Document Transfer System (DTS) – Technical Specifications

Document Transfer System DTS, version 2.1.91

document_transfer_system_-dts-_technical_specification_op-p-en-000003-2.1.91, Public

Page 1 of 28

06 February 2018

Document Transfer System DTS

Automatic transfer of electronic fund

documents to fundinfo.com

Version 2.1.91

Revision date: 06 February 2018

document_transfer_system_-dts-_technical_specification_op-p-en-000003-2.1.91



Page 2 of 28

06 February 2018

Table of Contents



Page 3 of 28

06 February 2018



Page 4 of 28

06 February 2018

Executive summary – Document Transfer System (Doc-DTS)

This document describes several options of transferring electronic fund documents automatically from

the fund house’s document repository to fundinfo’s database. “Automatic transfer” covers not only

submission or download of the physical document (PDF file), but also transmission of all necessary

information to categorize and publish the document correctly on www.fundinfo.com and its associate

platforms.

Setup of a document transfer system (Doc-DTS) is free of charge for the fund house/document

producer and does not require any contract or agreement. The intention of Doc-DTS is to increase the

efficiency and automation of document transfer.

This document is classified as Public (P): freely available for public use.

Disclaimer:

The contents of this document are provided “as is”. This information may contain technical

inaccuracies, typographical errors or out-of-date information and may be updated or changed without

notice at any time. In no event shall fundinfo be liable for special, indirect, incidental or consequential

damages resulting from or related to the use of this document.

http://www.fundinfo.com/



Page 5 of 28

06 February 2018

Fund document PDF metadata specifications

Metadata

Each document needs to be categorised before it can be published and disseminated by fundinfo.

Metadata covers this necessary information and can be stored or delivered in different ways (see

chapter 4 “Overview of possible delivery methods” on page 12).

2.1.1 Basic metadata

The following metadata information is required for each document provided by the fund house (or

document producer) for programmatic categorisation and import into fundinfo’s document repository.

Table 1: Basic metadata

Property Description

Version* Metadata specification version that is being used:

- “1.0” for first release of KIID metadata specifications - “1.1”, “1.3”, “1.4” or “2.0” for previous metadata specifications - “2.1” for metadata using this document’s specifications

Important:

In case this metadata point is missing, our system expects the latest version (currently 2.1).

DocumentType Document type (Marketing or Legal document), represented by 2- or 3-character uppercase strings.

Format: 2-3 uppercase characters

A list of valid document type codes is available in Appendix chapter 6.1 ”Document type codes” on page 19.

PublicationCountry One or more countries in which the document can be published.

Format: ISO 3166-1 alpha-2 country code(s).

A list of valid country codes can be found in Appendix chapter 6.2 “Country codes” on page 20.

EU=Europe: If the document can be published in all European countries,

you may use “EU” instead of listing all country codes separately. The list does not include CH (change as of 2018-02-01).

Important Announcement: Code “EU” will be shut down on 2018-12-31. Please start using the individual country codes as listed in ”6.2 Country codes” with immediate effect.

Constraint options:

- Optional constraint ‘RES’ for marketing or ‘non-public’ documents - Constraint ‘QFI’ for documents applicable to non-Swiss

domiciled funds

Please refer to ‘Constraint’ for more detailed specification on how to use the ‘constraint’ options.

Language Language of the document (can be a list of languages if the document covers multiple languages).

Format: ISO 639-1 language code(s).

A list of valid language codes can be found in the Appendix chapter 6.3 “Language codes” on page 21.

https://en.wikipedia.org/wiki/ISO_3166-1_alpha-2

https://en.wikipedia.org/wiki/List_of_ISO_639-1_codes



Page 6 of 28

06 February 2018


ShareClass One or more ISIN codes specifying all share classes covered by the document.

Format: ISIN (11 alpha-numeric, 1 digit) without prefix.

Documents for representative share classes: All share classes covered

by this document need to be listed by identifier (ISIN), comma separated.

Constraint

Optional

Parameter specifying if a document is for a specific group of investors only. Format: 3 character uppercase or empty Values: RES or QFI RES = restriction to Professional Investors

- for ‘public’ marketing documents - for ‘non-public’ marketing and legal documents

RES is a document property only, not related to the country

registration type of the underlying ISINs. QFI = restriction to Qualified Swiss Investors

- only for non-Swiss domiciled funds, which have a ‘Country

Representative – Switzerland’ (OFST6102CH) and ‘Country Paying Agent – Switzerland’ (OFST6107CH) and are only distributed to qualified investors in Switzerland - only for documents with PublicationCountry ‘CH’

- for all document types (marketing and legal documents)

Implementation options: a. Embedded metadata

- at document level: Constraint=RES;

- at PublicationCountry level: PublicationCountry=LU.RES;

Please see further sample in chapter 3.2 “PDFs with embedded

metadata examples” on page 10.

b. CSV feeds

- at document level: by adding RES to Constraint

- at PublicationCountry level: by appending .RES to each

country ISO code (e.g. LU.RES;)

c. XML feeds

- at document level: <document url="http://media.fundinfo.com/xyz.pdf"

constraint="RES" recordDate="2014-10-31" ... >

- at PublicationCountry level: <publicationCountry constraint="RES">LU</publicationCountry>

See also Appendix chapter 6.4.1 “Publishing constraints” on page 22.

