2.1.2 Fund Rules Upload Segment Formats
This topic provides the information on fund rules upload formats of segment identification number.
Serial Number: 1
Segment Identification Number: 00GEN
Description: This segment is used for providing information that is common to the other fund rules that need to be uploaded in the system.
Mandatory: Mandatory and will be the driving header segment for all the other segments.
Multiple records allowed for the same fund and Rule Effective Date: No
Table 2-2 Fund Rules Upload Segment Formats - 00GEN
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| PROCESSID | Alphanumeric | 50 | Mandatory | - | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| BULKCLIENTCODE | Alphanumeric | 12 | Mandatory | - | Valid authorized, enabled Bulk client codes maintained in the system as a part of Entity Maintenance. |
| IMPORTFILENAME | Alphanumeric | 255 | Mandatory | - | This is the name of the file being uploaded into the FCIS system |
| AMCID | Alphanumeric | 12 | Mandatory | - | Valid authorized, enabled AMC maintained in the system as a part of Entity Maintenance. The fund rule upload defaulting would be based on both AMCID and the Bulk client code. |
| USERID | Alphanumeric | 15 | Mandatory | - | The fund rule MakerID would have the value of UserID as a part of data storage in all the fund rule tables. |
| UPLOADMODE | Alphanumeric | 1 | Mandatory | - | Should be 'N' for New fund rule, and ‘I’ for Incremental for amending an existing authorized fund rule. |
| GENERATEAUTHFUNDRULE | Alphanumeric | 1 | Optional | - | This indicates whether the fund rule uploaded should be a authorized fund rule or un-authorized fund rule. |
| DEFAULTOPTION | Alphanumeric | 15 | Optional | - | This indicates if data needs to be defaulted based on any existing templates or based on bulk client code. |
Serial Number: 2
Segment Identification Number: 01FDR
Description: This segment is used for providing Fund demographics related information.
Segment Mandatory / Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: No
Table 2-3 Fund Rules Upload Segment Formats - 01FDR
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 01FDR | Standard value of 01FDR to uniquely identify Fund demographics information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund in the system. Enter a unique value for the fund for which a Fund Demographics record is being set up |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Rule Effective Date should be later than (or same as) the Fund Start Date and it should also be later than (or same as) the current application date of the system. | Specify the date from when the Fund Demographics Rule that is currently being set up should become effective. |
| FUNDSTARTDATE | Date | 8 | Mandatory | - | Specify the date upon which the fund is to begin operations |
| FUNDNAME | Alphanumeric | 60 | Mandatory | - | Enter the name of the fund for which the Fund Demographics profile is being set up in this record |
| FUNDNAMESHORT | Alphanumeric | 15 | Mandatory | - | Enter the short name of the fund for which the Fund Demographics profile is being set up in this record |
| FUNDCLASS | Alphanumeric | 1 | Optional | Valid values are 'O' for Openended and 'C' for Closed-ended | Enter the fund class as either Open Ended and Closed-Ended Funds |
| FUNDTYPE | Number | 38 | Optional | Valid Fund types defined in the system | Enter the value of Fund Type. The Fund Types are set up as a part of the Fund Type Maintenance |
| FUNDFAMILY | Alphanumeric | 2 | Optional | Valid Fund families defined in the system | Enter the fund family under which the fund must be placed |
| FUNDBASECURRENCY | Alphanumeric | 3 | Optional | Valid Currency code defined in the system | Specify the currency code in which the fund will be denominated. The NAV and dividend declarations for the fund will be in this base currency. |
| FUNDCOUNTRY | Alphanumeric | 3 | Optional | Valid Domicile code defined in the system as a part of Params Maintenance | Enter the country of domicile of the fund. This information will be used to determine whether a unit holder that subscribes to the fund must be considered a Foreign unit holder or not |
| FISCALSTARTYEAR | Date | 8 | Optional | The Fiscal Start Date must be earlier than the application date and the Rule Effective Date of the fund | Enter the date from when the Fiscal Year should start for the fund |
| FISCALENDYEAR | Date | 8 | Optional | The Fiscal End Date should be later than (or same as) the current date of the system. It should also be later than (or same as) the Rule Effective Date of the fund that is being set up. | Enter the date on which the Fiscal Year should end for the fund |
| AMCID | Alphanumeric | 12 | Optional | Valid authorized AMC defined in the system as a part of entity maintenance | Specify the AMC that this Fund will be operative in |
| BROKERSALLOWED | Number | 1 | Optional | Valid values are 1 and 0 | if brokers are to be mandatory for the given Fund, then a value of '1' should be entered else enter 0. |
| REGISTRARID | Alphanumeric | 12 | Optional | Valid Registrar defined in the system as a part of Entity maintenance | Enter the Registrar ID for the fund being set up |
| TRUSTEEID | Alphanumeric | 12 | Optional | Valid Trustee defined in the system as a part of Entity maintenance | Enter the Trustee ID for the fund being set up |
| FUNDENABLED | Number | 1 | Optional | Valid values are 1 and 0 | Every new fund is created in the system initially as an enabled fund. Hence, the value can be defaulted to 1 |
| MINHOLDINGPERIOD | Number | - | Optional | - | - |
| MINAMOUNTFORTAXID | Number | 15 | Optional | Maximum of 3 decimal places allowed | Enter the minimum subscription / IPO subscription amount beyond which it is necessary / preferable to capture the Tax details for any unit holder. |
| PRIMARYREGADDRESS | Alphanumeric | 255 | Optional | - | Registered Address for the fund |
| FUNDTAXID | Alphanumeric | 25 | Optional | - | Unique Tax ID for the fund |
| FUNDIDENTIFICATIONNUMBER | Alphanumeric | 25 | Mandatory for DEKA Installation. For others this is optional | - | Fund ISIN number that helps to uniquely identify the fund |
| FUNDTICKERSYMBOL | Alphanumeric | 25 | Optional | - | This is another value that helps to uniquely identify the fund. However, if this is not applicable, it can be entered as null also. |
| ALLOWIRAINVESTMENTS | Number | 1 | Optional | Valid values are 0 and 1 | Only if IRA transactions are allowed, the value should be specified as 1. Else specify 0. |
| CUSTODIAN | Alphanumeric | 12 | Optional | Valid custodian defined in the system as a part of Entity maintenance | Enter the Custodian for the fund being set up |
| HEDGE FUND | Alphanumeric | 1 | Optional | Valid values are 0 and 1 | Indicate whether the fund is a hedge fund |
Serial Number: 3
Segment Identification Number: 02SCR
Description: This segment is used for providing Shares Characteristics related information
Segment Mandatory / Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: No
Table 2-4 Fund Rules Upload Segment Formats - 01FDR
