ANNA & ASB
ANNA Service Bureau
Contract Report
May 23, 2002
FISD has proposed a draft ANNA Service Bureau contract, taking a
modular approach as an alternative to the uniform contract currently under
consideration. Members also proposed adjustments to streamline
decision-making associated with the ASB.
ANNA Service Bureau Commercial
Terms & Conditions
July 26, 2001
FISD met with the ANNA Service Bureau (ASB) to review the role
of the ASB as a commercial facilitator for the NNA's and to review the
commercial terms and conditions proposed in the draft ANNA/ISIN Electronic
Distribution Agreement. The report establishes core commercial principles for
consideration by the ASB and proposes a path forward on development of a joint
licensing agreement.
ISIN User Group Conference
Call Report
July 10, 2001
ANNA User Group Meeting Report
March 14, 2001
The
ANNA Service Bureau
Dan Kuhnel, Clearstream Banking
September 26, 2002
FISD
Presentation at ANNA General Meeting
Michael Atkin, FISD
May 30, 2002
Report from the
ASB Advisory Board Chairman Dan Kuhnel, Clearstream Banking
May 30, 2002
FISD
Presentation for ISIN User Group: ASB Specification Post GIAM-2
Michael Atkin, FISD
December 11, 2001
Report from the
ASB Advisory Board Chairman
Michael Atkin, FISD
December 11, 2001
Corporate Action
Reporting and Security ID Scott J. Preiss, Standard & Poor's CUSIP/Global
Settlement Division
June 7, 2000
Will ISIN Survive STP?
Michael Atkin, FISD
May 25, 2000
Standard & Poor’s & Telekurs Launch
the ANNA Service Bureau
July 2, 200
ANNA Membership Elects ANNA Service
Bureau Advisory Board
May 30, 2001
Press Release from ANNA
November 1, 2000
ANNA Authorizes Creation of New Service
Bureau
November 1, 2000
ANNA Service Bureau Specifications Post
GIAM 2
November 30, 2001
ANNA Service Bureau Business and
Technical Specifications
February 3, 2001
FISD/SWIFT Specification to ASB
January 10, 2001
INTERNATIONAL BUSINESS ENTITY IDENTIFICATION & WG8
Status of ISO TC68/SC4 WG8
(Business Entity Identification)
June 1, 2004
This presentation provides a current summary of the discussion associated
with the development of an international business entity identification
standard. The next ISO WG8 meeting is scheduled for June 21-22 at FISD
headquarters in Washington DC.
Minutes of WG8 - Business Entity
Identification
April 5-6
These
are the minutes of the April 5-6 meeting of ISO TC68 SC4 Working Group 8 on
the development of an International Business Entity Identification (IBEI)
standard. The next meeting is June 21-22 at FISD headquarters in
Washington, DC.
FISD
Presentation to ISO TC68/SC4 Working Group 8
January 23, 2004
FISD is participating in the ISO Working Group 8 meeting on
January 26-27 and has been invited to present our view on international
business entity identification standards and outline industry requirements.
LEI, BIC and STP Implications
January 8, 2004
This paper from CB.net Ltd. provides some additional
perspective on the legal entity identification debate.
Entity and Fund
Identification Proposal
July 31,
2003
The UK Reference Data User Group (RDUG)
has proposed an approach for creating a standard fund level
identifier that could be used to improve post-execution trade
processing capabilities and help the industry move toward STP.
This proposal is being evaluated by REDAC and industry feedback
is desired.
FISD Inquiry into
Business Entity Identification Standards
March 29, 2002
Members have asked us to look into the issues associated with
the creation of a business entity identification standard. This paper is our
preliminary statement of the problem. The key issue is how responsibility for
associating the issuers with the issues will be assigned and linked to ISIN.
FISD
Presentation to ISO TC68/SC4 Working Group 8
January 23, 2004
FISD is participating in the ISO Working Group 8 meeting on
January 26-27 and has been invited to present our view on international
business entity identification standards and outline industry requirements.
