fund management company engaged in investment fund management in accordance with the law.
This document specifies the information exchange format, basic requirements, business type codes, business exchange data items and data dictionary when data is exchanged between institutions in the open-ended fund business. This document applies to data exchange between fund managers, registrants, fund sales persons, fund custodians, etc.

ICS03.060
CCS A 11
National Standard of the People's Republic of China
GB/T39595—2020
Open-ended fund business data exchange protocol
Open-ended fund business data exchange protocol2020-12-14Issued
State Administration for Market Regulation
Standardization Administration of the People's Republic of China
Issued
2021-07-01Implemented
Foreword
Introduction
Scope
Normative references
Terms and definitions
Information exchange format
Description
Information header||t t||Message body
Message tail
5 Basic requirements
Data type
Data processing
Business type code
Business exchange data item
Description
Account opening application (001), Account information modification application (003) Account opening confirmation (101)
Account closing application (002), Trading account cancellation application (009) times
GB/T3 9595—2020
Account cancellation confirmation (102), account information modification confirmation (103), fund account freezing confirmation (104), fund account unfreezing7.5
Confirmation (105), fund account card loss confirmation (106), fund account card unfreezing confirmation (107), adding trading account confirmation (108), canceling trading account confirmation (109)7.6
7.10
7.11|| tt||7.12
7.13
7.14
7.15
7.16
7.17
7.18
7.19
Application for freezing fund account (004)
Application for unfreezing fund account (005), Application for unfreezing fund account card (007), Application for reporting loss of fund account card (006)
Application for adding trading account Please (008)
Application for change of trading account number (058)
Confirmation for change of trading account number (158)
Subscription application (020), application for subscription reservation (021)Subscription confirmation (120), subscription reservation confirmation (121)Subscription application (022), subscription reservation application (023), regular fixed amount subscription application (039) Subscription confirmation (122), regular fixed amount subscription confirmation (139): subscription reservation confirmation (123)
Redemption Application (024), Regular Fixed Amount Redemption Application (063), Pre-booked Redemption Application (025)Redemption Confirmation (124), Regular Fixed Amount Redemption Confirmation (163), Forced Redemption Confirmation (142): Pre-booked Redemption Confirmation (125
GB/T39595—2020
7.20Application for Transfer to Fund Sales Person/Institution (026), Application for Transfer to Fund Sales Person/Institution (027), Transfer Fund sales person/institution transfer-out application (028)
7.21
Confirmation of fund sales person/institution transfer (126), Confirmation of fund sales person/institution transfer-in (127) Confirmation of fund sales person/institution transfer-out (128)
Application for setting dividend distribution method (029)·
7.22
7.23
7.24
7.25
7.26|| tt||7.27
7.28
7.29
7.30
7.31
7.32
7.33
7.34
7.35
7.36
7.37
7.38
7.39
7.40
7.41
7.42| |tt||7.43
7.44
7.45
7.46
7.47
7.48
7.49
7.50
7.51
7.52
7.53
7.54
7.55
7.56
7.57
7.5 8
7.59
7.60
Set dividend method confirmation (129),
Subscription results (130):
Fund share freeze application (031)
Fund share freeze confirmation (131)
Fund share unfreeze application (032)
Fund share unfreeze confirmation (132)
Non-transaction transfer application (033), non-transaction transfer Person application (034), non-transaction transfer application (035).…Non-transaction transfer confirmation (133), non-transaction transfer confirmation (134), non-transaction transfer confirmation (135) Fund conversion application (036), fund conversion transfer application (037), fund conversion transfer application (038)…: Fund conversion confirmation (136), fund conversion transfer confirmation (137), fund conversion transfer confirmation (138) * Dividend/dividend reinvestment payment (143)
Forced increase (144), forced decrease (145) Allocation number (146)
Fund raising failure (145)
Fund liquidation (150), fund termination (151)Cancellation of order (052), cancellation of reservation order (053)Cancellation of order confirmation (152), cancellation of reservation order confirmation (153): Invalid funds (054)
Fund salesperson fund liquidation (155)