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 02SCR | Standard value of 02SCR to uniquely identify Shares characteristics information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Shares characteristics information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which share characteristic information for the fund has to be maintained. |
| SCRIPBASED | Number | 1 | Optional | Valid values are 0,1 and 2 | This field is used to designate the applicability of certificate issue for investment in the fund. The value '0' indicates 'Scripless'; '1' indicates 'Scrip based' and '2' indicates 'Certificate option' |
| PARVALUE | Number | 15 | Optional | Maximum of 6 decimal places allowed | Enter the Par Value for the fund. Normally, this will be the base price for Initial Public Offer (IPO) period, However you can change the base price for IPO. |
| NOOFDECIMALSFOR UNITS | Number | 1 | Mandatory | Optional | Indicate the maximum number of decimals that would be reckoned for rounding precision, for the number of allotted units. You cannot indicate a precision higher than 6 decimal places. |
| ROUNDOFFTRUN CATE | Alphanumeric | 1 | Optional | Valid values are 'R' for Round off; 'T' for Round Down and 'U' for Round up | Indicate the rounding options for the value of the number of allotted units, designated for the fund. |
| MINNOOFUNITHOL DERS | Number | 5 | Optional | - | At any point of time, when the fund is enabled, the number of unit holders cannot fall below this value. This value must not be lower than zero. |
| MAXNOOFUNITHOL DERS | Number | 5 | Optional | - | At any point of time, when the fund is enabled, the number of unit holders cannot go above this value. |
| MINREGISTEREDC APITAL | Number | 20 | Optional | Maximum of 6 decimal places allowed | At any point of time, when the fund is enabled, the fund corpus (registered capital) cannot go below this value. |
| MAXREGISTEREDC APITAL | Number | NUMBER( 30,1 2) | Optional | Maximum of 6 decimal places allowed | At any point of time, when the fund is enabled, the fund corpus (registered capital) cannot go above this value. |
| CAPINDICATOR | Alphanumeric | 1 | Optional | Valid values are 'A' and 'P' | This is to specify the foreign investors’ limit to be defined either in percentage of fund corpus or a flat Amount. Enter A if the foreign investors limit is in terms of an Amount and P for a percentage of the Registered Capital. |
| FOREIGNINVESTORSLIMI T | Number | NUMBER( 30,1 2) | Optional | Maximum of 6 decimal places allowed | Enter a value to specify the percentage of fund corpus that foreigners are allowed to hold. This could be either a percentage of Fund Corpus or a flat Amount. If it is a percentage, then it cannot be greater than 100. |
| ACCOUNT STATEMENTFREQ | Alphanumeric | 20 | Optional | Valid values are 'F' or 'B' for Biweekly; 'M' for 'Monthly; 'Q' for 'Quarterly' ; 'H' for 'Half-yearly' ; 'Y' for 'Yearly' | This is to indicate the frequency with which the system should initiate the Account Statement processing |
| ACCOUNT STATEMENTLEA DTIME | Number | 3 | Optional | - | Enter a leadtime in days.. |
| PRINTACCOUNTSTATEME NT | Number | 1 | Optional | Valid values are '1' to print and '0' for not to print account statement | This is to indicate that the Account Statement to be printed for the fund that is being set up |
| PRINTHOL DINGSSTATEMENT | Number | 1 | Optional | Valid values are '1' to print and '0' for not to print holding statement | This is to indicate that if the Holding Statement to be printed for the fund that is being set up |
| STANDARDLOT | Number | 1 | Optional | - | Enter a value to specify the standard lot for fund. This is also the marketable lot |
| PREFIXCERTCODE | Alphanumeric | 1 | Optional | - | Enter a character for this field. This will be used as prefix to the Certificate Number |
| STARTCERTISSUEDNO | Number | 1 | Optional | - | Enter a value for this field. This is just for information. For a new Fund, the Certificate Numbers will start from this number. |
| LASTCERTISSUEDNO | Number | 5 | Optional | - | Enter a value for this field. This is to specify that this was the last certificate number that has been issued so far and system needs to start from next number. For new funds, this could be zero. This is also equal to the Start Certificate Issue Number in the case of new Funds |
| PREFIXDNRCODE | Number | 1 | Optional | - | Enter a character for this field. This will be used as prefix to the Distinctive Number Record (DNR) Number. This information is only applicable if you have specified the number of decimals for units as zero, in the Number of Decimals for Units field in this screen. |
| STARTDNRISSUEDNO | Alphanumeric | 1 | Optional | - | Enter a value for this field. This is just for information. For new funds, this will be same as last DNR issued number. This information is only applicable if you have specified the number of decimals for units as zero, in the Number of Decimals for Units field in this screen. |
| LASTDNRISSUEDNO | Number | 5 | Optional | - | Enter a value for this field. This is to specify that this was the last DNR number that has been issued so far and system needs to start from next number. For new funds, this could be zero. This is also equal to the Start Certificate Issue Number in the case of new Funds. This information is only applicable if you have specified the number of decimals for units as zero, in the Number of Decimals for Units field in this screen |
| SINGLECERTALLOWED | Number | 1 | Optional | Valid values are 0 and 1 | This is to indicate whether a single certificate is needed for the transaction or multiple certificates are needed. Valid values are 0 and 1 indicating 'No' and 'Yes' option for Single certificate allowed. |
| MINCERTDENOMINATION | Number | 5 | Optional | - | Enter a value to specify the minimum certificate denomination. I.e., the next level of denomination after the standard lot. The system will use this after exhausting the maximum certificate denominations. |
| MAXCERTDENOMINATI ON | Number | 5 | Optional | - | Enter a value to specify the maximum certificate denomination. This is the first level of denomination used by the system. |
| USEROVERRIDEALLO WED | Number | 1 | Optional | Valid values are '0' and '1' | Enter value as '1' if the user on the unit holder’s request can override the default denominations defined. If the User override is allowed then, system will allow the teller to override the fund default denominations. This is true only for minimum and maximum denominations. The Standard lot cannot be changed. This is applicable only to scripbased funds. |
| CERTREQD | Number | 1 | Optional | Valid values are '0' and '1' | For scrip less funds, this value is to indicate that certificates must be issued to investors for block transactions in the fund. |
| MAXREGISTEREDUNITS | Number | 5 | Optional | - | Capture the Maximum Units Registered Capital. |
| UHCATREGCAPITAL | VARCHAR2 | 2000 | Optional | - | Tilde separated string with Inv Category and Max Reg Units. Eg : PB~100;CO~20 0 |
Serial Number: 4
Segment Identification Number: 03GOR
Description: This segment is used for providing General Operating rules information.
