Document Transfer System DTS
Automatic transfer of electronic fund
documents to fundinfo.com
Version 2.1.4
Revision date: 30th June 2016
document_transfer_system_(dts)_technical_specification_(op-p-en-000003-2.1.4)
Document Transfer System DTS, version 2.1.4
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Table of Contents
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Executive summary – Document Transfer System (Doc-DTS)
This document describes several options of transferring electronic fund documents automatically from
the fund house’s document repository to fundinfo’s database. “Automatic transfer” covers not only
submission or download of the physical document (PDF file), but also transmission of all necessary
information to categorize and publish the document correctly on www.fundinfo.com and its associate
platforms.
Setup of a document transfer system (Doc-DTS) is free of charge for the fund house/document
producer and does not require any contract or agreement. The intention of Doc-DTS is to increase the
efficiency and automation of document transfer.
This document is classified as Public (P): freely available for public use.
Disclaimer:
The contents of this document are provided “as is”. This information may contain technical
inaccuracies, typographical errors or out-of-date information and may be updated or changed without
notice at any time. In no event shall fundinfo be liable for special, indirect, incidental or consequential
damages resulting from or related to the use of this document.
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Fund document PDF metadata specifications
Metadata
Each document needs to be categorised before it can be published and disseminated by fundinfo.
Metadata covers this necessary information and can be stored or delivered in different ways (see
chapter 4 “Overview of possible delivery methods” on page 12).
2.1.1 Basic metadata
The following metadata information is required for each document provided by the fund house (or
document producer) for programmatic categorisation and import into fundinfo’s document repository.
Table 1: Basic metadata
Property
Description
Version*
Metadata specification version that is being used:
-
“1.0” for first release of KIID metadata specifications
“1.1”, “1.3”, “1.4” or “2.0” for previous metadata specifications
“2.1” for metadata using this document’s specifications
GeneratorContact*
A character string identifying a unique email address where the creator of
the PDF (infrastructure company or fund management company) can be
contacted. This email address can be chosen by the company that
creates the PDF. Please make sure that the email address is valid.
DocumentType
Document type (Marketing or Legal document), represented by 2- or 3character uppercase strings.
Format: 2-3 uppercase characters
A list of valid document type codes is available in Appendix chapter 6.1
”Document type codes” on page 18.
PublicationCountry
One or more countries in which the document can be published.
Format: ISO 3166-1 alpha-2 country code(s).
A list of valid country codes can be found in Appendix chapter 6.2
“Country codes” on page 19.
EU=Europe: If the document can be published in all European countries,
you may use “EU” instead of listing all country codes separately.
Constraint options:
-
Optional constraint ‘RES’ for marketing or ‘non-public’ documents
Constraint ‘QFI’ for documents applicable to non-Swiss
domiciled funds
Please refer to ‘Constraint’ for more detailed specification on how to use
the ‘constraint’ options.
Language
Language of the document (can be a list of languages if the document
covers multiple languages).
Format: ISO 639-1 language code(s).
A list of valid language codes can be found in the Appendix chapter 6.3
“Language codes” on page 20.
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Property
Description
ShareClass
One or more ISIN codes specifying all share classes covered by the
document.
Format: ISIN (11 alpha-numeric, 1 digit) without prefix.
Documents for representative share classes: All share classes which are
covered by this document need to be listed by identifier (ISIN), comma
separated.
Constraint
Optional
Parameter specifying if a document is for a specific group of investors
only.
Format: 3 character uppercase or empty
Values: RES or QFI
RES =
restriction to Professional Investors
- for ‘public’ marketing documents
- for ‘non-public’ marketing and legal documents
RES is a document property only, not related to the country
registration type of the underlying ISINs.
QFI =
restriction to Qualified Swiss Investors
- only for non-Swiss domiciled funds, which have a ‘Country
Representative – Switzerland’ (OFST6102CH) and ‘Country
Paying Agent – Switzerland’ (OFST6107CH) and are only
distributed to qualified investors in Switzerland
- only for documents with PublicationCountry ‘CH’
- for all document types (marketing and legal documents)
Implementation options:
a. Embedded metadata
- at document level:
- at PublicationCountry level:
Constraint=RES;
PublicationCountry=LU.RES;
Please see further sample in chapter 3.2 “PDFs with embedded
metadata examples” on page 9.
b.
c.
CSV feeds
- at document level:
- at PublicationCountry level:
by adding RES to Constraint
by appending .RES to each
country ISO code (e.g. LU.RES;)
XML feeds
- at document level:
<document url="http://media.fundinfo.com/xyz.pdf"
constraint="RES" recordDate="2014-10-31" ... >
- at PublicationCountry level:
<publicationCountry constraint="RES">LU</publicationCountry>
See also Appendix chapter 6.4.1 “Publishing constraints” on page 21.