Entity and Fund
Identification Proposal
July 31,
2003
The UK Reference Data User Group (RDUG)
has proposed an approach for creating a standard fund level
identifier that could be used to improve post-execution trade
processing capabilities and help the industry move toward STP.
This proposal is being evaluated by REDAC and industry feedback
is desired.
FISD Inquiry into
Business Entity Identification Standards
March 29, 2002
Members have asked us to look into the issues associated with
the creation of a business entity identification standard. This paper is our
preliminary statement of the problem. The key issue is how responsibility for
associating the issuers with the issues will be assigned and linked to ISIN.
MARKET DATA MODEL/VOCABULARY & WG11
Comparison of ISO
20022 and ISO 19312
September 1, 2004
This document is meant to clarify the difference between WG10 (ISO 20022) and
WG11 (ISO 19312) scope and deliverables in an effort to answer questions from
the financial services industry.
ISO TC68/SC4/WG11 --
Consultation Document
The consultation document outlines the overall approach being pursued by WG11.
Included are definitions of the 17 core financial processes involved in the
financial information lifecycle. The WG11 objective is to make sure we have
defined all the data elements required to perform these processes
ISO TC68/SC4/WG11 -- Set-Up Data Model
This is a logical view of the data elements and their relationships for
instrument set-up. It covers equities, debt, entitlements (rights, warrants,
etc.), options, futures, and collective investment vehicles (funds, indexes,
etc.). The overall goal is to ensure that we have identified all the data
elements required for settlement and defined their relationships correctly.
Industry feedback is urgently requested.
ISO
TC68/SC4/WG11 -- Set-Up Overview
This spreadsheet matches the logical model and includes definitions and
hierarchical structure. Once again, comments, additions, modifications to
definition, etc. are all desired and requested.
» back to top
REFERENCE DATA STRATEGY & PRESENTATIONS
FISD
Liaison Report to ISO
September 7, 2004
Annual report to ISO on FISD participation with ISO, WG8 & WG11.
Classification of Financial
Instruments (CFI)
August 31, 2004
ASC X9D (of which FISD is a voting member) is helping promote the
integration of the two current CFI standards. The attached spreadsheet
identifies groups and attributes in the US version, but not in the ISO version
as well as new attributes to potentially be added to the standard. This issue
will be discussed by members of ISO TC68 SC4 (of which FISD is a liaison member)
at their annual meeting in Seoul next month.
FISD Summary of SEC
Concept Release on Securities Transactions Settlement
May 20, 2004
FISD did a summary of the concept release for member
consideration. We are likely to file comments with the Commission on the
importance of building a standardized reference data infrastructure as a
critical component of securities processing automation.
Concept Release
The Four Pillars of Reference Data Standards
March 9, 2004
This document provides a summary of the status of the four
main reference data and protocol standards currently underway. FISD prepared
it for presentation to the SIA Standards & Protocols Committee.
The Transformation of Market Data Standards for STP Automation
March 5, 2004
Presentation by Michael Atkin for
the 2004 Financial Markets Conference in Australia.
REFERENCE DATA USER GROUP (RDUG)
Members Update
Fall,
2003
The UK Reference Data User Group (RDUG) has
provided an update on its activities.
FISD
Presentation from Tech-Ops 2003
August 4,
2003
Michael Atkin gave this presentation titled the
Story on Standards for STP Automation at the Institutional Investment Management
Technology & Operations Summit on July 30, 2003.
Reference Data Coalition
(REDAC) Status Report
July 31,
2003
This report provides a summary of
FISD's recent reference data activities. Included is information
relating to instrument identification, LSE SEDOL testing,
business and legal entity identification, MDDL and a synopsis of
our liaison discussions with other groups.
