Viewfinder Trade Settlement Instructions CSV File Import Specifications Version 5.7 December 2007 Table of Contents Introduction ......................................................................................................................................... 3 File Format ........................................................................................................................................ 3 Trade Settlement Instruction Messages Supported .............................................................. 3 Process for Developing CSV Trade Instruction Files ................................................................. 4 Achieving STP................................................................................................................................... 4 File Import Specifications ................................................................................................................. 5 File, Record and Field Specification Details ............................................................................. 5 Message Format Standards .......................................................................................................... 7 Trade Instruction File Process Flow ........................................................................................... 7 Trade Reference Numbers ............................................................................................................ 7 Bulk Allocations ............................................................................................................................... 8 Cancellations .................................................................................................................................... 9 Validation and Approval ................................................................................................................ 9 Importing a Trade Settlement Instruction File ..................................................................... 11 Field Specification for Trade Settlement Instructions ............................................................ 12 Counterparty Identifier Rules .................................................................................................... 24 Development Tool ............................................................................................................................ 25 Viewfinder Helpdesk ..................................................................................................................... 26 i Trade Instructions CSV File Import Specifications Introduction Viewfinder enables you to import a file containing several Trade Settlement Instructions. Your instructions can be exported from your existing back-office trading system(s) and imported directly into Viewfinder for transmission to RBC Dexia Investor Services for Straight-Through Processing (STP). This document provides the specifications for formatting your files for import. While importing the trade instruction files is a manual process, it is easier, more reliable, and more secure than using fax or manually keyed alternatives. This document should be read in conjunction with the current STP guidelines that will be provided by your Client Service Representative. File Format There are several file import formats that may be utilised to import trade instructions to Viewfinder. The most suitable format can be discussed with your Client Service Representative. The file format specified in this document allows for the import of trade instructions using Comma Separated Variable (CSV) format. Trade Settlement Instruction Messages Supported The following five message types are currently supported by Viewfinder for CSV Trade File Import: 1. Receive Free 2. Receive vs. Payment 3. Deliver Free 4. Deliver vs. Payment 5. Cancellation Instructions (for above message types) Bulk allocations are supported where permitted by the RBC Dexia Investor Services settlement system. 3 Trade Instructions CSV File Import Specifications Process for Developing CSV Trade Instruction Files Developing your files for import into Viewfinder is a multi-step process: 1. 2. 3. 4. Notify your RBC Dexia Investor Services Client Service Manager that you wish to submit your trades using the File Import feature. Prepare a test file that contains your trade settlement instructions from your back -office system in the CSV format, following the specifications outlined in this document. Contact the Viewfinder Helpdesk to begin testing the file. RBC Dexia Investor Services will assist you through the following two test stages: Stage I—The test file is sent to RBC Dexia Investor Services to be loaded into Viewfinder's test environment to test that the file and field formats are acceptable. Web Delivery Services will conduct this test, and liaise with your developer to report any problems. Stage II—The file from Viewfinder will be loaded into the trade processing systems' test environment in RBC Dexia's Settlement Services. This will test whether the trade instructions meet Straight Through Processing standards. Settlement Services will report the results from this test to your developer. 