Guide Swift 103 Sample Format BATCH TRANSMISSION GUIDE VERSION 1 8 Prepared by olk11775

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									BATCH TRANSMISSION GUIDE




        VERSION 1.8




                      Prepared by:
                      Tom Malone
                      Ron Pryor
DOCUMENT HISTORY

Version Date                 Person           Description
   1.1      May 2001         Tom Malone &     Authors – Original Document
                             Ron Pryor
   1.2      March 2002       Tom Malone &     Enhanced to include the new ISO 15022 suite of
                             Ron Pryor        messages.
   1.3      March 2004       Tom Malone &     Enhanced to include all messages that the US SMPG
                             Ron Pryor        has formally reviewed or is in the process of reviewing.
   1.4      August 2004      Tom Malone &     In the Transmission Acknowledgement - moved tag 21
                             Ron Pryor        to be within tag 77E.
   1.5      April 2005       Tom Malone &     Included specific fields for hash total calculation for the
                             Ron Pryor        MT103 and MT204 messages.
   1.6      May 2005         Tom Malone &     Included specific fields for hash total calculation for the
                             Ron Pryor        MT203, MT900 and MT910 messages.
   1.7      March 2007       Tom Malone &     Corrected an omission in the Sample
                             Ron Pryor        Acknowledgement.
   1.8      October 2007     Tom Malone,      Corrected the wording of the ANTOT and APTOT
                             Ron Pryor &      calculation.
                             John Booth
Date of last update: 10 October „07

INTRODUCTION

         This document was prepared by Tom Malone of JPMorganChase & Co. and Ron Pryor of The Capital
         Group Companies, Inc. to be used as a guide when preparing an ISO7775 and/or ISO15022 message
         structure trade transmissions utilizing the SWIFT/ISITC transaction format. Both structures are co-
         mingled to allow a phased implementation of security types by Investment Managers or Vendors
         utilizing the ISO15022 standard.
         Originally intended as guide for trade instruction delivery, where Investment Managers and Vendors
         would transmit trade messages to Global Custodians and the Global Custodians would send the
         Acknowledgement back to the Investment Manager or Vendor, this document has evolved into a
         message delivery methodology between a “sender” and a “receiver”. Investment Manager, Vendor and
         Global Custodian may be freely interchanged with “sender” and “receiver”.

TABLE OF CONTENTS
 1.0     SWIFT/ISITC FORMAT                                                                                 Page   3
 2.0     BLOCK 1 - BASIC HEADER BLOCK                                                                       Page   4
 3.0     BLOCK 2 - APPLICATION HEADER BLOCK                                                                 Page   4
 4.0     BLOCK 3 - USER HEADER BLOCK                                                                        Page   5
 5.0     BLOCK 4 - TEXT BLOCK (GROUP BATCH HEADER - MESSAGE 598)                                            Page   5
 6.0     BLOCK 4 - TEXT BLOCK (BATCH HEADER - MESSAGE 598)                                                  Page   5
 7.0     BLOCK 4 - TEXT BLOCK (TRANSMISSION MESSAGES)                                                       Page   6
 8.0     BLOCK 4 - TEXT BLOCK (BATCH TRAILER - MESSAGE 598)                                                 Page   6
 9.0     MESSAGES WITHIN THE TRANSMISSION                                                                   Page   7
10.0     BLOCK 4 - TEXT BLOCK (GROUP BATCH TRAILER - MESSAGE 598)                                           Page   9
11.0     BLOCK 4 - TEXT BLOCK (TRANSMISSION ACKNOWLEDGMENT)                                                 Page   9
12.0     BLOCK 5 - TRAILERS BLOCK                                                                           Page   9
A.0      APPENDICES -
         A.1    SAMPLE TRANSMISSION (MULTIPLE BATCHES)                                                      Page   10
         A.2    SAMPLE TRANSMISSION FILE FORMAT (MULTIPLE BATCHES)                                          Page   15
         A.3    SAMPLE TRANSMISSION (SINGLE BATCH)                                                          Page   16
         A.4    SAMPLE TRANSMISSION FILE FORMAT (SINGLE BATCH)                                              Page   21
         A.5    SAMPLE ACKNOWLEDGMENT                                                                       Page   21
         A.6    GROUP/BATCH ACKNOWLEDGMENT ERRORS                                                           Page   22


Printed: 04/22/11 4:22 PM                                                                                               2
1.0     ISITC FORMAT

        1.1     ISITC MESSAGE STRUCTURE REQUIREMENTS

        All messages conform to a defined block structure, of either fixed or variable length, containing data of
        a particular type and used for a particular purpose. Each block within the message begins and ends
        with a curly bracket character “{“ and “}” respectively. All main blocks are numbered, and the block
        number, followed by a colon, (:), are always the first characters within any block.

        A message consists of:
               Basic Header Block                - type 1, fixed length           (Required)
               Applications Header Block         - type 2, fixed length           (Required)
               User Header Block                 - type 3, variable length        (Optional)
               Text Block                        - type 4, variable length        (Required)
               Trailers Block                    - type 5, variable length        (Optional)

        Blocks 1, 2 and 3 contain header information, block 4 contains the text of the message, and block 5
        contains trailer information. Blocks 3, 4 and 5 may contain sub-blocks, or fields delimited by field tags,
        depending on the type of message. Each block is sub-divided into a number of fields and each field
        contains particular information. All fields within header blocks 1 and 2 are of fixed length and
        continuous (no field separators). All message text in the text block (block 4) begins with a carriage
        return and line feed (CrLf) characters and ends with a CrLf. The final character in the block is a
        hyphen (-).
        Each field within the text begins with a tag number followed by a colon, followed by the appropriate
        variable content. Since authentication is the preferred method of securing transmissions and sometimes
        required for SWIFT/ISITC transmissions, the Trailers Block (type 5), containing the MAC (message
        authentication code), is required when authentication is utilized.