DisseminationRecipient

Optional

Allows dissemination of ‘non-public’ documents to specific recipients only.

Format: 4-digit uppercase alpha-numeric code; multiple values need to be separated by comma.

Codes to use are provided by fundinfo on request.

…continues on next page



Page 7 of 28

06 February 2018


Important:

- ‘non-public’ documents are disseminated according to the document’s PublicationCountries exclusively, by ignoring the funds/ISINs country registrations.

- Client based dissemination can only be used with a valid agreement for our document dissemination service.

Please refer to Appendix chapter 6.4.2 'public' and 'non-public' documents - definitions and characteristics” on page 23. There is a separate manual available upon request that provides additional information for manual sending of PDF with DisseminationRecipient in PDF file name or via self-upload.

RecordDate As of date of the document, specifying the date to which the document content refers.

This date is displayed on the web platform and will be delivered to FDS (Fund Document Services) gateways.

For KIDs, this should match the DateOfPublication property.

Format: YYYY-MM-DD

ModificationDate** Specifies the date on which the document or the corresponding metadata was last modified (e.g. the date on which any mistakes in the document were corrected, or the xml/csv has been adapted for this PDF).

Very important for fundinfo to determine if a document needs to be updated in fundinfo’s system.

Format: YYYY-MM-DD

ExpirationDate

Optional

Expiration date of the document. Specifies the date when the document becomes outdated and is automatically removed from fundinfo’s system.

Format: YYYY-MM-DD

DocumentURL** The original URL from which the document can be downloaded, if available (at time of production).

RFC 1738 URL

Must not contain any spaces!

Important:

- URL needs to return a PDF document (application/PDF); no HTML page or other format

- access to the PDF must be without cookies, disclaimers or other restrictions

- HTTP re-directs are accepted

Filesize

Optional**

File size in bytes of the referenced file in DocumentURL.

Checksum

Optional** / Mandatory***

MD5 checksum (32 hexadecimal characters) of the content of the

referenced file in DocumentURL.

Checksum is used to proof integrity of the downloaded document.

* relevant for metadata embedded in PDF; optional for xml/csv

** relevant for transfer via xml/csv; not relevant for metadata embedded in PDF

*** checksum is mandatory, if identical document (i.e. with same checksum) is stored behind varying URLs.

http://paperboy.fundinfo.com/

http://tools.ietf.org/html/rfc1738



Page 8 of 28

06 February 2018

2.1.2 Additional metadata (optional)

Additional metadata can be stored into the PDF. This information is currently not used by fundinfo’s

system, but might be necessary to fulfill the requirements of other recipients.

Table 2: Additional metadata


GeneratorContact A character string identifying a unique email address where the creator of the PDF (infrastructure company or fund management company) can be contacted. This email address can be chosen by the company that creates the PDF. Please make sure that the email address is valid.

Translation

OEKB TDS specific

OeKB UeHS: ‘Uebersetzung‘

y=yes

n=no

Signature

OEKB TDS specific

only relevant for DocumentType ‘PR’

scan=scanned signature

digital=certified electronic signature

no=no signature

Provision-Website

OEKB TDS specific

y=yes

n=no

OeKBCSD

OEKB TDS specific

only relevant for DocumentType ‘PR’ and ‘AI1’

y=yes

n=no

DocDate

OEKB TDS specific

YYYY-MM-DD



Page 9 of 28

06 February 2018

Embedded metadata in physical PDF document

Embedded metadata in PDF

If a PDF contains metadata (= embedded metadata), the information is stored in the physical

document itself.

Portable Document Format (PDF)

allows the storage of visible (and

printable) information as well as invisi-

ble information. Visible information

represents the visual content when

opening a PDF document on your

computer; invisible information, also

referred to as “metadata”, is stored as

key/value pairs within the invisible

section of the PDF document. Some of

these key/value pairs can be viewed via

the "Properties…" method of the PDF

viewer. Metadata includes the "Crea-

ted" date and "Modification" date as

well as the title and author of the docu-

ment.

If the required set of metadata is complete and accurately included in the “Keywords” section, there is

no need to send additional information to fundinfo for the correct categorization and publication of

documents on www.fundinfo.com. Documents with embedded metadata can be pushed to the fundinfo

FTP server.

3.1.1 The “Keywords” metadata container

The storage place which fundinfo and

many other document processors use to

read out all relevant information for the

document upload can be viewed in the

"Properties…" section of the document.