5. RBC Dexia Investor Services will confirm that testing was successfully completed before you can begin sending " live" trade instructions. Note: All testing must be carried out under the supervision of authorised RBC Dexia Investor Services representatives as there are significant business risks, and monetary losses may result if "test" instructions are accidentally processed on RBC Dexia’s production systems. Achieving STP Viewfinder provides field and record format validation only. It is the originator's responsibility to ensure that the instructions are suitable for processing. The specifications provided for the CSV file include details on field formats and order of the fields. RBC Dexia recognizes that achieving high levels of STP is important to all parties within the investment industry. It is important to adopt the settlement practises that are relevant to the particular country and instrument class (e.g. bonds, equities, fixed income, cash equivalent). This requires specific fields to be populated with the appropriate identifiers in the correct format. To accommodate the need for STP RBC Dexia Investor Services will apply additional definitions for fields within the CSV specification. It may also be necessary to specify additional format rules for specifying counterparty and narrative information. These rules will tend to be those defined as the standard market practice applicable to that type of instruction. The current STP requirements will be provided in a separate document. More information is provided in the detailed specifications section. Note: STP requirements are constantly evolving and are subject to revisions by the industry Securities Market Practice Group (SMPG). It may be necessary for RBC Dexia Investor Services t o request changes to the field contents or data formats to accommodate changing STP standards. 4 Trade Instructions CSV File Import Specifications File Import Specifications File, Record and Field Specification Details Each file imported into Viewfinder may contain one or more records. Each record contains a specific message type with information contained in applicable fields. File Specifications The following section summarizes general specifications for each file: 1. A single file can contain one or several trade settlement instruction messages 2. A single file can contain a single message type, or can contain several trade message types. 3. Header and footer rows are optional, as they will be ignored. 4. Each file name for the CSV trade instructions must have the extension .csv. Record Specifications The following section summarizes general specifications for each record: 1. Each record will be treated as a New instruction. 2. Records that contain an un-recognized version number (MessageVersion) or message type (MessageType) will be ignored. New version numbers will be implemented to accommodate future revisions to the specifications. 3. Each record must be appropriately formatted and contain sufficient content to achieve settlement. 4. Each record must be presented on a new line. 5. There should be no blank rows. 6. A trade instruction will only be loaded into Viewfinder if it meets mandatory requirements. Any record that is missing a mandatory field will be rejected. 5 Trade Instructions CSV File Import Specifications Field Specifications The following section summarizes general rules for fields: 1. Fields within a record are comma separated. 2. Leading or trailing spaces will be ignored. 3. Placeholders must be provided to indicate null fields: IF... THEN... a text field is blank 2 double quotation marks ( "") must be provided to indicate a null-string 4. a numeric field is blank the comma-placeholder (,) is required a date field is blank the comma-placeholder (,) is required The comma and quotation characters are not permitted within data fields. Field Formats The following outlines general field format guidelines for common fields: FIELD FORMAT Dates Must represent a valid date and use the format YYYYMMDD Currency Amounts must be expressed as positive numbers with the correct decimal places (e.g. JPY=0, EUR &USD=2) Note: Bond interest may be expressed as a positive or negative value. SWIFT BIC Any identifiers that are used must have been previously registered with SWIFT Narrative Fields Where narrative fields use multiple lines, a data field is provided for each line. The originating system is responsible for ensuring that the fields are populated top down with no blank lines Note: The FREE (RF, DF) and PAYMENT (DVP, RVP) records along with Single, Bulk and allocation records use the same field list. Fields may be marked as optional but become mandatory under some circumstances. More information is provided in the detailed specifications section. 6 Trade Instructions CSV File Import Specifications Character Set Rules Only the following characters will be accepted: Upper Case A through Z Lower Case a through z Numeric 0 through 9 Special Characters /-?:().+ Note: All other characters will cause the record to be rejected. There are character set restrictions for some fields: Counterparty ID fields - characters [A-Z,0-9] are permitted (no spaces) Narrative fields - do not start a line of text with the character " -" Message Format Standards The following provides standards for messages: Message types can be co-mingled in the same CSV file. Minimum validation will take place on the instructions during the import process. Messages that appear to be correct will be released to the appropriate Global Services processing centre. The input field definitions and data formats identified in this specification are based upon the ISO15022 standards. Cancellation instructions will be given a new transaction number but will be matched to the original trade via the client reference field. Trade Instruction File Process Flow The following outlines the process flow after the file has been imported: 1. 2. 3. 