BS 7896-1997 Securities - Specification for the format and structure of names and addresses used in securities transactions for the business of registrars《证券 用于证券交易管理登记业务的名字和地址的格式和.pdf

1、BRITISH STANDARD BS7896:1997 Securities Specification for the format and structure of names and addresses used in securities transactions for the business of registrars ICS 03.060BS7896:1997 This British Standard, having been prepared under the directionof the DISC Board, waspublished under the auth

2、orityof the Standards Boardand comes into effect on 15 September1997 BSI 10-1999 The following BSI references relate to the work on this standard: Committee reference IST/12 Draft for comment95/646728DC ISBN 0 580 27488 8 Committees responsible for this British Standard The preparation of this Briti

3、sh Standard was entrusted to Technical Committee IST/12, Banking, securities and other financial services, upon which the following bodies were represented: APACS (Barclays Bank) APACS (Nat West Bank) APACS (Bank of England) APACS (TSB) Association of Payment Clearing Services (APACS) International

4、Securities Market Association The following bodies were also represented in the drafting of the standard, through a subcommittee: Association for Payment Clearing Services (APACS) Bank of England Brinson and Partners British Bankers Association (Registrar and receiving agent functions) Crest Co Ltd.

5、 Electronic Trade Confirmation Industry User Group and Institutional Fund Managers Association Extel Financial Services Financial Times Information (EXTEL) HSBC Investment Bank plc International Securities Market Association London Clearing House Securities Industry Management Association Securities

6、 Industry Software Association Amendments issued since publication Amd. No. Date CommentsBS7896:1997 BSI 10-1999 i Contents Page Committees responsible Inside front cover Foreword ii 1 Scope 1 2 Normative references 1 3 Definitions 1 4 Character representation and length indication 1 5 Name and addr

7、ess representation 2 Annex A (informative) Examples of investor records 4 Annex B (informative) Bibliography 4 Figure 1 Representation of an investor record 2 Figure A.1 Investor record for a private individual 4 Figure A.2 Investor record for a corporate body 4 Figure A.3 Investor record for a trus

8、t or trustee 4 Figure A.4 Investor records for joint names 5 Table 1 Data format requirements 2 List of references Inside back coverBS7896:1997 ii BSI 10-1999 Foreword This British Standard has been prepared under the direction of the Information Systems Technology Standards Policy Committee IST/12.

9、 The use of electronic communication media and services between members of the financial services industry (specifically registrars), and between themselves and their customers, is increasing significantly. The number of participants involved in the exchange of data through the use of electronic med

10、ia, the volume of information, and the use of a variety of different networks has created a need for standardization in the specific area of names and addresses used by registrars to facilitate the automatic handling and processing of data transmitted and received. The provision for the address fiel

11、d (four lines of up to35 characters each) in currently published International Standards for the financial services industry is considered inadequate for some purposes internal to the UK. The UK securities and registrars interests have therefore developed and agreed the format described in this Brit

12、ish Standard. A British Standard does not purport to include all the necessary provisions of a contract. Users of British Standards are responsible for their correct application. Compliance with a British Standard does not of itself confer immunity from legal obligations. Summary of pages This docum

13、ent comprises a front cover, an inside front cover, pagesi andii, pages1 to6, an inside back cover and a back 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.BS7896:1997 BSI 1

14、0-1999 1 1 Scope This British Standard specifies a format and structure for the names and addresses of investors under the classification of investors in the interchange of electronic messages related to securities transactions. It is intended to satisfy the requirements of registrars, although it m

15、ay well be more widely applicable. This standard method of formatting names and addresses is intended for use in the electronic interchange of information between parties but is not designed for use in postal addressing. Examples of investor records forming complete entries suitable for use in a reg

16、ister of holders are given in Annex A (informative). For clarity, the examples provided have assumed fixed length records for all fields; but they do not define the common identifier that is required for linked records (e.g.investor records for joint names). This British Standard does not cover stru

