Document Transfer System DTS

Document Transfer System DTS, version 2.1.4

document_transfer_system_(dts)_technical_specification_(op-p-en-000003-2.1.4), Public

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Document Transfer System DTS

Automatic transfer of electronic fund

documents to fundinfo.com

Version 2.1.4

Revision date: 30th June 2016

document_transfer_system_(dts)_technical_specification_(op-p-en-000003-2.1.4)



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Table of Contents



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inaccuracies, typographical errors or out-of-date information and may be updated or changed without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



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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

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.

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 18.

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 19.

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

you may use “EU” instead of listing all country codes separately.

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 20.

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

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



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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 which are

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 9.

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 21.

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



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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 ‘paperboy’.

Please refer to Appendix chapter 6.4.2 'public' and 'non-public' documents - definitions and characteristics” on page 22. 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.

File size will be used to proof integrity of the downloaded document.

Checksum

Optional** / Mandatory***

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

referenced file in DocumentURL.

Checksum will be 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



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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


RepShareClass One single share class identifier for the representative share class

according to the specifications above (see “ShareClass”):

If there is only one: RepShareClass = ShareClass

If there are several, RepShareClass specifies the identifier of the representative share class.

RepShareClassCurrency This property specifies the currency of the representative share class (RepShareClass).

DateOfPublication KID-specific attribute, according to CESR/09-949/page 10:

11. Date of publication: A statement that the information contained within the KID is accurate as at [31 December 20xx]

SRRI

KID specific

Synthetic risk and reward indicator: a number between 1 and 7

PerformanceFee Text field

EntryCharge Percentage value

ExitCharge Percentage value

OngoingCharges

KID specific

Percentage value

OngoingChargesDate

KID specific

As of date of the OngoingCharges listed on the KID document.

YYYY-MM-DD

Translation

UeHS specific

OeKB UeHS: ‘Uebersetzung‘

y=yes

n=no

Signature

UeHS specific

OeKB UeHS: ‘Unterfertigung’ only relevant for DocumentType ‘PR’

scan=scanned signature

digital=certified electronic signature

no=no signature

Provision-Website

UeHS specific

OeKB UeHS: ‘Bereitstellungswebsite‘

y=yes

n=no

DocDate

UeHS specific

OeKB UeHS: ‘Dokumentdatum‘

YYYY-MM-DD

Please note that fundinfo strives to extend this section to cover all PRIIP relevant data once the final

regulatory technical standards for PRIIP KID documents is released.



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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

"Created" date and "Modification" date

as well as the title and author of the

document.

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 can be sent by email or simply pushed onto a 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”

metadata).

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




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3.1.3 Example of PDF with embedded metadata

A sample PDF file can be downloaded here:

http://media.fundinfo.com/dts/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;

[email protected];

DocumentType=MR;

PublicationCountry=LU;

Language=en;

ShareClass=LU1234567890;

Constraint=RES;

RecordDate=2014-10-30;

ModificationDate=2014-10-30;

DocumentURL=http://your.company.com/factsheets/LU1234567890_EUR_LU_en_2014-10-30.pdf;

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

Version=2.1;

[email protected];

DocumentType=AR;

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

Language=en;

ShareClass=LU1234567890,LU2345678901,LU3456789012,LU4567890123;



DocumentURL=http://your.company.com/legal/AnnualReport_XXX_2014_en.pdf;

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

Version=2.1;

[email protected];

DocumentType=PR;

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

Language=en;

ShareClass=LU1234567890,LU2345678901,LU3456789012,LU4567890123;



DocumentURL=http://your.company.com/legal/Prospectus_XXX_2014_en.pdf;

http://media.fundinfo.com/dts/MetadataExample-2.1.pdf

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



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3.2.4 ‘public’ Key Investor Information Document for Germany

Version=2.1;

[email protected];

DocumentType=KID;

PublicationCountry=DE;

Language=de;


RepShareClass=LU1234567890;

RepShareClassCurrency=EUR;

DateOfPublication=2014-10-27;



ExpirationDate=2015-02-15;

DocumentURL=http://your.company.com/kiid/KID_Example_with_Properties.pdf;

SRRI=6;

PerformanceFee=No;

EntryCharge=5%;

ExitCharge=1%;

OngoingCharges=2.62%;

OngoingChargesDate=2014-08-31;

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

Version=2.1;

[email protected];

DocumentType=MR;

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

Language=de;


Constraint=;

DisseminationRecipient=XXXX;



DocumentURL=http://your.company.com/factsheets/LU1234567890_EUR_CH_de_2014-10-30.pdf;

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

Version=2.1;

[email protected];

DocumentType=SP;

PublicationCountry=UK.RES,CH.QFI;

Language=en;





DocumentURL=http://your.company.com/marketing/SalesPresentation_XXX.pdf;



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

Version=2.1;

[email protected];

DocumentType=PR;

PublicationCountry=HK;

Language=en,zh;


Constraint=RES;




DocumentURL=http://your.company.com/legal/Prospectus-prof-HK.pdf;

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

3.1.4 “Online PDF metadata validator” on page 9).



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Overview of possible delivery methods

Fig. 4: Overview of possible delivery methods

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

know when a new document version becomes available. If documents are delivered by email or 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 time of a document record, in order to determine if this document or its metadata

assignment needs to be updated in fundinfo’s system.