Investor fund liquidation ( 156)
Confirmation of dividend unfreezing (157)
Application for opening regular fixed amount subscription (059), Application for cancellation of regular fixed amount subscription (060)Confirmation of opening regular fixed amount subscription (159), Confirmation for cancellation of regular fixed amount subscription (160)Application for modification of regular fixed amount subscription (061)
Confirmation for modification of regular fixed amount subscription (161)
Application for subscription adjustment (062)
Confirmation for subscription adjustment (16 2)
Application for fund co-branded card opening (067), application for fund co-branded card cancellation (068): confirmation for fund co-branded card opening (167), confirmation for fund co-branded card cancellation (168) points confirmation (169)
notification of regional code change (070)
application for title confirmation (080)
title confirmation (180)
application for quick transfer (098)
quick transfer confirmation (198 ）：
Fund pledge application (088)
Fund pledge confirmation (188)
ETF subscription application (091)
7.61
7.62
7.63
7.64
7.65
7.66
7.67
ETF redemption application (093)
ETF subscription one-time confirmation ( 191)
ETF subscription secondary confirmation (192)
ETF redemption primary confirmation (193)
ETF redemption secondary confirmation (194)
TA and fund salesperson transaction summary dataTA and fund salesperson parameter summary data8www.bzxz.net
Data dictionary
Appendix A (Normative) File mode interface and communication specificationsA.1TA and fund salesperson summary data file organization structureA.2 File encryption and digital signature technology
Appendix B (normative)
Table 1
Information header format
Table 2
Return code value and meaning comparison
Information body format
Table 3
Data type
Open-end fund business type
Table 4
Table 5
Table 6
Table 7
Table 8| |tt||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||tt ||Table 26
Table 27
Table 28
Table 29
Account information data
Account opening confirmation data
Application data for closing/canceling trading accounts
Account confirmation data
Application data for freezing fund accounts
Application data for unfreezing accounts/unfreezing account cards
Application data for reporting lost fund account cards
Application data for adding trading accounts
Application data for changing trading accounts
Confirmation data for changing trading accounts…·
Subscription application data
Subscription confirmation data·
Subscription application data:
Subscription confirmation data·
Subscription reservation confirmation data
Redemption application data
Redemption confirmation data
Redemption reservation confirmation data
Application data for transferring fund sales persons/institutions According to
Fund sales person/institution confirmation data
Dividend distribution method application data
Dividend distribution method confirmation data
Subscription result data...
Fund unit freeze application data
Fund unit freeze confirmation data
GB/T39595—2020
GB/T39595—2020
Table 30
Table 3 1
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|| tt||Table 49
Table 50
Table 51
Table 52
Table 53
Table 54
Table 55
Table 56
Table 57
Table 58
Table 59
Table 60
Table 61
Table 62
Table 63
Table 64
Table 65||tt ||Table 66
Table 67
Table 68
Table 69
Table 70
Table 71
Table 72
Fund share unfreezing application data
Fund share unfreezing confirmation data
Non-transaction transfer application data
Non-transaction transfer confirmation data
Fund conversion application data…
Fund conversion confirmation data
Dividend/dividend reinvestment payment data
Forced increase/decrease data
Allocation data
Fund raising failure data
Fund liquidation/termination data
Order cancellation/reservation cancellation order data
Order cancellation/reservation cancellation order confirmation data
Invalid funds data
Fund salesperson fund liquidation data
Investor fund liquidation data…
Dividend unfreezing confirmation data
Regular fixed amount registration opening/cancellation application dataRegular fixed amount registration/cancellation confirmation data
Regular fixed amount modification application data
Regular fixed amount modification confirmation data
Subscription adjustment application data
Subscription adjustment confirmation data
Fund co-branded card opening/cancellation application data
Fund co-branded card opening/cancellation confirmation data
Points confirmation data
Regional code Change notification data
Title confirmation application data:
Title confirmation data
Quick transfer application data.