17、cturing of data into messages, method of transmission, choice of coded character set, or provision for data security; but guidance on standards for some of those aspects, preferred for use in the UK for financial transactions, is given in Annex B (informative). 2 Normative references This British St

18、andard incorporates, by dated or undated reference, provisions from other publications. These normative references are made at the appropriate places in the text and the cited publications are listed on the inside back cover. For dated references, only the edition cited applies; any subsequent amend

19、ments to or revisions of the cited publication apply to this British Standard only when incorporated in the reference by amendment or revision. For undated references, the latest edition of the cited publication applies, together with any amendments. 3 Definitions For the purposes of this British St

20、andard the definitions given in 3.1 of ISO7775:1991 apply, together with the following. 3.1 address of investor address of the investor which is to appear in the register of holders and to which all correspondence will be sent in the absence of alternative instructions 3.2 designation used to differ

21、entiate individual holdings (often with identical holder name and address details) on a register of holders 3.3 first trustee name detail of the first named or sole trustee NOTETrustee name detail may be recorded on a Scottish Incorporated Company. 3.4 investor records used to transfer investor name

22、 and address detail formatted according to the investor-type code 3.5 investor-type code used to classify a holder as a private individual, a corporate body, deceased, or a trust, administrator, executor, or legal representative 3.6 joint names used to record second and subsequent name detail for an

23、y holding where more than one holders name is to be recorded in the register of holders 3.7 register of holders any register of shares, stock, or other investments of a similar nature 4 Character representation and length indication 4.1 Character representation The following symbols are used to repr

24、esent characters in a record: a: alpha characters (A to Z, a to z) plus printable punctuation characters. n: numeric characters(0 to9). an: alpha or numeric characters only. x: any of the above categories. NOTEExcluded are special control codes for data communication or field separation etc., which

25、may be unique to the communication media used. 4.2 Length indication Lengths are expressed as a total number of characters: n or nn: fixed length. nn: maximum length. nn * nn: maximum number of lines times the maximum length of line.BS7896:1997 2 BSI 10-1999 5 Name and address representation An inve

26、stor record shall comprise the following four data fields (see Figure 1). The data fields shall be formatted and structured in accordance with Table 1: field A: investor-type code classifying the holder; field B: name detail; field C: designation (optional); field D: address detail of first or sole

27、holder, legal representative, or trustee. Data within all data fields shall be positioned left justified. Table 1 Data format requirements Field A Field B Field C Field D Figure 1 Representation of an investor record Field Tag Format Structure (with options) Requirement A10 1a Investor-type code I=p

28、rivate individual C=corporate body D=deceased T=trust A=administrator E=executor L=legal representative One of the investor-type codes, as appropriate, shall be used for each occasion a Bnn field is sent. If the holder is deceased, all other names designated as A, E or L (not mixed). Bnn 150x Name d

29、etail One of the three options B1n, B2n or B3n shall be used for each investor name as appropriate. B1n B11 B12 B13 B14 20x 70x 40x 20x Option1 If investor-type (A10) is I or D If investor-type (A10) is A, E or L Prefix (optional) Forename(s) (optional) Surname (family name) Suffix (optional) B13 an

30、d at least one of B11, B12 or B14 shall be used. When the representative for a deceased holder is a private individual. E.g.Sir, Lord, Mr., Mrs. One space shall be used between forenames(s) or initial(s). See note2. Hyphenated names shall be included in their entirety. E.g.,PhD, DCVO, MD, Esq. or B2

31、n B21 150x Option2 If investor-type (A10) is C If investor-type (A10) is A, E or L Corporate name detail When the representative for a deceased holder is a corporate body. One space shall be used between words. or B3n B31 B32 100x 50x Option3 If investor-type (A10) is T Trust name (only required in

32、first Trustee name record) Trustee name Name of trust First or sole trustee name. If further trustees, use additional investor-type T records as necessary, but without repeating the trust name.BS7896:1997 BSI 10-1999 3Table 1 Data format requirements Field Tag Format Structure (with options) Require