4. Each import will cause updates to the audit trail. Each trade instruction will be validated individually. The File Import Summary Report will indicate which files have been loaded into Viewfinder and which trade instructions were successfully received by Viewfinder, and which trades have been rejected. Viewfinder will reject erroneous trades that cannot be processed and will provide a detailed error message. It will be the client's responsibility to ensure that suitable intervention occurs to deal with any rejected trade instructions or files. Viewfinder will provide audit logs indicating message type, Client Reference # and Viewfinder Transaction number. Trade Reference Numbers The key reference numbers are as follow: 7 Trade Instructions CSV File Import Specifications Client Reference—This is a client defined reference number and must be input in the trade instruction in the ClientReference field (field 9). Please ensure that it is unique for each trade instruction. This reference will be delivered to the RBC Dexia custody systems. Settlement Services will quote this reference to gain additional information concerning a trade Viewfinder Transaction Number–This is the reference number that Viewfinder will assign to a successfully imported trade instruction and is also called the " Tnum". This trade reference is unique for the Viewfinder platform. This reference will be used when contacting the Viewfinder Help Desk. Note: A trade instruction that is "cancelled" will maintain the Tnum for the original instruction. The cancellation is also an instruction and it will therefore have a separate Tnum. The cancellation instruction will be stored within Viewfinder with a cross reference (Tnum) to the original trade instruction. If the Trade Instruction is re-presented to Viewfinder then it is treated as a new instruction and a New Tnum will be created. Bulk Allocations The following specifies how trade instructions that are provided with bulk allocations must be formatted: 1. The message type " TSIBLK" (BULK parent record) must be provided as a standard instruction as per the field specifications. 2. Provide the allocation records as one allocation per line following the TSIBLK instr uction (maximum number of allocations is limited to 999 per Bulk parent record). 3. Allocations will be considered completed when the end of the import file or a new TSIBLK or TSISIN (single trade with no allocations) record is encountered. 4. There should be NO blank rows. 5. Viewfinder will sum the individual allocations and verify that the total of the allocations equals the quantity on the Bulk parent record. 6. The Client Reference numbers on the TSIBLK and TSIALC (single allocation record) records must match. 7. The mandatory fields on each TSIALC record are the Client Reference, Custody Account Number and Units fields. Note: Bulk allocations are only available for certain RBC Dexia Investor Services back -office systems. 8 Trade Instructions CSV File Import Specifications Cancellations If it is necessary to change the settlement details on a trade instruction that has already been sent to RBC Dexia Investor Services then a Cancellation instruction must be sent. Procedure for cancellations You have two options to cancel a trade instruction that has already been sent to RBC Dexia Investor services: 1. Cancellations may be included in the CSV file. To cancel a previous instruction it is necessary to specify the instruction type as " CANC" using the MessageTSIFunction field (field 3), and use the client reference number from the original trade to identify the instruction that is to be cancelled. 2. If it is not practical to generate the cancellation instructions in the CSV file, cancellations can be sent manually through the Settlement Services menu in Viewfinder. For details, ref er to Cancelling a Securities Instruction within Viewfinder Online Help. Validation and Approval The CSV file format provides two fields that allow you to indicate the status and validation rules for trade instructions that are imported into Viewfinder: 1. MessageStatus (field 5) allows the originating system to indicate whether each trade instruction should be loaded into Viewfinder and assigned the " Entered" status, or loaded as " Approved" and released to the custody system in an STP manner. MESSAGESTATUS VALUE 2. EXPLANATION "EN" is Entered The instructions are imported and held in Viewfinder until an authorized user approves the instructions. This allows the instructions to be checked, and modified if necessary, before they are delivered to RBC. "AP" is Approved The instructions are imported and immediately released to RBC Dexia without any further action. ValidateYN (field 6) provides some rudimentary validation of the trade. This functionality will be developed further in later releases of the trade import utility. Eventually this will support the full Securities Market Practice Group (SMPG) validation rules and will ensure you provide STP quality trade instructions to RBC. 9 Trade Instructions CSV File Import Specifications MessageStatus and ValidateYN fields are used in combination. The particular values that are selected are very much dependent on your systems and procedures. The following table provides scenarios and indicates the correct settings for these fields: IF... Your file of trade instructions is ready to be released to RBC Dexia for STP settlement SET MESSAGE STATUS VALUE TO... SET VAL IDATE YN VALUE TO... AP N THEN... Trade file is imported Trades are released for further settlement Trades have necessary settlement information No requirement to review the instructions within Viewfinder before they are released Your file of trade