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GB/T 39595-2020Open-ended fund business data exchange protocol (English PDF)

开放式基金业务数据交换协议

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Issued by

SAMR; SAC

Level / Type

National · Recommended

Issue date

December 14, 2020

Implementation date

July 1, 2021

Scope

GB/T 39595-2020 is the English-translated version of 开放式基金业务数据交换协议.

GB/T 39595-2020 specifies the information exchange format, basic requirements, business type codes, business exchange data items and data dictionary for the data exchange between the various institutions involved in the open-end fund business.

Clause 1 states that it is applicable to data exchange between fund managers, registrants, fund sellers, fund custodians and the like.

Its eight clauses are Scope; Normative references; Terms and definitions; Information exchange format, with Description, Information header, Information Body and Message tail; Basic requirements, with Data Type and Data processing; Business type code; Business exchange data items; and Data Dictionary, followed by normative Appendix A on the file mode interface and communication specification and normative Appendix B comparing return code values with their meanings.

Clause 7 is the bulk of the document and runs from 7.1 Description to 7.67, sixty-six groups of messages, most of them identified by a numeric code, from account opening application (001) and account opening confirmation (101) through account cancellation, freezing and unfreezing, trading account changes, subscription and appointment subscription, redemption and regular fixed-amount redemption, transfer between fund sellers and institutions, dividend method setting, fund share freezing and thawing, non-transactional transfers, fund conversion, forced increase and decrease, allocation, failed raising, fund liquidation and termination, order and appointment cancellation, investor and fund seller fund clearing, regular fixed-amount subscription opening, cancellation and modification, fund co-branded cards, points confirmation, district code change notices, confirmation of rights, fast transfer, fund pledge and ETF subscription and redemption, and closing with the summary data of transactions between TA and fund sellers and the summary data of TA and fund seller parameters.

The page's table of contents lists 95 numbered tables, the last of which is the data dictionary, plus five tables in Appendix A and one in Appendix B, and it estimates the length of the document at 218,251 words.

Clause 3 defines an open-ended fund as a fund, or collective asset management plan, whose total size of units or shares is not fixed and whose units or shares are sold to investors at any time and can be redeemed at the investors' request, and goes on to define a fund business party and a fund manager.

The introduction states that many years have passed since JR/T 0017-2012 Open-end Fund Business Data Exchange Agreement was published, that many new products and functions have since been expanded in the field of funds, and that this document is based on JR/T 0017-2012 and extends it to form a new data exchange agreement.

Clause 2 cites GB/T 1988-1998, GB/T 2260-2007, GB/T 2261.1-2003, GB/T 2261.2-2003, GB/T 2659-2000, GB/T 4754-2017, GB/T 7408-2005, GB/T 12406 and GB/T 13000-2010; the draft breaks off inside clause 3, so the body of the standard is not shown.

The page does not state that it replaces an earlier GB/T edition; it was issued on December 14, 2020 and has applied since July 1, 2021.

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Document preview — GB/T 39595-2020

National Standard of the People's Republic of China

ICS: 03.060
Classification: A 11

Issued by: State Administration for Market Regulation; Standardization Administration of the PRC