        1.2     GROUP BATCH HEADER AND GROUP BATCH TRAILER REQUIREMENTS

        A Vendor (sender) may group more than one Investment Manager‟s or Custodian‟s transactions into
        one transmission. That type of grouping requires a Group Batch Header and a Group Batch Trailer to
        define the limits of the data transmission. The Group Batch Header (the first record of the
        transmission) must contain the header information (type 1, 2 and 3 blocks), followed by the message
        text block (type 4), and the trailers block (type 5), when the messages are authenticated. The Group
        Batch Trailer (the last record of the transmission) has the same block structure as the Group Batch
        Header.

        1.3     BATCH HEADER AND BATCH TRAILER REQUIREMENTS

        Each transmission from the sender requires a Batch Header and a Batch Trailer to define the limits of
        the data transmission. The Batch Header (the first record of the transmission) must contain the header
        information (type 1, 2 and 3 blocks), followed by the message text block (type 4), and the trailers block
        (type 5), when the messages are authenticated. The Batch Trailer (the last record of the transmission)
        has the same block structure as the Batch Header.




Printed: 04/22/11 4:22 PM                                                                                       3
2.0     BLOCK 1 - BASIC HEADER BLOCK

Field Name                                  Format   Begin / End    ISITC - Default / Value
Block Identifier                              3x         1/3        Value = „{1:‟.
Application Identifier                        1x         4/4        Value = „F‟ (FIN) used for ISITC.
Application Protocol Data Unit Identifier     2x         5/6        Value = „01‟.
Logical Terminal Address                     12x        7 / 18
        Bank Code                             4x        7 / 10      Receiver‟s BIC.
        Country Code                          2x       11 / 12             “
        Location Code                         2x       13 / 14             “
        Logical Terminal Code                 1x       15 / 15                        Value = „A‟.
        Branch Code                           3x       16 / 18                        Value = „INV‟.
Session Number                                4x       19 / 22      Value = „0000‟.
Sequence Number                               6x       23 / 28      Value = „000001‟.
Delimiter                                     1x       29 / 29      Value = „}‟.


3.0     BLOCK 2 - APPLICATION HEADER BLOCK

Field Name                                  Format    Begin / End     ISITC - Default / Value
Block Identifier                              3x         1/3          Value = „{2:‟.
Input / Output Identifier                     1x         4/4          Value = „O‟ (output message).
Message Type                                  3x         5/7          Value = ref: 9.0 Messages
                                                                      Within the Transmission
Input Time (run time)                         4x         8 / 11       Format = HHMM.
Message Input Reference                      28x        12 / 39
        Message Input Date                    6x        12 / 17       Format = YYMMDD.
        Sender‟s LT Identifier               12x        18 / 29
                Bank Code                     4x        18 / 21       Sender‟s BIC
                Country Code                  2x        22 / 23              “
                Location Code                 2x        24 / 25              “
                Logical Terminal Code         1x        26 / 26                         Value = „A‟
                Branch Code                   3x        27 / 29                         Value = „INV‟
        Session Number                        4x        30 / 33       Value = „0000‟.
        Sequence Number                       6x        34 / 39       Value = „000001‟.
Output Date (run date)                        6x        40 / 45       Format = YYMMDD.
Output Time (run time)                        4x        46 / 49       Format = HHMM.
Message Priority                              1x        50 / 50       Value = „N‟.
Delimiter                                     1x        51 / 51       Value = „}‟.




Printed: 04/22/11 4:22 PM                                                                               4
4.0       BLOCK 3 - USER HEADER BLOCK (OPTIONAL)

Field Name                                  Format       Begin / End       Default / Value
Block Identifier                              3x             1/3           {3:
ISITC Version Identifier                     10x            4 / 13         {113:YYMM} (optional)
Message User Reference (MUR)                 16x           14 / 29         {108:up to 16 char of User‟s Reference} (optional)
Delimiter                                     1x           30 / 30         }

In January 31, 1996 Block 3 was defined as mandatory for ISITC messages as of Version 9601 of the standard. Block 3 was to “be used
to identify the version of the standard applicable for processing and validating the particular message to which the header applies”. The
Version Identifier was the release date of the ISITC User Guide (year/month) to which the message sender had “updated” their systems.
Since ISITC no longer uses versions of the standard, ISITC is withdrawing support for “standard” Block 3 utilization. Block 3 may be
used in conjunction with an SLA between parties. The use of Block 3 should be consistent throughout the transmission. e.g. if the
sender generates the block it should be present on every message.

5.0       BLOCK 4 - TEXT BLOCK (GROUP BATCH HEADER - MESSAGE 598)

ISITC    TAG /          CODE                   Definition              Format                                Comments
         FIELD          WORD
 R         20                           Transmission                     16x         Unique reference number for the message, assigned by
                                        Reference Number                             the sender.
                                                                                     Value: „GPH-YYMMDD-NNNNN‟ -
                                                                                     „GPH‟ = denotes group batch header;
                                                                                     YYMMDD = current transmission date;
                                                                                     NNNNN = non-sequential ascending (group) batch
                                                                                     sequence number.
 R          12                          Sub Message Type                 3n          Specifies the message type number for a proprietary
                                                                                     message. Value: 599 [sic].
           77E                          Proprietary Message                          Described in the next code word.
 R                  AUSERID             User Id                          12x         Code identifying the sender to the receiver. It can be
                                                                                     the BIC identifier or a mutually agreed value.

