The FundApps Adapptr requires a subset of data from the Shareholding Disclosure property list and enriches the rest of the data directly from your chosen data vendor.
Please read here for a full list of the data vendor mappings and logic used by Adapptr (currently Refinitiv and Bloomberg are supported).
For information on integrating via API, please see our GitHub repository. For example Adapptr upload files in the csv format, please see here
Current asset classes supported by Adapptr using Refinitiv data are:
Current asset classes supported by Adapptr using Bloomberg data are:
Listed below are the properties you can send to Adapptr in the CSV file for listed securities and derivatives. If you populate the ISIN and CUSIP in the CSV file, the same ISIN and CUSIP will be populated in the generated xml file.
You can chose between using ISIN and SEDOL as the identifier to look up data from your data provider. Please read our API documentation for instructions on how to do so. By default ISIN is used if both are populated and you haven't specified which to use in the API request. Note that whichever identifier is chosen is the identifier used to populate the InstrumentId property in the xml file that is sent to FundApps. If one identifier is chosen, you do not have to populate the other hence neither are set as required below.
| Property Name | Description | Data type | Valid values & notes | ||
|---|---|---|---|---|---|
| AssetId |  |
Unique identifier for the asset | String(255) | e.g. Use ISIN + LocalTicker or ISIN + ExecutionVenue if possible (these are also provided by the exchange-level FIGI or quote-level PermID). 1. Must be unique for every asset in the portfolio (but may be duplicated across portfolios) or else validation will fail and 2. Consistent across NAV dates or else HasActivity will not work and the UI will mark all assets as new |
|
| AssetName | |
Name of the asset | String(255) | Used throughout Rapptr as the primary display name for the asset, so ensure this name is meaningful | |
| MarketValue | Market value of a position in portfolio currency | Decimal | If the market value can't be provided in portfolio currency, it should be provided in instrument currency (property MarketValueInInstrumentCurrency). For derivatives, this should represent the fair market value using the relevant/preferred pricing methodology. | ||
| MarketValueInInstrumentCurrency | Market value of a position in instrument currency | Decimal | Should only be provided if the market value can't be provided in portfolio currency (property MarketValue). For derivatives, this should represent the fair market value and should be provided with accrued interest. For non-derivative assets, market value should be provided without accrued interest. | ||
| Quantity | |
Equities - Number of shares held ETF - Number of units held Derivatives - Number of contracts held |
Decimal | Short sale positions - Insert a negative quantity for positions resulting from short sale transactions. Lending/Borrowing/Collateral (SFTType) - For any asset which does NOT have an SFTType set to 'Normal', insert only positive quantities. |
|
| SFTType | Type of securities financing transaction (SFT) | String(255) | Valid values: Borrowed, CollateralGiven, CollateralTaken, Lent, Normal. This property accounts for various kinds of transactions such as lending, borrowing, repos, reverse repos, while also allowing for general collateral taken and collateral given. See here for more details on populating | ||
| CUSIP | Optional - Nine-character CUSIP | String(255) | Only used for US 13F regulation (to match the SEC list). Either nine-character CUSIP or CINS (CUSIP International Numbering System) must be provided for securities that are reportable under 13F. For assets with no CUSIP (e.g. those not traded in the US), default to: NONE. A CUSIP must be unique to the Sedol or ISIN that it is uploaded for (depending on the identifier you select to query market data). | ||
| ISIN | ISIN of the instrument | String(255) | Used to query data from your data vendor. Used to look-up Instrument in many lists such as EU Short Selling Exempt, short selling black & white lists, Takeover lists etc. | ||
| SEDOL | Optional - Seven-character SEDOL of the instrument | String(255) | Used to query data from your data vendor. Note that the Sedol field is not required for any Shareholding Disclosure rules. It is purely available for data collection. | ||
| PortfolioId | |
Unique identifier for the portfolio / entity | String(255) | This Id should NOT change over time (even during implementation). If it does a new portfolio / entity will be created. | |
| Price | Price of the instrument in instrument currency. For bonds and convertibles, the price must be stated as a percentage of the face value of an individual bond (since this is the way bonds are quoted on the market). | Decimal | |||
| InstrumentCurrency | Currency the instrument is denominated in | String(255) | Valid values: ISO 4217 currency codes. | ||
| ComponentISIN | The ISIN of the underlying or component to the instrument | String(255) | If the data vendor is missing information on what the underlying security is, you can explicitly set this yourself and Adapptr will use this ISIN to construct the underlying security in the xml file. If you are uploading an OTC instrument, use this property to tell Adapptr what the underlying security is. |
Listed below are the properties you can send to Adapptr in the CSV file for unlisted securities and derivatives, in addition to the properties defined above for listed products.
