Standard ICS number:Sociology, services, company (enterprise) organization and management, administration, transportation >> 03.060 Finance, banking, monetary system, insurance
Standard Classification Number:General>>Economy, Culture>>A11 Finance, Insurance
associated standards
Publication information
publishing house:China Standard Press
Publication date:2020-12-01
other information
drafter:Yao Qian, Dai Wenhua, Wu Xiaoyong, Liu Tiebin, Kong Qingwen, Fan Yu, Wang Kai, Zhou Yunhui, Song Xiaodong, Wang Chaoyang, Fang Kun, Liu Dahai, Chen Honghu, Sun Hongwei, Wang Meng, Meng Fankuo, Zhang Yuanqi, Wang Xinbo, Hu Jin, 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
Drafting unit:China Securities Regulatory Commission, China Securities Depository and Clearing Corporation Limited, China Securities Information Technology Services Corporation Limited, China Asset Management Co., Ltd., Industrial and Commercial Bank of China Limi
Focal point unit:National Financial Standardization Technical Committee (SAC/TC 180)
Proposing unit:People's Bank of China
Publishing department:State Administration for Market Regulation National Standardization Administration
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.
Some standard content:
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 data8 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 fundmanagerbzxz.net 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 Tip: This standard content only shows part of the intercepted content of the complete standard. If you need the complete standard, please go to the top to download the complete standard document for free.