6.0       BLOCK 4 - TEXT BLOCK (BATCH HEADER - MESSAGE 598)

ISITC    TAG /          CODE                     Definition              Format                              Comments
         FIELD          WORD
 R         20                           Transmission Reference             16x       Unique reference number for the message, assigned by
                                        Number                                       the sender.
                                                                                     Value: „HDR-YYMMDD-NNNNN‟ -
                                                                                     „HDR‟ = denotes header;
                                                                                     YYMMDD = current transmission date;
                                                                                     NNNNN = non-sequential ascending batch sequence
                                                                                     number.
 R          12                          Sub Message Type                    3n       Specifies the message type number for a proprietary
                                                                                     message. Value: 599 [sic].
           77E                          Proprietary Message                          Described in the next five code words.
 R                  AUSERID             User Id                            12x       Code identifying the sender to the receiver. It can be
                                                                                     the BIC identifier or a mutually agreed value.
 R                  ACONTACT            Manager / Sender Contact           35x       The name of the contact person at the sender.
 R                  ATRFIND             File Indicator                      1x       Indicates if the file being transmitted is empty or not.
                                                                                     Value: 0 = empty, 1 = not empty.
 O                  AEOD                End of Day Indicator                1x       Indicates last daily transmission. Value: Y = last
                                                                                     transmission; N = not the last transmission; O =
                                                                                     override the last transmission.
 O                  AABA                ABA Number                          9n       ABA Number of the receiving bank.



Printed: 04/22/11 4:22 PM                                                                                                               5
7.0     BLOCK 4 - TEXT BLOCK (TRANSMISSION MESSAGES)

Field Name                               Format        Begin / End     Default / Value
Block Identifier                           3x             1/3          {4:
Carriage Return / Line Feed                2x             4/5          CrLf (hex „0D‟ „25‟)
Transaction Data                                        variable       Refer to SWIFT Documentation
Delimiter                                   2x          variable       -}


8.0     BLOCK 4 - TEXT BLOCK (BATCH TRAILER - MESSAGE 598)

ISITC   TAG /     CODE              Definition             Format                             Comments
        FIELD     WORD
 R        20                  Transmission                   16x        Unique reference number for the message, assigned by
                              Reference Number                          the sender.
                                                                        Value: „TRLTLR-YYMMDD-NNNNN‟ -
                                                                        „TRLTLR‟ = denotes batch trailer;
                                                                        YYMMDD = current transmission date;
                                                                        NNNNN = non-sequential ascending batch sequence
                                                                        number (the batch trailer‟s sequence number matches
                                                                        the batch header‟s sequence number).
 R       12                   Sub Message Type               3n         Specifies the message type number for a proprietary
                                                                        message. Value: 599 [sic].
         77E                  Proprietary Message                       Described in the next three code words.
 R               ATTOT        Transaction Total          15n(14n,0n)    Total number of transactions sent in the transmission.
                              Count                                     (excluding ALL Header and Trailer messages)
 R               ANTOT        Absolute Net Total *       19n(18n,0n)    Absolute integer value of the total Net Trade Amount
                                                                           Ref: 9.0 Messages Within the Transmission
 R               APTOT        Absolute Par Total   *     19n(18n,0n)    Absolute integer value of the total Par Value
                                                                           Ref: 9.0 Messages Within the Transmission

* The fractional cents (decimal) within each transaction must be accumulated using 6 decimal
places (truncated). The total populated in the trailer record truncates the fractional cents
(decimal). Decimal values are not permitted in any of the total fields on the trailer record.

* The MT540/1/2/3/4/5/6/7/8 will use only the first occurrence of the designated field in the
calculation. In all the other messages, all occurrences of the field should be included in the
calculation. This exception is being made because many legacy systems have already
implemented the previous ISITC Standard for trade processing. If truncation occurs the high
order digit(s) will be truncated.

* Note: some messages only have one occurrence - but we are providing for future expansion
without code enhancements.




Printed: 04/22/11 4:22 PM                                                                                             6
9.0     MESSAGES WITHIN THE TRANSMISSION

Within the transmission there are no restrictions for message types.
Any combination of messages is valid.

MT    Message Description                                ATTOT      ANTOT              APTOT
                                                                  (AMOUNT)           (QUANTITY)
103   Single Customer Credit Transfer                     +1          32A                 N/A
202   General Financial Institution Transfer              +1          32A                 N/A
203   Multiple General Financial Institution Transfer     +1           19                 N/A
204   Financial Markets Direct Debit Message              +1          32B                 N/A
210   Notice to Receive                                   +1          32B                 N/A
304   Advice/Instruction of a Third Party Deal            +1          32B                 N/A
307   Advice/Instruction of a Third Party FX Deal         +1          19B                 N/A
308   Instruction for Gross/Net Settlement of Third       +1          N/A                 N/A
      Party FX Deals
321   Instruction to Settle a Third Party Loan/Deposit    +1          19B                 N/A
380   Foreign Exchange Order                              +1          19B                 N/A
381   Foreign Exchange Order Confirmation                 +1          19B                 N/A
535   Statement of Holdings                               +1          19A         93B and 93C (Balance)
536   Statement of Transactions                           +1          19A                  36B
537   Statement of Pending Transactions                   +1          19A                  36B

540   Receive Free                                        +1     19A::SETT    *       36B::SETT *
                                                                 Subsequence E3        Sequence C
541   Receive Against Payment                             +1     19A::SETT    *       36B::SETT *
                                                                 Subsequence E3        Sequence C
542   Deliver Free                                        +1     19A::SETT    *       36B::SETT *
                                                                 Subsequence E3        Sequence C
543   Deliver Against Payment                             +1     19A::SETT    *       36B::SETT *
                                                                 Subsequence E3        Sequence C
544   Receive Free Confirmation                           +1          19A                36B *
545   Receive Against Payment Confirmation                +1          19A                36B *
546   Deliver Free Confirmation                           +1          19A                36B *
547   Deliver Against Payment Confirmation                +1          19A                36B *
548   Settlement Status and Processing Advice             +1          19A                36B *