It is called "Keywords" and displays as a

multiline text box. This container should

be used to store relevant information

about the document in machine-

readable form (the “Keywords” meta-

data).

3.1.2 PDF document security settings

For accessibility and data processing,

the PDF documents need to allow copy-

ing of the content i.e. "Content Copying"

and "Content Copying for Accessibility".

It is recommended to allow printing as

well. All other options can be set to "Not

Allowed".

Fig. 1: Embedded PDF metadata

Fig. 2: Keywords metadata container

Fig. 3: PDF document security settings




Page 10 of 28

06 February 2018

3.1.3 Example of PDF with embedded metadata

A sample PDF file can be downloaded here:

https://about.fundinfo.com/media/2020/metadataexample-2-1.pdf

3.1.4 Online PDF metadata validator

You can test your PDF metadata using our validation tool on:

https://validate.fundinfo.com/Document/Metadata

PDFs with embedded metadata examples

3.2.1 ‘public’ Monthly Report for professional Luxembourg investors

Version=2.1;

DocumentType=MR;

PublicationCountry=LU;

Language=en;

ShareClass=LU1234567890;

Constraint=RES;

RecordDate=2017-10-30;

3.2.2 ‘public’ Annual Report for retail investors, valid for multiple countries

Version=2.1;

DocumentType=AR;

PublicationCountry=DE,AT,LI,LU,ES,IT,FR,UK,NL;

Language=en;

ShareClass=LU1234567890,LU2345678901,LU3456789012,LU4567890123;


3.2.3 ‘public’ Prospectus for retail investors in multiple countries and qualified investors in Switzerland

Version=2.1;

DocumentType=PR;

PublicationCountry=DE,AT,LI,LU,ES,IT,FR,UK,NL,CH.QFI;

Language=en;

ShareClass=LU1234567890,LU2345678901,LU3456789012,LU4567890123;


3.2.4 ‘public’ Key Investor Information Document for Germany

Version=2.1;

DocumentType=KID;

PublicationCountry=DE;

Language=de;



ExpirationDate=2018-02-15;

https://about.fundinfo.com/media/2020/metadataexample-2-1.pdf

https://validate.fundinfo.com/Document/Metadata



Page 11 of 28

06 February 2018

3.2.5 ‘non-public’ Monthly Report for retail investors in Switzerland, professional investors in Spain, Italy, only for client XXXX

Version=2.1;

DocumentType=MR;

PublicationCountry=CH,IT.RES,ES.RES;

Language=de;


Constraint=;

DisseminationRecipient=XXXX;


3.2.6 ‘non-public’ Sales Presentation for professionals in UK, qualified investors in Switzerland, only for client XXXX

Version=2.1;

DocumentType=SP;

PublicationCountry=UK.RES,CH.QFI;

Language=en;




3.2.7 ‘non-public’ bilingual Prospectus for professional investors in HK, only for client XXXX

Version=2.1;

DocumentType=PR;

PublicationCountry=HK;

Language=en,zh;


Constraint=RES;



You can check your PDF metadata implementation by using our online metadata validator (see chapter

3.1.4 “Online PDF metadata validator” on page 10).



Page 12 of 28

06 February 2018

Overview of possible delivery methods

Fig. 4: Overview of possible delivery methods

Since PDF documents published on www.fundinfo.com are stored on fundinfo’s servers, fundinfo

needs to know when a new document version is available. If PDF documents are delivered via FTP

upload, this is easy to determine by the document submission timestamp.

If document feeds (XML, CSV) are used, a data point called ‘ModificationDate’ needs to provide

information about the last modification of a PDF document and/or its metadata in order to determine if

a document record needs to be downloaded and updated on fundinfo’s side.



Page 13 of 28

06 February 2018

Different options of document transfer

Delivery of PDFs containing metadata via FTP

If the fund house or document producer is able to integrate metadata directly into the PDF according

to our metadata specifications, fundinfo will be able to receive these documents on its FTP server.

All documents delivered need to include metadata according to fundinfo’s PDF metadata specifica-

tions.

The fund house will be given access to the fundinfo FTP server with an individual username and

password. If a document producer is delivering documents for multiple fund houses, fundinfo will

prepare separate subfolders for each fund house.

Delivery of PDFs without metadata

If a fund house is not able to integrate metadata in the PDF, there are other possibilities to send the

document and the necessary information to fundinfo:

5.2.1 XML or CSV Feed

Transferring documents via an XML or CSV feed is a very efficient solution. It is easy to implement if

the fund house is already using web-links for its documents. By choosing this option, the fund house is

creating an XML or CSV file containing metadata and URLs to PDF documents.

Important notice: the URLs must not be hidden behind any disclaimer. To check integrity of your links,

please visit https://validate.fundinfo.com/Document/UrlAddress.

5.2.2 Two delivery options for feed files

A fund house can either push the feed file to the fundinfo FTP server or provide an http:// link, which is

leading to the XML or CSV feed. In both cases, fundinfo connects the provided feed file to the DTS

interface.