Segment Mandatory / Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: No
Table 2-5 Fund Rules Upload Segment Formats - 03GOR
| Field Name | Type | Maximum Length | Mandatory/Optional | Characteristics/ Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 03GOR | Standard value of 03GOR to uniquely identify General Operating Rules information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which General operating rules information has to be uploaded. |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which general operating rules information for the fund has to be maintained. |
| POSTPRICED | Number | 1 | Optional | Valid values are '0' and '1' | Enter '1' if the price for the fund will be announced Post Transactions. Else enter '0' if it is a prepriced fund |
| NEXTPRICEDECLAREDATE | Date | Date | Optional | - | Specify the next date upon which the fund price is to be declared. This date must be after the Rule Effective Date of the fund, and the current system date. |
| PRICEDECLAREFREQ | Alphanumeric | 1 | Optional | Valid values are 'D' for 'Daily; 'W' for 'Weekly'; 'F' or 'B' for 'Bi- weekly'; 'M' for 'Monthly; 'Q' for 'Quarterly' ; 'H' for 'Half-yearly' ; 'Y' for 'Yearly'. | This is used to indicate the frequency with which the price will be announced. If the fund is Postpriced Fund, you must specify this frequency as Daily. |
| NOOFDECIMALSFORNAV | Number | 1 | Optional | - | Indicate the maximum num- ber of decimals that would be reckoned for rounding precision, for the NAV. You cannot indicate a precision higher than 6 decimal places. |
| ROUNDOFFTRUNCATE | Alphanumeric | 1 | Optional | Valid values are 'R' for Round off; 'T' for Round Down and 'U' for Round up | Indicate the rounding options for the value of the number of allotted units, designated for the fund. |
| MATURITYDATE | Date | Date | Optional | - | Indicate the maturity date for the fund. This is applicable only if the fund is closed-ended fund. |
| RETAINIPOBALANCE | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate if the IPO Balance of unit holders must to be stored for later use. '1' indicate maintenance of IPO balance of Unit holders and '0' indicates that it need not be maintained separately. |
| CONFBEFALCREQUIRED | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate that a rejection of a transaction as applicable, for all authorized transactions, prior to allocation. If this is not specified, then all authorized transactions will be taken up for allocation directly. |
| AUTOREDEMPTIONALLOWED | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate if Auto- matic Redemp- tion is to be allowed for the fund. This is applicable only for Open Ended funds. When the balance the unit holder falls below a defined minimum level, then the investor will be intimated about it and will be provided with some lead time to either increase the balance above the minimum level or redeem all his units. After the elapsed lead time, if the unit holder balance still lies below the defined minimum level, then the automatic redemption of those units will be done. |
| MINIMUMBALANCETYPE | Alphanumeric | 1 | Optional | Valid values are 'A' and 'U' | Enter the type of Minimum bal- ance (amount / units) to be maintained for Automatic Redemption. |
| MINIMUMBALANCE | Number | 20 | Optional | - | Enter the mini- mum balance (in amounts / units based on what balance type has been specified above) to be maintained for Automatic Redemption |
| ELAPSEDDAYSBEFOREAUTORED | Number | 3 | Optional | - | Enter the number of days from the date of intimation after which Automatic Redemption will be initiated. This is the lead time provided to the investor. |
| CHQALLOTONCLGDAT E | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate whether allocation must be done on the transaction date or on the check clearing date, using the price prevailing on that date, for transactions in which the payment mode is Check |
| AGEINGBASEDON | Alphanumeric | 1 | Optional | Valid values are 'F' for 'FIFO'; 'T' for 'Transaction Receipts' and 'P' for 'FIFO across products' | This is used to indicate if the unit holder has specified as to how transac- tions are to be ordered - FIFO, Tansaction receipts and FIFO across products. |
| MAINTAINTRADINGBOX | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate to the system that the trading functions must be enabled for the fund. This means that for the fund, all trading transactions and the relevant processing are allowed. |
| NAVLOT | Number | 6 | Optional | - | Specify the number of units for which the NAV quote is deemed to be applicable, for the fund. |
| CDSCFUND | Varchar2 | 2 | Optional | Valid values :
Default : Not Applicable ‘L’,’M’,’N’,’B’ | This is used to indicate that the Contingent Deferred Sales Charge (CDSC) is applicable for the transac- tions in this fund. |
| MINCHECKAMOUNT | Number | 15 | Optional | Maximum of 3 decimals possible | If check writing facility is allowed then the minimum check amount possible is indicated here. |
| MAXCHECKAMOUNT | Number | 15 | Optional | Maximum of 3 decimals possible | If check writing facility is allowed then the maximum check amount possible is indicated here. |
| MINCHECKHOLDINGPERIOD | Number | 5 | Optional | - | If check writing facility is allowed then the minimum holding period required is indicated here. |
| CHECKACCOUNTCLOSURE | Number | 1 | Optional | - | - |
| BALANCEPENALTY | Number | 1 | Optional | - | - |
| STOPPAYMENTPE NALTY | Number | 1 | Optional | - | - |
| AMTLIMITPENALTY | Number | 1 | Optional | - | - |
| INTERESTRATE | Number | 15 | Optional | Maximum of 6 decimals possible | - |
| PERFORMANCEFEETHR ESHOLD | Number | 5 | Optional | Maximum of 2 decimals possible | - |
| FUTURELIMITORDER ALLOWE D | Number | 1 | Optional | Valid values are '0' and '1' | Indicates limit order based on Date |
| AUTOLIMITORDERPROCESS | Number | 1 | Optional | Valid values are '0' and '1' | If limit order is based on price, indicates whether automatic triggering of processing is required or not. |
| PRICINGRULE | Alphanumeric | 1 | Optional | Valid values are 'A' for After and 'P' for Prior | Rule to be applied for pricing |
| MinThreshHoldLimit | Number | 5 | Optional | Maximum of 2 decimals possible | Used for captur- ing Minimum Threshold Limit. |
| EUSDSCOPE | Alphanumeric | 1 | Optional | Valid values are ‘R’ for Redemption & Switch Out and ‘D’ for Dividend and ‘B’ for Both. Shown only for EUSD applica- ble segments. | Used to cater EUSD requirements. |
| AgeingDate | Alphanumeric | 1 | Optional | Valid values are ‘T’ for Transaction Date and ‘C’ for Confirma- tion date and ‘D’ for Dealing date. | Used to store Ageing basis value. |
| INVESTMENTSIMULATI ONMETH OD | Alphanumeric | 1 | Optional | Valid values are ‘N’ and ‘H’ | This indicates whether the Investment Simulation Method should be a Not Allowed or Historic Based NAV. |
| MINLOCKINPERIODFORGAIN | Number | 4 | Optional | Valid values are Greater than or equal to 0 | - |
| MAXLOCKINPERIODFORGAIN | Number | 4 | Optional | Valid values are Greater than or equal to the Min Lockin Period | - |
| MINLOCKINPERIODF ORGAIN | Number | 4 | Optional | Valid values are Greater than or equal to the Min Lockin Period and Less than or equal to the Max Lockin Period. | - |
| AMOUNTBLOCKALLOWE D | Number | 1 | Optional | Valid values are 0 and 1 | - |
| CALCULATEFEEINTXNCCY | Number | 1 | Optional | Valid values are 0 and 1 | - |
| INCLUDEHOLDINGPERI OD | VARCHAR2 | 1 | Optional | Valid Values are 0 and 1 | - |
| BLOCKPRIORITYNO | Number | 4 | Optional | Block priority should not be a numeric value. | For amount block, the prior- ity will be derived with this number and for amount unblock the priority would be reverse of this order. |
| DIVIDENDEQUALIZA TIONAPPLICABLE | Number | 1 | Optional | Valid Values are ‘0’ (No) and ‘1’ (Yes) | Dividend equalization applicable” flag should be set to ‘1’ to support dividend / income equalization funds. |
Serial Number: 5
Segment Identification Number: 04TPR
Description: This segment is used for providing Transaction processing rules information.
