ISO 10962:Redline:2019(E)
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e- W ac IE -2 V 21 E 51 R i) 49 P a c9 9 . t/ 01 D h is 2 R te /s 2- .i : ds 6 A s d r 09 D d ar a -1 N ar d nd o n ta is A d ta s 5/ T n s g/ a S a ll o b t u al c h (s F t 03 e ca c T i/ 39 INTERNATIONAL i .a d eh d5 it - s. 1 STANDARD d e5 ar -8 d a8 an 8 st 4 // s: tp ht Securities and related financial instruments — Classification of financial instruments (CFI) code 10962 Valeurs mobilières et autres instruments financiers concernés — compares Fourth edition to ISO Classification des instruments financiers (code CFI) Redline version Third edition ISO 10962:redline:2019(E) Reference number © ISO 2019 ISO 10962:redline:2019(E) IMPORTANT This marked-up version uses the following colour-coding in the marked-up text: Text example 1 — Text has been added (in green) Text example 2 — Text has been deleted (in red) — Graphic figure has been added 1.x ... — If there are changes in a clause/subclause, the corresponding clause/ — Graphic figure has been deleted subclause number is highlighted in yellow in the Table of contents DISCLAIMER This marked-up version highlights the main changes in this edition of the document compared with the previous edition. It does not focus on details (e.g. changese- in W ac punctuation). IE -2 V 21 E 51 R i) 49 P a c9 9 . t/ 01 D h is 2 R te /s 2- be used for implementation purposes. .i : ds 6 A s d r 09 This marked-up version does not constituteD thed officialar dISOa - 1document and is not intended to N ar d n o n ta is A d ta s 5/ T n s g/ a S a ll o b t u al c h (s F t 03 e ca c T i/ 39 i .a d eh d5 it - s. 1 d e5 ar -8 d a8 an 8 st 4 // s: tp ht COPYRIGHT PROTECTED DOCUMENT © ISO 2019 be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address belowCP 401or ISO’s • Ch. member de Blandonnet body in 8 the country of the requester. ISOCH-1214 copyright Vernier, office Geneva Phone: +41 22 749 01 11 Fax: +41 22 749 09 47 Email: [email protected] Website: www.iso.org Published in Switzerland ii © ISO 2019 – All rights reserved ISO 10962:redline:2019(E) Contents Page Foreword ........................................................................................................................................................................................................................................vi Introduction ..............................................................................................................................................................................................................................vii 1 Scope ................................................................................................................................................................................................................................. 1 2 Normative references ...................................................................................................................................................................................... 1 3 Terms and definitions ..................................................................................................................................................................................... 1 3 4 Conventions and principles ....................................................................................................................................................................... 1 4 5 CFI allocation ............................................................................................................................................................................................................ 3 4.15.1 General ........................................................................................................................................................................................................... 3 4.25.2 Existing CFIs and existing securities without a CFI ................................................................................................ 3 5 6 Codes and definitions ...................................................................................................................................................................................... 3 5.16.1 Categories .................................................................................................................................................................................................... 3 5.26.2 ......................................................................................................................................................................... 4 5.2.16.2.1 Description ....................................................................................................................................................................... 4 Equities5.2.26.2.2 - E-*-*-*-*-*- .................................................................................................. 5 5.2.36.2.3 ........................................................................................... 6 e- 5.2.4 6.2.4 Common/ordinary shares - E-S-*-*-*-*-W ac ................................................................... 8 IE -2 5.2.5 6.2.5 Preferred/preference sharesV - E-P-*-*-*-*-21 ............................................................. 9 E 51 5.2.6 6.2.6 Common/ordinary convertibleR ) shares 4-9 ............................................................................................... E-C-*-*-*-*- 10 i 9 9 5.2.7 6.2.7 Preferred/preference convertibleP .a shares/c 1 - E-F-*-*-*-*- ................................................................................11 h st 0 D e si -2 5.2.8 6.2.8 Limited partnershipR unitsit - E-L-*-*-*-*-s/ 2 ...............................................................12 A . : d 96 5.2.9 6.2.9 Depositary receipts ons equitiesd r- E-D-*-*-*-*-0 ...................................................................................................15 D d ar a -1 N ar d nd o 5.36.3 Collective investmentStructured instrumentsvehiclesCIVs (participation)n ta is ................................................................................................... - E-Y-*-*-*-*- 16 A d ta s 5/ T n s g/ a 5.3.1 6.3.1 OthersDescription (miscellaneous)S ....................................................................................................................................................................a ll - E-M-X-X-X-*-o b 16 t u al c 5.3.26.3.2 h (s F t - C-*-*-*-*-*-03 ..................................16 e ca c T i/ 39 5.3.3 6.3.3 i .a d ...............................................................................................................................18 eh d5 5.3.4 6.3.4 StandardReal estate (vanilla) investmentit investment- trusts (REIT) funds/mutualREITs funds - C-I-*-*-*-*- ....................................................20 s. 1 5.3.5 6.3.5 HedgeExchange funds traded - C-H-*-X-X-X-d fundse5 (ETF)ETFs .........................................................................20 ar -8 5.3.6 6.3.6 d a8 ............................................................................................................................. - C-B-*-*-X-*- 22 an 8 st 4 5.3.7 6.3.7 // ........................................................................................................................... - C-E-*-*-*-*- 22 s: 5.3.86.3.8 p .............................................................................................................23 Pensiontt funds - C-S-*-*-*-*- 5.3.9 6.3.9 Fundsh of funds - C-F-*-*-*-*- ...................................................................................................25 5.46.4 Private equity funds ..............................................................................................................................................- C-P-*-*-*-*- 25 5.4.1 6.4.1 OthersDescription (miscellaneous) .................................................................................................................................................................... - C-M-X-X-X-*- 25 Debt5.4.2 6.4.2instruments - D-*-*-*-*-*- ...............................................................................................................................................26 5.4.3 6.4.3 .................................................................................................................29 5.4.4 6.4.4 Bonds - D-B-*-*-*-*- .................................................................................31 5.4.5 6.4.5 Convertible bonds - D-C-*-*-*-*- ...............................................................................................................33 5.4.6 6.4.6 Bonds with warrants attached - D-W-*-*-*-*- ...........................................................................................34 5.4.7 6.4.7 Medium term notes - D-T-*-*-*-*- ..................................................36 5.4.8 6.4.8 Money market instruments - D-Y-*-*-X-*- ............................38 5.4.9 6.4.9 Structured instruments (capital protection) ......................................................................................... - D-S-*-*-*-*- 41 5.4.10 6.4.10 Structured instruments (without capital ............................................................................................. protection)