Preface
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Information exchange format
4.1 Description
4.2 Information header
4.3 Information Body
4.4 Message tail
5 Basic requirements
5.1 Data Type
5.2 Data processing
6 Business type code
7 Business exchange data items
7.1 Description
7.2 Account opening application (001), account information modification application (003)
7.3 Account opening confirmation (101)
7.4 Application for cancellation of account (002), application for cancellation of trading account (009)
7.6 Application for freezing of fund account (004)
7.7 Application for Unfreezing Fund Account (005), Application for Unlinking Fund Account Card (007)
7.8 Application for Reporting Loss of Fund Account Card (006)
7.9 Application for adding trading account (008)
7.10 Application for Change of Trading Account (058)
7.11 Confirmation of Change of Transaction Account (158)
7.12 Subscription application (020), appointment subscription application (021)
7.13 Subscription confirmation (120), subscription confirmation (121)
7.14 Subscription application (022), appointment subscription application (023), regular fixed-amount subscription application (039)
7.15 Subscription confirmation (122), regular fixed-amount subscription confirmation (139)
7.16 Reservation confirmation (123)
7.17 Redemption application (024), regular fixed-amount redemption application (063), appointment redemption application (025)
7.18 Redemption confirmation (124), regular fixed-amount redemption confirmation (163), forced redemption confirmation (142)
7.19 Appointment redemption confirmation (125)
7.22 Application for setting dividend method (029)
7.23 Confirmation of setting dividend method (129)
7.24 Subscription results (130)
7.25 Application for freezing of fund shares (031)
7.26 Confirmation of freezing of fund shares (131)
7.27 Application for thawing of fund shares (032)
7.28 Confirmation of unfreezing of fund shares (132)
7.29 Non-transactional transfer application (033), non-transactional transfer-in application (034), non-transactional transfer-out application (035)
7.30 Non-transaction transfer confirmation (133), non-transaction transfer transfer confirmation (134), non-transaction transfer transfer confirmation (135)
7.31 Fund Conversion Application (036), Fund Conversion and Transfer-in Application (037), Fund Conversion and Transfer-out Application (038)
7.32 Fund conversion confirmation (136), fund conversion and transfer confirmation (137), fund conversion and transfer confirmation (138)
7.33 Bonus/bonus reinvestment distribution (143)
7.34 Forced increase (144), forced decrease (145)
7.35 Allocation (146)
7.36 Failed to raise (149)
7.37 Fund liquidation (150), fund termination (151)
7.38 Order cancellation (052), appointment cancellation (053)
7.39 Cancellation confirmation (152), cancellation confirmation (153)
7.40 Invalid funds (054)
7.41 Fund seller's fund liquidation (155)
7.42 Liquidation of investor funds (156)
7.43 Bonus thawing confirmation (157)
7.44 Regular fixed-amount subscription opening application (059), regular fixed-amount subscription cancellation application (060)
7.45 Confirmation of regular fixed-amount subscription opening (159), confirmation of regular fixed-amount subscription cancellation (160)
7.46 Modification Application for Regular Fixed Amount Subscription (061)
7.47 Confirmation of regular fixed-amount subscription modification (161)
7.48 Subscription adjustment application (062)
7.49 Subscription adjustment confirmation (162)
7.50 Fund Co-branded Card Opening Application (067), Fund Co-branded Card Revocation Application (068)
7.51 Confirmation of opening of joint fund card (167), confirmation of withdrawal of joint fund card (168)
7.52 Points Confirmation (169)
7.53 Notice of District Code Change (070)
7.54 Application for confirmation of rights (080)
7.55 Confirmation of rights (180)
7.56 Fast transfer application (098)
7.57 Quick transfer confirmation (198)
7.58 Fund pledge application (088)
7.59 Fund pledge confirmation (188)
7.60 ETF subscription application (091)
7.61 ETF redemption application (093)
7.62 One confirmation of ETF subscription (191)
7.63 Second confirmation of ETF subscription (192)
7.64 ETF redemption once confirmed (193)
7.65 ETF redemption second confirmation (194)
7.66 Summary data of transactions between TA and fund sellers
7.67 Summary data of TA and fund seller parameters
8 Data Dictionary
Appendix A (normative) File mode interface and communication specification A 1 Organizational structure of the data file summary between TA and fund sellers
Appendix B (normative) Return code value and meaning comparison

Foreword

This document is in accordance with the provisions of GB/T 1.1-2020 "Guidelines for Standardization Work Part 1: Structure and Drafting Rules of Standardization Documents" Drafting.

Please note that certain contents of this document may involve patents. The issuing agency of this document is not responsible for identifying patents.

This document was submitted by the People's Bank of China.

Introduction

It has been many years since the publication of JR/T 0017-2012 "Open-end Fund Business Data Exchange Agreement".

Many new products and functions have been expanded in the field of funds. This document is based on JR/T 0017-2012.

The product or business innovation of all-market securities investment funds in the gold industry should be appropriately expanded to form a new data exchange agreement.

1 Scope

This document specifies the information exchange format, basic requirements, business type codes, business exchange data items and data dictionary for data exchange between various institutions in the open-end fund business.

This document is applicable to data exchange between fund managers, registrants, fund sellers, fund custodians, etc.

2 Normative references

The contents of the following documents constitute indispensable clauses of this document through normative references in the text. Among them, dated quotations Only the version corresponding to the date is applicable to this document; for undated reference documents, the latest version (including all amendments) is applicable to this document.

GB/T 1988-1998 Seven-bit coded character set for information technology exchange

GB/T 2260-2007 The administrative division code of the People's Republic of China

GB/T 2261.1-2003 Classification and codes of basic personal information Part 1: Gender codes of people

GB/T 2261.2-2003 Classification and codes of basic personal information Part 2: Codes for marital status

GB/T 2659-2000 Codes for names of countries and regions in the world

GB/T 4754-2017 Classification of National Economic Industries

GB/T 7408-2005 Data element and exchange format information exchange date and time representation

GB/T 12406 represents the code of currency and funds

GB/T 13000-2010 Information Technology Universal Multi-octet Coded Character Set (UCS)

3 Terms and definitions

The following terms and definitions apply to this document.

3.1 Open-ended fund

The total size of fund units or shares is not fixed, and fund units or shares are sold to investors at any time, and they can be redeemed at the request of investors Funds and collective asset management plans for fund units or shares issued outside.

3.2 Fund business party

All institutions and individuals related to fund business processing.

3.2.1 Fund manager

A fund management company that engages in investment fund management in accordance with the law.

......
This preview omits tables, figures, formulas and parts of the technical clauses. The complete document — 188 pages — is available in the English PDF.

Referenced standards

Normative references

Cited by

GB/T 39662-2020Interface specification for fund industry central data backup

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