DisseminationRecipient
Optional
Allows dissemination of ‘non-public’ documents to specific recipients only.
Format: 4-digit uppercase alpha-numeric code;
multiple values need to be separated by comma.
Codes to use are provided by fundinfo on request.
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Property
Description
Important:
- ‘non-public’ documents are disseminated according to the document’s
PublicationCountries exclusively, by ignoring the funds/ISINs country
registrations.
- Client based dissemination can only be used with a valid agreement for
our document dissemination service ‘paperboy’.
Please refer to Appendix chapter 6.4.2 'public' and 'non-public'
documents - definitions and characteristics” on page 22.
There is a separate manual available upon request that provides
additional information for manual sending of PDF with
DisseminationRecipient in PDF file name or via self-upload.
RecordDate
As of date of the document, specifying the date to which the document
content refers.
This date is displayed on the web platform and will be delivered to FDS
(Fund Document Services) gateways.
For KIDs, this should match the DateOfPublication property.
Format: YYYY-MM-DD
ModificationDate**
Specifies the date on which the document or the corresponding metadata
was last modified (e.g. the date on which any mistakes in the document
were corrected, or the xml/csv has been adapted for this PDF).
Very important for fundinfo to determine if a document needs to be
updated in fundinfo’s system.
Format: YYYY-MM-DD
ExpirationDate
Optional
Expiration date of the document. Specifies the date when the document
becomes outdated and is automatically removed from fundinfo’s system.
Format: YYYY-MM-DD
DocumentURL**
The original URL from which the document can be downloaded, if
available (at time of production).
RFC 1738 URL
Must not contain any spaces!
Important:
- URL needs to return a PDF document (application/PDF); no HTML
page or other format
- access to the PDF must be without cookies, disclaimers or other
restrictions
- HTTP re-directs are accepted
Filesize
Optional**
File size in bytes of the referenced file in DocumentURL.
Checksum
Optional** / Mandatory***
MD5 checksum (32 hexadecimal characters) of the content of the
referenced file in DocumentURL.
File size will be used to proof integrity of the downloaded document.
Checksum will be used to proof integrity of the downloaded document.
*
**
***
relevant for metadata embedded in PDF; optional for xml/csv
relevant for transfer via xml/csv; not relevant for metadata embedded in PDF
checksum is mandatory, if identical document (i.e. with same checksum) is stored behind varying URLs.
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2.1.2 Additional metadata (optional)
Additional metadata can be stored into the PDF. This information is currently not used by fundinfo’s
system, but might be necessary to fulfill the requirements of other recipients.
Table 2: Additional metadata
Property
Description
RepShareClass
One single share class identifier for the representative share class
according to the specifications above (see “ShareClass”):
If there is only one: RepShareClass = ShareClass
If there are several, RepShareClass specifies the identifier of the
representative share class.
RepShareClassCurrency
This property specifies the currency of the representative share class
(RepShareClass).
DateOfPublication
KID-specific attribute, according to CESR/09-949/page 10:
11. Date of publication: A statement that the information contained within
the KID is accurate as at [31 December 20xx]
SRRI
KID specific
PerformanceFee
EntryCharge
ExitCharge
OngoingCharges
KID specific
OngoingChargesDate
KID specific
Synthetic risk and reward indicator: a number between 1 and 7
Translation
UeHS specific
OeKB UeHS: ‘Uebersetzung‘
Signature
UeHS specific
OeKB UeHS: ‘Unterfertigung’
only relevant for DocumentType ‘PR’
Provision-Website
UeHS specific
DocDate
UeHS specific
Text field
Percentage value
Percentage value
Percentage value
As of date of the OngoingCharges listed on the KID document.
YYYY-MM-DD
y=yes
n=no
scan=scanned signature
digital=certified electronic signature
no=no signature
OeKB UeHS: ‘Bereitstellungswebsite‘
y=yes
n=no
OeKB UeHS: ‘Dokumentdatum‘
YYYY-MM-DD
Please note that fundinfo strives to extend this section to cover all PRIIP relevant data once the final
regulatory technical standards for PRIIP KID documents is released.
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Embedded metadata in physical PDF document
Embedded metadata in PDF
If a PDF contains metadata (= embedded metadata), the information is stored in the physical
document itself.
Portable Document Format (PDF)
allows the storage of visible (and
printable) information as well as invisible information. Visible information
represents the visual content when
opening a PDF document on your
computer; invisible information, also
referred to as “metadata”, is stored as
key/value pairs within the invisible
section of the PDF document. Some of
these key/value pairs can be viewed via
the "Properties…" method of the PDF
viewer.
Metadata
includes
the
"Created" date and "Modification" date
as well as the title and author of the
document.