For unlisted products, FundApps are unable to get all the required data from the data vendor so ask the client to provide more data than would usually be required for listed products.
| Property Name | Applies To | Description | Data type | Valid values & notes |
|---|---|---|---|---|
| AssetClass | All | Asset class (e.g. Equity, Bond, CFD etc.) | String(255) | Valid values: CFD, Future, Option, Swap. |
| IsCashSettled | CFD, Future, Option, Swap | If the derivative is cash settled (as opposed to requiring physical delivery) | Boolean | Most countries capture physically settled derivatives, many (but less) are interested in cash settled derivatives. |
| Market | All | Market identification code (MIC) for the primary market that this instrument is traded on. | String(255) | ISO 10383 code (MIC). Insert the MIC of the primary market that the instrument is traded on. Where a specific market segment is different than the Operating MIC, please use the specific market segment since the Operating MIC is the parent market venue only. For instruments which are truly over-the-counter (OTC), use the value recommended by the ISO standard: XXXX For instruments where the market is completely unknown, use the value: XMIC (which is not an ISO code but a suggested default value in such cases). It is critical that for any market, segment MICs are provided. Please see ISO's official FAQs for the MIC standard under the section 'MIC LEVELS', making note of the definitions for 'market segment MIC' and 'operating MIC' including the point that 'The use of market segment MICs provides more accuracy.' FundApps is unable to validate whether our clients are providing the MICs at the granularity of segment MIC; we strongly recommend that you re-confirm with your data provider(s) that MICs are provided at segment MICs level. |
| MarketsListedIn | All | List of all market identification codes (MICs) where the instrument is listed - should be a list of all markets that the instrument is listed on, and should include the primary market. | List | ISO 10383 code (MIC). Insert the MICs of all markets that the instrument is listed on (should include the primary market). Where a specific market segment is different than the Operating MIC, please use the specific market segment since the Operating MIC is the parent market venue only. For instruments which are truly over-the-counter (OTC), use the value recommended by the ISO standard: XXXX For instruments where the market is completely unknown, use the value: XMIC (which is not an ISO code but a suggested default value in such cases). It is critical that for any market, segment MICs are provided. Please see ISO's official FAQs for the MIC standard under the section 'MIC LEVELS', making note of the definitions for 'market segment MIC' and 'operating MIC' including the point that 'The use of market segment MICs provides more accuracy.' FundApps is unable to validate whether our clients are providing the MICs at the granularity of segment MIC; we strongly recommend that you re-confirm with your data provider(s) that MICs are provided at segment MICs level. |
| MaturityDate | Future, Option, Swap | Physically settled derivative When the securities are to be delivered. | String(255) | Necessary for USA & Canada to determine if expiry is within next 60 days and for document generation in the UK, Hong Kong and Philippines. |
| Notional | Future, Option, Swap | The reference value of the derivative/bond-fund instrument (in instrument currency) in terms of the underlying debt instruments. Applies to derivatives on bonds, derivatives on bond indices or holdings of sovereign bond funds. This may be the face value or a multiple of the face value of underlying debt. For bond funds or bond indices, this will be the sum of the individual bond constituent holding values (not market values), in a common currency. | Decimal | |
| ExercisePrice | CFD, Future, Option | Price at which a derivative can be exercised. Also known as strike price. Futures - As futures do not have an exercise price, this is the futures price of the contract. Forwards - These would be modelled similarly to futures, and for these derivatives populate this property with the forward price. |
Decimal | Only used in Forms |
| Delta | CFD, Future, Option, Swap | The Delta measures the degree to which the derivative is exposed to shifts in the price of the underlying asset (price sensitivity with relation to the underlying). Under the European Transparency Directive (TDA) cash settled instruments should be Delta weighted. All cash settled instruments (where IsCashSettled=True) must have a Delta value. Under the Short-Selling Regulation (SSR) all derivatives (including convertibles) should be delta weighted regardless of settlement and therefore a delta must be provided. | Decimal | Valid Values: 0 to 1 |
| ContractSize | CFD, Future, Option | Contract size of a derivative. If relevant, this should be in instrument currency | Decimal | e.g. 1000 would mean every option represents 1000 of the underlying. |
| CallOrPut | Option | If an option is call or put | String(255) | Valid values: Call, Put. |
| ExerciseStyle | Option | Exercise style of options, which is defined by when, and under what circumstances an option may be exercised. | String(255) | Valid values: American, Bermudan, European. |
| NextExerciseDate | Option | Next date where an option is exercisable. For American options: Maturity date | Date | Defaults to MaturityDate if not provided. |
A portfolio is the smallest unit that can hold assets (aka an account, fund etc.), an entity is a grouping of portfolios. The properties are generally set-up once and then only updated when changes occur. Portfolio properties can be entered directly into the Rapptr UI and do not need to be provided in an input file.