FISD's
Reference Data Map
April 2, 2003
This document provides a summary of the current status of the
reference data discussion within FISD as well as a diagram
illustrating the relationships between activities. This is the
most complete summary of FISD reference data activities and
contains links to the relevant documents for members seeking
additional detail.
Reference Data Issue
Paper
February 10,
2003
This report, prepared by the UK Reference Data User Group, provides a summary of
reference data issues and describes the challenges encountered during the trade
lifecycle related to reference data.
Reference Data Status
Report
January 21, 2003
This report outlines the objectives of the new Reference Data Coalition (REDAC),
describes the function of the new Reference Data Working Group under ISO
15022/WG10 - including its relationship to MDDL and provides an update to other
reference data and standards-related projects being managed by FISD.
Data Is the Glue - Inside Market Data
Article
By Richard Robinson, assistant vice president/senior business analyst,
Deutsche Bank
January 20, 2003
Unless the financial industry coordinates its efforts to resolve the problems
caused by poor quality data, STP will remain out of reach.
Reference Data
and Security Identification
November 8, 2002
This report provides an up-to-date synopsis of symbology, reference data and
securities numbering discussions. Also included is an overview of the importance
of reference data to STP and a summary of plans by LSE to extend SEDOL to meet
industry requirements for a market level identifier.
Summary of FISD
Symbology-Related Activities
July 19, 2002
Synopsis of FISD activities related to symbology, unique
security identification and securities numbering including the results from the
ANNA General Meeting (May) and the FISD Working Meeting (June).
Minutes from UK
Securities Market Practice Group
April 12, 2001
Mutual Fund Symbology Conflicts
February 25, 2002
This report outlines the problems resulting from discrepancies
in fund family names/descriptions between the funds, Nasdaq Daily List and CUSIP
and defines next steps for consideration by the membership.
REDAC: The
Practical Challenge
Michael Atkin, FISD
June 20, 2003
(Downloadable PPT version)
Presented at the REDAC Working Group Meeting.
ISO
Standards & Procedures
Sandy Throne, Depository Trust
June 20, 2003
(Downloadable PPT version)
Presented at the REDAC Working Group Meeting.
Reference Data
- Overcoming Impediments to Operational Efficiency
Michael Atkin, FISD
June 11, 2003
(Downloadable PPT version)
Presented at ISOC 2003: The International STP & Operational
Efficiency Congress.
The Reference
Data Challenge
Tim Lind, TowerGroup
May 19, 2003
(Downloadable PPT version)
Presented at SIA STP Spring Conference.
Reference Data
Presentation at ISITC Meeting
Tony Kirby, RDUG & Michael Atkin, FISD
April 1, 2003
Slides from a joint presentation given by Michael
Atkin and Tony Kirby at the ISITC-IOA meeting in Boston. During
the meeting we announced that REDAC and the UK Reference Data
User Group (RDUG) are converging to provide a single, global
place for the entire industry to deal with reference data
issues. ISITC members support the convergence as well as the
emerging alignment between reference data, ISO 15022 data field
dictionary, market data standards within ISO TC68/SC4 and MDDL.
Data Management:
The Foundation for Straight Through Processing
Richard C. Robinson, Deutsche Bank
FEBRuary 3, 2003
(Downloadable PPT
version
Information
Requirements for Improving Operational Efficiency and STP
Michael Atkin, FISD
January 28, 2003
(Downloadable PPT version)
Presented at World Research Group Conference
Optimizing Operational
Efficiency in Securities Firms
The Reference Data Challenge
Larry Tabb, TowerGroup
December 16, 2002
(Downloadable PPT version)
Presented at FISD's General Membership Meeting.
Cleaning Up Reference Data
Amy Harkins,
Mellon Financial
November 20, 2002
(Downloadable PPT version)
Presented
at Wall Street & Technology Magazine conference "Drilling Down on STP".
Cleaning Up Reference Data
Richard
Robinson, Deutsche Bank
November 20, 2002
(Downloadable PPT version)
Presented at Wall Street & Technology Magazine conference "Drilling Down on STP".
