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Financial Institutions Reporting Guide November 2020
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Table of Contents
TABLE OF CONTENTS .............................................................................................................................. 2
OVERVIEW ........................................................................................................................................... 3
THE FINANCIAL INSTITUTION REPORTING PORTAL .......................................................................................... 4 Registering as a reporting portal user ...................................................................................................... 4 Submitting unclaimed balances reports ................................................................................................... 4 Managing your reports ............................................................................................................................. 6 Managing your users ................................................................................................................................ 6
PAYMENT INSTRUCTIONS ........................................................................................................................ 8 Funds forwarded via LVTS payment: ........................................................................................................ 8 Funds forwarded via Electronic Fund Transfer (EFT): ............................................................................... 8
LIST OF UNCLAIMED BALANCE DATA ELEMENTS .......................................................................................... 10
DETAILED DATA SPECIFICATIONS ............................................................................................................. 11
FREQUENTLY ASKED QUESTIONS (FAQS) .................................................................................................. 17 Reporting Portal Account Management ................................................................................................. 17
What is a Primary User? ..................................................................................................................................... 17
How do I add other users? .................................................................................................................................. 17
Why would I add other users? ............................................................................................................................. 17
How do I change someone else to be the Primary User? .................................................................................... 18
How can I reset my password?............................................................................................................................ 18
How do I update my account information?......................................................................................................... 18
Submitting Reports ................................................................................................................................. 18 How can I delete a report that I uploaded in error? ............................................................................................ 18
Can I submit reports for more than one organization? ....................................................................................... 18
UNCLAIMED PROPERTIES OFFICE - CONTACT US .......................................................................................... 19
APPENDIX 1: XML SCHEMA DEFINITION ................................................................................................... 20
APPENDIX 2: SAP COUNTRY CODES ......................................................................................................... 25
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Overview These guidelines are intended for use by Financial Institutions (FI) and Trust Companies when preparing and submitting Unclaimed Balances (UB) data to the Bank of Canada (BOC) as per the Bank Act and/or the Trust and Loan Companies Act.
UB Data is to be filed annually. For the Bank of Canada to process submissions for year end, we request that UB data and its associated payment be received by the Bank of Canada no later than the December 11, 2020.
The submission of information on unclaimed balances does not relieve the originating financial institution of the current statutory requirements for the maintenance of internal records before and after the transfer of funds to the Bank of Canada.
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The Financial Institution Reporting Portal Unclaimed Balances data reports, in the form of an XML file, must be submitted via the Unclaimed Balances Reporting Portal website, located at https://fiubmswww.bank-banque-canada.ca.
**Note: The Financial Institution (FI) Reporting Portal will be accessible from November 9 to December 11, 2020**
Please see Appendix 1 for the XML file specification.
Registering as a reporting portal user You must be a registered user of the reporting portal before you can use it to submit UB files to the Bank.
There are two paths to registering:
1. You have received an email from the Bank of Canada inviting you to register as a Primary User on behalf of your organization; or
2. You have received an invitation to register from your organization’s Primary User.
As part of the registration process, you will be required to provide the following information:
• Name of Bank/Institution submitting the balances (i.e. your Organization)
• Your name, title and contact details
Once registered, you can sign in each year using the same credentials. You must keep your personal profile on the portal up to date.
For additional information on the registration and user management process, please refer to the Frequently Asked Questions section of this document.
Submitting unclaimed balances reports When you have successfully logged in, the portal displays a list of the reports that your organization has loaded and/or submitted for the current and previous year, starting with the 2018 submission. If there are one or more reports in the list that have not been submitted, you may take any follow-on steps required from this screen, i.e., completing the submission process or deleting a report.
If no reports have been submitted, you may begin the submission process by selecting either Create new report from the main screen or by selecting Reports and then Create report.
https://fiubmswww.bank-banque-canada.ca/https://fiubmswww.bank-banque-canada.ca/
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After making your selection, select Browse, and then locate and choose the UB file you will be submitting to the Bank. Once you’ve chosen it, select Upload. The portal then performs some basic validation checks on the XML file. If errors are detected, the file will be rejected, and a list of errors and their corresponding line numbers will be provided in a separate, downloadable text file. Refer to the Detailed Data Specifications within this guide for a description of the errors that may be encountered.
