BS ISO 10962-2015 Securities and related financial instruments Classification of financial instruments (CFI code)《证券和有关金融设备 财政仪器的分类》.pdf
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1、BSI Standards PublicationBS ISO 10962:2015Securities and related financialinstruments Classification offinancial instruments (CFI code)BS ISO 10962:2015 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 10962:2015. Itsupersedes BS ISO 10962:2001 which is withdraw
2、n.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. Users are
3、responsible for its correctapplication. The British Standards Institution 2015. Published by BSI StandardsLimited 2015ISBN 978 0 580 60879 7ICS 03.060Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was published under the authority of theStandard
4、s Policy and Strategy Committee on 31 July 2015.Amendments issued since publicationDate Text affectedBS ISO 10962:2015 ISO 2015Securities and related financial instruments Classification of financial instruments (CFI code)Valeurs mobilires et autres instruments financiers concerns Classification des
5、 instruments financiers (code CFI)INTERNATIONAL STANDARDISO10962Third edition2015-07-15Reference numberISO 10962:2015(E)BS ISO 10962:2015ISO 10962:2015(E)ii ISO 2015 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2015, Published in SwitzerlandAll rights reserved. Unless otherwise specified, no
6、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 address below or ISOs member
7、 body in the country of the requester.ISO copyright officeCh. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva, SwitzerlandTel. +41 22 749 01 11Fax +41 22 749 09 47copyrightiso.orgwww.iso.orgBS ISO 10962:2015ISO 10962:2015(E)Foreword viIntroduction vii1 Scope . 12 Normative references 13 Conventions an
8、d principles . 14 CFI allocation 24.1 General . 24.2 Existing CFIs and existing securities without a CFI 25 Codes and definitions 35.1 Categories 35.2 Equities - E-*-*-*-*-*- . 35.2.1 Description 35.2.2 Common/ordinary shares - E-S-*-*-*-*- 45.2.3 Preferred/preference shares - E-P-*-*-*-*- . 45.2.4
9、Common/ordinary convertible shares - E-C-*-*-*-*- 55.2.5 Preferred/preference convertible shares - E-F-*-*-*-*- . 65.2.6 Limited partnership units - E-L-*-*-*-*- . 75.2.7 Depositary receipts on equities - E-D-*-*-*-*- 75.2.8 Structured instruments (participation) - E-Y-*-*-*-*- 85.2.9 Others (miscel
10、laneous) - E-M-X-X-X-*- .105.3 Collective investment vehicles - C-*-*-*-*-*- . 105.3.1 Description .105.3.2 Standard (vanilla) investment funds/mutual funds - C-I-*-*-*-*- 105.3.3 Hedge funds - C-H-*-X-X-X- 115.3.4 Real estate investment trusts (REIT) - C-B-*-*-X-*- 125.3.5 Exchange traded funds (ET
11、F) - C-E-*-*-*-*- .135.3.6 Pension funds - C-S-*-*-*-*- 135.3.7 Funds of funds - C-F-*-*-*-*- 145.3.8 Private equity funds - C-P-*-*-*-*- 155.3.9 Others (miscellaneous) - C-M-X-X-X-*-155.4 Debt instruments - D-*-*-*-*-*- 165.4.1 Description .165.4.2 Bonds - D-B-*-*-*-*- 165.4.3 Convertible bonds - D
12、-C-*-*-*-*- 185.4.4 Bonds with warrants attached - D-W-*-*-*-*- 195.4.5 Medium term notes - D-T-*-*-*-*- . 205.4.6 Money market instruments - D-Y-*-*-X-*- 215.4.7 Structured instruments (capital protection) - D-S-*-*-*-*- 225.4.8 Structured instruments (without capital protection) - D-E-*-*-*-*- 235