Fig. 1: Embedded PDF metadata
If the required set of metadata is complete and accurately included in the “Keywords” section, there is
no need to send additional information to fundinfo for the correct categorization and publication of
documents on www.fundinfo.com. Documents can be sent by email or simply pushed onto a FTP
server.
3.1.1 The “Keywords” metadata container
The storage place which fundinfo and
many other document processors use to
read out all relevant information for the
document upload can be viewed in the
"Properties…" section of the document.
It is called "Keywords" and displays as a
multiline text box. This container should
be used to store relevant information
about the document in machinereadable
form
(the
“Keywords”
metadata).
Fig. 2: Keywords metadata container
3.1.2 PDF document security settings
For accessibility and data processing,
the PDF documents need to allow copying of the content i.e. "Content Copying"
and "Content Copying for Accessibility".
It is recommended to allow printing as
well. All other options can be set to "Not
Allowed".
Fig. 3: PDF document security settings
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3.1.3 Example of PDF with embedded metadata
A sample PDF file can be downloaded here:
http://media.fundinfo.com/dts/MetadataExample-2.1.pdf
3.1.4 Online PDF metadata validator
You can test your PDF metadata using our validation tool on:
https://validate.fundinfo.com/Document/Metadata
PDFs with embedded metadata examples
3.2.1 ‘public’ Monthly Report for professional Luxembourg investors
Version=2.1;
GeneratorContact=mail@example.com;
DocumentType=MR;
PublicationCountry=LU;
Language=en;
ShareClass=LU1234567890;
Constraint=RES;
RecordDate=2014-10-30;
ModificationDate=2014-10-30;
DocumentURL=http://your.company.com/factsheets/LU1234567890_EUR_LU_en_2014-10-30.pdf;
3.2.2 ‘public’ Annual Report for retail investors, valid for multiple countries
Version=2.1;
GeneratorContact=mail@example.com;
DocumentType=AR;
PublicationCountry=DE,AT,LI,LU,ES,IT,FR,UK,NL;
Language=en;
ShareClass=LU1234567890,LU2345678901,LU3456789012,LU4567890123;
RecordDate=2014-06-30;
ModificationDate=2014-09-30;
DocumentURL=http://your.company.com/legal/AnnualReport_XXX_2014_en.pdf;
3.2.3 ‘public’ Prospectus for retail investors in multiple countries and qualified
investors in Switzerland
Version=2.1;
GeneratorContact=mail@example.com;
DocumentType=PR;
PublicationCountry=DE,AT,LI,LU,ES,IT,FR,UK,NL,CH.QFI;
Language=en;
ShareClass=LU1234567890,LU2345678901,LU3456789012,LU4567890123;
RecordDate=2014-10-01;
ModificationDate=2014-09-30;
DocumentURL=http://your.company.com/legal/Prospectus_XXX_2014_en.pdf;
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3.2.4 ‘public’ Key Investor Information Document for Germany
Version=2.1;
GeneratorContact=Kiid.client_A@InfrastructureCo.com;
DocumentType=KID;
PublicationCountry=DE;
Language=de;
ShareClass=LU1234567890;
RepShareClass=LU1234567890;
RepShareClassCurrency=EUR;
DateOfPublication=2014-10-27;
RecordDate=2014-10-20;
ModificationDate=2014-10-26;
ExpirationDate=2015-02-15;
DocumentURL=http://your.company.com/kiid/KID_Example_with_Properties.pdf;
SRRI=6;
PerformanceFee=No;
EntryCharge=5%;
ExitCharge=1%;
OngoingCharges=2.62%;
OngoingChargesDate=2014-08-31;
3.2.5 ‘non-public’ Monthly Report for retail investors in Switzerland, professional
investors in Spain, Italy, only for client XXXX
Version=2.1;
GeneratorContact=mail@example.com;
DocumentType=MR;
PublicationCountry=CH,IT.RES,ES.RES;
Language=de;
ShareClass=LU1234567890;
Constraint=;
DisseminationRecipient=XXXX;
RecordDate=2014-10-30;
ModificationDate=2014-10-30;
DocumentURL=http://your.company.com/factsheets/LU1234567890_EUR_CH_de_2014-10-30.pdf;
3.2.6 ‘non-public’ Sales Presentation for professionals in UK, qualified investors in
Switzerland, only for client XXXX
Version=2.1;
GeneratorContact=mail@example.com;
DocumentType=SP;
PublicationCountry=UK.RES,CH.QFI;
Language=en;
ShareClass=LU1234567890;
DisseminationRecipient=XXXX;
RecordDate=2014-10-05;
ModificationDate=2014-09-30;
DocumentURL=http://your.company.com/marketing/SalesPresentation_XXX.pdf;
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3.2.7 ‘non-public’ bilingual Prospectus for professional investors in HK, only for client
XXXX
Version=2.1;
GeneratorContact=mail@example.com;
DocumentType=PR;
PublicationCountry=HK;
Language=en,zh;
ShareClass=LU1234567890;
Constraint=RES;
DisseminationRecipient=XXXX;
RecordDate=2015-06-01;
ModificationDate=2015-07-30;
DocumentURL=http://your.company.com/legal/Prospectus-prof-HK.pdf;
You can check your PDF metadata implementation by using our online metadata validator (see chapter
3.1.4 “Online PDF metadata validator” on page 9).