Segment Mandatory / Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: Yes (For each transaction type - there is a separate record)
Table 2-6 Fund Rules Upload Segment Formats - 04TPR
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 04TPR | Standard value of 04TPR to uniquely identify Transaction processing information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Transaction processing information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which transaction processing information for the fund has to be maintained. |
| TRANSACTIONTYPE | Alphanumeric | 2 | Mandatory | Valid values are '01' for IPO; '02' for Subscription; '03' for Redemption; '04' for Switch from operation; '05' for transfers and so on upto '10' | Indicate the value for which the transaction type for which the rules are being set up |
| GROSSORNET | Alphanumeric | 1 | Optional | G' for Gross ; 'N' for Net and 'B' for Both | Opting for a gross or net mode in transaction processing is mode is only available for IPO, subscription or redemption transactions. For transactions with a gross processing mode, the value of the transaction, whether as an amount or a number of units, will be processed as a gross value from which any applicable charges will be deducted. For transactions with a net processing mode, the amount value of the transaction will be processed as a net value apart from the charges. |
| TRANSACTIONSTARTDATE | DATE | 8 | Optional | - | Enter a date to specify that the above mentioned transaction type will start from this date |
| TRANSACTIONENDDATE | DATE | 8 | Optional | - | Enter a date to specify that the above mentioned transaction type will end on this date |
| TRANSACTIONFREQUENCY | Alphanumeric | 1 | Optional | Valid values are 'D' for 'Daily; 'W' for 'Weekly'; 'F' or 'B' for 'Biweekly'; 'M' for 'Monthly; 'Q' for 'Quarterly' ; 'H' for 'Half-yearly' ; 'Y' for 'Yearly' | Enter a value to specify the frequency with which the transaction type will operate |
| TRANSACTIONSTARTPERIOD | NUMBER | 1 | Optional | - | Enter a value to specify the Start Period within the frequency mentioned above. Within a particular frequency, you have an option to restrict it to a particular period. For example if the transaction Frequency is WEEKLY, Start Period is 2 and End Period is 5. This means that the Fund is open for this transaction from second day till the fifth day of the week. |
| TRANSACTIONENDPERIOD | Number | 1 | Optional | - | The End period has to be within the Transaction Frequency i.e., it can take values up to 7 (weekly) and not greater than that. |
| DATE | DATE | - | Optional | - | Enter a time to specify the start time for a given working date. On a given day when the fund is open for this transaction, you can start entering transactions from this time. |
| MINTRANSACTIONAMOUNT | Number | 15 | Optional | Maximum of 3 decimals allowed | The minimum transaction amount allowed for this transaction type in this fund |
| STEPAMOUNT | Number | 15 | Optional | Maximum of 3 decimals allowed | Enter a value to specify the steps of amount in which a unit holder can invest or redeem. This will operate above the Minimum Transaction Amount. |
| MAXTRANSACTIONAMOUNT | Number | 15 | Optional | Maximum of 3 decimals allowed | The maximum transaction amount allowed for this transaction type in this fund |
| MINTRANSACTIONUNITS | Number | 15 | Optional | Maximum of 6 decimals allowed | The minimum transaction units allowed for this transaction type in this fund |
| STEPUNITS | Number | 15 | Optional | Maximum of 6 decimals allowed | The unit steps applicable for a unit holder to invest do any operation |
| MAXTRANSACTIONUNITS | Number | 15 | Optional | Maximum of 6 decimals allowed | The maximum transaction units allowed for this transaction type in this fund |
| ONLINEALLOCATION | Number | 1 | Optional | Valid values are '0' and '1' | This is to indicate if Online Allocation is to be allowed for the given transaction type. This can be applicable only if the fund is pre-priced. For Post Priced Fund with Allocation as Online, the Transaction Frequency is Allocation |
| ALLOCATIONPERVSREGCAPITAL | Number | 1 | Optional | Should be below 100 | Specify the percentage up to which allocation can be allowed for a given registered amount on the day |
| ALLOCATIONPOLICY | Alphanumeric | 1 | Optional | - | Enter F for First In First Out or P Proportionate to specify the policy for allocation in case the maximum limit is reached for a given day. This policy is with respect to the allocation percentage that is allowed against the fund corpus. |
| NOOFTXNALLOWEDFORFREQ | Number | 1 | Optional | - | This is to specify the number of transactions allowed restriction within this frequency |
| NOOFTXNALLOWEDPERUH | Number | 1 | Optional | - | Enter a value to specify the number of transactions that are allowed for a unit holder. You can restrict the unit holder from operating more than the specified limit for transactions. |
| NOOFFREETXNALLOWEDPERUH | Number | 1 | Optional | - | Enter a value to specify the number of free transactions within the permitted transactions. This definition will override all loads that will be set for this transaction |
| ALLOWBACKDATING | Number | 1 | Optional | - | This is used to indicate whether backdating should be allowed for this fund. This means that on any given date, for this transaction type, the system will allow the user to enter transactions dated earlier to the current date |
| BACKDATINGLIMIT | Number | 1 | Optional | Valid values are '0' and '1' | This is applicable only if Allow Back Dating is True. This has to be later than the transaction start date. Fund Price as effective on that date will be taken into account during allocation. |
| FUNDTRANSACTIONCOUNTER | Number | 1 | Optional | - | Enter a value to specify the total number of transactions to be allowed in this transaction type. |
| ACKNOWLEDGEMENTREQUIRED | Number | 1 | Optional | - | This is to indicate if the Acknowledgment Slip is to be printed after every transaction. Otherwise this can be printed on receiving specific request from the User. |
| CONFIRMATIONREQUIRED | Number | 1 | Optional | Valid values '0' and '1' | This is to indicate whether confirmation Slip is to be printed after every transaction entry. Otherwise this can be user initiated after allocation of the transaction. |
| NOTICEPERIODDATEBASIS | Varchar2 | 1 | Optional | - | - |
| NOTICEPERIOD | Number | 3 | Optional | - | - |
| BASEPRICEDEFINITION | Alphanumeric | 1 | Optional | Valid values are 'P' for Par Value and 'N' for declared NAV | This indicates the Base Price definition for the transaction. The Unit Price will be calculated based on this price and loads defined for this transaction. |
| BASEPRICEFACTOR | Number | 1 | Optional | - | This percentage will be applied to the price arrived from the above calculations to arrive at the Base Price for this transaction type for the fund. |
| NOOFDECIMALSFORBASEPRICE | Number | 1 | Optional | - | Indicate the maximum number of decimals that would be reckoned for rounding precision, for the base price. You cannot indicate a precision higher than 6 decimal places. |
| ROUNDOFFTRUNCATEBASEPRICE | Alphanumeric | 1 | Optional | Valid values are 'R' for Round off; 'T' for Round Down and 'U' for Round up | Indicate the rounding options for the value of the number of allotted units, designated for the fund. |
| TRANSACTIONENABLED | Number | 1 | Optional | - | This is used to indicate whether the transaction is enabled for the fund. It is possible to set up a temporary suspension of transactions, even if the transactions are open for the fund. |
| CROSSBRANCHALLOWED | Number | 1 | Optional | Valid values are 0 and 1 | - |
| PRICELAG | Number | 1 | Optional | - | This cannot have negative value. This indicates the price date to be used for the transaction during allocation process |
| ALLOCATIONLAG | Number | 1 | Optional | - | Enter a value to specify when the transaction should be allocated if the transaction is ‘T’. T + X , where ‘X’ will be days of Lag. Lag can only be positive. |
| CONFIRMATIONLAG | Number | 1 | Optional | - | Enter a value to specify when the redemption transaction should be picked for confirmation after allocation. T + X , where ‘X’ will be days of Lag. Lag can only be positive. |
| CHQALLOCONPARWITHCASH | Number | 1 | Optional | Valid values are '0' and '1' | This is used to specify that all check / Demand Draft transactions are to be treated on par with cash transactions. If this is true, then during allocation, the check / demand draft transactions will be taken for allocation for the same day. The units allocated will be provisional, and will be confirmed only after the check is cleared. |
| HOLDINGPERIODAPPLICABLE | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate whether a lock in period is applicable for the investors investing in the fund for the transaction type |
