Logo

Properties required for Global Short Selling

To ensure 100% disclosure coverage in all 95 jurisdictions for all asset classes, all of the following properties are required.
It is possible you might 'get away' with less e.g. if you are NOT shorting in Korea you don't need to provide ClassSharesOutstandingListedOnKRX. But obviously if you start trading there in the future you will need this data. Therefore we recommend trying to populate as much as possible
The only way to be sure you are providing enough data is to go into Rapptr results and ensure you have no Missing Data - see here.
Rapptr will fail validation if any of the properties marked with Required are missing. Rapptr will provide a default value for those properties marked with Defaulted.

For information on integrating via API, please see our GitHub repository. For all other information on Rapptr please see our Zendesk HelpCentre



Asset Properties

An asset is the specific position a portfolio has in an instrument. Instrument properties are independent of portfolio, whereas asset properties are specific to the portfolio

Property Name Applies To Description Data type Valid values & notes Rules Jurisdictions
AssetId required All 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
All All
AssetName required All Name of the asset String(255) Used throughout Rapptr as the primary display name for the asset, so ensure this name is meaningful All All
ExecutionVenue ADR, Convertible, Equity, PreferredEquity, Rights, Warrant Market identification code (MIC) for the market that this position is traded and executed on. All shares of the position need to share this venue, otherwise split out the positions so they are venue-specific. String(255) ISO 10383 code (MIC). Leave this field blank if not able to source at the position level.
If a holding is composed of the same class (ISIN) having been executed on multiple venues, separate instruments and separate AssetIDs should be declared in the position file for each quantity of shares executed on each market.
4 2
IsDeltaHedged Convertible, Warrant If a long convertible bond or warrant should be delta hedged by an offsetting short position in equity for Short selling in Japan Boolean Used in: Short selling in Japan. The default requirement for Short Selling Japan is to net short equities with long equities and separately net short convertibles with long convertibles. The rule has an exemption to this default that allows for netting of short equity positions with long convertible bond and warrant positions on a delta hedged basis. If you would like to take advantage of this delta hedge exemption you must set the asset property IsDeltaHedged = true and provide a delta value for long convertible bonds and warrants. 1 1
MarketValue All 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. 3 2
MarketValueInInstrumentCurrency All 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 using the relevant/preferred pricing methodology. 3 2
Quantity required All Equities - Number of shares held
Bonds (including Convertibles) - Total nominal value divided by face value (the multiple of the face value making up the nominal of the position)
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.
CDS - For credit default swaps, use a negative quantity for protection buys (which is an effective short position) and a positive quantity for protection sells (which is an effective long position).
80 41
SFTType All 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
80 41