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Overview of possible delivery methods
Fig. 4: Overview of possible delivery methods
Since documents published on www.fundinfo.com are stored on fundinfo’s servers, fundinfo needs to
know when a new document version becomes available. If documents are delivered by email or FTP
upload, this is easy to determine (by the document submission timestamp). If document feeds (XML,
CSV) are used, a data point called “ModificationDate” needs to provide information about the last
modification time of a document record, in order to determine if this document or its metadata
assignment needs to be updated in fundinfo’s system.
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Different options of document transfer
Delivery of PDFs containing embedded metadata
If the fund house is able to integrate metadata directly into the PDF according to our metadata
specifications, we will be able to receive these documents either via FTP Upload (preferred) or by
email. Email delivery is only recommended if the amount of documents does not exceed the common
mail server delivery limits (max. ~20MB).
Please see chapter 2 “Fund document PDF metadata specifications” on page 4 for more information
about PDF metadata.
5.1.1 FTP upload
All documents delivered need to include metadata according to fundinfo’s PDF metadata
specifications (see chapter 2, “Fund document PDF metadata specifications” on page 4). The fund
house will get access to our FTP server with an individual username and password. This is our
preferred document delivery method.
If a document provider is delivering documents for multiple fund houses, we will prepare separate
subfolders for each fund house.
Please see chapter 3 “Embedded metadata in physical PDF document” on page 8 for more
information.
5.1.2 By email
Transferring documents via email to fundinfo’s document email address is convenient for fund houses
with less than 20 ISINs and a low rate of re-sending documents. By choosing this option, the fund
house needs to include document metadata directly in the PDF. Another option for accredited users of
fundinfo.com is to send documents using the document upload form on www.fundinfo.com.
Delivery of PDFs without embedded metadata
If you are not able to integrate metadata in the PDF (= embedded metadata), there are other
possibilities to send the document and the necessary information to fundinfo.
5.2.1 FTP upload of XML / CSV File containing document links plus metadata
Transferring documents via XML or CSV file is a very efficient solution. It is easy to establish if the
fund house is already using web-links (URL) for its documents. By choosing this option, the fund
house is creating a XML or CSV file containing metadata and URLs to the online document.
You can test document URLs using our validation tool on:
https://validate.fundinfo.com/Document/UrlAddress
Further URL specifications are listed in chapter 2.1.1 ”Basic metadata” on page 4.
Please see chapter 5.3 “XML / CSV document metadata feed” on page 14 for more information.
5.2.2 Web service on the fund house’s web page or document management system
If a fund house is providing access to its documents through a web service, fundinfo is able to
implement this as well. The underlined condition is that all required document metadata is being
provided by this service.
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XML / CSV document metadata feed
If documents are already published on the internet, you can provide to fundinfo a list of hyperlinks to
all documents currently published on your web site. This can be either an XML (extended markup
language) structure or a CSV (character separated values) list.
This file should be delivered to fundinfo at least once per month by
-
FTP upload (our preferred standard way of delivery)
Publishing the file on your web site (fundinfo will download this file usually on a daily basis)
via email as an attachment
If monthly reports (or other regularly updated document types) are being generated daily or on-the-fly,
fundinfo needs to know on which day of the month the update of your fund documentation should be
processed. This can be triggered by using the ‘ModificationDate’.
The XML /CSV feed must contain the full scope of documents agreed on in the feed at all times. No
delta XML / CSV are to be sent / pushed onto fundinfo’s FTP server.
Removal of documents from fundinfo’s system can be performed by using the ‘ExpirationDate’. Simply
removing the corresponding URL from the XML / CSV feed does not remove the document in
fundinfo’s repository.
CSV feed specifications
When providing document links as a list of document URLs in a CSV (comma separated values) file,
the following specifications need to be implemented:
-
First line specifies the feed header and will not be processed.
Each field (column) is terminated by a semicolon character (“;”).
Each record (line) is terminated by a carriage return (CR), a line feed (LF) or both (CRLF).
Multiple values per field/column are separated by a comma character (“,”).
5.4.1 Feed header
The feed header contains the column configuration and the specifications version used as well as the
generation timestamp of the feed:
DocumentType;PublicationCountry;Language;ShareClass;Constraint;DisseminationRecipient;
RecordDate;ModificationDate;ExpirationDate;DocumentURL;Filesize;Checksum;Version=2.1;
Generated=[YYYY-MM-DD HH:MM:SS]
5.4.2 Document records
A document and its document assignment information can be specified by:
a) Multiple records per document: one record for each DocumentType, PublicationCountry,
Language, ISIN, Constraint combination.
