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GB/T 39662-2020Interface specification for fund industry central data backup (English PDF)

基金行业数据集中备份接口规范

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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 39662-2020 is the English-translated version of 基金行业数据集中备份接口规范.

GB/T 39662-2020 specifies the information exchange format and the data interface through which securities investment fund registration institutions submit their daily business data to the central data exchange platform.

Clause 1 adds that the document is applicable to fund managers, registrants and the like when they back up fund industry data centrally to that platform.

The body runs from Scope, Normative references and Terms and definitions to Information exchange format, which covers the description, the information header, the information body, the message tail and the data reporting mechanism, with separate explanations of the data submitted by public funds and by private equity funds, and then to Data interface, which covers data types, data processing, the interface file name, the TA business code, the business data items and the file summary data items.

The business data items are given business by business, each with its own code, from account opening and account cancellation confirmation through subscription, periodic fixed-amount subscription, redemption, mandatory redemption, cancellation orders, transfer of custody, dividend methods, share freezing and unfreezing, non-transactional transfer, fund conversion and proportional placement failure, while the file summary data items cover account information notification, transaction confirmation, share reconciliation, dividend information, fund TA parameters, fund operation information and tax calculation parameters for cross-border funds.

Four normative appendices follow: the data type description of the interface file specification with its data processing rules, file organisation structure and data index and data file names and formats; the data dictionary; the data transmission time; and the description of daily data submission.

Clause 2 cites GB/T 1988-1998, GB/T 2260-2007, GB/T 2261.1-2003, GB/T 2659-2000, GB/T 4754-2017, GB/T 7408-2005, GB/T 12406-2008, GB/T 13497-1992 and GB/T 39595-2020.

Clause 3 states that the terms and definitions of GB/T 39595-2020 apply and repeats some of them, among them fund business party, fund founder-member and fund manager.

The foreword records that the document was submitted by the People's Bank of China and is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180). It was issued on 14 December 2020 and has applied since 1 July 2021.

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Document preview — GB/T 39662-2020

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
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
4.5 Data reporting mechanism
4.5.1 Explanation of data submitted by public funds
4.5.2 Explanation of data submitted by private equity funds
4.5.3 Other instructions
5 Data interface
5.1 Data Type
5.2 Data processing
5.3 Interface file name
5.4 TA business code
5.5 Business data items
5.5.1 Description
5.5.2 Account opening confirmation business (101)
5.5.3 Account cancellation confirmation business (102)
5.5.4 Customer data modification confirmation business (103)
5.5.5 Cancellation of transaction account confirmation (109)
5.5.6 Confirmation of change of trading account (158)
5.5.7 Subscription business data items (120)
5.5.8 Subscription result business data items (130)
5.5.9 Subscription business data items (122)
5.5.10 Periodic fixed-amount subscription business data items (139)
5.5.11 Transactional open-end index fund (ETF) one-time subscription business data items (191)
5.5.12 ETF secondary purchase business data items (192)
5.5.13 Redemption business data items (124), regular fixed-amount redemption business data items (163)
5.5.14 Mandatory redemption of business data items (142)
5.5.15 ETF one-time redemption business data item (193)
5.5.16 ETF secondary redemption business data items (194)
5.5.17 Scheduled redemption business data items (125)
5.5.18 Business data items of cancellation orders (153)
5.5.19 Transfer escrow business data items (126)
5.5.20 Transferred-in business data items (127)
5.5.21 Transfer and outgoing business data items (128)
5.5.22 Set dividend method business data items (129)
5.5.23 Share freezing business data items (131)
5.5.24 Share unfreezing business data items (132)
5.5.25 Non-transactional transfer business data items (133)
5.5.26 Non-transactional transfer business data items (135)
5.5.27 Non-transactional transfer and entry business data items (134)
5.5.28 Fund conversion business data items (136)
5.5.29 Funds switch out of business data items (138)
5.5.30 Conversion of funds into business data items (137)
5.5.31 Dividend business data items (143)
5.5.32 Increasing business data items (144)
5.5.33 Mandatory reduction of business data items (145)
5.5.34 The business data item of opening a regular quota agreement (159)
5.5.35 Cancellation of the business data items of the periodic quota agreement (160)
5.5.36 Change the business data items of the periodic quota agreement (161)
5.5.37 Proportional placement failure (149)
5.6 File summary data items
5.6.1 Account Information Notification (92)
5.6.2 Transaction Confirmation (94)
5.6.3 Share reconciliation (95)
5.6.4 Dividend information (96)
5.6.5 Fund TA Parameters (T1)
5.6.6 Fund operation information (T2)
5.6.7 Tax calculation parameters for cross-border funds (G1)
Appendix A (Normative) Interface file specification data type description A 1 Interface file specification data type description
Appendix B (Normative) Data Dictionary
Appendix C (Normative) Data transmission time
Appendix D (Normative) Description of daily data submission

Foreword

This document is in accordance with the provisions of GB/T 1.1-2020 Standardization Guidelines 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.

1 Scope

This document specifies the data used by securities investment fund registration institutions to submit daily business data to the central data exchange platform Exchange format and data interface.

This document is applicable to fund managers, registrants, etc., to centrally backup fund industry data to the central data exchange platform.

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 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 12406-2008 represents the code of currency and funds

GB/T 13497-1992 National Clearing Center Code

GB/T 39595-2020 Open-end fund business data exchange protocol

3 Terms and definitions

The following terms and definitions defined in GB/T 39595-2020 apply to this document. For ease of use, the following is repeated Certain terms and definitions in GB/T 39595-2020.

3.1 Fund business party

All institutions and individuals related to fund business processing. [Source: GB/T 39595-2020, 3.1]

3.1.1 Fund founder-member

The establishment of a fund organization for the purpose of the establishment of the fund and in accordance with the prescribed establishment conditions and procedures.

3.1.2 Fund manager

A fund management company that engages in investment fund management in accordance with the law. [Source: GB/T 39595-2020, 3.2.1]

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This preview omits tables, figures, formulas and parts of the technical clauses. The complete document — 121 pages — is available in the English PDF.

Referenced standards

Normative references

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