BS ISO 8532-1997 Securities - Format for transmission of certificate numbers《证券 证券号码传输格式》.pdf

1、BRITISH STANDARD BS ISO 8532:1995 Securities Formatfor transmission of certificate numbers ICS 35.240.40BSISO8532:1995 This British Standard, having been prepared under the directionof the DISC Board, waspublished under the authorityof the Standards Boardand comes into effect on 15 October 1997 BSI

2、09-1999 ISBN 0 580 28562 6 National foreword This British Standard reproduces verbatim ISO 8532:1995 and implements it as the UK national standard. BS ISO 8532:1995 supersedes BS 6822:1987 which was withdrawn in June1996. The UK participation in its preparation was entrusted to Technical Committee I

3、ST/12, Banking, securities and other financial services, which has the responsibility to: aid enquirers to understand the text; present to the responsible international/European committee any enquiries on the interpretation, or proposals for change, and keep the UK interests informed; monitor relate

4、d international and European developments and promulgate them in the UK. A list of organizations represented on this committee can be obtained on request to its secretary. Cross-references The British Standards which implement international or European publications referred to in this document may b

5、e found in the BSI Standards Catalogue under the section entitled “International Standards Correspondence Index”, or by using the “Find” facility of the BSI Standards Electronic Catalogue. A British Standard does not purport to include all the necessary provisions of a contract. Users of British Sta

6、ndards are responsible for their correct application. Compliance with a British Standard does not of itself confer immunity from legal obligations. Summary of pages This document comprises a front cover, an inside front cover, pages i and ii, theISO title page, pages ii to iv, pages 1 to 5 and a bac

7、k cover. This standard has been updated (see copyright date) and may have had amendments incorporated. This will be indicated in the amendment table on the inside front cover. Amendments issued since publication Amd. No. Date CommentsBSISO8532:1995 BSI 09-1999 i Contents Page National foreword Insid

8、e front cover Foreword iii Text of ISO 8532 1ii blankBSISO8532:1995 ii BSI 09-1999 Contents Page Foreword iii Introduction 1 1 Scope 1 2 Normative references 1 3 Definitions 1 4 Specifications for transmission of certificate numbers 1 5 Miscellaneous 2 6 Examples 3BSISO8532:1995 BSI 09-1999 iii Fore

9、word ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (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 techn

10、ical committee has been established has the right to be represented on that committee. International organizations, 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

11、electrotechnical Standardization. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least75% of the member bodies casting a vote. International Standard ISO 8532 was prepa

12、red by Technical Committee ISO/TC 68, Banking and related financial services, Subcommittee SC4, Securities. This second edition cancels and replaces the first edition (ISO8532:1986), of which it constitutes a technical revision. Descriptors: Banking, banking documents, inter-bank payment messages, t

13、ransferable securities, stock and bond certificates, numbers, data transmission, formats.iv blankBSISO8532:1995 BSI 09-1999 1 Introduction The widespread application of automated data processing (ADP) has led to a growing need to record and transmit the certificate numbers of securities using electr

14、onic media. Automated processing of these numbers requires that their format be defined and standardized at international level. This International Standard takes into account the great variety of security and certificate numbers already in existence. The structure of the certificate numbers of futu

15、re security issues are, however, governed by ISO9019. 1 Scope This International Standard specifies the format required for the transmission on electronic media of certificate numbers to other organizations or establishments (for example as part of a securities message, in accordance with ISO7775).