instructions are suitable for STP settlement AP Y Trade instructions that are STP ready are released automatically You would like Viewfinder to carry out some checks and automatically release trade instructions that are STPready Your file of trades have incomplete settlement information Trade file is imported Trade instructions that are not STP ready are held back for you to edit and approve on the Viewfinder screen EN N or Y Trade file is imported Trades are held within Viewfinder for the final edits You will edit each trade to complete the details Trade instructions will have to be manually " approved" before they are released for settlement Your file of trades have complete STP information Your workflow procedures or policies dictate that trade instructions to be approved by a particular group EN N or Y Trade file is imported Trades are held within Viewfinder for the final edits Trade instructions are then available to be "approved" by the authorised users before they are released for settlement 10 Trade Instructions CSV File Import Specifications Importing a Trade Settlement Instruction File The following outlines the steps to import your file in Viewfinder: 1. 2. 3. 4. 5. 6. 7. 8. On the Main Menu, click the arrow beside Settlement Services to expand the instructions menu. Select Instruction Entry to display the function menu. Select Securities Instructions. Click File Import. Select a File Type to Import. Click the Browse button to choose the file from your own system. Click OK on the upper right menu bar to proceed with the File Import. You will receive a notification that the import was successful: File uploaded successfully. Total Bytes Written: ##### File import job has been submitted. Job ID = ##### Note: As a precaution against importing the same file more than once, ensure th at you track the files you have imported. It is recommended that you also note the Job ID assigned to the import. Settlement Instruction File Import Reports There are several reports available to support the securities instructions file import feature. To run these reports: 1. 2. 3. 4. 5. 6. From the main menu, click the arrow beside Settlement Services to expand the instructions menu. Select Reports to display the function menu. Select File Import Message Select the reports you wish to run. Select the mandatory Job ID and any of the optional search criteria and click the OK icon on the upper right menu bar. The selected report will be displayed and be available for printing. 11 Field Specification for Trade Settlement Instructions The following table provides the fields required for the CSV format: Key to fields: 1. 2. 3. Fields identified as mandatory "M" are Mandatory for all Message Types Some "Optional" fields may also be mandatory for particular instruments in particular markets – the market settlement rules will need to be applied Fields which are marked as M* are Mandatory for TSISIN, TSIBLK records but not for TSIALC Records Note: In most cases, field specifications for North American custody and Global Custody are the same. A divided description colum n indicates that settings are specific to one system or the other. 12 Field Specifications for the Trade Instruction Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) Message header 1 MessageType Text (6) M M "TSISIN", "TSIBLK", "TSIALC" Identifies the record is a Single Trade or part of a BulkIdentifies the record is a Single Trade Allocation TSISIN identifies a single trade with no allocations TSISIN identifies a single trade with no allocations TSIBLK is not supported TSIBLK identifies the BULK (parent) record - this will be the first record and identifies the overall settlement TSIALC identifies a single allocation (child) record. The allocation records must be provided immediately below the appropriate TSIBULK record. The sum of the unit allocated in the Allocation records must match to the units in the BULK record (See Bulk Allocations for more details) 2 MessageTSIType Text (3) M* M* "RVP","RF" Identifies the type of Trade Settlement Instruction. Must me be one the following values "RF", "RVP, "DF", "DVP". 3 MessageTSIFunction Text (4) M* M* "NEWM" or "CANC" Identifies the message as either a new message or a cancellation of a previous message. A CANC message must provide the client reference of the message to be cancelled in the PreviousClientReference field. 4 MessageVersion Numeric (5) M* M* 2 Identifies the format specification for this particular message instruction. Validation: Must be set to the value 2 to identify this record specification. Version 1 is reserved for North American file import rules created prior to Jan 2008. 5 MessageStatus Text (2) M* M* Must be "AP" or "EN" Identifies the required message status of the instruction. "EN" is Entered – the instructions are imported and held in Viewfinder until approved by the users. This allows the instructions to be checked/changed before they are released to RBC. "AP" is "Approved" - the instructions are imported and immediately released to RBC Dexia without any further action. The user will need to ensure that the instructions have been successfully imported and delivered to RBC. "AP" is used when the user system is able to provide complete instructions. Also see the related field ValidateYN. 