Quick transfer confirmation data
Fund pledge application data.
Fund pledge confirmation data
ETF subscription application·
ETF redemption application
ETF subscription first confirmation
ETF subscription second confirmation·
ET F Redemption First Confirmation
ETF Redemption Second Confirmation
Account Application
Account Confirmation
Transaction Application
Transaction Confirmation
Table 73
Table 74
Table 75
Table 76
Table 77
Table 78
Table 79
Table 80
Table 81
Table 82||tt ||Table 83
Table 84
Table 85
Table 86
Table 87
Table 88
Table 89
Table 90
Table 91
Table 92
Table 93
Table 94
Table 95
Table A.1
Table A.2
Table A.3
Table A.4|| tt||Table A.5
Table B.1
Fund account reconciliation data
Dividend data
Fund dynamic information data
Announcement data
Dividend summary data
Daily settlement summary data
Business application summary data
Business confirmation summary data
Business application summary data
Participant and settlement seat data
Other Other application data
Other confirmation data
Fund settlement data
Wealth management product share details
Electronic contract application data
Electronic contract confirmation data
Fund basic parameters
Fund agency relationship
Fund conversion relationship
Fund dividend plan
Fund rate
Wealth management product redeemable date file
Data dictionary
Index file format
Data file format
TA receiving agent file
TA sending agent file
File type and business type comparison table
Transaction processing return code value and meaning GB/T39595—2020
Foreword
GB/T39595—2020
This document is in accordance with 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 organization 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). Drafting units of this document: China Securities Regulatory Commission, China Securities Depository and Clearing Co., Ltd., China Securities Information Technology Services Co., Ltd., China Asset Management Co., Ltd., Industrial and Commercial Bank of China Co., Ltd., Agricultural Bank of China Co., Ltd., China Construction Bank Co., Ltd., Bank of China Co., Ltd., China Merchants Bank Co., Ltd. China Securities Investment Fund Association The main drafters of this document: Yao Qian, Dai Wenhua, Hao Xiaoyong, Liu Tiebin, Kong Qingwen, Fan Yu, Wang Kai, Zhou Yunhui, Song Xiaodong, Wang Chaoyang Fangdian, Liu Dahai, Chen Hong, Sun Hongwei, Wang Meng, 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, GB/T39595—2020
Introduction
It has been many years since the release of JR/T0017-2012 "Open-end Fund Business Data Exchange Protocol". During this period, many new products and functions have been expanded in the open-end fund field. Based on JR/T0017-2012, this document is appropriately expanded to form a new data exchange protocol based on the analysis of product or business innovations of securities investment funds in the entire market of China's fund industry in recent years. 1 Scope
Open-end Fund Business Data Exchange Agreement
GB/T39595—2020
This document specifies the information exchange format, basic requirements, business type codes, business exchange data items and data dictionary for data exchange between institutions in the open-end fund business. This document applies to data exchange between fund managers, registrants, fund sales persons, fund custodians, etc. 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 GB/T2261.1—2003 Classification and code of basic personal information Part 1: Code for human gender GB/T2261.2—2003 Classification and code of basic personal information Part 2: Code for marital status GB/T2659—2000 Code for names of countries and regions of the world GB/T4754—2017 Classification of national economic industries GB/T7408—2005 Data elements and exchange formats Information exchange
GB/T12406 Codes for representing currency and funds Date and time representation
GB/T13000-2010 Information technology Universal multi-octet coded character set (UCS) Terms and definitions
The following terms and definitions apply to this document. 3.1
Open-ended fund
The total size of fund units or shares is not fixed, and fund units or shares can be sold to investors at any time, and the fund and collective asset management plan issued by investors can be redeemed at the request of investors. 3.2
Fund business parties fundbusinessparty All institutions and individuals related to the handling of fund business: 3.2.1
Fund manager fundmanager
A fund management company engaged in investment fund management in accordance with the law. GB/T39595—2020
3.2.2
Fund custodian fund custodian
An institution that keeps fund assets and supervises the investment activities of managers in accordance with the law Note: Generally, an institution that obtains a custody license can become a fund custodian. 3.2.3
Registrant (transfer) transferagent; TA is an institution responsible for the custody of fund investor accounts, the preservation of transaction records, agency dividends, investor account reports, and the registration of fund units.