564   Corporate Action Notification                       +1          19A             36B and 36E
565   Corporate Action Instruction                        +1          N/A                36B
566   Corporate Action Confirmation                       +1          19A                36B
567   Corporate Action Status and Processing Advice       +1          19A                36B
568   Corporate Action Narrative                          +1          N/A                36B
900   Confirmation of Debit                               +1          32A                 N/A
910   Confirmation of Credit                              +1          32A                 N/A
950   Statement Message                                   +1       62F or 62M             N/A

FOR MESSAGES NOT LISTED                                   +1         N/A                 N/A




Printed: 04/22/11 4:22 PM                                                                                 7
Although the 7775 suite of trade messages is no longer supported by ISITC-IOA, the below table is presented as a reference
for Senders/Receivers who maintain legacy trade communication via those messages.
MT Message Description                              ATTOT             ANTOT                    APTOT
                                                                    (AMOUNT)               (QUANTITY)
521   Receive Against Payment                         +1               32B                        35A
523   Deliver Against Payment                         +1               32B                        35A
592   Request for Cancellation (of 521 & 523 only)    +1               32B                        35A

* Kindly refer to the notes for ANTOT and APTOT calculations in Section 8.




Printed: 04/22/11 4:22 PM                                                                                                8
10.0    BLOCK 4 - TEXT BLOCK (GROUP BATCH TRAILER - MESSAGE 598)

ISITC   TAG /        CODE                Definition            Format                               Comments
        FIELD        WORD
 R        20                       Transmission                  16x         Unique reference number for the message, assigned by
                                   Reference Number                          the sender.
                                                                             Value: „GPT-YYMMDD-NNNNN‟ -
                                                                             „GPT‟ = denotes group batch trailer;
                                                                             YYMMDD = current transmission date;
                                                                             NNNNN = non-sequential ascending batch sequence
                                                                             number (the group batch trailer‟s sequence number
                                                                             matches the group batch header‟s sequence number).
 R       12                        Sub Message Type               3n         Specifies the message type number for a proprietary
                                                                             message. Value: 599 [sic].
         77E                       Proprietary Message                       Described in the next code word.
 R                ANUMBAT          Number of Batches              3n         The number of single batch files within a group batch.

11.0    BLOCK 4 - TEXT BLOCK (TRANSMISSION ACKNOWLEDGMENT)
        The receiver of the transmission should comply with ISITC standards by always creating a transmission
        acknowledgment file, for the sender, indicating the status of the file (accepted or rejected). When the status is
        rejected all transactions within the transmission are rejected. Depending upon the type of communications
        software used by the sender, the receiver would either transmit the acknowledgment file back to the sender, or the
        sender will retrieve the acknowledgment file from the receiver‟s systems.
        It is incumbent upon the sender to react to rejected transmissions by either correcting and re-transmitting the file or
        by resorting to the contingency measures agreed upon with the receiver.

ISITC   TAG /       CODE                Definition             Format                               Comments
        FIELD       WORD
 R        20                     Transmission                    16x         Value: „TRANSACK‟.
                                 Reference Number
 R       21                      Related Reference               16x         The Transaction Reference Number (tag 20) of the
                                 Number                                      Group Batch Header or the Batch Header to which this
                                                                             acknowledgment message refers.
 R       12                      Sub Message Type                 3n         Specifies the message type number for a proprietary
                                                                             message. Value: 599 [sic].
         77E                     Proprietary Message                         Described in the next tag/field and four code words.
 R        21                     Related Reference               16x         The Transaction Reference Number (tag 20) of the
                                 Number                                      Group Batch Header or the Batch Header to which this
                                                                             acknowledgment message refers.
 R                AUSERID        User ID                         12x         As submitted on the Group Batch Header or the Batch
                                                                             Header
 R                AEOD           End of Day Indicator             1x         As submitted on the Group Batch Header or the Batch
                                                                             Header
 R                ASTATUS        Transmission Status              1x         Indicates whether transmission was accepted or
                                                                             rejected. Value: Y = accepted, N = rejected.
 C                AERROR1        Transmission Error(s)           30x         Indicates one (or more) transmission level edits have
                  (thru 5)                                                   failed. See Appendix A.5 and A.6

12.0    BLOCK 5 - TRAILERS BLOCK (WHEN MESSAGE IS AUTHENTICATED)
Field Name                                   Format      Begin / End      Default / Value
Block Identifier                               3x           1/3           {5:
Authentication Trailer (sub block)            14x           4 / 17        {MAC:12345678}
Delimiter                                      1x          18 / 18        }



Printed: 04/22/11 4:22 PM                                                                                                     9
A.0       APPENDICES

                          All ‘samples’ are for illustrative purposes only and may not
                             accurately reflect current market practice guidelines.

          A.1      SAMPLE TRANSMISSION (MULTIPLE BATCHES)
                       AUTHENTICATED
      (shown on separate lines for clarity)

      GROUP BATCH HEADER:
{1:F01CUSTUS33AINV0000000001}{2:O5981155020317VENDUS33AINV00000000010203171155N}
{3:{113:9601}}
{4:[CrLf]
:20:GPH-020317-07500[CrLf]
:12:599[CrLf]
:77E:/AUSERID/assigned user id[CrLf]
-}
{5:{MAC:12345678}}[CrLf]


      BATCH HEADER 1:
{1:F01CUSTUS33AINV0000000001}{2:O5981120020317IM01US33AINV00000000010203171120N}
{3:{113:9601}}
{4:[CrLf]
:20:HDR-020317-00232[CrLf]
:12:599[CrLf]
:77E:/AUSERID/assigned user id[CrLf]
/ACONTACT/contact name[CrLf]
/ATRFIND/1[CrLf]
/AEOD/N[CrLf]
/AABA/123456789[CrLf]
-}
{5:{MAC:12345678}}[CrLf]




Printed: 04/22/11 4:22 PM                                                                10
        A.1     SAMPLE TRANSMISSION (MULTIPLE BATCHES) (continued)