Instrument Properties

An instrument is the portfolio independent information

Property Name Applies To Description Data type Valid values & notes Rules Jurisdictions
AssetClass required All Asset class (e.g. Equity, Bond, CFD etc.) String(255) Valid values: ADR, Bond, CDS, CFD, Convertible, Equity, Future, Index, Option, PreferredEquity, Rights, StructuredProduct, Swap, Unit, Warrant.
To ignore this asset during checking, set to 'Ignore'
80 41
AssetClassCustomer UI All Customer defined asset class String(255) Only used in UI
Optional field to be populated with a customer's own internal asset class specification as reference
- -
CallOrPut required Option, Warrant If an option / warrant is call or put String(255) Valid values: Call, Put. 80 41
ClassSharesOutstanding Equity, PreferredEquity, Unit Total amount of shares in circulation for this share class Decimal For Unit funds structured as ETFs this should reflect the number of units issued. 3 3
ClassSharesOutstandingListedOnKRX Equity, PreferredEquity Total amount of a class of shares in circulation on the KRX (XKOS, XKRX) Decimal This property is only required for the Korean short selling rules. While ClassSharesOutstandingListedOnKRX may be identical to ClassSharesOutstanding for many issuers, it is not always the case. For dual listed issuers, this property omits outstanding shares not listed on the KRX (KOSPI Stock Market or KOSDAQ Market). 2 1
ContractSize CFD, Future, Option, Warrant 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. 44 38
ConversionRatio ADR, Convertible, PreferredEquity, Rights Convertible: the number of equities one convertible converts into;
DR: the number of underlying shares represented in one DR;
Right: the number of underlying securities that one right gives entitlement to.
Preferred Equity: the number of common shares one convertible preference share converts into.
Decimal 44 38
CountryOfIncorporation Equity, PreferredEquity, Unit [Issuer Property] Equity and Preferred Equity - Country where the issuer is incorporated.
ETFs - Country where the collective investment scheme's (or other company structure's) legal personality is incorporated
String(255) Valid values: ISO 3166-1 Alpha 2 country codes. 1 2
CountryOfIssue Bond, Equity, PreferredEquity, Unit Country the stock was issued String(255) Valid values: ISO 3166-1 Alpha 2 country codes. 2 2
CountryOfRCAMTFs defaulted ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant Country of Relevant Competent Authority (RCA) for securities trading on MTFs in the European Economic Area (EEA). Rapptr automatically populates this property by looking up the relevant instrument's ISIN (or underlying ISIN) in FIRDS, published by ESMA. String(255) There is an option to fill in this property with the respective Relevant Competent Authority (represented as a country code) directly in the positions file, otherwise, Rapptr looks it up in the FIRDS list. 31 31
CountryOfRCAMTFsDRs defaulted ADR Country of Relevant Competent Authority (RCA) for depository receipts trading on MTFs in the European Economic Area (EEA). Rapptr automatically populates this property by looking up the relevant instrument's ISIN (or underlying ISIN) in FIRDS, published by ESMA.
Please note that this property is specific for the Dutch short selling equity rules. In light of AFM's clarification that they view depositary receipts (DRs) as equated with 'shares' (the underlying of the DR) since a DR is issued with the company's cooperation, the property looks at the ISIN of a DR to determine the relevant competent authority (RCA) for disclosure purposes.
String(255) There is an option to fill in this property with the respective Relevant Competent Authority (represented as a country code) directly in the positions file, otherwise, Rapptr looks it up in the FIRDS list. 1 1
CountryOfRCARegulatedMarkets defaulted ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant Country of Relevant Competent Authority (RCA) for securities trading on regulated markets in the European Economic Area (EEA). Rapptr automatically populates this property by looking up the relevant instrument's ISIN (or underlying ISIN) in FIRDS, published by ESMA. String(255) There is an option to fill in this property with the respective Relevant Competent Authority (represented as a country code) directly in the positions file. Otherwise, Rapptr looks it up in the FIRDS list. 31 31
CountryOfRCARegulatedMarketsDRs defaulted ADR Country of Relevant Competent Authority (RCA) for depository receipts trading on regulated markets in the European Economic Area (EEA). Rapptr automatically populates this property by looking up the relevant instrument's ISIN (or underlying ISIN) in FIRDS, published by ESMA.
Please note that this property is specific for the Dutch short selling equity rules. In light of AFM's clarification that they view depositary receipts (DRs) as equated with 'shares' (the underlying of the DR) since a DR is issued with the company's co-operation, the property looks at the ISIN of a DR to determine the relevant competent authority (RCA) for disclosure purposes.
String(255) There is an option to fill in this property with the respective Relevant Competent Authority (represented as a country code) directly in the positions file, otherwise, Rapptr looks it up in the FIRDS list. 1 1
Delta Convertible, Option, Warrant 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) Decimal Valid Values: 0 to 1 68 34
DurationAdjustment Bond Modified duration of a bond Decimal This is used for calculating the appropriate exposure for EU Sovereign Debt Short Selling Regulation. 34 31
FaceValue Bond, Convertible Denomination of a debt instrument at issuance Decimal 34 31
HomeMemberState_v2 ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant The EU country of the competent authority to which an issuer of the security is assigned or registered with respect to the EU Transparency Directive. This property provides the Home Member State for bonds, equities, units and preferred equities. For all other asset classes, the Home Member State of the underlying asset is returned. String(255) Valid values: The European Economic Area: EU + Iceland, Liechtenstein and Norway. Further, it will include the UK for such a time as there is regulatory alignment as a result of the Brexit transition period..
For more information see the Help Centre article on this topic.
1 1