3.2.4
Fund holderfund holder
An investor who holds shares of a securities investment fund. 3.2.5
Fund sellerfund saler
A legal person who sells funds.
Business type
Business type
Business type involved in fund business processing. 3.3.1
Fund accounttransferagentaccountAn account established by the registrant to record and store the number of fund units held by the fund investor. 3.3.2
Open an accountopenanaccount
The business of a fund investor applying to establish a registered fund account. 3.3.3
subscribe
Subscribe
The act of an investor applying to purchase an open-end fund during the fund raising period. 3.3.4
Buy
The act of an investor applying to purchase an established open-end fund. 3.3.5
redeem
The act of a fund holder applying to an open-end fund manager to buy back the open-end fund managed by the fund holder. 3.3.6
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. 3.3.7
preengageredeem
The act of a fund holder applying for redemption on a future date in advance to give the fund manager a certain amount of time to handle the redemption business. 3.3.8
dividend
According to the provisions of the fund contract, the fund manager distributes the income from the fund operation to the fund holders in a certain proportion in each fiscal year.
3.3.9
Registration dateregisterdate
The time when the registered fund holder enjoys the right to fund dividends according to the fund he holds. 3.3.10
dividend reinvestment
dividend reinvestment
GB/T39595—2020
The fund holder automatically applies to convert the cash dividends distributed to the fund he holds into the investment activities of holding the fund units. 3.3.11
transfer
Non-transaction 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 3.3.12
fundconversion
Fund conversion
The service provided by the fund manager to the fund holder to convert a fund holder's fund into another fund. 3.4
fund information
Fund information
Characteristic information about the fund itself.
3.4.1
Buy charge
The fee that investors need to pay when buying open-end fund units. 3.4.2
Redemption charge
The fee that investors pay when redeeming open-end fund units. 3.4.3
Account management charge
Account management charge
The fee charged by the fund manager to investors for managing and maintaining the investor's fund account. 3.4.4
Transfer agent charge
Registration fee
The fee charged by the transfer agent to the fund manager in accordance with the transfer agent agreement. 3.4.5
Trailing commission
rake-off
Information exchange format of sales performance compensation given by fund managers to fund salespeople
4.1 Description
Each exchanged information consists of three parts: information header, information body and information footer. For detailed agreement on the file exchange method, please refer to the format in Appendix A.
4.2 Header
Header indicates the beginning of a data exchange, and it gives the information summary of this data exchange. Its content is shown in Table 1.3
GB/T39595—2020
Name
Header identifier
Protocol version number
Information creator
Information receiver
Transmission date
Information body
Table 1 Header format
Used to indicate the format type of the header
Description
Code of fund salesperson/registrant/fund manager/fund custodian The code of fund salesperson/registrant/fund manager/fund custodian adopts the basic format of 5.2.1.1 in GB/T7408—2005, and the format is: YYYMMDD, including the content of data exchange, see Table 2.
2 Information body format
Table 2
Name
File type code
Sender
Recipient
Number of fields
Field name 1
Field name N
Number of records
Record 1
Record 2
Record 3
Record M
Information body end mark
Information tail
Indicates the end of a data exchange.
Basic requirements
Data type
For the data type of data exchange, see Table 3.
Description
Indicates the number of fields that make up the data file
Indicates the number of data records contained in the data file, used to indicate the end of the information body
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