To ensure 100% disclosure coverage in all 101 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 trading in Czech or Filipino companies you don't need to provide MarketCap. 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 are missing.
Rapptr will provide a default value for those properties marked with
.
For information on integrating via API, please see our GitHub repository. For all other information on Rapptr please see our Zendesk HelpCentre
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 | ![]() |
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 | ![]() |
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 | ||
AuthorisedLendingAgreement | All | Accounts for various exemptions, i.e. if the stock borrowing and lending arrangements are covered under and comply with the special requirements provided by the regulators. | List | Valid values: MY, PH, TH. | 6 | 3 | |||
ExecutionVenue | ADR, Convertible, Equity, PreferredEquity, Rights, Unit, 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. |
6 | 4 | |||
HasIntentionToExerciseVotingRights | All | If set to True, indicates that a collateral taker/giver or borrower has the intention to exercise the voting rights attached to the securities transferred. | Boolean | Valid for the following SFTTypes: CollateralTaken, CollateralGiven, Borrowed. | 148 | 28 | |||
HasTransferOfTitle | All | If set to True, indicates that the legal title of the security is transferred in the SFT transaction, as determined by the relevant legal agreements. Setting this to FALSE indicates the collateral includes no transfer of title (that which is just a pledge/lien of assets would fall into this category). Note: standard practice in securities lending agreements is that the title is transferred. |
Boolean | Valid for the following SFTTypes: Lent, Borrowed, CollateralTaken, CollateralGiven. | 323 | 82 | |||
HasTransferOfVotingPower | All | If set to True, indicates that the power to exercise the voting rights of the assets is transferred in the SFT transaction, as determined by the relevant legal agreement. | Boolean | Valid for the following SFTTypes: Lent, Borrowed, CollateralTaken, CollateralGiven. | 231 | 54 | |||
HoldingType | ![]() |
All | Direct or Indirect holding. For more information see the Help Centre article on this topic. | String(255) | Only used in Forms Valid values: Direct, Indirect. |
- | 28 | ||
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. | 5 | 3 | |||
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. | 5 | 3 | |||
Quantity | ![]() |
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). |
441 | 102 | ||
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 |
442 | 102 |
Property Name | Applies To | Description | Data type | Valid values & notes | Rules | Jurisdictions | |||
---|---|---|---|---|---|---|---|---|---|
EntityId | All | Unique identifier of an entity which the desk correlates to | String(255) | 8 | 1 |
Property Name | Applies To | Description | Data type | Valid values & notes | Rules | Jurisdictions | |||
---|---|---|---|---|---|---|---|---|---|
IsMaskedHolding | ![]() |
All | If you do not wish your holding to be masked if under the minimum 3% or 5% thresholds in the European major forms (ESMA Standard form, TR1 & Bafin forms) then please contact FundApps to have this property set to false for your company. | Boolean | Only used in Forms | - | 25 |
An instrument is the portfolio independent information
Property Name | Applies To | Description | Data type | Valid values & notes | Rules | Jurisdictions | |||
---|---|---|---|---|---|---|---|---|---|
AssetClass | ![]() |
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' |
443 | 102 | ||
AssetClassCustomer | ![]() |
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 | ![]() |
Option, Warrant | If an option / warrant is call or put | String(255) | Valid values: Call, Put. | 441 | 102 | ||
ClassDebtOutstanding | Convertible | Outstanding principal amount of a debt issuance | Decimal | Required for UK takeover, New Zealand and China major shareholding calculations for convertibles. | 4 | 3 | |||
ClassPDRsOutstanding | ADR | Total quantity of Philippine Depositary Receipts in circulation for this class of PDRs. This value can be sourced from the company specific data sheet found here. | Decimal | Required for Major Philippines. | 1 | 1 | |||
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. | 48 | 22 | |||
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. | 399 | 102 | |||
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 | 398 | 102 | ||||
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. | 252 | 75 | |||
CountryOfIssue | Bond, Equity, PreferredEquity, Unit | Country the stock was issued | String(255) | Valid values: ISO 3166-1 Alpha 2 country codes. | 18 | 6 | |||
CountryOfRCAMTFs | ![]() |
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. | 30 | 30 | ||
CountryOfRCAMTFsDRs | ![]() |
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 | ![]() |
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. | 32 | 30 | ||
CountryOfRCARegulatedMarketsDRs | ![]() |
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 | ||