As with the PDF document URLs, any link to an XML or CSV feed has to lead directly to the file,

without any disclaimers or other by-passes.

XML / CSV document metadata feed

If documents are already published on the internet, you can provide to fundinfo a list of hyperlinks to

all documents currently published on your web site. This can be either an XML (extended markup

language) structure or a CSV (character separated values) list.

This file should be delivered to fundinfo at least once per month by

- FTP upload (our preferred standard way of delivery)

- Provision of the file via externally accessible permalink URL

If monthly reports (or other regularly updated document types) are being generated daily or on-the-fly,

fundinfo needs to know on which day of the month the update of your fund documentation should be

processed. This can be triggered by using the ‘ModificationDate’.

The XML/CSV feed must contain the full scope of documents agreed on in the feed at all times. No

delta XML/CSV are to be sent/pushed onto fundinfo’s FTP server.

https://validate.fundinfo.com/Document/UrlAddress



Page 14 of 28

06 February 2018

Removal of documents from fundinfo’s system can be performed by using the ‘ExpirationDate’. Simply

removing the corresponding URL from the XML/CSV feed does not remove the document in fundinfo’s

repository.

CSV feed specifications

When providing document links as a list of document URLs in a CSV (character separated values) file,

the following specifications need to be implemented:

- First line specifies the feed header and will not be processed.

- Each field (column) is separated by either the semi-colon ( ; ) or comma character ( , ).

- Each record (line) is terminated by a carriage return (CR), a line feed (LF) or both (CRLF).

- Multiple values per field (column) are separated by a comma character ( , ).

When the field (column) separator is comma, then multiple values must be enclosed with

quotation marks, e.g. PublicationCountry “DE,UK”.

5.4.1 Feed header

The feed header contains the column configuration and the specifications version used as well as the

generation timestamp of the feed:

DocumentType;PublicationCountry;Language;ShareClass;Constraint;DisseminationRecipient;

RecordDate;ModificationDate;ExpirationDate;DocumentURL;Filesize;Checksum;Version=2.1;

Generated=[YYYY-MM-DD HH:MM:SS]

5.4.2 Document records

A document and its document assignment information can be specified by:

a) Multiple records per document: one record for each DocumentType, PublicationCountry,

Language, ISIN, Constraint combination.

When using this option, fundinfo requires the introduction of ‘Checksum’ to verify integrity of

the PDF.

b) One record per document: all metadata such as DocumentType, PublicationCountry,

Language, and ISIN codes will be specified by comma-separated lists.



Page 15 of 28

06 February 2018

Table 3: Document records

Column Mapped field Format

A DocumentType See chapter 2.1 ”Metadata” on page 5.

B PublicationCountry

C Language

D ShareClass

E Constraint

F DisseminationRecipient

G RecordDate

H ModificationDate

I ExpirationDate

J DocumentURL RFC 1738 URL, see chapter 2.1 ”Metadata” on page 5

URLs containing semicolon characters (“;”) need to be enclosed in quotation marks (“”).

K Filesize See chapter 2.1 ”Metadata” on page 5.

L Checksum

5.4.3 Sample feed

A sample CSV file should look like this

(https://about.fundinfo.com/media/2019/documentlist-2-1-sample.csv).

5.4.4 Online CSV file validator

You can test your CSV matching our standard as listed above by using our validation tool on:

https://validate.fundinfo.com/Document/CSV.

http://tools.ietf.org/html/rfc1738

https://about.fundinfo.com/media/2019/documentlist-2-1-sample.csv

https://validate.fundinfo.com/Document/CSV



Page 16 of 28

06 February 2018

XML feed specifications

The fundinfo DTS XML feed uses the following structure:

Table 4: XML feed specifications

Node (Xpath) Description/Field Format

/documentList Root element containing document nodes.

/documentList/@lastUpdate Attribute containing last update timestamp of the feed content.

ISO 8601 timestamp

/documentList/@version Attribute containing specification version used for the feed.

‘2.1’

/documentList/document Document node, representing a (physical) PDF file.

/documentList/document/@url See chapter 2.1 ”Metadata” on page 5.

/documentList/document/@constraint

/documentList/document/@recordDate

/documentList/document/@modificationDate

/documentList/document/@expirationDate

/documentList/document/@filesize

/documentList/document/@checksum

/documentList/document/documentType

/documentList/document/publicationCountry

/documentList/document/publicationCountry/@constraint

/documentList/document/language

/documentList/document/shareClass

/documentList/document/disseminationRecipient

5.5.1 Sample feed

Sample XML file: https://about.fundinfo.com/media/2018/documentlist-2-1-sample.xml

Validation schema: https://about.fundinfo.com/media/2017/documentlist-2-1.xsd

http://de.wikipedia.org/wiki/ISO_8601

https://about.fundinfo.com/media/2018/documentlist-2-1-sample.xml

https://about.fundinfo.com/media/2017/documentlist-2-1.xsd



Page 17 of 28

06 February 2018

5.5.2 External XML file validation tools

There are several applications available in the internet, which allow a testing of your XML file versus

the XSD. When searching for ‘XML file validator’ in your search engine, you should find one you can

use free of charge for your testing.