Cleaning Up Reference Data
John Bottega,
Merrill Lynch
November 20, 2002
(Downloadable PPT version)
Presented at Wall Street & Technology Magazine conference "Drilling Down on STP".
The Reference Data
Challenge
Mike Atkin, FISD
October 25, 2002
(Downloadable PPT version)
Presented
at
IFTA
2002
Global Reference Data User
Group – Second Meeting
Tony Kirby, Reuters
October 16, 2002
(Downloadable PPT version)
Standards for STP,
Kris Ketels, SWIFT
September 26, 2002
Global Reference Data User
Group – Inaugural Meeting
Tony Kirby, Reuters & John Gubert, HSBC
June 17, 2002
(Downloadable PPT version)
Corporate Action
Reporting and Security ID Scott J. Preiss, Standard & Poor's CUSIP/Global
Settlement Division
June 7, 2000
REDAC
REDAC Steering Committee
Minutes
January 29, 2003
The Reference Data Coalition (REDAC) met on January 29. The primary objectives
of global coordination, standards development/implementation and operational
oversight to ensure that the proposed reference data solutions are focused,
viable and practical were validated. The minutes outline REDAC priorities and
provide updates on current activities. The next REDAC Steering Committee meeting
is Friday, February 28 in NYC.
Reference Data Coalition (REDAC)
Terms of Reference
January 3, 2003
Over the past few weeks there has been a series of discussions designed to
ensure coordination among the various reference data initiatives. The outcome
has been the creation of a Reference Data Coalition (REDAC) for entities in the
securities markets to discuss and coordinate issues associated with the
information requirements for STP.
UNIQUE INSTRUMENT IDENTIFICATION
UII Working Group Report
May 26, 2004
This document is a summary of the UII Working Group meeting held on May 13,
2004. The next challenge is to define examples of how six specific UII issues
relate to individual business processes throughout the transactions lifecycle.
More UII Examples
May 12, 2004
Attached are examples of Canadian companies traded on
US/European exchanges as well as an example of a corporate note registered
in both Euroclear and DTCC.
Canadian Corporate
Note.
Examples
of Levels of Instrument Identification
May 7, 2004
These examples illustrate various scenarios related to the
levels of instrument identification needed for various functions.
UII Summary
May 7, 2004
This report summarizes the problems with Unique Instrument
Identification with examples.
HSBC Example of UII
May 7, 2004
An illustration of the problem of UII for HSBC.
ISITC Presentation on
UII
May 7, 2004
This presentation contains examples of the challenges
associated with unique instrument identification.
New UII Working
Group Formed
February 20, 2004
Representatives from FISD/REDAC, RDUG and ISITC have formed a
joint working group to document (by function and asset class) securities
processing errors caused by instrument identification issues and recommend
best practices on applying the UII/OPOL scheme for unique instrument
identification. The initial terms of reference for the UII working group are
available here. For more information, contact Michael Atkin (maktin@siia.net).
REDAC/RDUG/DESSUG
(Report on UII Conference Call)
January 8, 2004
Members of FISD/REDAC met via conference call
with representatives from the German SWIFT User Group (DESSUG) to review the
criteria for unique instrument identification.
Unique Instrument Identification
Discussions Continue
December 17, 2003
FISD's Reference Data Coalition (REDAC)
issued this response to questions from the German SWIFT Securities User
Group (DESSUG) about the criteria for unique instrument identification. The
full spectrum of issues associated with UII are included in the REDAC paper.
DESSUG Position
REDAC Response
Examples
Discussion Paper: In Search of Unique Instrument Identifier
PDF
DOC
June 5,
2003
FISD (as manager of the Reference Data Coalition - REDAC) and
the UK Reference Data User Group (RDUG) have jointly published a new discussion
paper outlining the requirements for unique and precise financial instrument
identification. The issue of unique instrument identification has become a
critical requirement to improve the efficiency of securities transactions
processing and is required to meet the automation objectives associated with
straight through processing (STP).