InstrumentCurrency ADR, Bond, CDS, CFD, Convertible, Equity, Future, Index required, Option, PreferredEquity, Rights, StructuredProduct required, Swap, Unit, Warrant Currency the instrument is denominated in. String(255) Valid values: ISO 4217 currency codes. 78 39
InstrumentId required All Identifier to link assets to instruments and instruments to Underlying instruments String(255) Must be unique for every instrument in one upload All All
InstrumentName required All Instrument name String(255) Used throughout Rapptr as the primary display name for the instrument, so ensure this name is meaningful All All
IsCashSettled CFD required, Future required, Option required, Swap required, Warrant 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. 4 3
IsConvertiblePreferred PreferredEquity If the preferred equity has the option to be converted into ordinary shares. Boolean 2 1
IsCoveredConvertible Convertible This property defines whether a convertible bond references shares already in issue or shares to be issued by the issuer upon conversion of the bond. Should this information not be possible to provide, please use the value 'Undetermined'. This value is allowed because the IsCoveredConvertible property, when set to True without certain knowledge, may be conservative in one context (Major rules), but less conservative in another (EU short selling). String(255) Valid values: False, True, Undetermined. 32 31
IsCoveredWarrant Warrant If the warrant is covered Boolean 32 31
IsETF Unit If a unit fund is exchange traded. Boolean 71 36
IsGovernmentBacked Bond If the bond is government backed or guaranteed. For shareholding disclosure, required only if shorting European Government debt. Boolean 34 31
ISIN ADR, Bond, CDS, CFD, Convertible, Equity, Future, Option, PreferredEquity, Swap, Unit, Warrant ISIN of the instrument String(255) Used to look-up Instrument in many lists such as EU Short Selling Exempt, short selling black & white lists, Takeover lists etc. Please note that ISIN is not required for instruments with the following asset classes unless they happen to be listed on a South African exchange: Swap, Option, Future, and CFD. 42 36
IsREIT Equity Set to TRUE if a share of a Real Estate Investment Trust (REIT) Boolean 1 1
IssuerId ADR, Bond, Convertible, Equity, PreferredEquity, Unit, Warrant Unique identifier for the issuer of the instrument String(255) Do not use the LEI for this as for the foreseeable future not all issuers have an LEI. For Unit funds structured as an ETF, this should identify the ETF itself. 80 41
IssuerName ADR, Bond, Convertible, Equity, PreferredEquity, Unit, Warrant [Issuer Property] Name of the issuer of the instrument String(255) For Unit funds structured as ETF, the IssuerName should be that of the ETFs itself.
For EU government bonds, insert the exact sovereign issuer name from ESMA's list of sovereign issuers.
For issuers that are disclosable under the nominal share capital rules in The Netherlands, insert the exact issuer name outlined by the Dutch AFM here if you want Rapptr to automatically populate the official value for TotalIssuedNominalCapital.
80 41
IsWhenIssued Equity, PreferredEquity If a security has been authorised but not yet issued. Boolean If set to TRUE, the securities have been authorised but not yet issued. For example, during a stock split where the securities are authorised but not issued until the corporate action is completed.
Set to FALSE if otherwise.
31 31
LEI All [Issuer Property] Legal Entity Identifier of an issuer String(255) This property should be provided for as many issuers as possible, as it will allow Rapptr to make an exact match with issuers in the Global Company Database. If LEI is not provided then Rapptr must rely on 'fuzzy matching' on the issuer name which can be unreliable. All All
LocalTicker ADR, Equity, PreferredEquity, Unit The ticker or stock symbol which is an abbreviation used to uniquely identify traded shares of a stock on a particular stock market. String(255) If a holding is composed of the same class (ISIN) having been traded on multiple venues, separate instruments and separate AssetIDs should be declared in the position file for each quantity of shares traded on each market. A traded instrument can be identified by exchange using SEDOL, exchange-level FIGI or quote-level PermID).
(For Singapore) This property is required for disclosure forms, and will allow the Singapore Short selling rule to run on only the quantity of shares traded on SGX-ST (i.e. in scope for disclosure.)
(For Hong Kong) This property will allow certain Hong Kong-listed securities without an ISIN assigned to be picked up by the Hong Kong Takeover and Hong Kong short selling Rules. Please ignore the zero prefix (leading zeros) when providing the local ticker. For example, please provide '5' instead of '00005' for HSBC holdings shares listed in Hong Kong.
5 5
LotSize Equity, PreferredEquity, Unit Number of shares in each lot or trading unit Decimal Required for: Short selling in Japan 1 1
Market ADR, Bond, CDS, CFD, Convertible, Equity, Future, Option, PreferredEquity, Rights, Swap, Unit, Warrant 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 the specific market segment is different to 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).
1 2
MarketsListedIn ADR, Bond, CDS, CFD, Convertible, Equity, Future, Option, PreferredEquity, Rights, Swap, Unit, Warrant 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 the specific market segment is different to 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).
12 8
Notional CDS, Future, Option, Swap, Unit 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 34 31
Price All 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 44 38
TotalDebtOutstanding Bond, Convertible [Issuer Property] Total amount of debt outstanding of an issuer in instrument currency, for sovereign debt rules Decimal Only required if you can't match the sovereign issuer name used in Issuer to ESMA's list of sovereign issuers 34 31
TotalSharesInTreasury Equity, PreferredEquity [Issuer Property] Total amount of issued shares bought back and held in treasury by the issuer. Excludes outstanding shares (held by investors) Decimal 31 31
TotalSharesOutstanding Equity, PreferredEquity, Unit [Issuer Property] Total amount of issued shares in circulation (held by investors) for an issuer. Includes the outstanding shares from all share classes. Excludes treasury stock. Decimal For Unit funds structured as ETFs this should reflect the number of units issued. 35 34