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Different options of document transfer

Delivery of PDFs containing embedded metadata

If the fund house is able to integrate metadata directly into the PDF according to our metadata

specifications, we will be able to receive these documents either via FTP Upload (preferred) or by

email. Email delivery is only recommended if the amount of documents does not exceed the common

mail server delivery limits (max. ~20MB).

Please see chapter 2 “Fund document PDF metadata specifications” on page 4 for more information

about PDF metadata.

5.1.1 FTP upload

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

specifications (see chapter 2, “Fund document PDF metadata specifications” on page 4). The fund

house will get access to our FTP server with an individual username and password. This is our

preferred document delivery method.

If a document provider is delivering documents for multiple fund houses, we will prepare separate

subfolders for each fund house.

Please see chapter 3 “Embedded metadata in physical PDF document” on page 8 for more

information.

5.1.2 By email

Transferring documents via email to fundinfo’s document email address is convenient for fund houses

with less than 20 ISINs and a low rate of re-sending documents. By choosing this option, the fund

house needs to include document metadata directly in the PDF. Another option for accredited users of

fundinfo.com is to send documents using the document upload form on www.fundinfo.com.

Delivery of PDFs without embedded metadata

If you are not able to integrate metadata in the PDF (= embedded metadata), there are other

possibilities to send the document and the necessary information to fundinfo.

5.2.1 FTP upload of XML / CSV File containing document links plus metadata

Transferring documents via XML or CSV file is a very efficient solution. It is easy to establish if the

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

house is creating a XML or CSV file containing metadata and URLs to the online document.

You can test document URLs using our validation tool on:

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

Further URL specifications are listed in chapter 2.1.1 ”Basic metadata” on page 4.

Please see chapter 5.3 “XML / CSV document metadata feed” on page 14 for more information.

5.2.2 Web service on the fund house’s web page or document management system

If a fund house is providing access to its documents through a web service, fundinfo is able to

implement this as well. The underlined condition is that all required document metadata is being

provided by this service.


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



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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)

- Publishing the file on your web site (fundinfo will download this file usually on a daily basis)

- via email as an attachment

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.

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 (comma 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 terminated by a semicolon 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 (“,”).

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.



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Table 3: Document records

Column Mapped field Format

A DocumentType See chapter 2.1 ”Metadata” on page 4.

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 4

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

K Filesize See chapter 2.1 ”Metadata” on page 4.

L Checksum

5.4.3 Sample feed

A sample CSV file should look like this (http://media.fundinfo.com/dts/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

http://media.fundinfo.com/dts/documentList-2.1-sample.csv

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



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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 4.

/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: http://media.fundinfo.com/dts/documentList-2.1-sample.xml

Validation schema: http://media.fundinfo.com/dts/documentList-2.1.xsd

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

http://media.fundinfo.com/dts/documentList-2.1-sample.xml

http://media.fundinfo.com/dts/documentList-2.1.xsd



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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 4 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 5.3 “XML / CSV document metadata feed” on page 14 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’.

ftp://dts.fundinfo.com/



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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

Sales Presentation SP

only ‘non-public’; Paperboy agreement required DisseminationRecipient mandatory, all countries

Marketing Brochure BRO

Sales Aid AID

Other Marketing Material OTH

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

Dividend Table DIV

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

United Kingdom Interim Report Short IRS

Supplementary Information Document SID

Product Highlights Sheet PHS Singapore

Key Facts Statement KFS Hong Kong, China

Trimestrial Financial Report TRM Hong Kong, Spain, China

Regulations, Fund Reglement REG Spain

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



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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://paperboy.fundinfo.com

partner platforms

Belgium BE

Switzerland CH

Germany DE

Spain ES

France FR

Hong Kong HK

Italy IT

Liechtenstein LI

Luxemburg LU

Netherlands NL

Singapore SG

United Kingdom / Great Britain GB (or UK)

fundinfo ‚paperboy countries‘ - Europe

Bulgaria BG


partner platforms

all document types

Cyprus CY

Czech Republic CZ

Denmark DK

Estonia EE

Finland FI

Guernsey GG

Gibraltar GI

Greece GR

Hungary HU

Ireland IE

Isle of Man IM

Iceland IS

Jersey JE

Lithuania LT

Latvia LV

Monaco MC

Malta MT

Norway NO

Poland PL

Portugal PT

Romania RO

Sweden SE

Slovenia SI

Slovakia SK

San Marino SM







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Countries Code to be used

ISO 3166-1 alpha-2

Country code

“EU” implies Visibility

non-European countries

United Arab Emirates AE


partner platforms

all document types

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

Taiwan TW

United States US

British Virgin Islands VG

South Africa ZA

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


partner platforms

all document types

Bulgarian bg

Czech cs

Danish da

Greek el

Estonian et

Finnish fi

Hungarian hu

Irish ga

Icelandic is



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




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Languages code to be used

ISO 639-1

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 4

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



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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) (PR, AR, SAR, KID, KFS, PHS, DIV, …)

- [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 (‘paperboy’) 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), 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 + paperboy specific document types, e.g. 'SP')

- [no Constraint]

- RES

- QFI [CH only]



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30th June 2016

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 24 of 27

30th June 2016

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 25 of 27

30th June 2016


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 26 of 27

30th June 2016



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





Page 27 of 27

30th June 2016

Contact information

Operational contact information

fundinfo AG

Staffelstrasse 12

8045 Zürich

Switzerland

Office Hours Switzerland:

08:00 – 18:00 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:

08:00 – 18:00 UTC +1 (daylight saving: UTC +2)

Phone +41 44 286 91 02

[email protected]