13 Data Type/ # Field name Free Format 6 ValidateYN Text (1) N/a Vs Pay O Examples, valid values "Y" Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) Used in conjunction with the MessageStatus field. If ValidateYN is set to "N" then the trade instructions are imported as "EN" or "AP" as described by MessageStatus. If ValidateYN is set to "Y" then the financial information is validated and the status is only set to "AP" if the MessageStatus is "AP" and the financial information is correct. MessageStatus Validate YN EN AP Y Trade is imported as "Entered" only Trade is validated. If the mandatory fields are present and if mandatory fields are present financial information is correct the status is set to "Approved". If the financial information is incorrect then the status is set to "Entered". This will be developed to support SMPG validation rules in later releases N Trade is imported as "Entered" only if mandatory fields are present Trade is imported as "Approved", only if mandatory fields are present This is used when the users wish to allow instructions that are valid to be automatically approved and only have instructions set to "entered" if operator intervention is required. Viewfinder will complete some validation to confirm the integrity of the instruction. Trades that are missing mandatory fields will be rejected (not loaded to Viewfinder). The default value is "N". Key Trade Details 7 CustodyAccountNumber Text (35) M M "T123456789" This is the RBC Dexia Investor Services account number that will deliver or receive the security. This is required for TSISIN, TSIBLK and TSIALC messages. Validation – Only account numbers available to the user will be allowed. 8 CustodyAccountDescription Text (30) O O "Mars Fund" A textual description of the account or fund. Note: This field is not used for processing or storage but it is available as a visual aid. It is not loaded to the Trade instruction sent to the RBC Dexia back office system as the account description is extracted from the Viewfinder account tables. This is the RBC Dexia Investor Services account number that will deliver or receive the security. Validation – Only account numbers available to the user will be allowed. 14 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 9 ClientReference Text (16) M* 10 PreviousClientReference Text (16) O O "MARS0301" Used on CANC messages to identify a previously entered trade that is to be Cancelled. See MessageTSIFunction. 11 RelatedReference Text (16) O O "12345X" Related Reference - available for the user. 12 TradeReference Text (16) O O "1244243X" Client's Own Trade Reference – Where possible this reference will be provided back to the user via the Viewfinder reporting service. 13 CommonReference Text (16) O O "Ref1" Common Reference – available to the user. 14 TradeDate Date / YYYYMM DD M* M* 20020319 The date that the Trade was executed. 15 SettlementDate Date / YYYYMM DD M* M* 20020319 The date of Settlement. This must be a valid market day in the country of settlement. This is also termed the "Delivery" Date for Free instructions (RF and DF). 16 PlaceOfSettlement Text (11) M M "DTC", "CDS", "CDSLCATT" This field is currently ignored, but it may be used in the future. Text (6) M M "ISIN", "SEDOL", Specifies the security identification standard. For North American trades the preference is "Cusip". "CUSIP" M* "MARS0301" A unique reference used by the user to identify this particular instruction and also the linkage between the parent and the allocation records in a Bulk (Block) Trade. Where possible Viewfinder reporting will provide this reference back to the user via the reporting service. A unique reference used by the user to identify this particular instruction. Where possible Viewfinder reporting will provide this reference back to the user via the reporting service. The BIC or the Viewfinder defined short form name that identifies the place of settlement (PSET). If this field is provided it must match an entry in the PSET table within Viewfinder. The PSET is required to achieve STP. Security Details 17 AssetIDType Specifies the security identification standard. The preference is "SEDOL" followed by "ISIN". 15 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 18 AssetID Text (12) M M "US6565591012" 19 AssetDescriptionLine1 Text (35) O O The description of the security. "Nortel Communications" This should not be blank if line 2 is used – must contain RBC/SWIFT valid character set only. If a dummy Asset ID is used then a description of the security must be provided. 20 AssetDescriptionLine2 Text (35) O O "" See above. 21 AssetDescriptionLine3 Text (35) O O "" See above. 22 AssetType Text (20) M* The identification of the security. If a security ID is not known then a dummy entry must be provided – "9999999". Dummy security Ids prevent STP. The AssetID will be used to perform a lookup on the Viewfinder Security Master File. If a match is found the applicable AssetType, AssetDescription, InterestRate and MaturityDate will be populated from the internal table and the values provided in the instruction will be ignored. If a match is not found, the values for AssetType, AssetDescription, InterestRate, MaturityDate will be read from the instruction file. Note: Sedol and Cusip security Identifiers are alphanumeric and should be expressed with 7 and 9 characters respectively. Leading zeros should be applied to ensure the security identifier matches to the Viewfinder security master table. Identifies the pricing convention for the security. This must be selected from the list provided. "WARRANTS", If the asset is already in the client holdings then the AssetType will be extracted from the Viewfinder database. When "RIGHTS", the asset is not already in the client holdings the AssetType is used to ensure that the correct pricing rule (shares or "CONTRACTS", face amount) is used. "CASH If this information is not available in the users source database it is best to use "Equities" as this is likely to EQUIVALENTS", achieve the highest STP rates. "FIXED INCOME", "MORTGAGES", "REAL ESTATE", "FUNDS", "OTHER ASSETS" M* "", "EQUITIES", 16 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 23 Units Numeric (15) M M 19191.011 The quantity (units) of the security for this single, bulk (block) trade instruction or an associated allocation record. This value must be greater than "0.00" for all transaction types. The quantity (units) of the security for this single instruction. This value must be greater than "0.00" for all transaction types. 