RDUG Legal Entity Identifiers Discussion Paper
May 7, 2003
This draft paper on Legal Entity Identification (LEI) proposes a
solution to the problem of identifying entities and underlying funds needed to
improve the efficiency of securities processing. The Reference Data Coalition (REDAC)
is seeking industry opinion on the concept and viability of the recommendation.
SEDOL Enhancements -
Product and Pricing Update from LSE
April 8, 2003
This is a copy of the official notification from the London
Stock Exchange on SEDOL code enhancements including the LSE pricing policy.
REDAC Paper
on Unique Security Identification
April 1, 2003
This report was produced as a result of the March meeting of the
REDAC Steering Committee. It describes the current status of
industry discussions on unique instrument identification,
provides practical illustrations of the issue, outlines the
conclusions of FISD research on the requirements for security
identification, summarizes the London Stock Exchange plans for
extending SEDOL and proposes standard terms and definitions
associated with this initiative.
London Security Identification Meeting Report
May 17, 2001
Unique Security Identification Project: Status of FISD Inquiry
May 10, 2001
Report from Meeting of Unique Security ID Committee
April 18, 2001
Uniqueness of Security Versus Settlement Instruction
Andrew
Douglas, SWIFT
April 12, 2001
December 11 ISIN
User Group Meeting Report
December 11, 2001
The ISIN User Group met to discuss the critical data elements
required for unique security identification. This report is a summary of the
meeting and an outline of the next steps related to implementation.
ANNA-WG2/ISIN User Group Market ID Code Status Report and
Market Identifier Codes Alain Duhamel, EuroClear
March 9, 2001
SEDOL Initiative: Introduction of an Alphanumeric Code
Terry Allison, London Stock Exchange
December 16, 2002
(Downloadable PPT version)
Presented at FISD's General Membership Meeting
SEDOL as
a Unique Market Level Identifier
Michael Hodgson, London Stock Exchange
September 26, 2002
FISD Presentation
to ISIN User Group on Unique Security Identification
Michael Atkin, FISD
June 12, 2001
Securities
ID: Need for a “Register-level” Identifier Colin Gibson,
Merrill Lynch & Richard Robinson, Bank of New York
February 23, 200
Press
Release: Global Reference Data Groups Release White Paper on
Unique Instrument Identification
June 5, 2003
The members of the Global Reference Data Coalition (REDAC) and
the Reference Data User Group (RDUG) today released a joint
discussion paper outlining the requirements for unique and
precise financial instrument identification.
London Stock
Exchange Service Announcement: Securities Masterfile (SMF) Service -
Alphanumeric SEDOL Codes
January 6,
2003
London Stock Exchange to
Introduce New Global Numbering System
November 7,
2002
Note
from Paul Barnes (Bridge)
May 4, 2001
FISD
Response Spreadsheet Colin Gibson & John Bottega, Merrill
Lynch
May 4, 2001
Needs
of Vendors for Security Uniqueness
Doug Kemp, Bloomberg,
May
4, 2001
Unique
ID Factor Grid Leonora Everett, Capital Group
May
4, 2001
Operational
Challenges with Multi-Listed Securities Table
Marcel Deuber, Goldman
Sachs,
May 4, 2001
Security
Identification Requirements (Vendor)
Sara Banerjee, Telekurs
May 4, 2001
Security
Identification Requirements (Custodian)
Rich Robinson, Bank of New York
May 4, 2001
FISD
Unique Identifiers Note Andrew Ness, Moody's
May 4, 2001
Unique
Identification Sara Banerjee, Telekurs
May 4, 2001
Cover
Note from Capital Group and Response from Merrill
May 4, 2001
Report
from Meeting of Unique Security ID Committee
April
18, 2001
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