Once any errors have been corrected, repeat the steps to browse, upload and submit the revised .xml file.
If no errors are detected, proceed with report submission by reviewing and confirming that the following information is correct on the displayed screen:
1. Financial Institution Name 2. Institution Number 3. Reporting Year 4. Total Reported.
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Upon selecting , then , select the method of payment; Large Value Transfer System (LVTS) or Electronic Fund Transfer (EFT). Detailed payment instructions are then displayed based on the payment method selected. Payment instructions are also contained within this guide.
Managing your reports Reports pass through three stages of submission:
1. Not submitted – the report has been uploaded error free but has yet to be submitted. 2. Submitted – the report has been submitted, but the method of payment has not been
selected so the process has yet to be complete. 3. Report complete – the method of payment has been selected and the user has selected
to the report.
Once a report has been submitted, it can no longer be deleted. It is important to carefully review the report summary information displayed prior to completing the submit step in the process.
The reporting portal provides a three-year viewing history of the reports that have been submitted by your organization, starting with the 2018 submission.
If the Bank of Canada receives a report that does not exactly match the LVTS or EFT payment amount, the person who submitted the report will be contacted to resolve the imbalance.
Managing your users The reporting portal allows an organization to self-manage its list of authorized users. This is accomplished through privileges available to your organization’s Primary User. The Primary User is, unless changed, the first user to have registered for an Organization. It is the responsibility of the Primary User to maintain the list of users for their respective organzation.
A Primary User may:
• Invite others to become Secondary Users.
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• View the list of Secondary Users.
• Change a Secondary User to a Primary User.
o Note: this reverts the initiating Primary User to a Secondary User. Only one Primary User is permitted for each organization.
• Delete a Secondary User.
Both Primary and Secondary Users can submit files.
If you are a Primary User, it is important that you regularly review the list of users in your organization that have access to the reporting portal.
User Permissions Primary User Secondary User
View list of users for an Organization Allowed Not Allowed
Invite other users to create an account for an Organization
Allowed Not Allowed
Promote a Secondary User to be the Primary User Allowed Not Allowed
Delete a Secondary User Allowed Not Allowed
Submit FI Holder Report files Allowed Allowed
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Payment Instructions Following the reporting portal data submission, funds are to be provided via Large Value Transfer System (LVTS) payment or by Electronic Fund Transfer (EFT) no later than the December 11, 2020.
Funds forwarded via LVTS payment: Financial Institutions are to instruct their payment operations to provide an LVTS payment to the Bank of Canada, ensuring the following fields are completed as indicated below:
BIC: BCANCAW2
Beneficiary / Payee: 177-15
BANK OF CANADA
234 WELLINGTON STREET
OTTAWA, ON
Bank to Bank Information: (Field 72) /BNF/TRANSFER OF
UNCLAIMED BALANCES FOR [insert current year]
Funds forwarded via Electronic Fund Transfer (EFT):
Please send an email to Unclaimed Balances with payment details including expected payment date, amount of payment and number of records.
Note: Financial Institutions are to notify the Unclaimed Properties Office at the Bank of Canada by sending an email to Unclaimed Balances 1 day prior to transfer of funds and are to forward
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payment as early as possible the following day. All LVTS transfers after 3 p.m. (ET) will not be accepted.
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List of Unclaimed Balance Data Elements The table below lists the data elements to be transferred with each balance. For further details, refer to the Detailed Data Specifications section.
Field Name XML Object Name Mandatory Max Length
Account Holder Name / Instrument Purchaser
Yes 50
Additional Account Holder Name No 50
Payee Name Conditional 30
Joint Account Relationship Code Conditional 2
Account / Deposit or Instrument Number
Yes 17
Balance Type Yes 2
Date of Last Transaction Yes 8
Balance Amount Yes 10
Street Address 1 No 40
Street Address 2 No 40
City No 30
Province No 2
Postal Code No 10
Country Code No 2
Institution Number Yes 5
Transit/Branch Number Yes 5
Branch Address1 Yes 40
Branch Address2 No 40
Branch City Yes 30
Branch Province Yes 2
Branch Postal Code Yes 7
Internal Institution Cross-Reference Data
No 15
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Detailed Data Specifications The table below describes detailed information for each data element that is associated to an unclaimed balance record. No punctuation or special characters are to be used unless specifically stated. Within the Details section for each element, sentences that are {bordered by curly brackets and bolded} are validation checks that will be enforced through the unclaimed balances reporting portal.