24 InterestRate Numeric (15) O O 13.125 Bond interest rate. Not used - if it is necessary to specify the bond yield, this should be provided in the AssetDescription. 25 Yield Numeric (15) O O 9.03 Provides the bond yield – in most cases this field can be safely ignored. Not used - if it is necessary to specify the bond yield, this should be provided in the AssetDescription. 26 MaturityDate Date / YYYYMM DD O O 20020319 The date of maturity for BOND & Money Market instruments. Financial Details 27 SettlementCurrencyCode Text (3) M* 28 Trade Currency Text (3) O 29 SettlementAmount Amount (15) O M* "EUR", "CAD" O "EUR" M* 12343245.90, The ISO currency code for settlement—please ensure the code is entered entirely in uppercase (as this field is casesensitive). If the Book price is provided on a FREE then the currency of the book price is provided here. The ISO currency code for the trade—please ensure the code is entered entirely in uppercase (as this field is casesensitive). If the Trade Currency is not provided, then the Account currency will be utilized. This field is mandatory. Ignore this field The monetary amount to settle the trade in the local market. For FREE transactions any amount in this field other than "0.00" will be deemed to be the Deal (Book) Value. If the market convention is to use zero decimal places (e.g. JPY or TRL) on the settlement currency any extra digits will be ignored. This value must be greater than "0.00" for vs. PAYMENT transactions. 17 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 30 UnitPrice Numeric (15) O O 123.23 The price of 1 unit of the security in the settlement currency. For Bonds and other similar securities this value is expressed as a percentage or the par value. For Free transactions this will be used to populate the deal price. Note: For Payment transactions it is strongly recommended that this value is provided by the source system. However, if the field is zero or blank then Viewfinder will calculate UnitPrice using the financial information available on the trade. 31 GrossSettlementAmount Amount N/a O 123.23 This should normally be equal to UnitPrice x Units. For Bond type instruments the value should be UnitPrice x Units /100. For FREE transactions set this to "0.00" or leave blank. If the market convention is to use zero decimal places ( e.g. JPY) on the settlement currency any extra digits will be ignored. Note: For Payment transactions it is strongly recommended that this value is provided by the source system. However, if the field is zero or blank then Viewfinder will calculate GrossSettlementAmount using the financial information available on the trade. (15) 32 Commission Amount (15) N/a O 123.23 Commission. For FREE transactions set this to "0.00". If the market convention is to use zero decimal places ( e.g. JPY) on the settlement currency any extra digits will be ignored. 33 MiscCharges Amount (15) N/a O 123.23 Miscellaneous charges. For FREE transactions set this to "0.00". If the market convention is to use zero decimal places (e.g. JPY) on the settlement currency any extra digits will be ignored. 34 AccruedInterest Amount (15) N/a O 123.23 The accrued interest. This may be a positive or negative value. For FREE transactions set this to "0.00". If the market convention is to use zero decimal places (e.g. JPY) on the settlement currency any extra digits will be ignored. This field must be 0 for security types EQUITY, OTHER ASSET, RIGHTS, or WARRANTS. 35 StampDuty Amount (15) N/a O 123.23 The local tax for the trade. If the market convention is to use zero decimal places ( e.g. JPY) on the settlement currency any extra digits will be ignored. 36 US Taxes Amount (15) N/a O 123.23 US taxes payable – this field is only relevant for trade instructions against assets held in the North America systems. Not used 37 USFeeAmount Amount (15) N/a O 123.23 The US Fees payable. Not used 18 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) This must match the broker identification types supported by the back office for the Safekeeping Account. The particular IDType selected will need to be appropriate to the market of settlement. A list of the valid Counterparty Identifiers is provided at the end of this table. Click to view. Note: If Clearing and Executing Broker are one and the same then the client will repeat the same values in both Clearing and Executing Broker Fields. The field values are derived from the ISO15022 standards. Other identification types may be added in the future. Note: Optional field for North America This must match the broker identification types supported by the back office for the Safekeeping Account. The particular IDType selected will need to be appropriate to the market of settlement. A list of the valid Counterprty Identifiers is provided at the end of this table. Click to view. Note: If Clearing and Executing Broker are one and the same, then the client will repeat the same values in both Clearing and Executing Broker Fields. The field