Issue Number/Issue Date

FpML Coordination Committee Issues List 2018-05-07

FpML 4.1 WD#2 - active Pri' Issue Date In Fix Description Status CC Resolution/Comments Owner/ # ty In Action 87 2004-04 Credit Event Notices In documentation Agreement by SC to use option #3 MG

86 2004-04-05 Terminations – Partial & Full Open EQD group is also interested in looking MWG at this topic. 85 2004-04-05 Novations Open MWG 74 2b 4.1 Pricing & Risk WG Documentation being BAL/MG wd2 converted to XML 30 2b 8-14-2003 4.0 4.1 Publish scheme data as xml files Marc to produce samples based on MG Christian’s format for upcoming WD 88 4.1 Update EQD model for 2003 defs In documentation AP #2 89 4.1 CD – support index default swaps Mostly complete Ben Lis #2 76 2c 2004-2-02 4.0 4.1 Scheme URIs should resolve This may not be complete Users should be able to download scheme Marc for WD #2. values 27 2c 8-11-2003 4.0 Validate HTML as XHTML Largely completed – To reduce browser compatibility errors. Marc maybe complete. FpML Coordination Committee Issues List 2018-05-07

FpML 4.1 WD#2 – inactive (tasks that are not currently being worked on) Pri' Issue Date In Fix Description Status CC Resolution/Comments Owner/ # ty In Action 84 2004-03-25 4.0 Allow swap streams of different types Open Requires new generic swap structure and AP/SL lcwd in the same swap examples. Need to decide scope (which streams are included). 43 2c 9-3-2003 4 4.1? Automatically sync intro diagrams Open They should be synchronized Marc ? with schema automatically if possible. 81 2004-02-27 Wd#2 MessageRejected needs an overall open TBD reason. 80 2004-02-15 Wd#2 Additional data in MessageRejected open TBD needs type 36 2b 8-19-2003 4.0 4.1 GEM TradeHeader proposals Defer to 4.1 Trade status scheme. MWG wd2 83 2004-03-24 4.0 Rename equity swap to something Open Combine with #84? AP/SL lcwd more generic 84 2004-03-24 4.0 Allow adjusted dates to be supplied for Open Investigation required to determine which BAL/MG lcwd adjustable dates places are appropriate. [AdjustableDate, AdjustableDate2, AdjustableDates]) GGurden comments that this raises questions about which dates should be required for which business processes => need for “views”. 13 2b 6-2-2003 4.0 4.1 Extend FpML to support event Defer MWG to consider for longer term. MWG to wd2 notification review

28 2b 8-11-2003 4.0 4.1 Put issues onto source cast Open – deferred due to the Marc high number of issues. 12 2b 5-28-03 4.0 4.1 Support for accounts in “party” Open Ask MWG to evaluate priority of MWG splits/allocations FpML Coordination Committee Issues List 2018-05-07

Post FpML 4.1

Prior Issue In Fix In Date Description Status CC Resolution/Comments Owner/ # ity Date resolve Action d 66 2c 2003- 2004 Publish a non-normative Not started AJ 11-03 version of the schemes as an enumeration to allow validation by schema 47 Long 9-10- 4.0 2004 Improve accessibility of the Improve the accessibility of the spec. term 2003 spec: Need “Primer” or “Usage Guide”

32 3 8-14- 4.0 5.0? Master agreement issues – Deferred Pending discussion strategy to Elaine 2003 WD non ISDA masters, proceed. This is probably not an nationality/asset class issue issue for FpML4, but is certainly for … “German = Equity FpML 5. Derivs” 73 2b wd2 Energy WG – NG swaps ?? EW/Marc FpML Coordination Committee Issues List 2018-05-07

Completed Items 2004- TR 4.0 Rec Open units …should be Erratum prepared; version Write up erratum; fix in next MG 71 01-02 optional updated; awaiting release. approval to release. 58 2a 10-27- 4.0 4.1 wd2 EQD In review by WG Yes … for a minor revision, targeted for spring Andrew P 2003 lcwd master confirmatio n short form trade 76 2a 2004- 4.1 4.1 wd2 EQD Resolved? AP 02-18 organizatio n not backward compatible 70 2004- TR 4.0 Rec Dependencies in messaging Erratum prepared; version Reorganize schema files to MG 01-02 (issue page #49) updated; awaiting eliminate dependencies. Notify approval to release. key stakeholders. Update doc scripts and documentation. 77 2004- TR 4.0 Rec Calculation Agent tag in Erratum prepared; version [This appears to be an error] MG 02-18 Mandatory Early updated; awaiting Termination element is approval to release. missing – fix schema and example ird#16 FpML Coordination Committee Issues List 2018-05-07

78 2004- TR 4.0 Rec Corrections to IR cap Erratum prepared; version MG 02-18 examples updated; awaiting approval to release. 72 2a 2003- TR 4.1 wd 2004-02- Change to documentation CC Comments rejected by Suggestion to change Ben Lis 12-15 #1 25 element for broker WG. Ben to incorporate “brokerConfirmation” to confirmations once 4.1 version is set up. “brokerConfirmation- Conventions” FpML Coordination Committee Issues List 2018-05-07

79 2a 2003- TR 4.1#1 2004- Reflect corrections in 4.0 Open Units, Calculation Marc 12-15 02025 Rec to 4.1 Agent, IR cap examples. 75 2a 2004- 4.1#1 2004- CDS on indexes In progress For tracking Ben 02-02 02025 60 2a 10- 4.0/4. 4.1 CVS organization – should Complete Each minor version will be in Marc/ Brian 30- 1 next version be in a separate its own CVS repository. 2003 project? 69 2004- TR 2004-01- Extra copies of schema files Complete Have examples reference the BAL 01-02 17 in the distribution (issue parent directory; put in a page #50) README directory. 52 1a 10-2- 4.0 4.0 TR 2003-11- MWG trade header proposal Complete Added brokerPartyRef and AJ 2003 24 partyTradeInformation. Need to update intro section to correspond to schema. 68 1b 2003- 4.0 ? 2003-12- Messaging documentation Complete 11-17 LCW 10 needs improvement. D 56 2a 10- 4.0 4.0 TR DTCC complaint about Complete AJ to write 22- LCW mandatory message ID response 2003 D scheme attribute 50 2a 9-15- 4.0 Archite AWG 2.0 paper – first draft Complete Among other things, this will Andrew J 2003 cture v document how to extend 2.0 schema to replace enums with schemes or to extend enums.

Priorities  1a) by TR, high  1b) by TR, med,  1c) by TR, low  2a) by 4.1 WD, high  2b) by 4.1 WD, med  2c) by 4.1 WD, low  3) in 5.0