Field Name Mandatory Max Length Contents Object Name
Account Holder Name / Instrument
Purchaser
Yes 50 Alphanumeric
Details: • {Mandatory, with a maximum length of 50 characters}. • The actual name of the holder of the account or the original instrument purchaser. • For individuals, surname must appear first, followed by given names or initials (with punctuation)
separated by a comma.
• Words such as “Estate of” or “In trust” should be enclosed in brackets and follow the given name or initials.
• For a business account, the full name should be given. • Where no recorded account name is known by the financial institution report “Unknown”.
Field Name Mandatory Max Length Contents Object Name
Additional Account Holder
Name
No 50 Alphanumeric
Details: • {The maximum length is 50 characters}. • The actual name of any additional holders of the account or the original instrument purchasers. • Syntax is identical to . • May appear an unlimited number of times.
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Field Name Mandatory Max Length Contents Object Name
Payee Name Conditional 30 Alphanumeric
Details: • {The maximum length is 30 characters}. • {Mandatory for instruments (BalanceType 1, 3, 5, 7, or 9). For all other balance types, field
must be NULL}.
• Surname must appear first for individuals, followed by given names or initials, or company name just as given.
• If payee name is unknown, report “Unknown” or “Inconnu”.
Field Name Mandatory Max Length Contents Object Name
Joint Account Relationship Code
Conditional 2 Restricted
Details: • {Mandatory if Balance Type is 2 or 6 and field is populated.
Otherwise, must be NULL}.
• {Value must be one of AN (“AND”), OR (“OR”) or JS (“AND” with Right of Survivorship)}. • AN (AND) - If an unclaimed balance is held by two or more names joined by “AN,” then
entitlement to the balance will be split equally between the living holders and the estates of any deceased balance holders, if applicable.
• OR - If an unclaimed balance is held by two or more names joined by “OR” then it may be claimed in its entirety by any of the balance holders or by the estates of any deceased balance holders, if applicable.
• JS - If an unclaimed balance is held by two or more names joined by “JS” and one or more of the account holders is deceased, then entitlement to the balance will be split equally between the surviving account holders.
Field Name Mandatory Max Length Contents Object Name
Account / Deposit or Instrument Number
Yes 17 Alphanumeric
Details: • {Mandatory, and the maximum length is 17 characters}. • Value is the Account number or Instrument number.
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Field Name Mandatory Max Length Contents Object Name
Balance Type Yes 2 Restricted
Details: • Value is a code indicating the account classification. • {Mandatory, and the field must contain one of the following values (numeric code only, not
descriptive text):}
1: Draft 5: Money Order 10: GIC (Guaranteed Investment Certificate)
2: Current / Chequing Account 6: Savings Account 11: Term Deposit
3: Certified Cheque 7: Traveler’s Cheques 12: Credit Card Balances
4: Deposit Receipt 9: Official Cheque
Field Name Mandatory Max Length Contents Object Name
Date of Last Transaction
Yes 8 Numeric
Details: • The date of the last transaction, or date of purchase of money order, date of maturity, etc. • {Mandatory, and the date must be at least 10 years prior to the date of file submission}. • {This data element must contain a valid date, and its format must be YYYYMMDD where}: ◦ YYYY - Year ◦ MM - month within year ◦ DD - day within month
Field Name Mandatory Max Length Contents Object Name
Balance Amount Yes 10 Numeric
Details: • The amount of the balance transferred to the Bank of Canada. • {Mandatory, this data element contains two decimal places, but no decimal indicator such as a
period or comma i.e. 100023 = $1000.23}.
• {The maximum length is 10 digits}. • Note that this field replaces both of the Interest-bearing Amount and non-Interest-bearing Amount
values that were previously collected.
Field Name Mandatory Max Length Contents Object Name
Street Address 1 No 40 Alphanumeric
Details: • The last recorded street address of the holder of the account. • {The maximum length is 40 characters}.
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Field Name Mandatory Max Length Contents Object Name
Street Address 2 No 40 Alphanumeric
Details: • Any Post Office Box associated with the holder of the account. • {The maximum length is 40 characters}.
