BS ISO 6166-2013 en_7055 Securities and related financial instruments International securities identification numbering system (ISIN)《证券及相关金融工具.国际证券识别编号体系(ISIN)》.pdf

1、BSI Standards Publication BS ISO 6166:2013 Securities and related financial instruments International securities identification numbering system (ISIN)BS ISO 6166:2013 BRITISH STANDARD National foreword This British Standard is the UK implementation of ISO 6166:2013. It supersedes BS ISO 6166:2001 w

2、hich is withdrawn. The UK participation in its preparation was entrusted to Technical Committee IST/12, Financial services. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of

3、a contract. Users are responsible for its correct application. The British Standards Institution 2013. Published by BSI Standards Limited 2013 ISBN 978 0 580 62836 8 ICS 03.060 Compliance with a British Standard cannot confer immunity from legal obligations. This British Standard was published under

4、 the authority of the Standards Policy and Strategy Committee on 31 August 2013. Amendments issued since publication Date Text affectedBS ISO 6166:2013 ISO 2013 Securities and related financial instruments International securities identification numbering system (ISIN) Valeurs mobilires et autres in

5、struments financiers concerns Systme international de numrotation pour lidentification des valeurs mobilires (ISIN) INTERNATIONAL STANDARD ISO 6166 Seventh edition 2013-07-15 Reference number ISO 6166:2013(E)BS ISO 6166:2013ISO 6166:2013(E)ii ISO 2013 All rights reserved COPYRIGHT PROTECTED DOCUMENT

6、 ISO 2013 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be

7、 requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in SwitzerlandBS ISO 6166:2013ISO 6166:2013(E) IS

8、O 2013 All rights reserved iii Contents Page Foreword iv Introduction v 1 Scope . 1 2 Normative references 1 3 Terms and definitions . 1 4 Principles . 2 4.1 Constituents. 2 4.2 Financial instruments for which the ISIN is allocated 2 5 Registration Authority (RA) 2 5.1 Name and contact details of th

9、e RA 2 5.2 Service provision . 2 6 ISIN allocation . 3 6.1 General . 3 6.2 Existing ISINs and existing securities without ISINs . 3 Annex A (normative) ISIN allocation 4 Annex B (normative) Minimum descriptive elements for each category/issue type 6 Annex C (normative) Formula for computing the modu

10、lus 10 “double-add-double” check digit 7 Annex D (normative) Basic information and minimum descriptive data elements 9 Annex E (informative) Examples10BS ISO 6166:2013ISO 6166:2013(E) Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bo

11、dies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizatio

12、ns, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. The procedures used to develop this document and those intended for its furthe

13、r maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2. www.iso.org/directives Att

14、ention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introducti

15、on and/or on the ISO list of patent declarations received. www.iso.org/patents Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. The committee responsible for this document is ISO/TC 68, Financial services, Subcommittee SC

16、4, Securities and related financial instruments. This seventh edition cancels and replaces the sixth edition (ISO 6166:2001), which has been extended to cover necessary technical changes, the Registration Authority function as well as the usage of the ISIN record.iv ISO 2013 All rights reservedBS IS

17、O 6166:2013ISO 6166:2013(E) Introduction With the rapid expansion of the international securities business, there is a need for a universally applicable international securities identification number (ISIN). No worldwide numbering system existed at the time of the publication of the first edition of

18、 this International Standard. Countries with a developed securities business identified issues of securities by means of code numbers, which are without any significance outside the country concerned. Securities of the same issue are identified by means of different numbers in the country where they

19、 are physically held and/or booked. As a result, the national numbers may not be applicable in cross-border transactions. Because of its strong rationalization effect, an internationally applicable numbering system substantially facilitates and supports international securities business. Such a syst

20、em is provided by this International Standard. Since the publication of the first edition of this International Standard, the Registration Authority (RA) relies on the work of national numbering agencies (NNAs) which play an integral role in this rationalization effort and in the implementation of t

21、his International Standard. In preparing this International Standard, care has been taken to conserve the national systems to the maximum possible extent, not only because of the good routine and valuable experience collected in this field but also to facilitate the adoption of the worldwide system.

22、 Moreover, it is aimed at creating a system which is easy to apply internationally and at establishing an information network which ensures that the required information can be obtained worldwide immediately. ISO 2013 All rights reserved vBS ISO 6166:2013BS ISO 6166:2013Securities and related financ

23、ial instruments International securities identification numbering system (ISIN) 1 Scope This International Standard provides a uniform structure for the identification of fungible and non- fungible securities and financial instruments (see Annex A) using a unique identification number and associated

24、 minimum descriptive data (see Annex B). 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the latest edition of the

25、 referenced document (including any amendments) applies. ISO 3166 (all parts), Codes for the representation of names of countries and their subdivisions ISO 4217, Codes for the representation of currencies and funds ISO 10962, Securities and related financial instruments Classification of financial

26、instruments (CFI code) 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1 fungible equivalent, substitutable, interchangeable, and not individualized Note 1 to entry: A fungible financial instrument ranks pari passu in all respects with a differ

27、ent version of the same financial instrument and can be exchanged into the other version and vice versa at any time. 3.2 ISIN international securities identification number alphanumeric code which uniquely identifies a specific security or other financial instrument 3.3 ISIN record record which uniq

28、uely identifies a specific security or other financial instrument and consists of the ISIN and the minimum descriptive data elements Note 1 to entry: For the minimum descriptive data elements, see Annex B. 3.4 ISIN guidelines internal document developed and maintained by the Registration Authority t