values are derived from the ISO15022 standards. Other identification types may be added in the future The Broker Clearing Agent identification code conforming to the standard identified above. The Identification code is treated as a "string". The user will need to apply leading zero’s to pad the code to the appropriate length. The current lengths are provided at the end of this table. Click to view. Conditional Rule – If code is blank then description is Mandatory. If both code and description are present, the description supplied in the file will be overridden by the description in the Viewfinder counterparty database. Users are encouraged to supply the description in case there is no match to the Viewfinder counterparty database. The BrokerClearingAgentCode will be used to perform a lookup against the Viewfinder Broker Table and populate the applicable BrokerClearingAgent description. Note: Optional field for North America The Broker Clearing Agent identification code conforming to the standard identified above. The Identification code is treated as a "string". The user will need to apply leading zero’s to pad the code to the appropriate length. The current lengths are provided at the end of this table. Click to view. Conditional Rule – If code is blank then description is Mandatory. If both code and description are present, the description supplied in the file will be overridden by the description in the Viewfinder counterparty database. Users are encouraged to supply the description in case there is no match to the Viewfinder counterparty database. The BrokerClearingAgentCode will be used to perform a lookup against the Viewfinder Broker Table and populate the applicable BrokerClearingAgent description. This field may be blank for assets serviced by Global Custody. If it is left blank then the description must be provided in the BrokerClearingAgentLine field. Counter Party Details 38 BrokerClearingAgentID Type Text (16) M* M* 39 BrokerClearingAgent Code Text (16) M* M* "5002" "USFW"," BIC", "CUID", etc. 19 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 40 BrokerClearingAgentLine1 Text (35) O O "RBC Dominion Sec" If the Clearing Broker Identification code is not provided this field is mandatory. The client should provide, as a minimum, the broker name and city. If the BrokerClearingAgentIDType and Code are provided and there is a match in the Viewfinder database then Line 40, Line 41 and Line 43 are ignored. 41 BrokerClearingAgentLine2 Text (35) O O "Toronto" See above. This field should not be blank if Line 40 is used. 42 BrokerClearingAgentLine3 Text (35) O O "" See above. 43 AccountNumberAtPSET Text (35) O O "1234572161" The account number in the local market for the Place of Settlement. 44 ExecutingBrokerIDType Text (16) M* Executing broker Identification type. If this is specified it must match the broker identification types supported by the M* " BIC", "DTC","CUID" etc back office system A list of the valid Counterparty Identifiers is provided at the end of this table. Click to view. Note: If Clearing and Executing Broker are one and the same, then client will repeat the same values in both Clearing and Executing Broker Fields For the full list of identification types please see field #38 BrokerClearingAgentIDType 20 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 45 ExecutingBrokerCode Text (16) M M "5002", "BREDOGB1" The Executing Broker identification code conforming to the The Executing Broker identification code conforming to standard identified above. the standard identified above. The Identification code is treated as a "string". The user The Identification code is treated as a "string". The user will need to apply leading zero’s to pad the code to the will need to apply leading zero’s to pad the code to the appropriate length. The current lengths are provided at the appropriate length. The current lengths are provided at the end of this table. Click to view. end of this table. Click to view. The ExecutingBrokerCode will be used to perform a lookup Conditional Rule – If code is blank then description must against the Viewfinder Broker Table and populate the be present. If both code and description are present, the applicable Broker description. description from Viewfinder counterparty database will be used. Users are encouraged to supply the description in case there is no match to the Viewfinder counterparty database. This field is optional. If this field is left blank then the name must be provided in the ExecutingBrokerLInex fields. The ExecutingBrokerCode will be used to perform a lookup against the Viewfinder Broker Table and populate the applicable Broker description. 46 ExecutingBrokerLine1 Text (35) O O "RBC Dominion Sec" If the Executing Broker Code is not provided then field is mandatory. The client should provide, as a minimum, the broker name and city. 47 ExecutingBrokerLine2 Text (35) O O "Toronto" See above. This field should not be blank if Line 46 is used. 48 ExecutingBrokerLine3 Text (35) O O "" See above. 49 BeneficiaryAccount Number Text (35) O O "1234572161" The account number in the local market for the Executing Broker. Numeric (15) N/a O 1.3432 The FX rate to apply when posting the trade to the book of N/a record. The default is "1.0" FX and Special Instructions 50 ExchangeRate 21 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 51 FXCurrency Text (3) O O "MXP", "CAD" 52 FXInstructionsLine1 Text (35) O O "BOOK FX TXN This is the narrative for handling the FX. This is the narrative for handling the FX. INTERMEDIARY For North American custody this field is mandatory if field If standing instructions are to be used, then leave this 50 ExchangeRate is completed. field blank. CCY IS xxx", The use of this field has a negative impact on STP rates. "USE STANDING INSTRUCTIONS" ON FILE" 53 FXInstructionsLine2 Text (35) O O "" N/a This is available for extra FX instructions – this will normally be left blank. 