FTP upload to fundinfo

If documents are pushed onto our FTP server, fundinfo prepares an account on its server

(ftp://dts.fundinfo.com) where updated documents should be uploaded to.

5.6.1 Documents including embedded metadata

Documents containing metadata as described in chapter 2 “Fund document PDF metadata

specifications” on page 5 already contain all necessary information for automatic categorisation into

our systems.

5.6.2 XML / CSV feeds

XML and CSV feeds containing metadata and document links according to the specifications in

chapter 5.1 “Delivery of PDFs containing metadata via FTP”.

If the fund house or document producer is able to integrate metadata directly into the PDF according

to our metadata specifications, fundinfo will be able to receive these documents on its FTP server.

All documents delivered need to include metadata according to fundinfo’s PDF metadata specifica-

tions.

The fund house will be given access to the fundinfo FTP server with an individual username and

password. If a document producer is delivering documents for multiple fund houses, fundinfo will

prepare separate subfolders for each fund house.

Delivery of PDFs without metadata

If a fund house is not able to integrate metadata in the PDF, there are other possibilities to send the

document and the necessary information to fundinfo:

5.7.1 XML or CSV Feed

Transferring documents via an XML or CSV feed is a very efficient solution. It is easy to implement if

the fund house is already using web-links for its documents. By choosing this option, the fund house is

creating an XML or CSV file containing meta¬data and URLs to PDF documents.

Important notice: the URLs must not be hidden behind any disclaimer. To check integrity of your links,

please visit https://validate.fundinfo.com/Document/UrlAddress.

5.7.2 Two delivery options for feed files

A fund house can either push the feed file to the fundinfo FTP server or provide an http:// link, which is

leading to the XML or CSV feed. In both cases, fundinfo connects the provided feed file to the DTS

interface.

As with the PDF document URLs, any link to an XML or CSV feed has to lead directly to the file,

without any disclaimers or other by-passes.

ftp://dts.fundinfo.com/



Page 18 of 28

06 February 2018

5.7.3 XML/CSV update process

XML and CSV files containing metadata and document links according to the specifications in chapter

5.3 “XML / CSV document metadata feed” on page 13 should be uploaded to the FTP server every

time a document record has changed (at least once a month).

Every time we receive a new feed file, an automated process compares the new feed file to its

predecessor and identifies all documents that need to be downloaded and processed (again). The

trigger for downloading and document processing is the ‘ModificationDate’.



Page 19 of 28

06 February 2018

Appendix

Document type codes

6.1.1 Marketing documents

Table 5: Marketing document codes

Document Types Document type code

Country specific/additional comment

Monthly report MR

all countries (with optional Constraint) Manager commentary MC

Fund profile FP

Quarterly report QR

Dividend Table DIV

Sales Aid AID

only ‘non-public’; only for clients using fundinfo’s ‘document dissemination service’ DisseminationRecipient mandatory, all countries

Marketing Brochure BRO

Due Diligence Questionnaire DDQ

Other Marketing Material OTH

Sales Presentation SP

6.1.2 Legal documents

Table 6: Legal document codes

Document Types Document type code

Country specific/additional comment

Semi-annual report SAR

all countries Annual report AR

Prospectus PR

Additional Information for Investors INF

Key Investor Information Document KID according to UCITS directive

European countries only PRIIP Key Information Document PRP according to PRIIP regulation

Simplified Prospectus SPR

Terms of Contract CON

Annual Report Short ARS will expire Q2 2018 United Kingdom Interim Report Short IRS will expire Q2 2018

Supplementary Information Document SID

Product Highlights Sheet PHS Singapore

Key Facts Statement KFS Hong Kong, China, Switzerland

Trimestrial Financial Report TRM Hong Kong, Spain, China

Regulations, Fund Reglement REG Spain

Dealing Forms DEA all countries except Italy

Subscription Form SUB Italy

Supplement Subscription Form SUS

§ 21 Abs.1 AIFMG - Angaben AI1 Austria

Audit Report AU only for OeKB; currently not processed by fundinfo

Investor Information Part 1 IP1 Taiwan

Investor Information Part 2 IP2



Page 20 of 28

06 February 2018

Country codes

Table 7: Country codes

Countries Code to be used

ISO 3166-1 alpha-2

Country code

“EU” implies* Visibility

fundinfo ‘live’ countries

Austria AT

http://www.fundinfo.com

http://www.etfinfo.com

http://paperboy.fundinfo.com

partner platforms

document dissemination service

Belgium BE

Switzerland CH

Germany DE

Spain ES

France FR

Great Britain GB (or UK)