CUSIP | ADR, Bond, CDS, CFD, Convertible, Equity, Future, Option, PreferredEquity, Rights, Swap, Unit, Warrant | Nine-character CUSIP | String(255) | Only used for US 13F regulation (to match the SEC list). CINS (CUSIP International Numbering System) numbers can be provided in place of CUSIP numbers. For assets with no CUSIP (e.g. those not traded in the US), default to: NONE | 2 | 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 | 278 | 51 | |||
DRType | ADR | Type of depositary receipt | String(255) | Valid values: NVDR, PDR, P-Note, Sponsored, Unclassified, Unsponsored. Required for: Major Thailand and Major Philippines. |
4 | 2 | |||
DurationAdjustment | Bond | Modified duration of a bond | Decimal | This is used for calculating the appropriate exposure for EU Sovereign Debt Short Selling Regulation. DurationAdjustment is also known as 'modified duration', and is a measure of bond price sensitivity to changes in its yield to maturity. Values used by clients should be positive. | 34 | 31 | |||
EEARegMarketsList | ![]() |
ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant | List of markets (MICs) for the relevant security (using RefISIN) which are deemed EEA Regulated Markets from either: a) FIRDS, b) the input property: MarketsListedIn field, or c) the input property: Market. | List | 6 | 1 | |||
EEARegMarketsListCountries | ![]() |
ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant | The list of ISO Country Codes from the list of markets (MICs) for the relevant security (using RefISIN) which are deemed EEA Regulated Markets from the lookup in EEARegMarketsList. | List | 6 | 1 | |||
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 | - | 25 | ||
ExerciseStyle | Option, Warrant | Exercise style of options and warrants, which is defined by when, and under what circumstances an option may be exercised. | String(255) | Valid values: American, Bermudan, European. | 9 | 3 | |||
FaceValue | Bond, Convertible | Denomination of a debt instrument at issuance | Decimal | 40 | 34 | ||||
Has13GDisclosureRequirement | ADR, Convertible, Equity, PreferredEquity, Rights, Warrant | This property should be set to True if you have submitted a 13G filing for an Entity or Portfolio that did not trigger a disclosure on its own. If applicable, Has13GDisclosureRequirement should be set to True for the ISIN of the Class of equity security reported on the 13G filing submitted. For a derivative security (ADR, Option, Convertible) the property should be set on the reportable underlying equity ISIN. | Boolean | 1 | 1 | ||||
HasAlternateUSSection12Registration | ADR, Convertible, Equity, PreferredEquity, Rights, Warrant | Indicates if a security (or in some cases, the ADR for which it is an underlier) is registered under U.S. Section 12 by other means besides being listed on a U.S. National Securities Exchange. The aosphere memo for the United States describes alternate means of registration in Section 3.5(a), 'Section 12 Registration' and related footnotes. In addition, it is possible for a foreign security (even if it's not traded on a U.S. market) to be considered disclosable if the particular class is held on deposit underlying an ADR which is section 12 registered (See section 3.5(g) of the aosphere memo for the regulatory background). This property should be set to True for securities meeting that criteria. | Boolean | Populate this as True if a security is considered U.S. Section 12 registered as noted in the description. For more information on a security in this category which is also on deposit underlying an ADR in the United States, see Question 101.03 of the SEC's Q&A on 13D and 13G reporting | 5 | 1 | |||
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.. For more information see the Help Centre article on this topic. |
160 | 30 | |||
HomeMemberStateDRs | ![]() |
ADR | 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 depository receipts themselves, and not the underlying shares. It returns a null value for all other asset classes. Please note that due to gold-plating of the Transparency Directive, most EU Member States require disclosure of depository receipts whether or not the issuer's securities that are represented by the depository receipts are admitted to trading on a EEA regulated market. | String(255) | If not provided, Rapptr populates this property with the EEA country of the Relevant Competent Authority by looking up the DR's ISIN in the FIRDS list. For more information see the Help Centre article on this topic. | 6 | 1 | ||
InControlOfConversion |
Convertible ![]() ![]() |
If the holder has control over the conditions of conversion (for convertibles) or exercise (for warrants). | Boolean | Some countries require convertibles & warrants to be counted if the conditions for conversion are within the control of the parties (e.g. UK, Pakistan). | 31 | 35 | |||
InstrumentCurrency |
ADR, Bond, CDS, CFD, Convertible, Equity, Future, Index ![]() ![]() |
Currency the instrument is denominated in. | String(255) | Valid values: ISO 4217 currency codes. | 434 | 102 | |||
InstrumentId | ![]() |
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 | ![]() |
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 ![]() ![]() ![]() ![]() |