When using this option, fundinfo requires the introduction of ‘Checksum’ to verify integrity of
the PDF.
b) One record per document: all metadata such as DocumentType, PublicationCountry,
Language, and ISIN codes will be specified by comma-separated lists.
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Table 3: Document records
Column
Mapped field
Format
A
B
C
D
E
F
G
H
I
J
DocumentType
PublicationCountry
Language
ShareClass
Constraint
DisseminationRecipient
RecordDate
ModificationDate
ExpirationDate
DocumentURL
See chapter 2.1 ”Metadata” on page 4.
RFC 1738 URL, see chapter 2.1 ”Metadata” on page 4
URLs containing semicolon characters (“;”) need to be enclosed in
quotation marks (“”).
K
L
Filesize
Checksum
See chapter 2.1 ”Metadata” on page 4.
5.4.3 Sample feed
A sample CSV file should look like this (http://media.fundinfo.com/dts/documentList-2.1-sample.csv).
5.4.4 Online CSV file validator
You can test your CSV matching our standard as listed above by using our validation tool on:
https://validate.fundinfo.com/Document/CSV.
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XML feed specifications
The fundinfo DTS XML feed uses the following structure:
Table 4: XML feed specifications
Node (Xpath)
Description/Field
Format
/documentList
Root element containing
document nodes.
/documentList/@lastUpdate
Attribute containing last update
timestamp of the feed content.
ISO 8601
timestamp
/documentList/@version
Attribute containing
specification version used for
the feed.
‘2.1’
/documentList/document
Document node,
representing a (physical)
PDF file.
/documentList/document/@url
See chapter 2.1 ”Metadata” on page 4.
/documentList/document/@constraint
/documentList/document/@recordDate
/documentList/document/@modificationDate
/documentList/document/@expirationDate
/documentList/document/@filesize
/documentList/document/@checksum
/documentList/document/documentType
/documentList/document/publicationCountry
/documentList/document/publicationCountry/@constraint
/documentList/document/language
/documentList/document/shareClass
/documentList/document/disseminationRecipient
5.5.1 Sample feed
Sample XML file:
http://media.fundinfo.com/dts/documentList-2.1-sample.xml
Validation schema:
http://media.fundinfo.com/dts/documentList-2.1.xsd
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5.5.2 External XML file validation tools
There are several applications available in the internet, which allow a testing of your XML file versus
the XSD. When searching for ‘XML file validator’ in your search engine, you should find one you can
use free of charge for your testing.
FTP upload to fundinfo
If documents are pushed onto our FTP server, fundinfo prepares an account on its server
(ftp://dts.fundinfo.com) where updated documents should be uploaded to.
5.6.1 Documents including embedded metadata
Documents containing metadata as described in chapter 2 “Fund document PDF metadata
specifications” on page 4 already contain all necessary information for automatic categorisation into
our systems.
5.6.2 XML / CSV feeds
XML and CSV feeds containing metadata and document links according to the specifications in
chapter 5.3 “XML / CSV document metadata feed” on page 14 should be uploaded to the FTP server
every time a document record has changed (at least once a month).
Every time we receive a new feed file, an automated process compares the new feed file to its
predecessor and identifies all documents that need to be downloaded and processed (again). The
trigger for downloading and document processing is the ‘ModificationDate’.