Field Name Mandatory Max Length Contents Object Name
City No 30 Alphanumeric
Details: • The city associated with the primary street address of the holder of the account. • {The maximum length is 30 characters}.
Field Name Mandatory Max Length Contents Object Name
Province No 2 Restricted
Details: • The province of the primary address of the holder of the account. • {If Country Code = CA, value must be a valid provincial and territory abbreviation as shown
below. Otherwise, any 2-digit province/state/territory code is allowed.}:
AB: Alberta NL: Newfoundland and Labrador NT: Northwest Territories
QC: Quebec BC: British Columbia NS: Nova Scotia
ON: Ontario SK: Saskatchewan MB: Manitoba
NU: Nunavut PE: Prince Edward Island YT: Yukon Territory
NB: New Brunswick
Field Name Mandatory Max Length Contents Object Name
Postal Code No 10 Alphanumeric
Details: • The postal code associated with the primary street address of the holder of the account. • {The maximum length is 10 characters}.
Field Name Mandatory Max Length Contents Object Name
Country Code No 2 Alphanumeric
Details: • The two-letter SAP abbreviation of the country associated with the primary street address of the
holder of the account.
• See Appendix 2 for the list of country codes.
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Field Name Mandatory Max Length Contents Object Name
Institution Number
Yes 5 Alphanumeric
Details: • The institution number of the originating financial institution. • {Mandatory, must be a valid Institution Number, registered with the Bank of Canada}.
Field Name Mandatory Max Length Contents Object Name
Transit/Branch Number
Yes 5 Alphanumeric
Details: • The transit number of the branch or office of the originating financial institution. • {Mandatory, with a maximum length of 5 characters}.
Field Name Mandatory Max Length Contents Object Name
Branch Address1 Yes 40 Alphanumeric
Details: • The street address of the branch. • {Mandatory, with a maximum length of 40 characters}. • If this data element is generated from the Financial Institutions File, the Domicile should be used if
available, the Civic Address if the Domicile is not available, or the Postal Address if neither is available.
Field Name Mandatory Max Length Contents Object Name
Branch Address2 No 40 Alphanumeric
Details: • The post office box or alternate/additional address of the branch. • {The maximum length is 40 characters}.
Field Name Mandatory Max Length Contents Object Name
Branch City Yes 30 Alphanumeric
Details: • The city in which the branch/transit is located. • {Mandatory, with a maximum length of 30 characters}.
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Field Name Mandatory Max Length Contents Object Name
Branch Province Yes 2 Restricted
Details: • A code indicating the province in which the branch/office is located. • {Value must be a valid provincial and territory abbreviation as shown below}:
AB: Alberta NL: Newfoundland and Labrador NT: Northwest Territories
QC: Quebec BC: British Columbia NS: Nova Scotia
ON: Ontario SK: Saskatchewan MB: Manitoba
NU: Nunavut PE: Prince Edward Island YT: Yukon Territory
NB: New Brunswick
Field Name Mandatory Max Length Contents Object Name
Branch Postal Code Yes 7 Alphanumeric
Details: • The postal code for the branch/transit address. • (Mandatory and must follow the format “A1A 1A1”}.
Field Name Mandatory Max Length Contents Object Name
Internal Institution Cross-Reference Data
No 15 Alphanumeric
Details: • A unique code assigned by the Originating Institution to identify the record in its files (i.e. trace
number).
• {The maximum length is 15 characters}.
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Frequently Asked Questions (FAQs)
Reporting Portal Account Management
What is a Primary User?
The reporting portal allows an organization to self-manage its list of authorized users. This is accomplished through privileges available to your organization’s Primary User. A Primary User may:
• Invite others to become Secondary Users;
• View the list of Secondary Users;
• Change a Secondary User to a Primary User. Note: this reverts the initiating Primary User to a Secondary User. Only one Primary User is permitted for each organization.
• Delete a Secondary User.
Both Primary and Secondary Users are authorized to submit reports.
If you are a Primary User, it is important that you regularly review the list of users in your organization that have access to the reporting portal.
Please note one additional consideration. Users are associated to an organization, and to each other, based on the original Primary User account that was registered. For example, if the first Primary User (User X) registered herself as associated to Institution A, and then invited two other users to register, those users are logically associated to Institution A via their relationship with User X.