| RETAINAGEINGTOSUBSCRIPTION | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate that the aging principle must be applied to subscription transactions in the fund. Aging is the process of keeping track of a transaction from the transaction date right up to when it is cleared in full from the account of the unit holder. Depending upon the policy specified to be followed for aging, (i.e., either FIFO or proportionate), aging is applied. |
| CREDITCARDALLOCONPARWITHCASH | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate if all credit card transactions to be treated on par with cash transactions. If this is true then during allocation the credit card transactions will be taken for allocation for the same day. The units allocated will be provisional, and will be confirmed only after the credit card transaction is cleared. |
| LIMITREDEMPTIONMODE | Alphanumeric | 1 | Optional | Valid values are 'P' for Percent; 'U' for Units and 'A' for Amount | The mode based on which redemption will be limited |
| NATUREOFLIMIT | Alphanumeric | 1 | Optional | - | Indicates whether it is 'A' or 'U' or 'B' |
| TRANSFERALLOCONPARWITHCASH | Number | 1 | Optional | - | Mark this check box if you want all transfer transactions to be treated on par with cash transactions. If this is true then during allocation the transfer transactions will be taken for allocation for the same day. The units allocated will be provisional, and will be confirmed only after the bank transfers are cleared |
| MININITIALTXNAMOUNT | Number | 15 | Optional | Maximum of 3 decimals allowed | Minimum amount applicable for initial transaction |
| MININITIALTXNUNITS | Number | 15 | Optional | Maximum of 3 decimals allowed | Minimum units applicable for initial transaction |
| MINSITXNAMOUNT | Number | 15 | Optional | Maximum of 3 decimals allowed | Minimum amount applicable for Standing instructions |
| MAXSITXNAMOUNT | Number | 15 | Optional | Maximum of 3 decimals allowed | Maximum amount applicable for Standing instructions |
| MINSITXNUNITS | Number | 15 | Optional | Maximum of 3 decimals allowed | Minimum units applicable for Standing instructions |
| MAXSITXNUNITS | Number | 15 | Optional | Maximum of 3 decimals allowed | Maximum units applicable for Standing instructions |
| EXISTINGUH | Alphanumeric | 2 | Optional | Valid values are '0' and '1' | This is to indicate that the subscription transactions for the fund must only be available to existing customers, and not to new customers. |
| NOOFDECIMALSFORUNITPRICE | Number | 1 | Optional | - | Indicate the maximum number of decimals that would be reckoned for rounding precision, for the unit price. You cannot indicate a precision higher than 6 decimal places. |
| ROUNDOFFTRUNCATEUNITPRICE | Alphanumeric | 1 | Optional | Valid values are 'R' for Round off; 'T' for Round Down and 'U' for Round up | Indicate the rounding options for the value of the number of allotted units, designated for the fund. |
| ROUNDOFFTRUNCATEUNITS | Alphanumeric | 1 | Optional | Valid values are 'R' for Round off; 'T' for Round Down and 'U' for Round up | Indicate the rounding options for the value of the number of allotted units, designated for the fund. |
| PAYMENTLAG | Number | 1 | Optional | - | In the case of redemption transactions, specify a value to indicate the number of days by which the resulted redemption payouts would be lagged or deferred, after the redemption transaction has been allotted and confirmed. To arrive at the actual date of redemption payment, both the confirmation lag (if specified) and the payment lag (if specified here) are taken into consideration. For instance, if the redemption transaction was allocated on 15th January and both the confirmation lag and payment lag were specified as 2, then the actual redemption payout to the unit holder would be effected on 19th January (15 + 2+ 2), provided it is not a holiday in the system, and provided there are no intervening holidays. |
| TRANSACTIONCUTOFFTIME | Date | DATE | Optional | - | Specify the time, on a given working day before which a transaction of the selected type will be accepted with the transaction date being the current date. Beyond this time on a working day, the transaction date will be set by default to be the next working date. |
| ENFORCEHOLDINGPERIOD | Number | 1 | Optional | - | You can indicate that the minimum holding period specified for the fund in the Fund Demographics profile must be enforced as mandatory for the transaction type, by selecting this option. |
| APPLYENTRYTIMELOAD | Number | 1 | Optional | - | Applicable for Exit transactions |
| Pseudoswitchlag | Number | - | Optional | - | Used for capturing Pseudo Switch lag |
| AllowSystematicPlans | Number | 1 | Optional | - | - |
| MaxInitialTxnAmount | Number | 15 | Optional | Maximum of 3 decimals allowed | Used for capturing the maximum initial transaction amount. |
| MaxInitialTxnUnits | Number | 15 | Optional | Maximum of 6 decimals allowed | Used for capturing maximum initial transaction units. |
| Pseudoswitchlagcalendarbasis | AlphanumericCode | 1 | Optional | - | Specify whether the ps lag days should be considered based on the holiday calendar for the fund, the actual calendar or the System calendar. |
| FULLOUTFLOW | Number | 1 | Optional | Valid values are 0 and 1 | - |
| MAXNOOFSITRANSACTIONS | Number | 4 | Optional | MaxNoofSITransactions value should be Greater than 0 | - |
| MAXVALIDITY | Number | 4 | Optional | Maxvalidy value should be Greater than 0 | - |
| SILEADTIME | Number | 4 | Optional | - | - |
| APPLICABLEACCOUNTTYPES | Alphanumeric | 255 | Optional | - | - |
| INFLOWOVERRIDABLEMSG | Number | 1 | Optional | Valid values are 0 and 1 | - |
| MINMATURITYPERIOD | Number | 4 | Optional | Min.Maturity Period value sholud be greater than 0 | - |
| MAXMATURITYPERIOD | Number | 4 | Optional | Max.Maturity Period value sholud be greater than 0 and greater than or equal to Min.Maturity Period | - |
| FUTUREDATELIMIT | Number | 1 | Optional | Valid values are positive integer | To facilitate users to input future dated transactions |
| UHCALENDARBASIS | Varchar2 ( 1) | 1 | Optional | Valid values are ‘T’ and ‘C’ | - |
| NOOFDECIMALSFORUNITS | Number | 1 | Optional | Valid values are -1 to 9 | - |
| CONSSIAUTOCOUNTER | Number | 3 | Optional | - | Used to capture consecutive payment rejections allowed for the SI |
| THRESHOLDAMOUNT | Number | (30, 12) | Optional | - | Threshold Amount |
Serial Number: 6
Segment Identification Number: 05TCM
Description: This segment is used for providing Transaction processing communication mode information
Segment Mandatory / Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: Yes (For each transaction type there is a separate record)
Table 2-7 Fund Rules Upload Segment Formats - 05TCM
| Field Name | Type | Maximum Length | Mandatory/Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 05TCM | Standard value of 05TCM to uniquely identify Transaction processing communication mode information. |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to iden- tify imported records later. |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Transaction processing communication mode information has to be uploaded. |
| RULEEF FECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which transaction processing communication mode information for the fund has to be maintained. |
| TRANSACTIONTYPE | Alphanumeric | 2 | Mandatory | Valid values are '01' for IPO; '02' for Subscription; '03' for Redemption; '04' for Switch from operation; '05' for transfers and so on up to '10for Subscription; '03' for Redemption; '04' for Switch from operation; '05' for transfers and so on up to '10 | Indicates the value for which the transaction type for which the rules are being set up |
| COMMUNICATIONMODE | Alphanumeric | 2 | Mandatory | - | Valid Communication mode code indicated as a part of Params Maintenance. |
| MINTRANSACTIONAMOUNT | Number | 15 | Optional | Decimal values up to maximum of 3 digits are allowed | Minimum transaction amount allowed for the transaction type and communication mode. |
| MAXTRANSACTIONAMOUNT | Number | 15 | Optional | Decimal values up to maximum of 3 digits are allowed | Maximum transaction amount allowed for the transaction type and communication mode. |
| MINTRANSACTIONUNITS | Number | 15 | Optional | Decimal values up to maximum of 6 digits are allowed | Minimum trans- action units allowed for the transaction type and communication mode. |
| MAXTRANSACTIONUNITS | Number | 15 | Optional | Decimal values up to maximum of 6 digits are allowed | Maximum trans- action units allowed for the transaction type and communication mode. |
| DISALLOWFIRSTTRANSACTION | Number | 1 | Optional | Valid values are 0 and 1 | - |
Serial Number: 7
Segment Identification Number: 06INV
Description: This segment is used for providing Transaction processing investor category related information.