    TRANSACTION 1 (BATCH 1):
{1:F01CUSTUS33AINV0000000001}{2:O5431118020317IM01US33AINV00000000010203171118N}
{3:{113:9601}}
{4:[CrLf]
:16R:GENL[CrLf]
:20C::SEME//1240[CrLf]
:23G:NEWM[CrLf]
:16S:GENL[CrLf]
:16R:TRADDET[CrLf]
:98A::TRAD//20020309[CrLf]
:98A::SETT//20020316[CrLf]
:35B:ISIN GB0001299055[CrLf]
BRITISH BIOTECH[CrLf]
:16S:TRADDET[CrLf]
:16R:FIAC[CrLf]
:36B::SETT//UNIT/1000, [CrLf]
:97A::SAFE//12345[CrLf]
:16S:FIAC[CrLf]
:16R:SETDET[CrLf]
:22F::SETR//TRAD[CrLf]
:16R:SETPRTY[CrLf]
:95R::REAG/CRST/303[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95P::BUYR//GSGSGB21[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95P:: PSET//CRSTGB22[CrLf]
:16S:SETPRTY[CrLf]
:16R:AMT[CrLf]
:19A::SETT//GBP631,55[CrLf]
:16S:AMT[CrLf]
:16S:SETDET[CrLf]
-}
{5:{MAC:12345678}}[CrLf]




Printed: 04/22/11 4:22 PM                                                          11
        A.1     SAMPLE TRANSMISSION (MULTIPLE BATCHES) (continued)

    TRANSACTION 2 (BATCH 1):
{1:F01CUSTUS33AINV0000000001}{2:O5921118020317IM01US33AINV00000000010203171118N}
{3:{113:9601}}
{4:[CrLf]
:20:8125763-CANCEL[CrLf]
:21:8125763[CrLf]
:11S:521[CrLf]
020214[CrLf]
:30:020226[CrLf]
:31P:020214DTC[CrLf]
:35B:/ACUS/RAMP02RZ0[CrLf]
RAMP 02-RZ1 A1 FLTR[CrLf]
/AIR/0,000/AMD/200825[CrLf]
/ASCT/CORP[CrLf]
:82D:LINCOLN CAPITAL MANAGEMENT[CrLf]
:35A:FMT30831,97[CrLf]
:83D:/P53309[CrLf]
NABISCO INC. [CrLf]
:87D:/ADTC/00274[CrLf]
SALOMON SMITH BARNEY INC[CrLf]
:85D:/ADTC/00274[CrLf]
SALOMON SMITH BARNEY[CrLf]
:33T:PCT100,[CrLf]
:32M:USD30831,97[CrLf]
:34G:USD0,00[CrLf]
:32B:USD30831,97[CrLf]
:72:/AORG/60000,[CrLf]
/AFCT/1,/APAY/D[CrLf]
/AISD/020226[CrLf]
-}
{5:{MAC:12345678}}[CrLf]


    BATCH TRAILER 1:
{1:F01CUSTUS33AINV0000000001}{2:O5981120020317IM01US33AINV00000000010203171120N}
{3:{113:9601}}
{4:[CrLf]
:20:TLR-020317-00232[CrLf]
:12:599[CrLf]
:77E:/ATTOT/9,[CrLf]
/ANTOT/99,[CrLf]
/APTOT/999,[CrLf]
-}
{5:{MAC:12345678}}[CrLf]




Printed: 04/22/11 4:22 PM                                                          12
        A.1     SAMPLE TRANSMISSION (MULTIPLE BATCHES) (continued)

    BATCH HEADER 2:
{1:F01CUSTUS33AINV0000000001}{2:O5981143020317IM08US33AINV00000000010203171143N}
{3:{113:9601}}
{4:[CrLf]
:20:HDR-020317-00125[CrLf]
:12:599[CrLf]
:77E:/AUSERID/assigned user id[CrLf]
/ACONTACT/contact name[CrLf]
/ATRFIND/1[CrLf]
/AEOD/N[CrLf]
/AABA/123456789[CrLf]
-}
{5:{MAC:12345678}}[CrLf]

    TRANSACTION 1(BATCH 2):
{1:F01CUSTUS33AINV0000000001}{2:O5431141020317IM08US33AINV00000000010203171141N}
{3:{113:9601}}
{4:[CrLf]
:16R:GENL[CrLf]
:20C::SEME//1239[CrLf]
:23G:NEWM[CrLf]
:16S:GENL[CrLf]
:16R:TRADDET[CrLf]
:98A::TRAD//20000309[CrLf]
:98A::SETT//20000314[CrLf]
:35B:ISIN US7475251036[CrLf]
QUALCOMM INC[CrLf]
:16S:TRADDET[CrLf]
:16R:FIAC[CrLf]
:36B::SETT//UNIT/200, [CrLf]
:97A::SAFE//12345[CrLf]
:16S:FIAC[CrLf]
:16R:SETDET[CrLf]
:22F::SETR//TRAD[CrLf]
:16R:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95R::REAG/DTCYID/161[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95P::BUYR//MLHKHKH1[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95P:: PSET//DTCCUS33[CrLf]
:16S:SETPRTY[CrLf]
:16R:AMT[CrLf]
:19A::SETT//USD13550,20[CrLf]
:16S:AMT[CrLf]
:16S:SETDET[CrLf]
-}
{5:{MAC:12345678}}[CrLf]




Printed: 04/22/11 4:22 PM                                                          13
        A.1     SAMPLE TRANSMISSION (MULTIPLE BATCHES) (continued)

    BATCH TRAILER 2:
{1:F01CUSTUS33AINV0000000001}{2:O5981143020317IM08US33AINV00000000010203171143N}
{3:{113:9601}}
{4:[CrLf]
:20:TLR-020317-00125[CrLf]
:12:599[CrLf]
:77E:/ATTOT/9,[CrLf]
/ANTOT/99,[CrLf]
/APTOT/999,[CrLf]
-}
{5:{MAC:12345678}}[CrLf]