The following are required for the rules / Rapptr to function correctly
| Property Name | Applies To | Description | Data type | Valid values & notes | Rules | Jurisdictions | |
|---|---|---|---|---|---|---|---|
| PortfolioId | |
Both | Unique identifier for the portfolio / entity | String(255) | This Id should NOT change over time (even during implementation). If it does a new portfolio / entity will be created. | All | All |
| PortfolioName | |
Portfolio | Name of the portfolio / entity | String(255) | 64 | 47 | |
| PortfolioCurrency | |
Both | Base currency of the portfolio / currency entity should use for calculations | String(255) | Valid values: ISO 4217 currency codes. | 5 | 3 |
| PortfolioType | |
Both | Portfolio: a container that holds assets (Accounts, Funds, Portfolios etc.); Entity: an aggregation of portfolios (Management Company, Controlling Entity, etc.) Umbrella: If a portfolio's direct parent is an umbrella and a portfolio level disclosure is required, Rapptr will trigger the disclosure on the parent umbrella, aggregating all portfolios underneath that specific umbrella |
String(255) | Valid values: Entity, Portfolio, Umbrella. Click here for more information on umbrellas | All | All |
| PortfolioCompany | |
Both | If a Chinese wall, or similar, exists, you will be able to limit the visibility to specific areas of the business. | String(255) | More information is available here | All | All |
| DefaultParentId | Both | Identifier (PortfolioId) of the Entity that a portfolio or (sub)Entity aggregates to | String(255) | Must match a PortfolioId of an Entity in the file. This is used to define the aggregation structure. In this case, an aggregation structure named 'Default' is used. For Entities which are at the top of the tree, the DefaultParentId will be its own PortfolioId. For clients with multiple aggregation structures, additional columns named 'XParentId' can be added, where X is the name of the tree (e.g. Voting, Legal, Management). More information here | All | All | |
| RuleFolders | Portfolio | Defines which rules run on the system. | List | Valid values all folders active in your system see bottom left panel in the rules page | All | All | |
| LiquidationDate | Both | When the portfolio / entity was / will be liquidated | Date | All | All | ||
| BaseDate | Top Entity | Values that indicate the base date to disclose against given as day of the month (1-28) or LastDay-(1-27). | List | Valid values: Valid base dates that can be used to determine when in a month to disclose. | 8 | 1 | |
| CompanyType | Both | Values that indicate classifications for a portfolio/entity that have effect on the application of certain rules | List | Valid values: CA-AMRS, ITFM, JP-FFI, JP-GenInv, JP-StOw, KRPassiveInvestor, None, NotJPAggExempt, NotZA, PH-EligibleII, UKIM, US16AExempt, USPassiveInvestor, US-QII. See description of possible values here |
31 | 8 | |
| DisqualifiedFrom13GIssuerIDs | Both | List of Issuer Ids disqualified from the US 13G regime and to be populated for an entity (or portfolio) at the discretion of a client where the issuer should be checked under 13D instead of 13G based on certain portfolio strategy considerations. See the description for important information on its justification here. | List | See a description of how to populate this field here. | 4 | 1 | |
| DisqualifiedFromAMRSIssuerIDs | Both | List of Issuer Ids disqualified from the Canada AMRS regime and to be populated for an entity (or portfolio) at the discretion of a client where the issuer should be checked under Canada's Early Warning regime instead of AMRS based on certain portfolio strategy considerations. See the description for important information on its justification here. | List | See a description of how to populate this field here. | 2 | 1 | |
| DisqualifiedFromSRSIssuerIDs | Top Entity | List of Issuer Ids disqualified from Japan's Special Reporting System (SRS) regime and to be populated for an entity at the discretion of a client where the issuer should be checked under Japan's normal disclosure regime instead of SRS based on certain portfolio strategy considerations. See the description for information on its justification here. | List | See a description of how to populate this field here. | 8 | 1 | |