Segment Mandatory / Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: Yes (For each transaction type - there is a separate record)
Table 2-8 Fund Upload Segment Formats - 06INV
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 06INV | Standard value of 06INV to uniquely identify Transaction processing communication mode information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Transaction processing investor category information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which transaction processing investor category information for the fund has to be maintained. |
| TRANSACTIONTYPE | Alphanumeric | 2 | Mandatory | Valid values are '01' for IPO; '02' for Subscription; '03' for Redemption; '04' for Switch from operation; '05' for transfers and so on up to '10' | Indicate the value for which the transaction type for which the rules are being set up |
| INVESTORCATEGORY | Alphanumeric | 2 | Mandatory | - | Valid Corporate and Individual categories defined as a part of Params Maintenance. |
| MINTRANSACTIONAMOUNT | Number | 15 | Optional | Decimal values up to maximum of 3 digits are allowed | Minimum transaction amount allowed for the transaction type and investor category. |
| STEPAMOUNT | Number | 15 | Optional | Decimal values up to maximum of 3 digits are allowed | - |
| MAXTRANSACTIONAMOUNT | Number | 15 | Optional | Decimal values up to maximum of 3 digits are allowed | Maximum transaction amount allowed for the transaction type and investor category. |
| MINTRANSACTIONUNITS | Number | 15 | Optional | Decimal values up to maximum of 6 digits are allowed | Minimum transaction unit allowed for the transaction type and investor category. |
| STEPUNITS | Number | 15 | Optional | Decimal values up to maximum of 6 digits are allowed | - |
| MAXTRANSACTIONUNITS | Number | 15 | Optional | Decimal values up to maximum of 6 digits are allowed | Maximum transaction unit allowed for the transaction type and investor category. |
Serial Number: 8
Segment Identification Number: 07IDR
Description: This segment is used for providing Corporate Action related information
Segment Mandatory/Optional: Optional
Multiple records allowed for the same Fund and Rule Effective Date: Yes (For cash and Stock dividend information)
Table 2-9 Fund Rules Upload Segment Formats - 07IDR
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 07IDR | Standard value of 07IDR to uniquely identify Transaction processing communication mode information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Corporate action has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which corporate action for the fund has to be maintained. |
| DIVIDENDDECLAREFREQ | Alphanumeric | 1 | Optional | Valid values are 'D' for 'Daily; 'W' for 'Weekly'; 'F' or 'B' for 'Biweekly'; 'M' for 'Monthly; 'Q' for 'Quarterly' ; 'H' for 'Half-yearly' ; 'Y' for 'Yearly' | Enter the frequency with which the dividend is to be declared |
| DIVIDENDPAYMENTFREQ | Alphanumeric | 1 | Optional | Valid values are 'D' for 'Daily; 'W' for 'Weekly'; 'F' or 'B' for 'Biweekly'; 'M' for 'Monthly; 'Q' for 'Quarterly' ; 'H' for 'Half-yearly' ; 'Y' for 'Yearly' | Enter the frequency with which the declared dividends are to be paid. As the system supports accumulation of dividends, the payment could be for any dividend that has been declared earlier. The Dividend Payment Frequency must not be less than Dividend Declaration Frequency. |
| REINVESTMENTALLOWED | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate if reinvestment is allowed for the fund. |
| TAXID | Alphanumeric | 50 | Optional | - | Enter the tax ID for the fund that is being set up. |
| BOOKCLOSINGLEADTIME | Number | 5 | Optional | - | Enter a leadtime in days |
| FREEZEHOLDINGLEADTIME | Number | 5 | Optional | - | This data is also in days and the Freeze Holding Date is the date on which the balances held by all unit holders in the fund will be consolidated |
| BOARDMEETINGLEADTIME | Number | 5 | Optional | - | Enter a leadtime in days. This is captured for information purposes only. |
| DIVIDENDPAYMENTLEADTIME | Number | 5 | Optional | - | The lead time entered is in days. Each of the lead times must be less than the Dividend Declaration Frequency. For example, if the Dividend Declaration Frequency is WEEKLY, the Board Meeting Lead Time cannot be 8 days. |
| NOOFDECIMALSFORDIVIDEND | Number | 5 | Optional | - | Indicate the maximum number of decimals that would be reckoned for rounding precision, for the dividend. You cannot indicate a precision higher than 6 decimal places. |
| ROUNDOFFTRUNCATEDIVIDEND | Alphanumeric | 1 | Optional | Valid values are 'R' for Round off; 'T' for Round Down and 'U' for Round up | Indicate the rounding options for the value of the dividend, designated for the fund. |
| TDSBASIS | Alphanumeric | 1 | Optional | D - Each Dividend ; U - Fiscal year | This is to indicate whether slab should be looked for every dividend payment separately or whether consolidated on a fiscal year basis. |
| EPUCOMPONENTS | Number | 1 | Optional | Valid values are '0' and '1' | This indicates the applicability of Earnings Per Unit and that the earnings per unit must be defined in terms of components, or as a single value. Setting up EPU components is not applicable for stock dividends |
| DEFAULTDISTRIBUTIONMODE | Alphanumeric | 1 | Optional | Valid values are 'T' - Payout-A/C Transfer; 'Q' - Payout-Cheque and 'R' - Full Reinvestment | If the Income Distribution Setup for the unit holder has not yet been specified, the fund level default Unit Holder Distribution Mode to be considered for the unit holder can be specified here. For stock dividends, the only possible option is ’Reinvestment' as others would not be applicable |
| EXCHANGERATEDATEBASIS | Alphanumeric | 1 | Optional | Valid values are 'P' - Payment Date; 'R' - Reference Date | Specify the basis upon which the exchange rate will be applied for dividend processing. The system provides two options: Reference Date and Payment Date. |
| RESTRICTIDS | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate that specific income distribution setups for unit holders may be overridden. For stock dividends this value should always be set. |
| EPULOT | Number | 6 | Optional | - | Specify the number of units for which the EPU quote is deemed to be applicable, for the fund. Setting up EPU components is not applicable for stock dividends. |
| DIVLOOKAHEAD | Number | 1 | Optional | - | This is to indicate that in the event of intervening holidays, the system would obtain the EPU information and process dividends for the holiday period, ahead of the prior business day, for the fund. |
| CORPORATEACTIONTYPE | Alphanumeric | 1 | Mandatory | Valid values are 'C' for Cash and 'S' for Stock dividends | For cash dividend EPU should be mentioned whereas for Stock dividend, Parent: Resultant ratio should be mentioned |
| UNITSFORFREEZEHOLDINGS | Alphanumeric | 1 | Optional | Valid values 'A' for all units and 'C' for Confirmed units | Specify the units to be considered for dividend eligibility as on the freeze holdings date. You can specify that all units (including unconfirmed units) must be considered, or that only confirmed units are to be considered as on the freeze holdings date. |
| FIRSTDIVIDENDDECLAREDATE | Date | 8 | Optional | - | Specify the first date for dividend declaration, for the fund |
| SPECIALDIVIDEND | Number | 1 | Optional | - | This is to indicate that special dividends are applicable for the fund. This feature is only available if your installation has requested for it. |
| MOCKDIVIDEND | Number | 1 | Optional | - | Not applicable now |
| HOLIDAYRULE | Alphanumeric | 1 | Optional | A' for After and 'P' for prior | Select the rule to be applied if the dividend processing date falls on a holiday. You can select either the PRIOR rule (the previous working day is considered) or the AFTER rule (the next working day is considered), for the dividend type. The holiday rule you select here will be applicable to all dividend- processing dates that have been arrived at using a frequency. They are not applicable to dates arrived at using lead times or lag periods. |
| PAYMENTLAG | Number | 3 | Optional | - | Specify a lag period (in days) for the payment of dividend. The lag value is interpreted in calendar days, and is used to arrive at the payment date for the dividend. The payment date is arrived at as follows: Dividend Payment Date = Dividend Declaration Date + Payment Lag |
| PAYDIVIDENDDURINGRED | Number | 1 | Optional | - | This is used to indicate that dividends may be paid during redemption. |
| REINVESTMENTPRICEBASIS | Alphanumeric | 1 | Optional | - | - |
| IRACOMPULSORYREINVEST | Number | 1 | Optional | - | Applicable only if IRA is applicable for the fund. |
| NPISUPPORT | Alphanumeric | 1 | Optional | - | - |
| NPIPAYMENT | Alphanumeric | 3 | Optional | - | - |
| NPIUHOVERRIDE | Alphanumeric | 1 | Optional | - | - |
| FlGUNSETTLEUNITS | Alphanumeric | 1 | Optional | - | - |
| MIMAMTTOBEPAIDOUT | Number | 1 | Optional | - | - |
| ACTION | Varchar2 | 1 | Optional | Valid values are ‘L’ and ‘R’ | - |
| OVERRATPAYTIME | Number | 1 | Optional | Valid values are 0 and 1 | - |
| AUTOREINVFORUNCLCHQ | Number | 1 | Optional | Valid values are 0 and 1 | - |
| AUTOREINVFORUNCLCHQFZB | Varchar2 | 1 | Optional | Valid values are 0 and 1 | - |
| TRACKUNCLEAREDTXNS | Varchar2 | 1 | Optional | Valid values are 0 and 1 | - |
| TRACKBLOCKEDTXNS | Varchar2 | 1 | Optional | Valid values are 0 and 1 | - |
| PAYUNGENREINVESTMENT | Varchar2 | 1 | Optional | Valid values are 0 and 1 | - |
| TDSAPPLICABLEFORALLUH | Varchar2 | 1 | Optional | Valid values are 0 (No) and 1(Yes) | TDS Applicable for all UH” flag could be set to ‘1’ only if dividend equalization is applicable for the fund. |
Serial Number: 9
Segment Identification Number: 08FSC
Description: This segment is used for providing Fund Sale Country information.