    GROUP BATCH TRAILER:
{1:F01CUSTUS33AINV0000000001}{2:O5981155020317VENDUS33AINV00000000010203171155N}
{3:{113:9601}}
{4:[CrLf]
:20:GPT-020317-007500[CrLf]
:12:599[CrLf]
:77E:/ANUMBAT/9,[CrLf]
-}
{5:{MAC:12345678}}[CrLf]




Printed: 04/22/11 4:22 PM                                                          14
        A.2     SAMPLE TRANSMISSION FILE FORMAT (MULTIPLE BATCHES) (continued)

{1:F01CUSTUS33AINV0000000001}{2:O5981155020317VENDUS33AINV00000000010203171155N}{4:[CrLf]:20:GPH-020317-07500[CrLf]:12:599[CrLf]:77E:/.
{1:F01CUSTUS33AINV0000000001}{2:O5981120020317IM01US33AINV00000000010203171120N}{4:[CrLf]:20:HDR-020317-00232[CrLf]:12:599[CrLf]:77E:/…
{1:F01CUSTUS33AINV0000000001}{2:O5431118020317IM01US33AINV00000000010203171118N}{4:[CrLf]:16R:GENL[CrLf]…
{1:F01CUSTUS33AINV0000000001}{2:O5921118020317IM01US33AINV00000000010203171118N}{4:[CrLf]:20:8125763-CANCEL[CrLf]…
{1:F01CUSTUS33AINV0000000001}{2:O5981120020317IM01US33AINV00000000010203171120N}{4:[CrLf]:20:TLR-020317-00232[CrLf]:12:599[CrLf]:77E:/…
{1:F01CUSTUS33AINV0000000001}{2:O5981143020317IM08US33AINV00000000010203171143N}{4:[CrLf]:20:HDR-020317-00125[CrLf]:12:599[CrLf]:77E:/...
{1:F01CUSTUS33AINV0000000001}{2:O5431141020317IM08US33AINV00000000010203171141N}{4:[CrLf]:16R:GENL[CrLf]:20C::SEME//1239[CrLf]…
{1:F01CUSTUS33AINV0000000001}{2:O5981143020317IM08US33AINV00000000010203171143N}{4:[CrLf]:20:TLR-020317-00125[CrLf]:12:599[CrLf]:77E:/…
{1:F01CUSTUS33AINV0000000001}{2:O5981155020317VENDUS33AINV00000000010203171155N}{4:[CrLf]:20:GPT-020317-007500[CrLf]:12:599[CrLf]:77E:/.




Printed: 04/22/11 4:22 PM                                                                                                              15
        A.3      SAMPLE TRANSMISSION (SINGLE BATCH)
                     NOT AUTHENTICATED
    (shown on separate lines for clarity)

    BATCH HEADER:
{1:F01CUSTUS33AINV0000000001}{2:O5981422020317IM08US33AINV00000000010203171422N}
{3:{113:9601}}
{4:[CrLf]
:20:HDR-970902-00002[CrLf]
:12:599[CrLf]
:77E:/AUSERID/assigned user id[CrLf]
/ACONTACT/contact name[CrLf]
/ATRFIND/1[CrLf]
/AEOD/N[CrLf]
/AABA/123456789[CrLf]
-}

    TRANSACTION 1:
{1:F01CUSTUS33AINV0000000001}{2:O3041415020317IM08US33AINV00000000010203171415N}
{3:{113:9601}}
{4:[CrLf]
:15A: [CrLf]
:20:FX123278[CrLf]
:22A:NEWT[CrLf]
:94A:ASET[CrLf]
:83J:/ACCT/12345[CrLf]
/NAME/FX CONTRACT ACCOUNT[CrLf]
:87J:/ABIC/[CrLf]
/NAME/[CrLf]
:15B: [CrLf]
:30T:010402[CrLf]
:30V:010405[CrLf]
:36:0,5181[CrLf]
:32B:USD3866178,28, [CrLf]
:53J:/ABIC/BOFAUS3N[CrLf]
/NAME/BANK OF AMERICA[CrLf]
/CITY/LOS ANGELES[CrLf]
/USFW/123456789[CrLf]
:33B:AUD7472224,06[CrLf]
:57J:/ABIC/BOFAAUSX[CrLf]
/NAME/BANK OF AMERICA[CrLf]
/CITY/SYDNEY[CrLf]
:58J:/ABIC/BOFAUS3N[CrLf]
/NAME/ BANK OF AMERICA[CrLf]
/CITY/NEW YORK[CrLf]
:15C: [CrLf]
:21A:TD123456[CrLf]
-}




Printed: 04/22/11 4:22 PM                                                          16
        A.3     SAMPLE TRANSMISSION (SINGLE BATCH) (continued)

    TRANSACTION 2:
{1:F01CUSTUS33AINV0000000001}{2:O5411415020317IM08US33AINV00000000010203171415N}
{3:{113:9601}}
{4:[CrLf]
:16R:GENL[CrLf]
:20C::SEME//1232[CrLf]
:23G:NEWM[CrLf]
:16S:GENL[CrLf]
:16R:TRADDET[CrLf]
:98A::TRAD//20000309[CrLf]
:98A::SETT//20000316[CrLf]
:90A::DEAL//ATCU/FIM34,56[CrLf]
:35B:ISIN FI0009000681[CrLf]
NOKIA AB[CrLf]
:11A::FXIS//USD[CrLf]
:16S:TRADDET[CrLf]
:16R:FIAC[CrLf]
:36B::SETT//UNIT/25,[CrLf]
:97A::SAFE//12345[CrLf]
:16S:FIAC[CrLf]
:16R:SETDET[CrLf]
:17B::STAN//Y[CrLf]
:22F::SETR//TRAD[CrLf]
:16R:SETPRTY[CrLf]
:95P::DEAG//MRITFIHH[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95P::SELL//MLILGB2L[CrLf]
:97A::SAFE//987654[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95Q:: PSET//FI[CrLf]
:16S:SETPRTY[CrLf]
:16R:AMT[CrLf]
:19A::SETT//FIM870,48[CrLf]
:16S:AMT[CrLf]
:16R:AMT[CrLf[CrLf]
:19A::DEAL//FIM864,[CrLf]
:16S:AMT[CrLf]
:16R:AMT[CrLf]
:19A::EXEC//FIM4,32[CrLf]
:16S:AMT[CrLf]
:16R:AMT[CrLf]
:19A::STEX//FIM2,16[CrLf]
:16S:AMT[CrLf]
:16S:SETDET[CrLf]
-}