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Appendix
Document type codes
6.1.1 Marketing documents
Table 5: Marketing document codes
Document Types
Document
type code
Monthly report
MR
Manager commentary
MC
Fund profile
FP
Quarterly report
QR
Sales Presentation
SP
Marketing Brochure
BRO
Sales Aid
AID
Other Marketing Material
OTH
Country specific/additional comment
all countries (with optional Constraint)
only ‘non-public’; Paperboy agreement required
DisseminationRecipient mandatory, all countries
6.1.2 Legal documents
Table 6: Legal document codes
Document Types
Document
type code
Semi-annual report
SAR
Annual report
AR
Prospectus
PR
Dividend Table
DIV
Additional Information for Investors
INF
Key Investor Information Document
KID
according to UCITS directive
PRIIP Key Information Document
PRP
according to PRIIP regulation
Simplified Prospectus
SPR
Terms of Contract
CON
Annual Report Short
ARS
Interim Report Short
IRS
Supplementary Information Document
SID
Product Highlights Sheet
PHS
Singapore
Key Facts Statement
KFS
Hong Kong, China
Trimestrial Financial Report
TRM
Hong Kong, Spain, China
Regulations, Fund Reglement
REG
Spain
Subscription Form
SUB
Supplement Subscription Form
SUS
§ 21 Abs.1 AIFMG - Angaben
AI1
Austria
Audit Report
AU
only for OeKB; currently not processed by fundinfo
Country specific/additional comment
all countries
European countries only
United Kingdom
Italy
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Country codes
Table 7: Country codes
Code to be used
ISO 3166-1 alpha-2
Country code
“EU” implies
Austria
AT
Belgium
BE
Switzerland
CH
Germany
DE
Spain
ES
France
FR






Hong Kong
HK
Italy
IT
Liechtenstein
LI
Luxemburg
LU
Netherlands
NL
Singapore
SG
United Kingdom / Great Britain
GB (or UK)

Bulgaria
BG
Cyprus
CY
Czech Republic
CZ



Denmark
DK

Estonia
EE
Finland
FI
Guernsey
GG
Gibraltar
GI
Greece
GR
Hungary
HU
Ireland
IE
Isle of Man
IM
Iceland
IS
Jersey
JE
Lithuania
LT
Latvia
LV
Monaco
MC
Malta
MT
Norway
NO
Poland
PL
Portugal
PT
Romania
RO
Sweden
SE
Slovenia
SI
Slovakia
SK
San Marino
SM






















Countries
Visibility
fundinfo ‘live’ countries




http://www.fundinfo.com
http://paperboy.fundinfo.com
partner platforms
fundinfo ‚paperboy countries‘ - Europe
http://paperboy.fundinfo.com
partner platforms
all document types
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Countries
Code to be used
ISO 3166-1 alpha-2
Country code
“EU” implies
Visibility
non-European countries
United Arab Emirates
AE
Argentina
AR
Australia
AU
http://paperboy.fundinfo.com
Bermuda
BM
Brazil
BR
partner platforms
all document types
Chile
CL
China
CN
Colombia
CO
Japan
JP
Republic of Korea/South Korea
KR
Cayman Islands
KY
Macao
MO
Mauritius
MU
Mexico
MX
Peru
PE
Taiwan
TW
United States
US
British Virgin Islands
VG
South Africa
ZA
Language codes
Table 8: Language codes
Languages
code to be used
ISO 639-1
German
de
English
en
French
fr
Dutch/Flemish
nl
Italian
it
Spanish
es
Chinese
zh
Arabic
ar
Bulgarian
bg
Czech
cs
Danish
da
Greek
el
Estonian
et
Finnish
fi
Hungarian
hu
Irish
ga
Icelandic
is
all Document Types
http://paperboy.fundinfo.com
partner platforms
all document types
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Languages
code to be used
ISO 639-1
Japanese
ja
Korean
ko
Lithuanian
lt
Latvian
lv
Maltese
mt
Norwegian
no
Polish
pl
Portuguese
pt
Romanian
ro
Slovak
sk
Slovene
sl
Swedish
sv
Document publishing constraints – ‘public’ and ‘non-public’ documents
6.4.1 Publishing constraints
Table 9: Publishing constraints
Constraint
Code
professional investors only
RES
Only applicable for ‘public’ marketing documents and ‘non-public’ documents.
qualified investors only
QFI
Only applicable for legal and marketing documents which apply for non-Swiss
domiciled funds with Swiss ‘Country Representative’ (OFST6102CH) and
‘Country Paying Agent’ (OFST6107CH), distributed to qualified investors in
Switzerland.
DisseminationRecipient
Code
specific recipients only
4-digit code
‘DisseminationRecipient’ code on pdf level
see table 2.1 “Metadata” on page 4
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6.4.2 'public' and 'non-public' documents - definitions and characteristics
Table 10: Public vs. non-public documents
'public' documents
Definition
- 'Public' documents are the basic document set of fundinfo. Documents of this category
can be processed for all fund groups listed in fundinfo's database.
- 'Public documents' are split into two subsets of document categories: 'marketing documents' and
'legal documents'.
Characteristics
- 'DisseminationRecipientCodes' (pdf level) must not be used.
- Documents are suitable for publication and dissemination to various clients.
Prerequisites for availability
(publication and dissemination):
- ISIN share class status = 'active' (OFST900019)
- Countries of availability:
Documents are only available for countries in which the underlying share classes are
registered for sale, and which match the 'PublicationCountries' of the PDF.
- ISIN Country Registration must be 'yes' or 'res' (Marketing Distribution OFST6031XX).
- PDF 'PublicationCountry' must match ISIN Country Registration.
Constraint policy
Marketing Documents
Legal Documents
(MR, MC, QR, FP)
(PR, AR, SAR, KID, KFS, PHS, DIV, …)
- [no Constraint]



- RES



- QFI [CH only]



'non-public' documents
Definition
- Using the feature of 'non-public' documents is restricted to fundinfo's Document Dissemination
service (‘paperboy’) only.