Properties valid for ALL AssetClasses

AssetClass, AssetClassCustomer, AssetId, AssetName, InstrumentCurrency, InstrumentId, InstrumentName, LEI, MarketValue, MarketValueInInstrumentCurrency, Price, Quantity, SFTType

Properties valid for each AssetClass

Asset classes which require exactly one underlying asset to pass validation are marked with one
Asset classes which can have multiple underlying assets are marked with multiple

Asset Class Description Valid Underlyings Properties
ADR required Depositary Receipts. Certificates that represent an ownership interest in shares of a (usually foreign-listed) company Equity, PreferredEquity ConversionRatio, CountryOfRCAMTFs, CountryOfRCAMTFsDRs, CountryOfRCARegulatedMarkets, CountryOfRCARegulatedMarketsDRs, ExecutionVenue, HomeMemberState_v2, ISIN, IssuerId, IssuerName, LocalTicker, Market, MarketsListedIn
Bond A fixed income instrument where the issuer owes the holder a debt and pays them interest on it CountryOfIssue, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, DurationAdjustment, FaceValue, HomeMemberState_v2, IsGovernmentBacked, ISIN, IssuerId, IssuerName, Market, MarketsListedIn, TotalDebtOutstanding
CDS required Credit Default Swap. A financial derivative contract that allows an investor to swap the credit risk of an issuer, country or another entity with another counterparty. Bond, Index, StructuredProduct ISIN, Market, MarketsListedIn, Notional
CFD required Contract For Difference. Now Deprecated, please use 'Swap' instead Bond, Convertible, Equity, Index, PreferredEquity, StructuredProduct ContractSize, IsCashSettled, ISIN, Market, MarketsListedIn
Convertible required A type of bond which can be converted to a specific number of equity shares of the issuing company (or another company in the case of an exchangeable bond) Equity ConversionRatio, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, Delta, ExecutionVenue, FaceValue, HomeMemberState_v2, IsCoveredConvertible, IsDeltaHedged, ISIN, IssuerId, IssuerName, Market, MarketsListedIn, TotalDebtOutstanding
Equity Also called: Common Stock. A stock or other security representing an ownership interest in a company ClassSharesOutstanding, ClassSharesOutstandingListedOnKRX, CountryOfIncorporation, CountryOfIssue, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, ExecutionVenue, HomeMemberState_v2, ISIN, IsREIT, IssuerId, IssuerName, IsWhenIssued, LocalTicker, LotSize, Market, MarketsListedIn, TotalSharesInTreasury, TotalSharesOutstanding
Future required A contract or agreement to buy or sell an asset at a certain date at a certain price Bond, Convertible, Equity, Index, PreferredEquity, StructuredProduct ContractSize, IsCashSettled, ISIN, Market, MarketsListedIn, Notional
Index multiple A collection or basket of securities which usually track the basket's performance and serve as reference values for a financial derivative ADR, Bond, CDS, Convertible, Equity, PreferredEquity
Option required Options Bond, Convertible, Equity, Future, Index, PreferredEquity, StructuredProduct, Unit CallOrPut, ContractSize, Delta, IsCashSettled, ISIN, Market, MarketsListedIn, Notional
PreferredEquity Also called: Preference Shares or Preferred Shares. A type of stock in which holders have a higher claim to the dividends or assets of a company and which may contain features of debt instruments, including convertibility into common stock. Equity ClassSharesOutstanding, ClassSharesOutstandingListedOnKRX, ConversionRatio, CountryOfIncorporation, CountryOfIssue, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, ExecutionVenue, HomeMemberState_v2, IsConvertiblePreferred, ISIN, IssuerId, IssuerName, IsWhenIssued, LocalTicker, LotSize, Market, MarketsListedIn, TotalSharesInTreasury, TotalSharesOutstanding
Rights required Subscription Rights. A certificate issued to existing shareholders giving them the right to purchase a certain number of shares from the issuer at a specific price Equity ConversionRatio, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, ExecutionVenue, HomeMemberState_v2, Market, MarketsListedIn
StructuredProduct multiple A customised collection or basket of securities which may be pre-packaged as an investment, usually track the basket's performance and may serve as reference values for a financial derivative ADR, Bond, CDS, Convertible, Equity, Future, Index, Option, PreferredEquity, StructuredProduct, Unit
Swap required A derivative contract in which two parties exchange the cash flows or liabilities of two different financial instruments. Excludes Credit Default Swaps ADR, Bond, Convertible, Equity, Index, PreferredEquity, StructuredProduct IsCashSettled, ISIN, Market, MarketsListedIn, Notional
Unit multiple A collective investment scheme or fund (set of pooled investments) which issues units or shares giving rights to the scheme's assets and associated income ADR, Bond, CDS, Convertible, Equity, Future, Option, PreferredEquity, StructuredProduct ClassSharesOutstanding, CountryOfIncorporation, CountryOfIssue, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, HomeMemberState_v2, IsETF, ISIN, IssuerId, IssuerName, LocalTicker, LotSize, Market, MarketsListedIn, Notional, TotalSharesOutstanding
Warrant required A certificate providing a right, but not an obligation to buy or sell a certain number of shares of a company at a specific price in the future. Equity CallOrPut, ContractSize, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, Delta, ExecutionVenue, HomeMemberState_v2, IsCashSettled, IsCoveredWarrant, IsDeltaHedged, ISIN, IssuerId, IssuerName, Market, MarketsListedIn