Printed: 04/22/11 4:22 PM                                                          17
        A.3     SAMPLE TRANSMISSION (SINGLE BATCH) (continued)

    TRANSACTION 3:
{1:F01CUSTUS33AINV0000000001}{2:O5431415020317IM08US33AINV00000000010203171415N}
{3:{113:9601}}
{4:[CrLf]
:16R:GENL[CrLf]
:20C::SEME//1234[CrLf]
:23G:NEWM[CrLf]
:16S:GENL[CrLf]
:16R:TRADDET[CrLf]
:98A::TRAD//20000309[CrLf]
:98A::SETT//20000316[CrLf]
:90A::DEAL//PRCT/97,[CrLf]
:35B:ISIN FR0000481665[CrLf]
LAFARGE 6.375 2007[CrLf]
:11A::FXIB//USD[CrLf]
:16S:TRADDET[CrLf]
:16R:FIAC[CrLf]
:36B::SETT//FAMT/1000, [CrLf]
:97A::SAFE//12345[CrLf]
:16S:FIAC[CrLf]
:16R:SETDET[CrLf]
:17B::STAN//Y[CrLf]
:22F::SETR//TRAD[CrLf]
:16R:SETPRTY[CrLf]
:95P::REAG//PARBFRPP[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95P::BUYR//BEARUS33[CrLf]
:97A::SAFE//987654[CrLf]
:16S:SETPRTY[CrLf]
:16R:SETPRTY[CrLf]
:95Q:: PSET//FR[CrLf]
:16S:SETPRTY[CrLf]
:16R:AMT[CrLf]
:19A::SETT//EUR940, [CrLf]
:16S:AMT[CrLf]]
:16S:SETDET[CrLf]
-}




Printed: 04/22/11 4:22 PM                                                          18
        A.3     SAMPLE TRANSMISSION (SINGLE BATCH) (continued)

    TRANSACTION 4:
{1:F01CUSTUS33AINV0000000001}{2:O5211415020317IM08US33AINV00000000010203171415N}
{3:{113:9601}}
{4:[CrLf]
:30:970915[CrLf]
:20:970910000001[CrLf]
:31P:970910DTC[CrLf]
:35B:ISIN US74960LAU08[CrLf]
RJR NABISCO INC SR NT[CrLf]
/ASCT/CORP/AMD/040415/AIR/8,75[CrLf]
:82D:INSTRUCTING PARTY[CrLf]
:35A:FMT1200000,[CrLf]
:83D:/P 12345[CrLf]
NAME OF ACCOUNT[CrLf]
:87D:/ADTC/0074[CrLf]
LEHMAN BROTHERS, INC[CrLf]
:85D:/ADTC/0074[CrLf]
LEHMAN BROTHERS, INC[CrLf]
:33T:PCT104,365[CrLf]
:32M:USD1252380,[CrLf]
:34G:USD43750,[CrLf]
:32B:USD1296130,[CrLf]
:72:/AISD/920409[CrLf]
-}


    BATCH TRAILER:
{1:F01CUSTUS33AINV0000000001}{2:O5981422020317IM08US33AINV00000000010203171422N}
{3:{113:9601}}
{4:[CrLf]
:20:TLR-970902-00002[CrLf]
:12:599[CrLf]
:77E:/ATTOT/9,[CrLf]
/ANTOT/99,[CrLf]
/APTOT/999,[CrLf]
-}




Printed: 04/22/11 4:22 PM                                                          19
        A.4     SAMPLE TRANSMISSION FILE FORMAT (SINGLE BATCH)
{1:F01CUSTUS33AINV0000000001}{2:O5981422020317IM08US33AINV00000000010203171422N}{4:[CrLf]:20:HDR-970902-00002[CrLf]:12:599[CrLf]:77E:/…
{1:F01CUSTUS33AINV0000000001}{2:O3041415020317IM08US33AINV00000000010203171415N}{4:[CrLf]:15A: [CrLf]:20:FX123278[CrLf]…
{1:F01CUSTUS33AINV0000000001}{2:O5411415020317IM08US33AINV00000000010203171415N}{4:[CrLf]:16R:GENL[CrLf]:20C::SEME//1232[CrLf]…
{1:F01CUSTUS33AINV0000000001}{2:O5431415020317IM08US33AINV00000000010203171415N}{4:[CrLf]:16R:GENL[CrLf]:20C::SEME//1234[CrLf]…
{1:F01CUSTUS33AINV0000000001}{2:O5211415020317IM08US33AINV00000000010203171415N}{4:[CrLf]:30:970915[CrLf]:20:970910000001[CrLf]…
{1:F01CUSTUS33AINV0000000001}{2:O5981422020317IM08US33AINV00000000010203171422N}{4:[CrLf]:20:TLR-970902-00002[CrLf]:12:599[CrLf]:77E:/…