Segment Mandatory/Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: Yes
Table 2-10 Fund Rules Upload Segment Formats - 08FSC
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 08FSC | Standard value of 08FSC to uniquely identify Fund sale country information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund sale country information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which fund sale country information for the fund has to be maintained. |
| COUNTRYCODE | Alphanumeric | 3 | - | Valid country code present in the system as a part of Domicile in Params maintenance | If no country code is mentioned and this field is left blank then it means that there is no restriction on the sale of the fund. However, if valid value is entered then the fund would be restricted for sale in those countries |
Serial Number: 10
Segment Identification Number: 09FRL
Description: This segment is used for providing Fund residency list information.
Segment Mandatory/Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: Yes
Table 2-11 Fund Rules Upload Segment Formats - 09FRL
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 09FRL | Standard value of 09FRL to uniquely identify Fund residency list information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund residency list information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which fund residency list information for the fund has to be maintained. |
| COUNTRYCODE | Alphanumeric | 3 | - | Valid country code present in the system as a part of Domicile in Params maintenance | If no country code is mentioned and this field is left blank then it means that there is no restriction on the investor residing in any domicile. However, if valid value is entered then the fund would be restricted for investors residing in that domicile. |
Serial Number: 11
Segment Identification Number: 10FFM
Description: This segment is used for providing Fund formula information.
Segment Mandatory/Optional: Optional
Multiple records allowed for the same Fund and Rule Effective Date: Yes
Table 2-12 Fund Rules Upload Segment Formats - 10FFM
| Field Name | Type | Maximum Length | Mandatory/Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 10FFM | Standard value of 10FFM to uniquely identify Fund formula related information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund formula information has to be uploaded. |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which fund formula information for the fund has to be maintained. |
| COMPONENTID | Alphanumeric | 10 | Mandatory | - | Valid components maintained in the system as a part of Params maintenance. This also depends on whether this is used for Fund price computation or not. |
| FUNDPRICECOMPUTATION | Alphanumeric | 1 | Optional | - | Indicates whether the data has to be used for Fund price computation or not. This value should remain the same for the fund and Rule effective date combination. In other words, for a fund and Rule effective date. we cannot have one component used for fund price computation and the other component not used for fund price computation. |
| FORMULA | Alphanumeric | 255 | Optional | - | - |
| DEFAULTVALUE | Number | 15 | Optional | Maximum of 6 decimals allowed | - |
| EXCLUDEFROMCAPITALGAINS | Number | 1 | Optional | - | - |
Serial Number: 12
Segment Identification Number: 11FLM
Description: This segment is used for providing Fund load information.
Segment Mandatory/Optional: Optional
Multiple records allowed for the same Fund and Rule Effective Date: Yes
Table 2-13 Fund Rules Upload Segment Formats - 11FLM
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 11FLM | Standard value of 11FLM to uniquely identify Fund load related information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund load information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which fund load information for the fund has to be maintained. |
| TRANSACTIONTYPE | Alphanumeric | 2 | Mandatory | Valid values are from '01' to '10' ranging from IPO to Re-issue | This is to indicate the transaction type for which the loads are being defined |
| LOADID | Number | 5 | Mandatory | Valid load ID defined in the system | Specify the name of the Load (fee/incentive) that must be applied for the selected Fund. |
| LOADTOPRICE | Number | - | Optional | Valid values are '0' and '1' | This is to indicate that this load is to be loaded to the base price |
| FROMENTITYTYPE | Alphanumeric | 1 | Mandatory | Valid values are· 'M' for AMC, 'A' for Agent, 'B' for Broker, 'D' for Distributor, 'F' for Fund, 'R' for Registrar, 'T' for Trustee, 'U' for Unit Holder, 'S' for Custodian | This is to indicate the entity type from which the load is applied |
| TOENTITYTYPE | Alphanumeric | 1 | Mandatory | Valid values are· 'M' for AMC, 'A' for Agent, 'B' for Broker, 'D' for Distributor, 'F' for Fund, 'R' for Registrar, 'T' for Trustee, 'U' for Unit Holder, 'S' for Custodian | This is to indicate the entity type to which the load is applied |
| PROCESSINGFREQ | Alphanumeric | 1 | Optional | Valid values are 'A', 'T' and 'P' | Specify the frequency at which this load is to be applied. Loads can be applied at any of three possible frequencies - Allocation time, Transaction time and Post allocation. (Refer the table marked ‘PROCESSINGFREQ’ at the end of this document) |
| GLACCOUNTCODE | Alphanumeric | 10 | Optional | - | When transaction information is exported to an external system, if separate books of accounts are to be posted for different loads, this code will be used to identify this load information in the export data. |
| DEBITORCREDIT | Alphanumeric | 1 | Optional | Valid values are 'D' and 'C' | When transaction information is exported to an external system, if separate books of accounts are to be posted for different loads, this code will be used to identify this load information in the export data. |
| CONTRAACCOUNTCODE | Alphanumeric | 10 | Optional | - | Specify the code that will be used to identify the second leg of accounting entries for any transaction, in the event of exporting of transaction information to an external system. |
| NOOFDECIMALSFORLOAD | Number | 1 | Optional | Valid values are 'R' for Round off; 'T' for Round Down and 'U' for Round up | Indicate the rounding options for the value of the load, designated for the fund. |
| ROUNDOFFTRUNCATEFORLOAD | Alphanumeric | 1 | Optional | - | Indicate the maximum number of decimals that would be reckoned for rounding precision, for the load. You cannot indicate a precision higher than 6 decimal places. |
| MANDATORY | Alphanumeric | 1 | Optional | Valid values are 'M' and 'O' | Select Mandatory or Optional to specify whether the load is mandatory or optional |
| PRIORITYNO | Number | - | Optional | For a mandatory load, the priority number is set to 0 and for an optional load the priority number should be unique i.e.. for a given Fund, no more than one load can have the same priority number. | Enter a value to specify the priority number in case of optional loads. |
| LOADVATTOPRICE | Number | - | Optional | Valid values are 1 and 0 | - |
| APPLYRETVALON | Alphanumeric | 1 | Optional | Valid vales are 'G' - Capital Gains Gross; 'N' - Non-capital gains Net and 'C' - Capital gains and ‘P’ - Performance Based and ‘I’ – IOF and ‘D’ - Default IRRF and ‘O’ - Optional IRRF and ‘S’- CDSC | If the load is a Capital Gains Tax, and it is to be applied based on the gross amount after allocation, choose the Capital Gains – Gross option in this field, for such a load. |
| SENDFORGLINTERFACE | Number | 1 | Optional | Valid values are '0' and '1' | This is used to indicate that accounting entries due only to the selected load must be posted to the external asset management system, for the fund. |
| REFTYPE | Alphanumeric | 2 | Mandatory | Valid reference type as per the pre-shipped data in RefTypeTbl | When load needs to be mapped to a reference transaction type like Reinvestment and if the system supports the mapping of the Ref Type to any load, then such RefTypes can be indicated here. |
| DIFFERENTIALFEE | Number | 1 | Optional | Valid values are '0' and '1' | This is to indicate whether differential fee in the case of switch transactions for any fund is to be applicable |
| SLABBASIS | Alphanumeric | 1 | Optional | Valid values are 'G' for Gross and 'N' for Net ‘W’ – Weighted Average | This is to Indicate the basis on which the slabs will be reckoned for an amount-based load that you are designating as applicable for the fund |
| PRICEADDIN | Number | 1 | Optional | - | This is used to indicate the add-in factor that is to be applicable for computing the return value for the load, for the selected transaction type. The add-in factor is used to arrive at the return value for a load, at the time of allocation. |
| GROUPID | Alphanumeric | 6 | Optional | Valid Group Id present in the system | - |
| INDEXATIONONCGT | Alphanumeric | 1 | Optional | Valid values are 'Y' for Yes and 'N' for 'No' | - |
| LevelID | Number | - | Optional | - | Used for capturing the LevelID |
| DependentLevel | Number | - | Optional | - | Used for capturing Dependent level. |
Serial Number: 13
Segment Identification Number: 12FTC
Description: This segment is used for providing Fund transaction currency information.