How do I add other users?
If you are the Primary User, select the Your Users option from the top section of the page. The drop-down menu allows you to add new users to your organization.
To invite a new user, select Add new users to your account. Enter the user’s work email address and name. The new user will receive an email with a link requesting they register. The user must complete the registration process to have an account created and linked to the Primary User’s reporting account.
Why would I add other users?
You are not required to add additional users. The option is provided where a financial institution (a.k.a. holder) has more than one individual who is responsible for submitting reports and payments, or when one or more back-up individuals need to be available.
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How do I change someone else to be the Primary User?
Select Your Users option at the top of the page and select View your users. This will provide a list of all users attached to your reporting account. Locate the user that will be the new primary and click on the “Promote user to primary” button. This will change your account and move the primary access to the other user. Alternatively, if the user is not in the list, proceed to invite the user to register and, once that is completed, promote them to Primary.
How can I reset my password?
If you don’t remember your password, select the Forget your password? option at the bottom of the Log In screen. You will be prompted for your email address and the website will email you a link to reset your password.
How do I update my account information?
To update your account information, click on My Profile at the top right of the page. Edit any of the fields that need to be updated and save the changes. You can also change your password on this page by selecting the Change password button.
Submitting Reports
How can I delete a report that I uploaded in error?
A report can be deleted only if it has not been submitted. If the report has already been submitted, contact the Unclaimed Balances team to request the removal of the report from the system.
If the report is in Not Submitted status, click on the Delete button in the status column.
Can I submit reports for more than one organization?
You can only have one account per email address; however, the user account can submit multiple files for one or more organizations. The submitted file will determine the association to a specific organization by the Institution Number indicated in the file; therefore, it is important to make sure that each file contains balances for one institution only.
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Unclaimed Properties Office - Contact Us Telephone 1 800 303-1282
Email (for financial institutions and trust companies only) [email protected]
Website www.bankofcanada.ca
Unclaimed Balances Webpage – General https://www.bankofcanada.ca/unclaimed-balances
mailto:[email protected]://www.bankofcanada.ca/
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Appendix 1: XML Schema Definition FI Annual Submission File Bank of Canada. All rights reserved.
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Appendix 2: SAP Country Codes
Code English Name AD Andorra
AE United Arab Emirates
AF Afghanistan
AG Antigua and Barbuda
AI Anguilla
AL Albania
AM Armenia
AN Dutch Antilles
AO AQ
Angola Antarctica
AR Argentina
AS American Samoa
AT Austria
AU Australia
AW Aruba
AZ Azerbaijan
BA Bosnia and Herzegovina
BB Barbados
BD Bangladesh
BE Belgium
BF Burkina Faso
BG Bulgaria
BH Bahrain
BI Burundi
BJ Benin
BM Bermuda
BN Brunei Darussalam
BO BQ
Bolivia Bonaire, Saba
BR Brazil
BS Bahamas
BT Bhutan
BV Bouvet Islands
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Code English Name
BW Botswana
BY Belarus
BZ Belize
CA Canada
CC Coconut Islands
CD Democratic Republic of the Congo
CF Central African Republic
CG Republic of the Congo
CH Switzerland
CI Ivory Coast
CK Cook Islands
CL Chile
CM Cameroon
CN China
CO Colombia
CR Costa Rica
CU Cuba
CV CW
Cape Verde Curacao
CX Christmas Island