Portfolio & Entity Properties

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 NameApplies ToDescriptionData typeValid values & notesRules Jurisdictions
PortfolioId required 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 required Portfolio Name of the portfolio / entity String(255) 65 36
PortfolioCurrency required Both Base currency of the portfolio / currency entity should use for calculations String(255) Valid values: ISO 4217 currency codes. 3 2
PortfolioType required 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 required 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
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 NameApplies ToDescriptionData typeValid values & notesJurisdictions
Address Both Address used in disclosure documents String(255) 12
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
City Both Companies city used in disclosure documents String(255) 10
CompanyName Both Name of the company used in disclosure documents String(255) 13
CompanyNumber Unknown 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) -
ContactPersonFirst Entity First name of the person used in disclosure documents String(255) 11
ContactPersonLast Entity Last name of the person used in disclosure documents String(255) 11
Country Both Companies country used in disclosure documents String(255) Valid values: ISO 3166-1 Alpha 2 country codes. 12
Email Entity Email address of the contact person used in disclosure documents String(255) 11
EntityCountryOfIncorporation Unknown 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.
-
Fax Entity Company Fax number used in disclosure documents String(255) 11
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
IsReportingPersonPositionHolder Entity Advises if reporting person is same as position holder Boolean 10
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) 10
Province Both Companies province used in disclosure documents String(255) 9
ReportingPersonAddress Entity Street and number of the person filing the disclosure form String(255) 9
ReportingPersonCity Entity City of the person filing the disclosure form String(255) 9
ReportingPersonCompany Entity Company of the person filing the disclosure form String(255) 10
ReportingPersonCountry Entity Country of the person filing the disclosure form String(255) Valid values: ISO 3166-1 Alpha 2 country codes. 9
ReportingPersonEmail Entity Email of the person filing the disclosure form String(255) 9
ReportingPersonFax Entity Fax number of the person filing the disclosure form String(255) 9
ReportingPersonFirst Entity First name of the person filing the disclosure form String(255) 10
ReportingPersonLast Entity Last name of the person filing the disclosure form String(255) 10
ReportingPersonPhone Entity Phone number of the person filing the disclosure form String(255) 9
ReportingPersonPostCode Entity Postal code of the person filing the disclosure form String(255) 9
ReportingPersonProvince Entity State/province of the person filing the disclosure form String(255) 9
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 Entity Company or contact person telephone number used in disclosure documents String(255) 11

Last generated: 2020-10-26 11:18:54 UTC