16、This International Standard is applicable to all types of securities regardless of issuer or country of issuance. 2 Normative references The following standards contain provisions which, through reference in this text, constitute provisions of this International Standard. At the time of publication,

17、 the editions indicated were valid. All standards are subject to revision, and parties to agreements based on this International Standard are encouraged to investigate the possibility of applying the most recent editions of the standards indicated below. Members of IEC and ISO maintain registers of

18、currently valid International Standards. ISO 7775:1991, Securities Scheme for message types. ISO 9019:1995, Securities Numbering of certificates. 3 Definitions For the purposes of this International Standard, the following definitions apply. 3.1 certificate number number identifying one specific doc

19、ument of any security issue NOTE 1This definition includes transferable or negotiable receipts representing underlying securities. 3.2 denomination face value expressed in terms of either nominal amount or number of shares/units represented by the security document 4 Specifications for the transmiss

20、ion of certificate numbers 4.1 The necessary information shall be transmitted as one datafield or as multiple datafields of variable length. 4.2 Each datafield comprises only the numbers of certificates of the same denomination. When there are multiple denominations, they shall be transmitted in the

21、 order from highest to lowest. 4.3 Each datafield consists of the following subfields which shall be transmitted in the following sequence. 4.3.1 Quantity of certificate(s). 4.3.2 Denomination of certificate(s) without mentioning additional specifications such as currency. 4.3.3 Certificate number(s

22、). NOTE 2The order of the certificate numbers within this subfield is left to the discretion of the sender unless otherwise agreed. 4.4 Each transmission of a datafield or of multiple datafields shall be preceded by the field name or the field code (for example “Certificate numbers” or “35E” in acco

23、rdance with ISO7775).BSISO8532:1995 2 BSI 09-1999 4.5 The following character set shall be used: NOTE 3No space should be used either in front of or after any of the datafields, subfields or characters mentioned above. 4.6 When letters are shown separately on the certificate (“Literia”), they shall

24、be considered part of the certificate number and shall appear without separation marks in front of the certificate number. 4.7 Where a series designation exists and is not already expressed in the security identification, the certificate number shall be preceded by the series designation. 5 Miscella

25、neous 5.1 When transmitting numerical sequences, the “to”-number consists of only that part of the number which differs from the “from”-number, and which is required to identify the range. Where the existence of check digits renders the definition of a numerical sequence impossible, a sequence shoul

26、d not be used and each certificate must be identified separately. 5.2 If a certificate representing underlying securities has its own number, only this number shall be transmitted. NOTE 4When requested, the underlying security number(s) may be transmitted in a special message. 5.3 If a certificate r

27、epresenting underlying securities does not have its own number, then the numbers of the underlying securities shall be transmitted. Where two or more certificates represent underlying securities, the numbers of the underlying securities may be transmitted as a range of sequences, provided the quanti

28、ty of underlying securities contained in each sequence is identical. In this case, the first element of the range shall be the first certificate number sequence denoted by a “from”-number and a “to”-number separated by a solidius (/), the “from”-number appearing first. The second element of the rang

29、e shall be the last certificate number sequence denoted by a “from”-number and a “to”-number separated by a solidus, the “from”-number appearing first. The first element shall be separated from the second element by a hypen (-). 5.4 Spaces and special symbols within a certificate number and/or denom

30、ination and/or quantity (such as triad separation, signs separating certificate numbers in parts) shall not be transmitted. 0 to 9 (according to the number on the certificate); A to Z (according to the letters on the certificate; only capital letters shall be used); : (colon) separates fields where

31、the transmission contains multiple datafields; + (plus sign) separates the subfields within a datafield; , (comma) separates individual numbers and/or number sequences; - (hyphen) links the first certificate number to the last certificate number in cases where numerical sequence occurs (see5.1), or,

32、 links the first sequence of certificate numbers to the last sequence of certificate numbers in cases where two or more sequences are expressed as a range of sequences (see5.3); / (solidus) links the first number to the last number of the underlying securities where a sequence of numbers appears on

33、one certificate that does not have its own number (see5.1); . (full stop) separates the series designation and the certificate number itself (see4.7).BSISO8532:1995 BSI 09-1999 3 6 Examples The following examples illustrate the application of this International Standard. Also included are some examp

34、les which provide guidelines concerning older securities issues whose certificate numbering regime is not structured according to ISO9019. 6.1 90 XY-shares represented by 3 certificates of 30 shares each 1 certificate No. 234567 1 certificate No. 234568 1 certificate No. 123456 Application of this I