        A.5     SAMPLE ACKNOWLEDGMENT

    (shown on separate lines for clarity)
{1:F01IM08US33AINV0000000001}{2:O5981424020317CUSTUS33AINV00000000010203171424N}
{4:[CrLf]
:20:TRANSACK[CrLf]
:21:HDR-020317-00002[CrLf]
:12:599[CrLf]
:77E::/AUSERID/assigned user id[CrLf]
/AEOD/N[CrLf]
/ASTATUS/N[CrLf]
/AERROR1/B007NON-NUMERIC QTY(TRN 16 )[CrLf]
/AERROR2/B007NON-NUMERIC QTY(TRN 17 )[CrLf]
/AERROR3/B010APTOT INCORRECT (BATCH 1 )[CrLf]
-}

FILE FORMAT

{1:F01IM08US33AINV0000000001}{2:O5981424020317CUSTUS33AINV00000000010203171424N}{4:[CrLf]:20:TRANSACK[CrLf]:77E::21:HDR…




Printed: 04/22/11 4:22 PM                                                                                                             20
        A.6       GROUP/BATCH ACKNOWLEDGMENT ERRORS

Level   Message                     Reason                                                                      Accept/ Reject

GROUP
G001    TRANS REF DUPLICATE         GROUP TRANSACTION REFERENCE WAS PREVIOUSLY SENT                             REJECT TRANSMISSION
G002    TRANS REF INVALID           GROUP TRANSACTION REFERENCE HAS INCORRECT FORMAT                            REJECT TRANSMISSION
G003    HEADER & TRAILER MISMATCH   GROUP HEADER TRANSACTION REFERENCE NUMBER DOES NOT MATCH TO GROUP TRAILER   REJECT TRANSMISSION
G004    HEADER/TRAILER MISSING      GROUP HEADER AND/OR GROUP TRAILER MISSING; MULTIPLE BATCHES TRANSMITTED     REJECT TRANSMISSION
G005    SEQUENCE NOT ASCENDING      GROUP HEADER/TRAILER SEQUENCE NUMBER NOT ASCENDING COMPARED TO PREVIOUS     REJECT TRANSMISSION
G006    UNRECOGNIZED VENDOR BIC     VENDOR BIC NOT ON REFERENCE FILE                                            REJECT TRANSMISSION
G007    NON-NUMERIC ANUMBAT         /ANUMBAT/ VALUE IS NOT NUMERIC                                              REJECT TRANSMISSION
G008    ANUMBAT INCORRECT           /ANUMBAT/ VALUE DOES NOT MATCH CACULATED NUMBER OF BATCHES SENT             REJECT TRANSMISSION
G009    FIELD FORMAT ERROR          FORMAT OF TAG: 20,21,12 OR 77E IS INVALID                                   REJECT TRANSMISSION
G010    REQUIRED TAG MISSING        REQUIRED TAG: 20,21,12 OR 77E IS NOT PRESENT                                REJECT TRANSMISSION

BATCH
B001    TRANS REF DUPLICATE         BATCH TRANSACTION REFERENCE NUMBER PREVIOUSLY SENT                          REJECT BATCH
B002    TRANS REF INVALID           BATCH TRANSACTION REFERENCE NUMBER HAS INCORRECT FORMAT                     REJECT BATCH
B003    HEADER & TRAILER MISMATCH   BATCH HEADER TRANSACTION REFERENCE NUMBER DOES NOT MATCH TO BATCH TRAILER   REJECT BATCH
B004    HEADER/TRAILER MISSING      BATCH HEADER AND/OR TRAILER MISSING; MULTIPLE BATCHES TRANSMITTED           REJECT BATCH
B005    SEQUENCE NOT ASCENDING      BATCH HEADER/TRAILER SEQUENCE NUMBER NOT ASCENDING COMPARED TO PREVIOUS     REJECT BATCH
B006    UNRECOGNIZED VENDOR BIC     VENDOR BIC NOT ON REFERENCE FILE                                            REJECT BATCH
B007    NON-NUMERIC QUANTITIES      /APTOT/ VALUE IS NOT NUMERIC                                                REJECT BATCH
B008    NON-NUMERIC NET AMOUNTS     /ANTOT/ VALUE IS NOT NUMERIC                                                REJECT BATCH
B009    NON-NUMERIC TRANS TOTAL     /ATTOT/ VALUE IS NOT NUMERIC                                                REJECT BATCH
B010    APTOT INCORRECT             /APTOT/ VALUE DOES NOT MATCH CALCULATED TOTAL QUANTITY OF SECURITIES SENT   REJECT BATCH
B011    ANTOT INCORRECT             /ANTOT/ VALUE DOES NOT MATCH CALCULATED TOTAL NET AMOUNT SENT               REJECT BATCH
B012    ATTOT INCORRECT             /ATTOT/ VALUE DOES NOT MATCH CALCULATED NUMBER OF TRANSACTIONS SENT         REJECT BATCH
B013    FIELD FORMAT ERROR          FORMAT OF TAG: 20,21,12 OR 77E IS INVALID                                   REJECT BATCH
B014    REQUIRED TAG MISSING        REQUIRED TAG: 20,21,12 OR 77E IS NOT PRESENT                                REJECT BATCH
B015    ATRFIND=OFF, NON-EMPTY      FILE MARKED AS EMPTY, RECEIVED DATA IN THE FILE                             REJECT BATCH
B016    ATRFIND=ON, EMPTY           FILE MARKED AS DATA PRESENT, RECEIVED AN EMPTY FILE                         REJECT BATCH
B017    BATCH AFTER AEOD=Y          RECEIVED ADDITIONAL BATCH AFTER END OF DAY TAG                              CUSTODIAN PREFERENCE
B018    BATCH AEOD=O, NO AEOD=Y     RECEIVED END OF DAY OVERRIDE TAG BUT NO END OF DAY TAG                      CUSTODIAN PREFERENCE
B019    BATCH AEOD NOT RECEIVED     DID NOT RECEIVE AN END OF DAY TAG FOR THE PREVIOUS DAY                      CUSTODIAN PREFERENCE




Printed: 04/22/11 4:22 PM                                                                                                              21

								
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