29、o promote a uniform process for allocation, registration, and dissemination of the ISIN to the financial markets 3.5 negotiable legal ownership of financial instrument readily transferable from one counterparty to another by delivery or endorsement INTERNATIONAL ST ANDARD ISO 6166:2013(E) ISO 2013 A

30、ll rights reserved 1BS ISO 6166:2013ISO 6166:2013(E) 4 Principles 4.1 Constituents The ISIN shall consist of the following: a) a prefix using the alpha-2 country code specified in ISO 3166, a prefix “XS” as specified in Annex A, or other prefixes (refer to the Registration Authority website for a co

31、mplete list of ISIN prefixes); b) the basic number, which is nine characters (alphanumeric) in length. Where the existing national number consists of nine characters, this number may be used; where the existing national number consists of fewer than nine characters, this also may be used, but zeros

32、shall be inserted in front of the national number. Where a national check digit exists, it shall be regarded as part of the basic number within the nine characters; c) a check digit, computed using the modulus 10 “double-add-double” formula as specified in Annex C. 4.2 Financial instruments for whic

33、h the ISIN is allocated At a minimum, the ISIN is allocated to financial instruments (see Annex A) identified in ISO 10962 with the following principles. a) Equities, debt instruments, entitlements, and structured productsThe ISIN is allocated when the financial instrument is negotiable. b) Derivati

34、vesThe ISIN is allocated to those instruments that are traded in their own right, regardless of whether or not the underlying instrument may have been assigned an ISIN. c) Referential instrumentsThe ISIN is allocated to these entities, which are not financial instruments, when they are underlying or

35、 reference assets to financial instruments. d) Others (combined instruments, other assets)For the group “combined instruments”, the ISIN is allocated when they are traded. The group “other assets (insurance policies, real estate deeds, etc.)” may be identified by an ISIN. 5 Registration Authority (R

36、A) 5.1 Name and contact details of the RA The name and contact details of the organization acting as RA for this International Standard can be found at http:/ /www.iso.org/iso/maintenance_agencies.htm#6166. Requests for information and enquiries about this International Standard and its implementati

37、on may be directed to the RA. 5.2 Service provision The RA is responsible for the provision of the following services: a) to promote and make all efforts to ensure the proper use of this International Standard and uniqueness of ISINs allocated; b) to support the exchange of ISINs and the provision o

38、f the ISIN record (see Annex B) to users;2 ISO 2013 All rights reservedBS ISO 6166:2013ISO 6166:2013(E) c) to continuously adapt the ISIN guidelines for allocation and registration of ISINs to meet the needs of the market; d) to respond to enquiries and information requests related to this Internati

39、onal Standard in a timely manner. 6 ISIN allocation 6.1 General The RA shall ensure that ISINs are allocated following the principles of Clause 4 of this International Standard and in accordance with the details described in Annex A. ISINs shall be assigned in a timely manner in order to meet the ma

40、rket needs (see Annex D). 6.2 Existing ISINs and existing securities without ISINs All existing ISINs assigned in accordance with previous editions of this International Standard shall remain unchanged. However, the allocation of ISINs for existing securities and financial instruments without ISINs

41、shall be based on the most recent edition. ISO 2013 All rights reserved 3BS ISO 6166:2013ISO 6166:2013(E) Annex A (normative) ISIN allocation Category Type of issue Prefix Equities Shares ordinary, convertible, preferred, preference shares, and othersAlpha-2 country code of the country where the iss

42、uer is legally registered or, in the absence of registration, has their legal domi- cile Depositary receipts representing equitiesThe rules applicable to the underlying equi- ties also apply to this instrument type Units investment trusts, mutual funds, and hedge fundsAlpha-2 country code of the cou

43、ntry where the issuer is legally registered or, in the absence of registration, has their legal domi- cile Debt instruments All debt instruments including Treasury bills the depot of all such securities upon issuance is made with the Central Securities Depository (CSD) of one countryAlpha-2 country

44、code of the coun- try of the CSD the depot of all such securities upon issu- ance is made with the CSD of more than one country or with an International Central Secu- rities Depository (ICSD) XS private placements where there is no depot of such securities with a CSD or ICSD Alpha-2 country code of

45、the country where the issuer is legally registered or, in the absence of registration, has their legal domi- cile Stripped coupons and principal official stripping (the stripping is made under the responsibility of the issuer)The rules applicable to the underlying debt instruments also apply to offi

46、cial stripping unofficial stripping (the stripping is made at the initiative of a third party other than the issuer) Alpha-2 country code of the country of the entity that strips the issue Depositary receipts representing debt instrumentsThe rules applicable to the underlying debt instruments also a

47、pply to this instru- ment type Bank loans At the discretion of the bank agent4 ISO 2013 All rights reservedBS ISO 6166:2013ISO 6166:2013(E) Category Type of issue Prefix Entitlements (Rights) Rights allotment (bonus), subscription, purchase rights, and othersAlpha-2 country code of the country where

48、 the issuer is legally registered or, in the absence of registration, has their legal domi- cile Warrants not attached to debt instrumentsAlpha-2 country code of the country where the issuer is legally registered or, in the absence of registration, has their legal domi- cile originally issued with d

49、ebt instruments The rules applicable to debt instruments also apply to this instrument type Derivatives Options Alpha-2 country code of the country of the exchange issuing the specific option contract Futures Alpha-2 country code of the country of the exchange issuing the specific future contract Swaps Alpha-2 country code of the country of the exchange issuing the swap CFDs (Contracts for difference) Alpha-2 country code of the country of the exchange issuing the CFD Structured products All structured products