- 'Non-public' documents are only disseminated to the clients defined by the PDF's.
DisseminationRecipientCode.
- These documents are either:
- special document types (e.g. Sales Presentations), which require a
DisseminationRecipient coding.
- special document versions for specific recipients only
(e.g. a Monthly Report version specifically created for one recipient).
- documents for funds/ISINs without country registration ('non-authorised' funds).
- For document processing of 'non-public' documents, there is no difference between 'marketing
documents' and 'legal documents'.
Characteristics
- 'Dissemination Recipient Code' (pdf level) is mandatory.
- Documents are suitable for dissemination to specific recipients only.
Prerequisites for availability
(only dissemination):
- ISIN share class status = 'active' (OFST900019)
- Countries of availability:
Documents are available for all countries indicated as 'PublicationCountries' in the PDF
metadata.
- ISIN Country Registration is oversteered by 'PublicationCountries' of PDF.
- Dissemination also for countries, in which the underlying share classes are NOT
registered (Marketing Distribution OFST6031XX = 'no').
- Non-public documents must be unique PDFs, i.e. must have a unique checksum. A document
cannot be processed as public and non-public. If a PDF is provided as both public and nonpublic (e.g. different senders), the public assignments will prevail.
Constraint policy
all document types
(all 'public' document types + paperboy specific document types, e.g. 'SP')
- [no Constraint]
- RES
- QFI [CH only]



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PDF metadata EBNF specification
InfoKey = "Keywords"
InfoValue =
"Version="
"GeneratorContact="
"DocumentType="
"PublicationCountry="
"Language="
"ShareClass="
[ "Constraint="
[ "DisseminationRecipient="
[ "RepShareClass="
[ "RepShareClassCurrency="
[ "DateOfPublication="
"RecordDate="
"ModificationDate="
[ "ExpirationDate="
[ "DocumentURL="
[ "SRRI="
[ "PerformanceFee="
[ "EntryCharge="
[ "ExitCharge="
[ "OngoingCharges="
Version
GeneratorContact
DocumentTypeList
CountryList
LanguageList
ShareClassList
Constraint
DisseminationRecipient
ShareClassIdentifier
ShareClassCurrency
Date
Date
Date
Date
URL
SRRIValue
Text
PercentageValue
PercentageValue
PercentageValue
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
";"
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
SpaceChar
];
]
]
]
]
]
]
]
]
]
]
]
SpaceChar = ? space character (0x40)?;
Version = ? PDF metadata specification version used (format “#.#”, currently “2.1”) ?
GeneratorContact = ? a valid email address identifying the producer of the PDFs ?
DocumentTypeList = DocumentType { "," DocumentTypeList }
DocumentType = ? fundinfo document type identifier according to listing 6.1 ?;
CountryList = Country { "," CountryList }
Country = ? ISO_3166 country code or exceptionally reserved "UK",
append “.RES” if valid for professional investors only ?;
append “.QFI” if document is for qualified investors in CH only ?;
LanguageList = Language { "," LanguageList }
Language = ? ISO_639 language code ?;
ShareClassList = ShareClassIdentifier { "," ShareClassList }
ShareClassIdentifier = ID_ISIN | ID_VALOR | ID_WKNDE | ID_WKNAT | ID_SEDOL;
ID_ISIN = ? ISIN code
ID_VALOR = "VALOR:" ?
ID_WKNDE = "WKNDE:" ?
ID_WKNAT = "WKNAT:" ?
ID_SEDOL = "SEDOL:" ?