13、.4.9 Mortgage-backed securities - D-G-*-*-*-*- 255.4.10 Asset-backed securities - D-A-*-*-*-*- 265.4.11 Municipal bonds - D-N-*-*-*-*- . 275.4.12 Depositary receipts on debt instruments - D-D-*-*-*-*- .285.4.13 Others (miscellaneous) - D-M-*-X-X-*- .295.5 Entitlements (rights) - R-*-*-*-*-*- . 305.5
14、.1 Description .305.5.2 Allotment (bonus) rights - R-A-X-X-X-*- .305.5.3 Subscription rights - R-S-*-X-X-*- 305.5.4 Purchase rights - R-P-*-X-X-*- . 315.5.5 Warrants - R-W-*-*-*-*- . 315.5.6 Mini-future certificates/constant leverage certificates - R-F-*-*-*-*- .325.5.7 Depositary receipts on entitl
15、ements - R-D-*-X-X-*- .33 ISO 2015 All rights reserved iiiContents PageBS ISO 10962:2015ISO 10962:2015(E)5.5.8 Others (miscellaneous) - R-M-X-X-X-X- .345.6 Listed options - O-*-*-*-*-*- 345.6.1 Description .345.6.2 Call options - O-C-*-*-*-*- 345.6.3 Put options - O-P-*-*-*-*- . 355.6.4 Others (misc
16、ellaneous) - O-M-X-X-X-X- .365.7 Futures - F-*-*-*-*-X- 365.7.1 Description .365.7.2 Financial futures - F-F-*-*-*-X- 365.7.3 Commodities futures - F-C-*-*-*-X- 375.8 Swaps - S-*-*-*-*-*- . 375.8.1 Description .375.8.2 Rates - S-R-*-*-*-*- .385.8.3 Commodities - S-T-*-*-X-*- 395.8.4 Equity - S-E-*-*
17、-X-*- 405.8.5 Credit - S-C-*-*-*-*- 415.8.6 Foreign exchange - S-F-*-X-X-*- . 425.8.7 Others (miscellaneous) - S-M-*-X-X-*- 425.9 Non-listed and complex listed options - H-*-*-*-*-*- 435.9.1 Description .435.9.2 Rates - H-R-*-*-*-*- 435.9.3 Commodities - H-T-*-*-*-*- . 455.9.4 Equity - H-E-*-*-*-*-
18、.465.9.5 Credit - H-C-*-*-*-*- 475.9.6 Foreign exchange - H-F-*-*-*-*- 485.9.7 Others (miscellaneous) - H-M-*-*-*-*- .495.10 Spot - I-*-*-X-X-*- . 505.10.1 Description .505.10.2 Foreign exchange - I-F-X-X-X-P- . 505.10.3 Commodities - I-T-*-X-X-X- . 515.11 Forwards - J-*-*-X-*-*- 515.11.1 Descriptio
19、n .515.11.2 Equity - J-E-*-X-*-*- .515.11.3 Foreign exchange - J-F-*-X-*-*- 525.11.4 Credit - J-C-*-X-*-*- 525.11.5 Rates - J-R-*-X-*-*- 535.11.6 Commodities - J-T-*-X-*-*- . 535.12 Strategies - K-*-X-X-X-X- . 545.12.1 Description .545.12.2 Rates - K-R-X-X-X-X- .545.12.3 Commodities - K-T-X-X-X-X- .
20、 545.12.4 Equity - K-E-X-X-X-X- .545.12.5 Credit - K-C-X-X-X-X- 555.12.6 Foreign exchange - K-F-X-X-X-X- 555.12.7 Mixed assets - K-Y-X-X-X-X- . 555.12.8 Others (miscellaneous) - K-M-X-X-X-X- .555.13 Financing - L-*-*-*-X-*- 565.13.1 Description .565.13.2 Loan-lease - L-L-*-X-X-*- . 565.13.3 Repurcha
21、se agreements - L-R-*-*-X-*- 565.13.4 Securities lending - L-S-*-*-X-*- 575.14 Referential instruments - T-*-*-*-*-X- . 585.14.1 Description .585.14.2 Currencies - T-C-*-X-X-X- . 585.14.3 Commodities - T-T-*-X-X-X- 595.14.4 Interest rates - T-R-*-*-X-X- . 595.14.5 Indices - T-I-*-*-*-X- 605.14.6 Bas
22、kets - T-B-*-X-X-X- .61iv ISO 2015 All rights reservedBS ISO 10962:2015ISO 10962:2015(E)5.14.7 Stock dividends - T-D-*-X-X-X- 615.14.8 Others (miscellaneous) - T-M-X-X-X-X- 615.15 Others (miscellaneous) - M-*-*-*-X-*- 615.15.1 Description .615.15.2 Combined instruments - M-C-*-*-X-*- .625.15.3 Other
23、 assets - M-M-*-X-X-X- 62Annex A (informative) Classification examples64 ISO 2015 All rights reserved vBS ISO 10962:2015ISO 10962:2015(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing
24、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 organizations, governmental and non-governmental, in liaiso
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