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. | 265 | 66 | |||
IsConvertiblePreferred | PreferredEquity | If the preferred equity has the option to be converted into ordinary shares. | Boolean | 215 | 57 | ||||
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. | 196 | 58 | |||
IsCoveredWarrant | Warrant | If the warrant is covered | Boolean | 191 | 54 | ||||
IsETF | Unit | If a unit fund is exchange traded. | Boolean | 198 | 51 | ||||
IsGBCountryOfRCAMTFs | ![]() |
ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant | Set to True if Country of Relevant Competent Authority (RCA) for securities trading on MTFs in the UK is the United Kingdom. Note that the CountryOfRCAMTFs property should be used separately for the RCA of securities trading on MTFs in the EEA. If not set, this property is populated with True if the ISIN is listed on FCA FIRDs with a UK MTF provided as one of its MICS. | Boolean | 1 | 1 | |||
IsGBCountryOfRCARegulatedMarkets | ![]() |
ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant | Set to True if Country of Relevant Competent Authority (RCA) for securities trading on regulated markets in the UK is the United Kingdom. Note that the CountryOfRCARegulatedMarkets property should be used separately for the RCA of securities trading on regulated markets in the EEA. If not set, this property is populated with True if the ISIN is listed on FCA FIRDs with a UK regulated market provided as one of its MICS. | Boolean | 1 | 1 | |||
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. | 273 | 54 | |||
IsREIT | Equity | Set to True if a share of a Real Estate Investment Trust (REIT) | Boolean | 3 | 2 | ||||
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. | 428 | 102 | |||
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 the SSR EU Bonds: United Kingdom rule insert 'United Kingdom' as the issuer name. 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. |
429 | 102 | |||
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. |
7 | 6 | |||
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). |
165 | 36 | |||
MarketCap | Equity, PreferredEquity | [Issuer Property] Monetary value of the registered share capital in instrument currency. | Decimal | Only required for a handful of jurisdictions. | 8 | 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). |
325 | 87 | |||
MaturityDate | Convertible, Future, Option, PreferredEquity, Rights, Swap, Warrant | Convertible, Right, Warrant: The 'maturity date' should be populated with the first date on which the instrument can be converted into the underlying equity. E.g. if a convertible bond can be converted into the reference security prior to the maturity of the bond then it is the date of when the conversion can take which should be provided. Physically settled derivative When the securities are to be delivered. Bond, Deposit: Maturity Date (for IR only). PreferredEquity (convertible): Convertible preferred equity doesn't have a 'maturity date' in the same sense that convertible debt does. Populate this field with: a) the first date on which the holder can convert into the underlying equity securities, if they hold control of conversion (this is usually found in the share issuance prospectus), or b) the date when the convertible preferred may first be callable (convertible) by the issuer, if the company controls the conditions of conversion. If it can be converted at any time, insert a past date or today's date. |
Date | Necessary for USA & Canada to determine if expiry is within next 60 days and for document generation in the UK, Hong Kong and Philippines. | 12 | 29 | |||
NextExerciseDate | ![]() |
Option | Next date where an option is exercisable. For American options: Maturity date | Date | Defaults to MaturityDate if not provided. | 8 | 2 | ||
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 | 36 | 31 | ||||
ParValue | Equity, PreferredEquity | Price of an equity security when originally issued and bearing no relation to the market price. The value will be stated in the company's articles of incorporation/association. | Decimal | Only required for a handful of jurisdictions. | 12 | 5 | |||
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 | 400 | 102 | ||||
TitleOfClass | ![]() |
ADR, Bond, Convertible, Equity, PreferredEquity, Rights, Unit, Warrant | Title of the class of the security (e.g. 1p ORD). Used in disclosure forms | String(255) | Only used in Forms | - | 6 | ||
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 EU issuers or to the United Kingdom 'TotalDebtOutstandingGB' value set | 34 | 31 | |||
TotalIssuedNominalCapital | Equity, PreferredEquity | [Issuer Property] Total amount of issued nominal share capital across all share classes in instrument currency | Decimal | Property required for jurisdictions such as the Netherlands, Denmark, Czech Republic and Egypt, where the calculation of holdings is based on nominal share capital in an issuer. If TotalIssuedNominalCapital is not provided, the rules which use it cannot run. Please note that we have an automated solution for the Dutch Issuer Data in our Regulatory Data. | 21 | 5 | |||
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 | 61 | 38 | ||||