33、ment C10 8an Designation (optional) Characters shall be limited to A-Z,0-9 with no spaces between characters. D1n 185x Address detail For first or sole holder. Optional for joint holders D11 5*35x Postal address Non UK postal codes (e.g.US zip codes) shall be contained within the five lines of35 cha

34、racters and shall be quoted before the country name, which shall be the last element of the address. D12 8an UK post code (only used if the postal address is in the UK and the post code is known) One space character shall be used between left portion and right portion of the UK post code. D13 2an Co

35、untry of addressee if not UK A two character country code conforming to ISO3166 shall be used to identify the country of the address. NOTE 1Table 1 is constructed as follows. Column1 contains a field tag in the format Ann, Bnn, Cnn or Dnn where nn represents two numeric digits used to designate the

36、field structure options defined in column3. Column2 defines the field format. Column3 defines the field structure and lists the permissible field structure options available for selection. Column4 defines requirements for fields and field structure options. NOTE 2Initials may be recorded in lieu of

37、forenames in those exceptional cases where full forenames are unknown.BS7896:1997 4 BSI 10-1999 Annex A (informative) Examples of investor records Examples of investor records are shown in Figure A.1, Figure A.2, Figure A.3, and Figure A.4. NOTEField tag and maximum field character width are shown a

38、bove each field. Annex B (informative) Bibliography The following standards cover the structuring of data into messages, the method of transmission, the choice of coded character set and provision for data security, and are preferred for use in the UK for financial transactions. BBA Standard for Exc

39、hange of Data between Registrars, British Bankers Association,10 Lombard Street, LONDON EC3V9EL Crest Data Exchange Manual, CREST Project, Bank of England, Threadneedle Street, LONDON EC2R8AH A10 (1) I B11 (20) MRS B12 (70) ELIZABETH FRANCES B13 (40) GRIMWALD B14 (20) C10 (8) D11 (5 * 35) 25 THE HIG

40、H STREET MIDDLE WALLOP WILTSHIRE D12 (8) GL136AB D13 (2) Figure A.1 Investor record for a private individual A10 (1) C B21 (150) BLENKINSOP AND ARBUTHNOTT QUALITY MEAT IMPORTERS LIMITED C10 (8) X12 D11 (5 * 35) CRANSHAW HOUSE157 BROUGH STREET IRONBRIDGE TELFORD SALOP D12 (8) SA153BD D13 (2) Figure A

41、.2 Investor record for a corporate body A10 (1) T B31 (100) THE TRUST FOR THE INTERNATIONAL UNDERSTANDING OF ANYTHING B32 (50) LT GEN SIR STANLEY WATTLER KGB C10 (8) X12 D11 (5 * 35) OPTIMISTS HOUSE7 UPPER LANE WORTHING WEST SUSSEX D12 (8) BN117GN D13 (2) Figure A.3 Investor record for a trust or tr

42、usteeBS7896:1997 BSI 10-1999 5 A10 (1) C B21 (150) BLENKINSOP AND ARBUTHNOTT QUALITY MEAT IMPORTERS LIMITED C10 (8) X12 D11 (5*35) CRANSHAW HOUSE157 BROUGH STREET IRONBRIDGE TELFORD SALOP D12 (8) SA153BD D13 (2) A10 (1) I B11 (20) MRS B12 (70) ELIZABETH FRANCES B13 (40) GRIMWALD B14 (20) D11 (5*35)

43、a 25 THE HIGH STREET MIDDLE WALLOP WILTSHIRE D12 (8) a GL136AB D13 (2) a NOTETwo records are shown. a As appropriate. Figure A.4 Investor records for joint names6 blankBS7896:1997 BSI 10-1999 List of references (see clause 2) Normative references BSI publications BRITISH STANDARDS INSTITUTION, Londo

44、n BS ISO7775:1991, Securities Scheme for message types. ISO standards publications INTERNATIONAL ORGANIZATION FOR STANDARDIZATION (ISO), Geneva. (All publications available from BSI Customer Services Department.) ISO3166:1993, Codes for the representation of names of countries. BS7896:1997 BSI 389 C

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