Segment Mandatory/Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: Yes
Table 2-14 Fund Rules Upload Segment Formats - 12FTC
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 12FTC | Standard value of 12FTC to uniquely identify Fund transaction currency information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund transaction currency information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which fund transaction currency information for the fund has to be maintained. |
| CURRENCYCODE | Alphanumeric | 3 | Optional | Valid currency maintained in the system | If no currency code is mentioned and this field is left blank then it means that there is no restriction on the currency used for transaction for this fund. However, if valid value is entered then the fund would be restricted for transaction in those currencies. |
Serial Number: 14
Segment Identification Number: 13FAI
Description: This segment is used for providing Fund additional information.
Segment Mandatory/Optional: Mandatory
Multiple records allowed for the same Fund and Rule Effective Date: No
Table 2-15 Fund Rules Upload Segment Formats - 13FAI
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 13FAI | Standard value of 13FAI to uniquely identify Fund additional information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund additional information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which fund additional information for the fund has to be maintained. |
| OTHERINFO1 | Alphanumeric | 60 | Optional | - | Additional information could be maintained in the system as a art of 'Add Info Maintenance'. Once this is done, for a specific AMC, the additional information can be mapped for the entity type Fund. Hence, as a part of Fund additional information maintenance, the values could be captured. Any such additional information can be captured using these fields |
| OTHERINFO2 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO3 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO4 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO5 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO6 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO7 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO8 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO9 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO10 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO11 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO12 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO13 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO14 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO15 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO16 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO17 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO18 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO19 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO20 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO21 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO22 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO23 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO24 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO25 | Alphanumeric | 60 | Optional | -- | - |
| OTHERINFO26 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO27 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO28 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO29 | Alphanumeric | 60 | Optional | - | - |
| OTHERINFO30 | Alphanumeric | 60 | Optional | - | - |
Serial Number: 15
Segment Identification Number: 14IRA
Description: This segment is used for providing Fund IRA information, if applicable.
Segment Mandatory/Optional: Optional
Multiple records allowed for the same Fund and Rule Effective Date: No
Table 2-16 Fund Rules Upload Segment Formats - 14IRA
| Field Name | Type | Maximum Length | Mandatory/ Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 14IRA | Standard value of 14IRA to uniquely identify Fund IRA information |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund IRA information has to be uploaded |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which fund IRA information for the fund has to be maintained. |
| MININITIALINVESTMENTAMT | Number | 15 | Mandatory | - | Minimum initial investment amount |
| MAXINITIALINVESTMENTAMT | Number | 15 | Mandatory | - | Maximum initial investment amount |
| MININVESTMENTAMT | Number | 15 | Mandatory | - | Minimum investment amount |
| MAXINVESTMENTAMT | Number | 15 | Mandatory | - | Maximum investment amount |
| MINWITHDRAWALAMT | Number | 15 | Mandatory | - | Minimum Withdrawal amount |
| MAXWITHDRAWALAMT | Number | 15 | Mandatory | - | Maximum Withdrawal amount |
Serial Number: 16
Segment Identification Number: 15FDI
Description: This segment is used for providing Fund delivery instruction information, if applicable
Segment Mandatory/Optional: Optional
Multiple records allowed for the same Fund and Rule Effective Date: No
Table 2-17 Fund Rules Upload Segment Formats - 15FDI
| Field Name | Type | Maximum Length | Mandatory/Optional | Characteristics/Validations applicable | Description |
|---|---|---|---|---|---|
| SEGMENTID | Alphanumeric | 20 | Mandatory | Default value 15FDI | Standard value of 15FDI to uniquely identify Fund transaction currency information. |
| PROCESSID | Alphanumeric | 50 | Mandatory | Same value as in 00GEN - ProcessID | This should identify the upload uniquely. This should also be unique within a file and it allows to identify imported records later. |
| FUNDID | Alphanumeric | 6 | Mandatory | - | The Fund ID is a unique Identification for each Fund and it indicates the fund for which Fund delivery instruction has to be uploaded. |
| RULEEFFECTIVEDATE | Date | 8 | Mandatory | The Fund ID and Rule effective date combination should be the same as defined in 01FDR | The rule effective date for which Fund delivery instruction information for the fund has to be maintained. |
| REGISTEREDACCOUNT | Number | 1 | Mandatory | Valid values are '0' and '1' | Indicate as '1' if the respective delivery mode is applicable for the fund. |
| DELIVERYTOCUSTODIAN | Number | 1 | Mandatory | Valid values are '0' and '1' | - |
| DELIVERYTOCLGAG ENT | Number | 1 | Mandatory | Valid values are '0' and '1' | - |
| PHYSICALCERTDELIVERY | Number | 1 | Mandatory | Valid values are '0' and '1' | - |
| DEFAULTDELIVERY | Alphanumeric | 2 | Mandatory | Valid values are ‘RA’ for Registered account, ‘CU’ for Deliver to Custodian, ’CL’ for Deliver to Clearing Agent and ‘PD’ for Physical delivery | Should be based on allowed delivery modes |
| CERTIFICATEDENOMINATIONS | Alphanumeric | 200 | Optional | This value should be specified with necessary field and record separator as shown below:- 10|0:100|1:500|0:1000|0 where the field separator between Denomination value and Default is ‘|’ and the record separator is colon ‘:’ | This is applicable only in case of scri- pless funds having Physical delivery as one of the delivery instruction. |
| PUEV | NUMBER | 1 | Optional | Valid values are 0 and 1 | This is a new delivery option. |
Parent topic: Fund Rules Upload Formats