according ISO_6166, no prefix ?;
Swiss Valoren number ?;
German Wertpapierkennnummer (WKN) ?;
Austrian Wertpapierkennnummer (WKN) ?;
UK SEDOL number ? ;
(*
(*
(*
(*
(*
recommended
alternative
alternative
alternative
alternative
*)
*)
*)
*)
*)
ShareClassCurrency = (* ISO_4217 currency code *)
Date = ? YYYY-MM-DD ?;
URL = ? RFC 1738 Uniform Resource Locator ?;
Constraint = "RES" | "QFI";
DisseminationRecipient = ? 4-digit code ?;
SRRIValue = "1" | "2" | "3" | "4" | "5" | "6" | "7";
Text = ? any text ?;
PercentageValue = ? decimal value followed by the percent sign (%) ?;
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Revision history
Version
Date
Author
Description
1.0
21.02.2012
matthias.hueni@fundinfo.com
Initial version derived from former
“Betrieb_402_DocumentTransferSystem”,
added “Fund document PDF metadata
specifications v1.2”
1.1
06.03.2012
birgit.partin@fundinfo.com
Review
1.2
16.03.2012
adrian.kern@fundinfo.com
Update Delivery of Documents
1.2.1
26.03.2012
matthias.hueni@fundinfo.com
Review
adrian.kern@fundinfo.com
Chapters ‘DTS’ and ‘Delivery methods’
rewritten (+ new illustration)
12.04.2012
matthias.hueni@fundinfo.com
Metadata: added Checksum & Filesize
16.04.2012
adrian.kern@fundinfo.com
CSV and XML metadata format changed
1.3
PDF metadata: relocation of “Constraint”,
replaced “Country” by “PublicationCountry”
1.4
29.10.2012
dario.bosshard@fundinfo.com
Metadata: added Country constraint
“.RES”
matthias.hueni@fundinfo.com
adrian.kern@fundinfo.com
birgit.partin@fundinfo.com
PDF metadata: changed “DocumentUrl” to
“DocumentURL” for consistency with
XML/CSV
Review
1.4.1
11.02.2013
birgit.partin@fundinfo.com
Update of contact for Head of IT
2.0.0
20.06.2013
adrian.kern@fundinfo.com
Addition of two new document types
(IRS, ARS)
14.07.2013
birgit.partin@fundinfo.com
New feature: Dissemination Recipient
- paperboy only
Removal of one document type (MEM)
Complete review
Change of contacts
Adaption of OeKB metadata standard
‘UeHS PDF Metadaten-Spezifikation’
(English: ‘TDS PDF-MetadataSpecification’)
version May 2013, V1.0
2.0.1
31.10.2013
birgit.partin@fundinfo.com
Country BE as ‘live’ country on
www.fundinfo.com
Addition of one new document type (SP)
Additional metadata value
‘OngoingChargesDate’ (optional)
‘DisseminationRecipient’ in PDF file name
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Version
Date
Author
Description
2.0.2
15.02.2014
birgit.partin@fundinfo.com
Addition of one new document type (SID)
Update of OeKB metadata standard
‘UeHS PDF Metadaten-Spezifikation’
(English: ‘TDS PDF-MetadataSpecification’)
version February 2014, V1.2
New fundinfo address
25.05.2014
birgit.partin@fundinfo.com
Precision of use of constraint ‘RES’
Announcement of expiry for doc-type
‘SUP’ in 12/2014
Updates of samples (6.2 PDFs with
embedded metadata examples)
2.1.0
31.10.2014
birgit.partin@fundinfo.com
Constraint ‘QFI’ for documents (CH only)
Update of OeKB metadata standard
‘UeHS’/’TDS PDF metadata-specification
to version October 2014 / V 1.3
Expiration of Doc-Type ‘SUP’ 12/2014
Shut down of Doc-Type ‘PIB’
Removal of transmission option for PDF
without embedded metadata via file
name/folder naming convention
Extension of country coverage
2.1.1
22.03.2015
birgit.partin@fundinfo.com
Addition of one new document type
(DIV)
Announcement of expiry for doc-type
‘PR1/PR2/PR3’ in 06/2015
Update of OeKB metadata standard
‘UeHS’/’TDS PDF metadata-specification
to version March 2015 / V 1.4
2.1.2
19.10.2015
birgit.partin@fundinfo.com
New feature: dissemination of fund
documents with DisseminationRecipient
Code (‘non-public’ documents) for
unauthorized funds (available for
Paperboy clients only)
Removal of doc-type ‘PR1/PR2/PR3’
Clarification on URL specification
Definitions and characteristics of ‘public’
and ‘non-public’ documents
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Version
Date
Author
Description
2.1.3
12.04.2016
birgit.partin@fundinfo.com
Document restructuring, e.g. chapter
numbering
Adaption of static data wordings to
openfunds standard 1.0 [DRAFT]
Addition of three new ‘non-public’
document types (BRO, AID, OTH)
Precision in Constraint definitions and
‘non-public’ documents prerequisites
Updated PublicationCountries (PE, SM)
2.1.4
30.06.2016
birgit.partin@fundinfo.com
Addition of two new ‘public’ document
types (PRP, INF)
Adaption of ‘TRM’ to cover MRF
publication requirements for Mainland
Chinese Funds in Hong Kong
Introduction of new online CSV validation
tool
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Contact information
Operational contact information
fundinfo AG
Staffelstrasse 12
8045 Zürich
Switzerland
Office Hours Switzerland:
08:00 – 18:00 UTC +1 (daylight saving: UTC +2)
Phone +41 44 286 91 09
Document management team
Birgit Partin, Head of Operations
doc-team@fundinfo.com
birgit.partin@fundinfo.com
General contact information
fundinfo AG
Staffelstrasse 12
8045 Zürich
Switzerland
Office Hours Switzerland:
08:00 – 18:00 UTC +1 (daylight saving: UTC +2)
Phone +41 44 286 91 02
membersupport@fundinfo.com
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