BS ISO 6166-2013 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 PublicationBS ISO 6166:2013Securities and related financialinstruments Internationalsecurities identificationnumbering system (ISIN)BS ISO 6166:2013 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 6166:2013. Itsupersedes BS ISO 6166:2001 which is

2、withdrawn.The UK participation in its preparation was entrusted to TechnicalCommittee IST/12, Financial services.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necessaryprovisions of a contract. Us

3、ers are responsible for its correctapplication. The British Standards Institution 2013. Published by BSI StandardsLimited 2013ISBN 978 0 580 62836 8ICS 03.060Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published under the authority of the

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

5、rns Systme international de numrotation pour lidentification des valeurs mobilires (ISIN)INTERNATIONAL STANDARDISO6166Seventh edition2013-07-15Reference numberISO 6166:2013(E)BS ISO 6166:2013ISO 6166:2013(E)ii ISO 2013 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2013All rights reserved. Unle

6、ss 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 requested from either ISO at the a

7、ddress below or ISOs member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandBS ISO 6166:2013ISO 6166:2013(E) ISO 2013 All rights reserved iiiContents Pag

8、eForeword ivIntroduction v1 Scope . 12 Normative references 13 Terms and definitions . 14 Principles . 24.1 Constituents. 24.2 Financial instruments for which the ISIN is allocated 25 Registration Authority (RA) 25.1 Name and contact details of the RA 25.2 Service provision . 26 ISIN allocation . 36

9、.1 General . 36.2 Existing ISINs and existing securities without ISINs . 3Annex A (normative) ISIN allocation 4Annex B (normative) Minimum descriptive elements for each category/issue type 6Annex C (normative) Formula for computing the modulus 10 “double-add-double” check digit 7Annex D (normative)

10、Basic information and minimum descriptive data elements 9Annex E (informative) Examples10BS ISO 6166:2013ISO 6166:2013(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International St

11、andards 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 organizations, governmental and non-governmental, in liaison with ISO, also

12、 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 further maintenance are described in the ISO/IEC Directives, Part 1. In

13、 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/directivesAttention is drawn to the possibility that some of the elements of th

14、is 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 Introduction and/or on the ISO list of patent declarations received. www.iso

15、.org/patentsAny 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 4, Securities and related financial instruments.This seventh edition

16、 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 ISO 6166:2013ISO 6166:2013(E)IntroductionWith the rapid expansion of th

17、e 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 this International Standard. Countries with a developed securities busi

18、ness 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 are physically held and/or booked. As a result, the national numbers ma

19、y 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 system is provided by this International Standard. Since the publication of t

20、he 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 this International Standard.In preparing this International Standard, care

21、 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. Moreover, it is aimed at creating a system which is easy to apply interna

22、tionally 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 financial instruments International securities identification numbering system (

23、ISIN)1 ScopeThis 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 minimum descriptive data (see Annex B).2 Normative referencesThe following d

24、ocuments, 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 referenced document (including any amendments) applies.ISO 3166 (all parts), C

25、odes for the representation of names of countries and their subdivisionsISO 4217, Codes for the representation of currencies and fundsISO 10962, Securities and related financial instruments Classification of financial instruments (CFI code)3 Terms and definitionsFor the purposes of this document, th

26、e following terms and definitions apply.3.1fungibleequivalent, substitutable, interchangeable, and not individualizedNote 1 to entry: A fungible financial instrument ranks pari passu in all respects with a different version of the same financial instrument and can be exchanged into the other version

27、 and vice versa at any time.3.2ISINinternational securities identification numberalphanumeric code which uniquely identifies a specific security or other financial instrument3.3ISIN recordrecord which uniquely identifies a specific security or other financial instrument and consists of the ISIN and

28、the minimum descriptive data elements Note 1 to entry: For the minimum descriptive data elements, see Annex B.3.4ISIN guidelinesinternal document developed and maintained by the Registration Authority to promote a uniform process for allocation, registration, and dissemination of the ISIN to the fin

29、ancial markets3.5negotiablelegal ownership of financial instrument readily transferable from one counterparty to another by delivery or endorsementINTERNATIONAL STANDARD ISO 6166:2013(E) ISO 2013 All rights reserved 1BS ISO 6166:2013ISO 6166:2013(E)4 Principles4.1 ConstituentsThe ISIN shall consist