35、nternational Standard results in the following format: 1 Datafield (4.1) 2 Subfields (4.3) 3 Quantity (4.3.1) 4 Denomination (4.3.2) 5 Separates subfields (4.5) 6 Certificate numbers (4.3.3) 7 Links first to last number of sequence, or first to last sequence of range of sequences (4.5) 8 Separates n

36、umbers 6.2 Shares with series and “Litera”-designation Certificates show their own number; series designation is part of the designation of the issue and the series has a special securities identification number (for example ISIN). The issue is traded per unit (as opposed to nominal amount per share

37、 or per cent). 161 Martin Miller Corp. shares series C of USD 1., represented by 1 certificate representing 100 shares Lit F No. 000358 1 certificate representing 50 shares Lit C No. 047658 11 certificates representing 1 share each Lit A No. 148659 Lit A No. 148660 Lit A No. 148661 Lit A No. 148662

38、Lit A No. 148663 Lit A No. 148664 Lit A No. 148665 Lit A No. 148666 Lit A No. 148667 Lit A No. 148668 Lit A No. 148669BSISO8532:1995 4 BSI 09-1999 Application of this International Standard results in the following format: 1+100+F358:1+50+C47658:11+1+A148659-69 NOTE 5Indication of leading zeros in t

39、he final string of digits within a certificate number is optional. 6.3 Bonds divided in series for redemption to be drawn by lot USD 75 000 10 % European Investment Bank Bonds due 1987/91 represented by5bonds in the denomination of USD 1000 and7bonds in the denomination of USD10000. Application of t

40、his International Standard results in the following format: 7+10000+C.234691,D.431062-6,D.519230:5+1000+A.157232,A.157321-3,A.157327 6.4 Share certificates bearing only the numbers of the underlying shares 115 Bayer AG-Aktien represented by 1 certificate representing 100 shares No. 113100-99 3 certi

41、ficates representing 5 shares each No. 246445-246449 No. 281300-281304 No. 317865-317869 Application of this International Standard results in the following format: 1+100+113100/99:3+5+246445/9,281300/4,317865/9 6.5 Range of certificate number sequences 140 VEBA AG shares represented by 7 certificat

42、es 1 certificate representing 20 underlying shares No. 0050451 3 certificates representing 20 underlying shares each Lit B No. 0095981-0095990 Lit B No. 0095991-0096000 Lit B No. 0096001-0096010 NOTE 6Each underlying certificate number represents 2 shares. 3 certificates representing 20 underlying s

43、hares each No. 0099941-0099960 No. 0099961-0099980 No. 0099981-0100000 NOTE 7Each underlying certificate number represents 1 share. Application of this International Standard results in the following format: 7+20+50451,B95981/90-6001/10,99941/60-81/100000 USD 1 000 Series A No. 157232 Series A No. 1

44、57321 Series A No. 157322 Series A No. 157323 Series A No. 157327 USD 10 000 Series C No. 234691 Series D No. 431062 Series D No. 431063 Series D No. 431064 Series D No. 431065 Series D No. 431066 Series D No. 519230BSISO8532:1995 BSI 09-1999 5 6.6 Spaces and special symbols in certificate numbers 3

45、0 USX Corporation shares represented by 3 certificates representing 10 shares each No. 69-YVN-2474 No. ZQ 87-QYS-2521 No. ZQ 90 S006615 Application of this International Standard results in the following format: 3+10+69YVN2474,ZQ87QYS2521,ZQ90S6615 300 Astra CIA Argentian de Petroleo shares represen

46、ted by 3 certificates representing 100 shares each No. 139691-3 No. 139692-5 No. 139693-9 NOTE 8The rightmost digit is a check digit and as such an integral part of the certificate number. Application of this International Standard results in the following format: 3+100+1396913,1396925,1396939BS ISO

47、 8532:1995 BSI 389 Chiswick High Road London W4 4AL BSIBritishStandardsInstitution BSI is the independent national body responsible for preparing BritishStandards. It presents the UK view on standards in Europe and at the international level. It is incorporated by Royal Charter. Revisions BritishSta

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