| FundDomicile | Both | Country where the fund or entity is domiciled. Required for Spanish major shareholding rules to determine if the fund or entity is domiciled in a tax haven. If not provided Rapptr will conservatively run both tax haven and non-tax haven rules | String(255) | Valid values: ISO 3166-1 Alpha 2 country codes. | 6 | 1 | |
| InvestmentManager13F | Portfolio | The name of the 'institutional investment manager' under U.S. Section 13F(1)(b), which holds 'investment discretion' over the portfolio. In case there is more than one investment management entity involved with shared investment discretion, please provide the name of the manager. Ensure to set the exact same value/name across all portfolios that share the same 13F investment manager. If the reporting entity is your top-level entity, it must be provided in this field for each portfolio as well. |
String(255) | See the SEC FAQ Question 6 for detail on 'investment discretion.' | 1 | 1 | |
| IsAIF | Portfolio | To be considered for every portfolio. If set to True, indicates that the portfolio is either an EU AIF under Article 4.1.k of the AIFMD or a non-EU AIF which is marketed in the EU. | Boolean | This property is required to be set for all portfolios. It is not necessary that all portfolios in the same aggregation tree share the same property. | 1 | 1 | |
| ShortSGReportingType | Portfolio | Indication of which Singapore Short Selling rules are evaluated for a portfolio based on certain attributes described in the regulation, or if another party (e.g. the underlying investor) has taken the disclosure obligation. | String(255) | Valid values: Exclude, NoThreshold, Threshold. See this Help Centre article for the full meaning of each of these values and instructions on which selection to make. |
3 | 1 |
The following are required for disclosure forms
| Property Name | Applies To | Description | Data type | Valid values & notes | Jurisdictions | |
|---|---|---|---|---|---|---|
| Address | Both | Address used in disclosure documents | String(255) | 41 | ||
| AUSellerId | Portfolio | Unique identification number required by the ASIC for parties who report short positions in Australia. | String(255) | For valid values and further details see section RG 196.171 of ASIC's short selling guide RG 196 | 1 | |
| BafinID | Entity | BaFin ID used in disclosure documents. | String(255) | Register with BaFin registration here | 1 | |
| BicCode | Entity | Bank Identifier Code used in disclosure documents | String(255) | 11 | ||
| BRRegistrationNO | Both | Brazilian Registration number used in disclosure documents | String(255) | 1 | ||
| City | Both | Companies city used in disclosure documents | String(255) | 42 | ||
| CompanyName | Both | Name of the company used in disclosure documents | String(255) | 45 | ||
| CompanyNumber | Both | Company Number of the disclosing entity. Required for the generation of Malaysian forms 137, 138, 139, 141; Philippines forms 23A and 23B; Hong Kong Form 2 and Short Form 2. | String(255) | 3 | ||
| ContactPersonFirst | Both | First name of the person used in disclosure documents | String(255) | 27 | ||
| ContactPersonLast | Both | Last name of the person used in disclosure documents | String(255) | 27 | ||
| Country | Both | Companies country used in disclosure documents | String(255) | Valid values: ISO 3166-1 Alpha 2 country codes. | 42 | |
| Custodian | Both | The custodian of the portfolio. If you require custodian details to be populated, leave MaskingName blank | String(255) | 11 | ||
| CustodianAddress | Both | Full address of the custodian. | String(255) | 1 | ||
| Both | Email address of the contact person used in disclosure documents | String(255) | 34 | |||
| EntityCountryOfIncorporation | Both | The country of incorporation of the reporting entity, please select country of incorporated from the list. | String(255) | Valid values: ISO 3166-1 Alpha 2 country codes. Country must be a valid ISO code. |
3 | |
| Fax | Both | Company Fax number used in disclosure documents | String(255) | 19 | ||
| Form13FCIK | Top Entity | The Central Index Key is a SEC tracking number that the SEC assigns to each Form 13F filer. This field must be provided for the 13F reporting (Top) entity, and for each portfolio which is managed by a different 13F Institutional Investment Manager. |
String(255) | See Q&A 18 for more information and how to obtain one. | 1 | |