30、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 complete list of ISIN prefixes);b) the basic number, which is nine characters (alphanumeric) in length. Where

31、 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 shall be inserted in front of the national number. Where a national check digit exists, it shall be regarded

32、 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 which the ISIN is allocatedAt a minimum, the ISIN is allocated to financial instruments (see Annex A) identified i

33、n ISO 10962 with the following principles.a) Equities, debt instruments, entitlements, and structured productsThe ISIN is allocated when the financial instrument is negotiable.b) DerivativesThe ISIN is allocated to those instruments that are traded in their own right, regardless of whether or not th

34、e 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 reference assets to financial instruments.d) Others (combined instruments, other assets)For the group “combined i

35、nstruments”, 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 (RA)5.1 Name and contact details of the RAThe name and contact details of the organization acting as RA for this Inter

36、national 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 implementation may be directed to the RA.5.2 Service provisionThe RA is responsible for the provision of the following services:a) to

37、 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 of the ISIN record (see Annex B) to users;2 ISO 2013 All rights reservedBS ISO 6166:2013ISO 6166:2013(E)c) to continuously ada

38、pt 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 International Standard in a timely manner.6 ISIN allocation6.1 GeneralThe RA shall ensure that ISINs are allocated following the princip

39、les 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 market needs (see Annex D).6.2 Existing ISINs and existing securities without ISINsAll existing ISINs assigned in accordance with pre

40、vious editions of this International Standard shall remain unchanged. However, the allocation of ISINs for existing securities and financial instruments without ISINs shall be based on the most recent edition. ISO 2013 All rights reserved 3BS ISO 6166:2013ISO 6166:2013(E)Annex A (normative) ISIN all

41、ocationCategory Type of issue PrefixEquities Shares ordinary, convertible, preferred, preference shares, and othersAlpha-2 country code of the country where the issuer is legally registered or, in the absence of registration, has their legal domi-cileDepositary receipts representing equitiesThe rule

42、s applicable to the underlying equi-ties also apply to this instrument typeUnits investment trusts, mutual funds, and hedge fundsAlpha-2 country code of the country where the issuer is legally registered or, in the absence of registration, has their legal domi-cileDebt instrumentsAll debt instrument

43、s including Treasury bills the depot of all such securities upon issuance is made with the Central Securities Depository (CSD) of one countryAlpha-2 country 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 Inter

44、national Central Secu-rities Depository (ICSD)XS private placements where there is no depot of such securities with a CSD or ICSDAlpha-2 country code of the country where the issuer is legally registered or, in the absence of registration, has their legal domi-cileStripped coupons and principal offi

45、cial stripping (the stripping is made under the responsibility of the issuer)The rules applicable to the underlying debt instruments also apply to official stripping unofficial stripping (the stripping is made at the initiative of a third party other than the issuer)Alpha-2 country code of the count

46、ry of the entity that strips the issueDepositary receipts representing debt instrumentsThe rules applicable to the underlying debt instruments also apply to this instru-ment typeBank loans At the discretion of the bank agent4 ISO 2013 All rights reservedBS ISO 6166:2013ISO 6166:2013(E)Category Type

47、of issue PrefixEntitlements (Rights)Rights allotment (bonus), subscription, purchase rights, and othersAlpha-2 country code of the country where the issuer is legally registered or, in the absence of registration, has their legal domi-cileWarrants not attached to debt instrumentsAlpha-2 country code

48、 of the country where the issuer is legally registered or, in the absence of registration, has their legal domi-cile originally issued with debt instruments The rules applicable to debt instruments also apply to this instrument typeDerivatives Options Alpha-2 country code of the country of the excha

49、nge issuing the specific option contractFutures Alpha-2 country code of the country of the exchange issuing the specific future contractSwaps Alpha-2 country code of the country of the exchange issuing the swapCFDs (Contracts for difference) Alpha-2 country code of the country of the exchange issuing the CFDStructured productsAll structured products the depot of all such securities upon issu -ance is made with one or more CSD(s) or there is no depot of all such securities upon issuance with a CSD or ICSDAlpha-2 country