Hong Kong HK

Ireland IE

Italy IT

Liechtenstein LI

Luxemburg LU

Netherlands NL

Portugal PT

Singapore SG

Taiwan TW

European countries – exclusively for clients using fundinfo’s ‘document dissemination service’

Bulgaria BG


partner platforms


Cyprus CY

Czech Republic CZ

Denmark DK

Estonia EE

Finland FI

Guernsey GG

Gibraltar GI

Greece GR

Hungary HU

Isle of Man IM

Iceland IS

Jersey JE

Lithuania LT

Latvia LV

Monaco MC

Malta MT

Norway NO

Poland PL

Romania RO

Sweden SE







Page 21 of 28

06 February 2018

Countries Code to be used

ISO 3166-1 alpha-2

Country code

“EU” implies* Visibility

Slovenia SI

Slovakia SK

San Marino SM

More countries (ex-Europe) – exclusively for clients using fundinfo’s ‘document dissemination service’

United Arab Emirates AE


partner platforms


Argentina AR

Australia AU

Bermuda BM

Brazil BR

Chile CL

China CN

Colombia CO

Japan JP

Republic of Korea/South Korea KR

Cayman Islands KY

Macao MO

Mauritius MU

Mexico MX

Peru PE

United States US

British Virgin Islands VG

South Africa ZA

* Important Announcement:

Code “EU” will be shut down on 2018-12-31. Please start using the individual country codes as listed in the table

above with immediate effect.

Language codes

Table 8: Language codes

Languages code to be used

ISO 639-1

German de

all Document Types

English en

French fr

Dutch/Flemish nl

Italian it

Spanish es

Chinese zh

Arabic ar http://paperboy.fundinfo.com

partner platforms


Bulgarian bg

Czech cs

Danish da

Greek el



http://en.wikipedia.org/wiki/List_of_ISO_639-1_codes




Page 22 of 28

06 February 2018

Languages code to be used

ISO 639-1

Estonian et

Finnish fi

Hungarian hu

Irish ga

Icelandic is

Japanese ja

Korean ko

Lithuanian lt

Latvian lv

Maltese mt

Norwegian no

Polish pl

Portuguese pt

Romanian ro

Slovak sk

Slovene sl

Swedish sv

Document publishing constraints – ‘public’ and ‘non-public’ documents

6.4.1 Publishing constraints

Table 9: Publishing constraints

Constraint Code

professional investors only RES Only applicable for ‘public’ marketing documents and ‘non-public’

documents.

qualified investors only QFI

Only applicable for legal and marketing documents which apply for non-

Swiss domiciled funds with Swiss ‘Country Representative’ (OFST6102CH)

and ‘Country Paying Agent’ (OFST6107CH), distributed to qualified

investors in Switzerland.

DisseminationRecipient Code

specific recipients only 4-digit code ‘DisseminationRecipient’ code on pdf level

see table 2.1 “Metadata” on page 5

http://en.wikipedia.org/wiki/List_of_ISO_639-1_codes



Page 23 of 28

06 February 2018

6.4.2 'public' and 'non-public' documents - definitions and characteristics

Table 10: Public vs. non-public documents

'public' documents

Definition

- -

'Public' documents are the basic document set of fundinfo. Documents of this category can be processed for all fund groups listed in fundinfo's database. 'Public documents' are split into two subsets of document categories: 'marketing documents' and 'legal documents'.

Characteristics -

-

'DisseminationRecipientCodes' (pdf level) must not be used.

Documents are suitable for publication and dissemination to various clients.

Prerequisites for availability (publication and dissemination):

- -

ISIN share class status = 'active' (OFST900019) Countries of availability: Documents are only available for countries in which the underlying share classes are registered for sale, and which match the 'PublicationCountries' of the PDF. - ISIN Country Registration must be 'yes' or 'res' (Marketing Distribution OFST6031XX). - PDF 'PublicationCountry' must match ISIN Country Registration.

Constraint policy Marketing Documents Legal Documents

(MR, MC, QR, FP, DIV) (PR, AR, SAR, KID, KFS, PHS,…)

- [no Constraint]

- RES

- QFI [CH only]

'non-public' documents

Definition - - - -

Using the feature of 'non-public' documents is restricted to fundinfo's ‘document dissemination service’ only. 'Non-public' documents are only disseminated to the clients defined by the PDF's DisseminationRecipientCode. These documents are either: - special document types (e.g. Sales Presentations, DDQs), which require a DisseminationRecipient coding - special document versions for specific recipients only (e.g. a Monthly Report version specifically created for one recipient). - documents for funds/ISINs without country registration ('non-authorised' funds). For document processing of 'non-public' documents, there is no difference between 'marketing documents' and 'legal documents'.

Characteristics - -

'Dissemination Recipient Code' (pdf level) is mandatory. Documents are suitable for dissemination to specific recipients only.