| Form13FFileNumber | Top Entity | The Form 13F File Number is a SEC tracking number beginning with a '028-' prefix that the SEC assigns to each Form 13F filer after their first filing. This field must be provided for the 13F reporting (Top) entity, and for each portfolio which is managed by a different 13F Institutional Investment Manager. If the 13F Investment Manager or Reporting Entity does not have a File Number assigned, enter 'NONE'. |
String(255) | See Q&A 11 and 12 for more information and how to obtain one. | 1 | |
| Form13FProvinceState | Top Entity | Only for US and Canada. State/province where the reporting entity filing the 13F form is located. | String(255) | Valid values: Valid values used to populate US states and Canada provinces in Form 13F.. | 1 | |
| Form13FReportingPersonProvinceState | Top Entity | Only for US and Canada. State/province of the person filing the 13F form. | String(255) | Valid values: Valid values used to populate US states and Canada provinces in Form 13F.. | 1 | |
| Form13GIRSNumber | Both | The Internal Revenue Service Identification Number is the Taxpayer Identification Number (TIN) required as part of the 13G filing to EDGAR. A Taxpayer Identification Number (TIN) is an identification number used by the Internal Revenue Service (IRS) in the administration of tax laws. | String(255) | See here for more information | 1 | |
| HongKongSPRID | Top Entity | Property used only to register with the Hong Kong regulator when disclosing short positions. Once registered an ID will be provided for short position filings. | String(255) | Register with the Securities and Futures Commission SFC | 1 | |
| IEIdentifierCode | Entity | Ireland identifier code used in disclosure documents. | String(255) | Register with the Irish regulator | 1 | |
| IndianPAN | Both | Permanent Account Number used in Indian holding breakdown form. | String(255) | 1 | ||
| InvestmentDiscretion13FUS | Top Entity | Indicates the investment authority of each portfolio. This value is used to populate column 6 of the 13F form information table. | String(255) | Valid values: DFND, OTR, SOLE. See this Help Centre article for the definition of each of the three possible values, and instructions on which selection to make. |
1 | |
| InvestmentManager13FAffiliation | Top Entity | Indication of whether a portfolio is managed by a group entity, or if it is managed by an unaffiliated entity, whether the portfolio is excluded from the group's 13F reporting because it is reported by the other entity, or is included in the group's 13F reporting. | String(255) | Valid values: Affiliated, UnaffiliatedExclude, UnaffiliatedInclude. See this Help Centre article for the definition of each of the three possible values, and instructions on which selection to make. |
1 | |
| IsInvestmentManager13FReportingEligible | Top Entity | If a 13F Investment Manager is eligible for 13F reporting then set this to True. If ineligible then set to false. Eligibility for the current calendar year can be determined if a 13F Investment Manager has total holdings in eligible 13F securities over $100m on the last business day of any month in the previous calendar year. This check is automated in the rule Major: US - 13F - Eligibility. The property value needs to be set consistently across all portfolios that share the same InvestmentManager13F, e.g. if there are multiple portfolios that have the same value in InvestmentManager13F and that manager is eligible, all of them need to be set to true for 13F eligibility. For more information with regards to this property see here. | Boolean | Used in 13F documents. | 1 | |
| IsReportingPersonPositionHolder | Entity | Advises if reporting person is same as position holder | Boolean | 10 | ||
| MaskingName | Both | Used to set an alias on portfolio names. When generating disclosure documents, Rapptr will check if MaskingName has been set. If so, it groups all portfolios which have the same MaskingName. Do note that populating MaskingName will require you to manually populate custodian details if the disclosure document requires that to be populated | String(255) | 13 | ||
| PortfolioLEI | Portfolio | Legal Entity Identifier of a portfolio or entity if applicable. | String(255) | 1 | ||