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. | 120 | 74 | |||
TotalVotingRights | Equity, PreferredEquity, Unit | [Issuer Property] Total amount of voting rights in circulation for an issuer | Decimal | 229 | 65 | ||||
TotalVotingShares | Equity, PreferredEquity, Unit | [Issuer Property] Total amount of outstanding shares with voting rights attached in circulation | Decimal | 16 | 11 | ||||
VotesPerShare | Equity, PreferredEquity, Unit | Number of votes attached to a single share | Decimal | Allowed value range: 0 .. 1000000 | 273 | 77 |
An InstrumentComponent is a component of an index / basket / structured product
Property Name | Applies To | Description | Data type | Valid values & notes | Rules | Jurisdictions | |||
---|---|---|---|---|---|---|---|---|---|
InstrumentId | ![]() |
All | String(255) | All | All | ||||
Weighting |
ADR, Bond, Convertible, Equity, Index ![]() ![]() |
Non-bond asset classes: Weighting of the component in the Index / Structured Product / Unit, where weighting represents the component's market value or capitalisation as a percentage of the total Index / Structured Product / Unit value. If not specified, we will default this to a value of 1. Bonds: Weighting of the component in the Index / Structured Product / Unit, where weighting represents the bond component's notional (currency) value as a percentage of the total (sum of bond holding notionals) bond fund/index. |
Decimal | Allowed value range: 0 .. 1 | 434 | 102 | |||
WeightingQuantity | ADR, Convertible, Equity, Index, PreferredEquity, StructuredProduct, Unit | Weighting of the component in the Index/ Structured Product / Unit, where weighting represents the component's equivalent shares per unit of the Structured Product. If not specified, we will default this to a value of 1. | Decimal | Minimum allowed value: 0 If providing WeightingQuantity instead of Weighting, one should ensure that the sum of all components in the Index/ Structured Product / Unit represented by each component's WeightingQuantity multiplied its price equals the Structured Index/ Structured Product / Unit's price. If not, any look through values will be under or over stated. |
400 | 102 |
AssetClass, AssetClassCustomer, AssetId, AssetName, AuthorisedLendingAgreement, HasIntentionToExerciseVotingRights, HasTransferOfTitle, HasTransferOfVotingPower, HoldingType, InstrumentCurrency, InstrumentId, InstrumentName, LEI, MarketValue, MarketValueInInstrumentCurrency, Price, Quantity, SFTType
Asset classes which require exactly one underlying asset to pass validation are marked with
Asset classes which can have multiple underlying assets are marked with
Asset Class | Description | Valid Underlyings | Properties |
---|---|---|---|
ADR
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Depositary Receipts. Certificates that represent an ownership interest in shares of a (usually foreign-listed) company | Equity, PreferredEquity | ClassPDRsOutstanding, ConversionRatio, CountryOfRCAMTFs, CountryOfRCAMTFsDRs, CountryOfRCARegulatedMarkets, CountryOfRCARegulatedMarketsDRs, CUSIP, DRType, EEARegMarketsList, EEARegMarketsListCountries, ExecutionVenue, Has13GDisclosureRequirement, HasAlternateUSSection12Registration, HomeMemberState_v2, HomeMemberStateDRs, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, ISIN, IssuerId, IssuerName, LocalTicker, Market, MarketsListedIn, TitleOfClass, Weighting, WeightingQuantity |
Bond | A fixed income instrument where the issuer owes the holder a debt and pays them interest on it | CountryOfIssue, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, CUSIP, DurationAdjustment, EEARegMarketsList, EEARegMarketsListCountries, FaceValue, HomeMemberState_v2, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, IsGovernmentBacked, ISIN, IssuerId, IssuerName, Market, MarketsListedIn, TitleOfClass, TotalDebtOutstanding, Weighting | |
CDS
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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 | CUSIP, ISIN, Market, MarketsListedIn, Notional |
CFD
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Contract For Difference. Now Deprecated, please use 'Swap' instead | Bond, Convertible, Equity, Index, PreferredEquity, StructuredProduct | ContractSize, CUSIP, ExercisePrice, IsCashSettled, ISIN, Market, MarketsListedIn |
Convertible
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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 | ClassDebtOutstanding, ConversionRatio, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, CUSIP, Delta, EEARegMarketsList, EEARegMarketsListCountries, ExecutionVenue, FaceValue, Has13GDisclosureRequirement, HasAlternateUSSection12Registration, HomeMemberState_v2, InControlOfConversion, IsCoveredConvertible, IsDeltaHedged, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, ISIN, IssuerId, IssuerName, Market, MarketsListedIn, MaturityDate, TitleOfClass, TotalDebtOutstanding, Weighting, WeightingQuantity |