CY Cyprus
CZ Czech Republic
DE Germany
DJ Djibouti
DK Denmark
DM Dominica
DO Dominican Republic
DZ Algeria
EC Ecuador
EE Estonia
EG Egypt
EH Western Sahara
ER Eritrea
ES Spain
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Code English Name
ET Ethiopia
FI Finland
FJ Fiji
FK Falkland Islands
FM Micronesia
FO Faroe Islands
FR France
GA Gabon
GB United Kingdom
GD Grenada
GE Georgia
GF French Guyana
GH Ghana
GI Gibraltar
GL Greenland
GM Gambia
GN Guinea
GP Guadeloupe
GQ Equatorial Guinea
GR Greece
GS South Georgia and the Southern Sandwich Islands
GT Guatemala
GU Guam
GW Guinea-Bissau
GY Guyana
HK Hong Kong
HM Heard and McDonald Islands
HN Honduras
HR Croatia
HT Haiti
HU Hungary
ID Indonesia
IE Ireland
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Code English Name
IL Israel
IN India
IO British Indian Ocean Territory
IQ Iraq
IR Iran
IS Iceland
IT Italy
JM Jamaica
JO Jordan
JP Japan
KE Kenya
KG Kyrgyzstan
KH Cambodia
KI Kiribati
KM Comoros
KN St. Kitts and Nevis
KP North Korea
KR South Korea
KW Kuwait
KY Cayman Islands
KZ Kazakhstan
LA Laos
LB Lebanon
LC St. Lucia
LI Liechtenstein
LK Sri Lanka
LR Liberia
LS Lesotho
LT Lithuania
LU Luxembourg
LV Latvia
LY Libya
MA Morocco
MC Monaco
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Code English Name
MD Moldavia
ME MF
Montenegro Saint Martin
MG Madagascar
MH Marshall Islands
MK Macedonia
ML Mali
MM Myanmar
MN Mongolia
MO Macau
MP North Mariana Islands
MQ Martinique
MR Mauritania
MS Montserrat
MT Malta
MU Mauritius
MV Maldives
MW Malawi
MX Mexico
MY Malaysia
MZ Mozambique
NA Namibia
NC New Caledonia
NE Niger
NF Norfolk Islands
NG Nigeria
NI Nicaragua
NL Netherlands
NO Norway
NP Nepal
NR Nauru
NU Niue Islands
NZ New Zealand
OM Oman
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Code English Name
PA Panama
PE Peru
PF French Polynesia
PG Papua New Guinea
PH Philippines
PK Pakistan
PL Poland
PM St. Pierre and Miquelon
PN Pitcairn Islands
PR Puerto Rico
PT Portugal
PW Palau
PY Paraguay
QA Qatar
RE Reunion
RO Romania
RS Republic of Serbia
RU Russian Federation
RW Rwanda
SA Saudi Arabia
SB Solomon Islands
SC Seychelles
SD Sudan
SE Sweden
SG Singapore
SH St. Helena
SI Slovenia
SJ Svalbard
SK Slovakia
SL Sierra Leone
SM San Marino
SN Senegal
SO Somalia
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Code English Name
SR SS
Suriname South Sudan
ST STL
Sao Tome and Principe stateless
SV SX SY
El Salvador Sint Maarten Syria
SZ Swaziland
TC Turks and Caicos Islands
TD Chad
TF French Southern Territories
TG Togo
TH Thailand
TJ Tajikistan
TK Tokelau Islands
TM Turkmenistan
TN Tunisia
TO TP
Tonga East Timor
TR Turkey
TT Trinidad and Tobago
TV Tuvalu
TW Taiwan
TZ Tanzania
UA Ukraine
UG Uganda
UM American Minor Outlying Islands
US USA
UY Uruguay
UZ Uzbekistan
VA Vatican City
VC St. Vincent and the Grenadines
VE Venezuela
VG British Virgin Islands
VI American Virgin Islands
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Code English Name
VN Vietnam
VU Vanuatu
WF Wallis and Futuna Islands
WS XK XS
Western Samoa Kosovo Serbia
YE Yemen
YT YU
Mayotte Yugoslavia
ZA South Africa
ZM ZR
Zambia Zaire
ZW Zimbabwe
Table of ContentsOverviewThe Financial Institution Reporting PortalRegistering as a reporting portal userSubmitting unclaimed balances reportsManaging your reportsManaging your users
Payment InstructionsFunds forwarded via LVTS payment:Funds forwarded via Electronic Fund Transfer (EFT):Please send an email to Unclaimed Balances with payment details including expected payment date, amount of payment and number of records.
List of Unclaimed Balance Data ElementsDetailed Data SpecificationsFrequently Asked Questions (FAQs)Reporting Portal Account ManagementWhat is a Primary User?How do I add other users?Why would I add other users?How do I change someone else to be the Primary User?How can I reset my password?How do I update my account information?
Submitting ReportsHow can I delete a report that I uploaded in error?Can I submit reports for more than one organization?
Unclaimed Properties Office - Contact UsAppendix 1: XML Schema DefinitionAppendix 2: SAP Country Codes