Prerequisites for availability (only dissemination):

- - -

ISIN share class status = 'active' (OFST900019) Countries of availability: Documents are available for all countries indicated as 'PublicationCountries' in the PDF metadata. - ISIN Country Registration is oversteered by 'PublicationCountries' of PDF. - Dissemination also for countries, in which the underlying share classes are NOT registered (Marketing Distribution OFST6031XX = 'no'). Non-public documents must be unique PDFs, i.e. must have a unique checksum. A document cannot be processed as public and non-public. If a PDF is provided as both public and non-public (e.g. different senders), the public assignments will prevail.

Constraint policy

all document types

(all 'public' document types + specific document types, e.g. 'SP', only available to clients using

fundinfo’s document dissemination service)

- [no Constraint]

- RES

- QFI [CH only]



Page 24 of 28

06 February 2018

PDF metadata EBNF specification

InfoKey = "Keywords"

InfoValue = "Version=" Version ";" SpaceChar

"GeneratorContact=" GeneratorContact ";" SpaceChar "DocumentType=" DocumentTypeList ";" SpaceChar "PublicationCountry=" CountryList ";" SpaceChar

"Language=" LanguageList ";" SpaceChar "ShareClass=" ShareClassList ";" SpaceChar [ "Constraint=" Constraint ";" SpaceChar ]

[ "DisseminationRecipient=" DisseminationRecipient ";" SpaceChar ] [ "RepShareClass=" ShareClassIdentifier ";" SpaceChar ] [ "RepShareClassCurrency=" ShareClassCurrency ";" SpaceChar ]

[ "DateOfPublication=" Date ";" SpaceChar ] "RecordDate=" Date ";" SpaceChar "ModificationDate=" Date ";" SpaceChar

[ "ExpirationDate=" Date ";" SpaceChar ] [ "DocumentURL=" URL ";" SpaceChar ] [ "SRRI=" SRRIValue ";" SpaceChar ]

[ "PerformanceFee=" Text ";" SpaceChar ] [ "EntryCharge=" PercentageValue ";" SpaceChar ] [ "ExitCharge=" PercentageValue ";" SpaceChar ]

[ "OngoingCharges=" PercentageValue ";" ];

SpaceChar = ? space character (0x40)?;

Version = ? PDF metadata specification version used (format “#.#”, currently “2.1”) ?

GeneratorContact = ? a valid email address identifying the producer of the PDFs ?

DocumentTypeList = DocumentType { "," DocumentTypeList }

DocumentType = ? fundinfo document type identifier according to listing 6.1 ?;

CountryList = Country { "," CountryList }

Country = ? ISO_3166 country code or exceptionally reserved "UK",

append “.RES” if valid for professional investors only ?; append “.QFI” if document is for qualified investors in CH only ?;

LanguageList = Language { "," LanguageList }

Language = ? ISO_639 language code ?;

ShareClassList = ShareClassIdentifier { "," ShareClassList }

ShareClassIdentifier = ID_ISIN | ID_VALOR | ID_WKNDE | ID_WKNAT | ID_SEDOL;

ID_ISIN = ? ISIN code according ISO_6166, no prefix ?; (* recommended *)

ID_VALOR = "VALOR:" ? Swiss Valoren number ?; (* alternative *) ID_WKNDE = "WKNDE:" ? German Wertpapierkennnummer (WKN) ?; (* alternative *) ID_WKNAT = "WKNAT:" ? Austrian Wertpapierkennnummer (WKN) ?; (* alternative *)

ID_SEDOL = "SEDOL:" ? UK SEDOL number ? ; (* alternative *)

ShareClassCurrency = (* ISO_4217 currency code *)

Date = ? YYYY-MM-DD ?;

URL = ? RFC 1738 Uniform Resource Locator ?;

Constraint = "RES" | "QFI";

DisseminationRecipient = ? 4-digit code ?;

SRRIValue = "1" | "2" | "3" | "4" | "5" | "6" | "7";

Text = ? any text ?;

PercentageValue = ? decimal value followed by the percent sign (%) ?;



Page 25 of 28

06 February 2018

Revision history

Version Date Author Description

1.0 21.02.2012 [email protected] Initial version derived from former

“Betrieb_402_DocumentTransferSystem”,

added “Fund document PDF metadata

specifications v1.2”

1.1 06.03.2012 [email protected] Review

1.2 16.03.2012 [email protected] Update Delivery of Documents

1.2.1 26.03.2012 [email protected]

[email protected]

Review

Chapters ‘DTS’ and ‘Delivery methods’

rewritten (+ new illustration)

1.3 12.04.2012

16.04.2012

[email protected]

[email protected]

Metadata: added Checksum & Filesize

CSV and XML metadata format changed

PDF metadata: relocation of “Constraint”,

replaced “Country” by “PublicationCountry”

1.4 29.10.2012 [email protected]

[email protected]

[email protected]

[email protected]

Metadata: added Country constraint

“.RES”