54 FXInstructionsLine3 Text (35) O O "" N/a This is available for extra FX instructions. 55 FXInstructionsLine4 Text (35) O O "" N/a This is available for extra FX instructions. 56 FXInstructionsLine5 Text (35) O O "" N/a This is available for extra FX instructions. 57 FXINstructionsLine6 Text (35) O O "" N/a This is available for extra FX instructions. 58 SpecialInstructionsLine1 Text (60) O O "" This field should be left blank. These fields have a negative impact on STP rates. For RYLTOR max data type is Text (35) 59 SpecialInstructionsLine2 Text (60) O O "" This field should only be used if line 1 is used. N/a for RYLTOR 60 Change in Beneficial Ownership Text (35) O O "Yes", "No" Stamp Duty Country Identifier Text (35) 61 N/a N/a This field will define if there is a change in beneficial ownership: "Yes" or "No" If change in beneficial ownership is not provided, default will be blank. N/a The country ID of stamp code. "" O O "CRST", "CCAS", "STRA", Provides the FX currency that will be used to cover this trade. Only use this field if there are no standing instructions or you do not wish to use your base currency. "" 22 Data Type/ # Field name Free Format Vs Pay Examples, valid values Descriptions – North America Descriptions – Global Custody (RYLTOR, RYLWORLD, RYLSPS) (RYLUK) 62 Stamp Duty Code Text (35) O O "GBSX" N/a Stamp duty code within the market. If the Stamp Duty Country Identifier code is provided then this field is mandatory. 63 Charity ID Text (35) O O "123456789" N/a This field is to be used to enter a Charity ID when claiming exemption from stamp duty. e.g. GBSX was entered as a Stamp Duty in field # 62 therefore a Charity ID needs to be entered in this box. 64 Charity Country Code Text (2) O O "GB" N/a The ISO country code of the Charity ID needs to be input when the charity exemption is claimed (Field # 62). 65 Nationality Declaration ISO Country Code M M "GB" N/a Enter a ISO Country Code to declare the nationality of the client receiving or delivering UK designated securities. Nationality Declaration must be entered for ALL Transaction Types, RF, RVP, DF and DVP when trading in designated securities. 66 Account Transfer O O "INTERNAL" N/a When instructing to transfer securities between accounts, define if the account restructure is Internal (OWNI) or External (OWNE) Text (2) Text (35) "EXTERNAL" "" 23 Trade Instructions CSV File Import Specifications Counterparty Identifier Rules Appropriate Length Value ID Type Notes for fields #39 and #45 for fields #38 and #44 BIC "BIC" or "ABIC" 8 or 11 (no padding is required) All BIC identifiers are either 8 or 11 characters. There is no requirement to pad BIC identifiers CLEARSTREAM "CEDE" 5 All Clearstream identifiers are 5 characters CREST (GB) "CRST" Between 3 and 5 Crest identifiers may be 3 or 5 characters. Crest identifiers are sometimes issued with leading zeros. There should be no requirement to pad these ids with zeros. CUID (CA) "CDSL" 4 All Cuid identifiers are 4 characters DAKV (DM) "DAKV" Up to 7 Please do not use this Counter Party Identification type. Note 1 DTC (US) "DTC" or "DTCYID" 4 Appropriate leading zeros should be added to any DTC identifiers that are less than 4 characters. Note 2 EUROCLEAR "ECLR" 5 All Euroclear identifiers are 5 characters FINS (CA) "FINS" 4 All FINS identifiers are 4 characters SICOVAM (FR) "SICV" 5 Appropriate leading zeros should added to any Sicovam number that is less than 5 characters Note 3 SIS (CH) "SCOM" 8 PTC (US) "PTCY" or "PTCYID" N/a All SIS identifiers are 8 characters US FEDWIRE (US) "USFW" 9 Appropriate leading zeros should added to any Fedwire codes that are less than 9 characters VPDK (DK) 5 Appropriate leading zeros should added to any VPDK identifier that are less than 5 characters "VPDK" Notes 1. The market practice for DAKV has recently changed. The BIC identifier should be used in the counter party field. The DAKV identifier is then provided in the account number field . The option to use DAKV identifiers will be removed from the counterparty table in the near future. 2. Viewfinder platform will be upgraded to support 8 digit DTC numbers 3. The Sicovam identifiers will shortly be changed to have a standard length of 8. 24 Trade Instructions CSV File Import Specifications Development Tool The Excel spreadsheet below provides the details from the Trade Specification table above. This is available to assist with development. The spreadsheet provides 2 sections as follows: The top part of the spreadsheet provides the fields and mandatory/option settings for the RBC Dexia Investor Services North American systems. A preview is provided below. Scroll down to locate the field parameters for the Global Custody system. 25 Trade Instructions CSV File Import Specifications The test CSV files may easily be loaded into Excel and aligned against these templates. It is then relatively easily to check that fields have not been missed and the content is appropriate to each field. CSV File Import\CSV Trade Instruction Import layout.xls Viewfinder Helpdesk The Viewfinder Helpdesk is available to assist you during your file development process: Toronto Area 416 955 5353 Toll Free North America 1 800 561 3389 Outside North America +44 20 7653 4451 E-mail: vfhelp@rbcdexia-is.com 26