| PostCode | Both | Company post code used in disclosure documents | String(255) | 39 | ||
| Province | Both | Companies province used in disclosure documents | String(255) | 36 | ||
| ReportingPersonAddress | Both | Street and number of the person filing the disclosure form | String(255) | 13 | ||
| ReportingPersonCity | Both | City of the person filing the disclosure form | String(255) | 26 | ||
| ReportingPersonCompany | Both | Company of the person filing the disclosure form | String(255) | 12 | ||
| ReportingPersonCountry | Both | Country of the person filing the disclosure form | String(255) | Valid values: ISO 3166-1 Alpha 2 country codes. | 13 | |
| ReportingPersonEmail | Both | Email of the person filing the disclosure form | String(255) | 19 | ||
| ReportingPersonFax | Both | Fax number of the person filing the disclosure form | String(255) | 14 | ||
| ReportingPersonFirst | Both | First name of the person filing the disclosure form | String(255) | 32 | ||
| ReportingPersonLast | Both | Last name of the person filing the disclosure form | String(255) | 32 | ||
| ReportingPersonPhone | Both | Phone number of the person filing the disclosure form | String(255) | 20 | ||
| ReportingPersonPosition | Both | Position/Title of the person filing the disclosure form | String(255) | 16 | ||
| ReportingPersonPostCode | Both | Postal code of the person filing the disclosure form | String(255) | 13 | ||
| ReportingPersonProvince | Both | State/province of the person filing the disclosure form | String(255) | 13 | ||
| SGAgentID | Portfolio | Property used when disclosing short positions in Singapore. This is for the 'Particulars of the Agent' section of the form (section C of SPRS or section 3 of the XML). The form requires 'UEN/BIC/LEI/ISIN/Others'. Input the most suitable number for your organisation (in its role as Agent) into this property, and it will be used in this part of the form | String(255) | Enter your most appropriate Singapore Agent ID: UEN, BIC, LEI, ISIN, etc | 1 | |
| SGAgentSPRID | Portfolio | Property used only to register with the Singapore regulator when disclosing short positions. This is for the 'Particulars of the Agent' section of the form (section C of SPRS or section 3 of the XML). Once registered an ID will be provided for short position filings. | String(255) | Register with the MAS Monetary Authority of Singapore | 1 | |
| SGPortfolioId | Portfolio | Property used when disclosing short positions in Singapore. This is for the 'Particulars of the Short Position Holder' section of the form (section B of SPRS or section 2 of the XML). The form requires 'UEN/BIC/LEI/ISIN/Others'. Input the most suitable number for your fund into this property, and it will be used in this part of the form | String(255) | 1 | ||
| SGPositionHolderName | Portfolio | Property used when disclosing short positions in Singapore. This is for the 'Particulars of the Short Position Holder' section of the form (section B of SPRS or section 2 of the XML). The form requires 'Name of Position Holder'. Input the most suitable name for your fund into this property, and it will be used in this part of the form | String(255) | See user guide and template description | 1 | |
| SGSPRID | Portfolio | Property used only to register with the Singapore regulator when disclosing short positions. This is for the 'Particulars of Short Position Holder' section of the form (section B of SPRS or section 2 of the XML). Once registered an ID will be provided for short position filings. | String(255) | Register with the MAS Monetary Authority of Singapore | 1 | |
| Telephone | Both | Company or contact person telephone number used in disclosure documents | String(255) | 35 | ||
| USReportingPersonType | Both | Type of reporting person | String(255) | Valid values: BD, BK, CO, CP, EP, FI, HC, IA, IC, IN, IV, OO, PN, SA. | 1 | |
| VotingAuthority13FUS | Top Entity | Indicates the voting authority of each portfolio. This value is used to populate column 8 of the 13F form information table. | String(255) | Valid values: NONE, SHARED, SOLE. See this Help Centre article for the definition of each of the three possible values, and instructions on which selection to make. |
1 | |
| ZARegistrationNo | Both | South African ID/Registration number used in disclosure documents | String(255) | 1 |
Last generated: 2021-07-29 15:26:41 UTC