PDF metadata: changed “DocumentUrl” to

“DocumentURL” for consistency with

XML/CSV

Review

1.4.1 11.02.2013 [email protected] Update of contact for Head of IT

2.0.0 20.06.2013

14.07.2013

[email protected]

[email protected]

Addition of two new document types

(IRS, ARS)

New feature: Dissemination Recipient

- paperboy only

Removal of one document type (MEM)

Complete review

Change of contacts

Adaption of OeKB metadata standard

‘UeHS PDF Metadaten-Spezifikation’

(English: ‘TDS PDF-Metadata-

Specification’)

version May 2013, V1.0

2.0.1 31.10.2013 [email protected] Country BE as ‘live’ country on

www.fundinfo.com

Addition of one new document type (SP)

Additional metadata value

‘OngoingChargesDate’ (optional)

‘DisseminationRecipient’ in PDF file name

mailto:[email protected]


















Page 26 of 28

06 February 2018


2.0.2 15.02.2014

25.05.2014

[email protected]

[email protected]

Addition of one new document type (SID)

Update of OeKB metadata standard

‘UeHS PDF Metadaten-Spezifikation’

(English: ‘TDS PDF-Metadata-

Specification’)

version February 2014, V1.2

New fundinfo address

Precision of use of constraint ‘RES’

Announcement of expiry for doc-type

‘SUP’ in 12/2014

Updates of samples (6.2 PDFs with

embedded metadata examples)

2.1.0 31.10.2014 [email protected] Constraint ‘QFI’ for documents (CH only)


‘UeHS’/’TDS PDF metadata-specification

to version October 2014 / V 1.3

Expiration of Doc-Type ‘SUP’ 12/2014

Shut down of Doc-Type ‘PIB’

Removal of transmission option for PDF

without embedded metadata via file

name/folder naming convention

Extension of country coverage

2.1.1 22.03.2015 [email protected] Addition of one new document type

(DIV)

Announcement of expiry for doc-type

‘PR1/PR2/PR3’ in 06/2015


‘UeHS’/’TDS PDF metadata-specification

to version March 2015 / V 1.4


New feature: dissemination of fund

documents with DisseminationRecipient

Code (‘non-public’ documents) for

unauthorized funds (available for

Paperboy clients only)

Removal of doc-type ‘PR1/PR2/PR3’

Clarification on URL specification

Definitions and characteristics of ‘public’

and ‘non-public’ documents





Page 27 of 28

06 February 2018



Document restructuring, e.g. chapter

numbering

Adaption of static data wordings to

openfunds standard 1.0 [DRAFT]

Addition of three new ‘non-public’

document types (BRO, AID, OTH)

Precision in Constraint definitions and

‘non-public’ documents prerequisites

Updated PublicationCountries (PE, SM)


Addition of two new ‘public’ document

types (PRP, INF)

Adaption of ‘TRM’ to cover MRF

publication requirements for Mainland

Chinese Funds in Hong Kong

Introduction of new online CSV validation

tool


Ireland and Portugal as ‘live’ countries

Removal of email delivery method

Update of OeKB metadata standard ’TDS

PDF metadata-specification to version

September 2016 / V 2.0

2.1.6 29.01.2017 [email protected] New document type ‘DDQ’

New URL to sample files (csv, xml, xsd

and Metadata example)

2.1.7 09.02.2017 [email protected] Update of Office Hours

Slight typing corrections

2.1.8 19.12.2017 [email protected] Revision of ‘Additional metadata’

description (removal of several attributes)

New document types: ‘DEA’, ‘IP1’, ‘IP2’

Announcement to shut down ‘ARS’, ‘IRS’

‘KFS’ available for Switzerland

2.1.9 01.02.2018 [email protected] PublicationCountry=EU;

new: excluding CH from 01.02.2018

Announcement: Publication Country Code

“EU” will be shut down on 2018-06-01.

Recommendation to start using the

individual country codes with immediate

effect.

2.1.91 06.02.2018 [email protected] Correction of deadline announced in

version 2.1.9 for shut down of “EU” to

2018-12-31




https://meldestelle-online.oekb.at/home.xhtml;jsessionid=8BB82B400DBE545CBA4EE97A61AEFD3F

https://meldestelle-online.oekb.at/home.xhtml;jsessionid=8BB82B400DBE545CBA4EE97A61AEFD3F








Page 28 of 28

06 February 2018

Contact information

Operational contact information

fundinfo AG

Staffelstrasse 12

8045 Zürich

Switzerland

Office Hours Switzerland:

08:30 – 17:30 UTC +1 (daylight saving: UTC +2)

Phone +41 44 286 91 09

Document management team

Birgit Partin, Head of Operations

[email protected]

[email protected]

General contact information

fundinfo AG

Staffelstrasse 12

8045 Zürich

Switzerland

Office Hours Switzerland:

08:30 – 17:30 UTC +1 (daylight saving: UTC +2)

Phone +41 44 286 91 02

[email protected]