Equity | Also called: Common Stock. A stock or other security representing an ownership interest in a company | ClassSharesOutstanding, ClassSharesOutstandingListedOnKRX, CountryOfIncorporation, CountryOfIssue, CountryOfRCAMTFs, CountryOfRCARegulatedMarkets, CUSIP, EEARegMarketsList, EEARegMarketsListCountries, ExecutionVenue, Has13GDisclosureRequirement, HasAlternateUSSection12Registration, HomeMemberState_v2, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, ISIN, IsREIT, IssuerId, IssuerName, IsWhenIssued, LocalTicker, LotSize, Market, MarketCap, MarketsListedIn, ParValue, TitleOfClass, TotalIssuedNominalCapital, TotalSharesInTreasury, TotalSharesOutstanding, TotalVotingRights, TotalVotingShares, VotesPerShare, Weighting, WeightingQuantity | |
Future
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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, CUSIP, ExercisePrice, IsCashSettled, ISIN, Market, MarketsListedIn, MaturityDate, Notional |
Index
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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 | Weighting, WeightingQuantity |
Option
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Options | Bond, Convertible, Equity, Future, Index, PreferredEquity, StructuredProduct, Unit | CallOrPut, ContractSize, CUSIP, Delta, ExercisePrice, ExerciseStyle, IsCashSettled, ISIN, Market, MarketsListedIn, MaturityDate, NextExerciseDate, 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, CUSIP, EEARegMarketsList, EEARegMarketsListCountries, ExecutionVenue, Has13GDisclosureRequirement, HasAlternateUSSection12Registration, HomeMemberState_v2, InControlOfConversion, IsConvertiblePreferred, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, ISIN, IssuerId, IssuerName, IsWhenIssued, LocalTicker, LotSize, Market, MarketCap, MarketsListedIn, MaturityDate, ParValue, TitleOfClass, TotalIssuedNominalCapital, TotalSharesInTreasury, TotalSharesOutstanding, TotalVotingRights, TotalVotingShares, VotesPerShare, Weighting, WeightingQuantity |
Rights
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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, CUSIP, EEARegMarketsList, EEARegMarketsListCountries, ExecutionVenue, Has13GDisclosureRequirement, HasAlternateUSSection12Registration, HomeMemberState_v2, InControlOfConversion, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, Market, MarketsListedIn, MaturityDate, TitleOfClass |
StructuredProduct
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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 | Weighting, WeightingQuantity |
Swap
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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 | CUSIP, IsCashSettled, ISIN, Market, MarketsListedIn, MaturityDate, Notional |
Unit
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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, CUSIP, EEARegMarketsList, EEARegMarketsListCountries, ExecutionVenue, HomeMemberState_v2, IsETF, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, ISIN, IssuerId, IssuerName, LocalTicker, LotSize, Market, MarketsListedIn, Notional, TitleOfClass, TotalSharesOutstanding, TotalVotingRights, TotalVotingShares, VotesPerShare, Weighting, WeightingQuantity |
Warrant
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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, CUSIP, Delta, EEARegMarketsList, EEARegMarketsListCountries, ExecutionVenue, ExerciseStyle, Has13GDisclosureRequirement, HasAlternateUSSection12Registration, HomeMemberState_v2, InControlOfConversion, IsCashSettled, IsCoveredWarrant, IsDeltaHedged, IsGBCountryOfRCAMTFs, IsGBCountryOfRCARegulatedMarkets, ISIN, IssuerId, IssuerName, Market, MarketsListedIn, MaturityDate, TitleOfClass |
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) | 65 | 48 | |
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 |
33 | 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) | 40 | ||
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) | 41 | ||
CompanyName | Both | Name of the company used in disclosure documents | String(255) | 44 | ||
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. | 41 | |
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) | 33 | |||
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) | 18 | ||
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) | 38 | ||
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) | 12 | ||
ReportingPersonCity | Both | City of the person filing the disclosure form | String(255) | 25 | ||
ReportingPersonCompany | Both | Company of the person filing the disclosure form | String(255) | 11 | ||
ReportingPersonCountry | Both | Country of the person filing the disclosure form | String(255) | Valid values: ISO 3166-1 Alpha 2 country codes. | 12 | |
ReportingPersonEmail | Both | Email of the person filing the disclosure form | String(255) | 17 | ||
ReportingPersonFax | Both | Fax number of the person filing the disclosure form | String(255) | 13 | ||
ReportingPersonFirst | Both | First name of the person filing the disclosure form | String(255) | 29 | ||
ReportingPersonLast | Both | Last name of the person filing the disclosure form | String(255) | 29 | ||
ReportingPersonPhone | Both | Phone number of the person filing the disclosure form | String(255) | 18 | ||
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) | 12 | ||
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: 2021-02-23 18:27:23 UTC