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Final Rule: Investment Company Reporting Modernization
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200, 210, 232, 239, 240, 249, 270, 274 [Release Nos. 33-10231; 34-79095; IC-32314; File No. S7-08-15] RIN 3235-AL42 INVESTMENT COMPANY REPORTING MODERNIZATION AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies. The Commission is adopting new Form N-PORT, which will require certain registered investment companies to report information about their monthly portfolio holdings to the Commission in a structured data format. In addition, the Commission is adopting amendments to Regulation S-X, which will require standardized, enhanced disclosure about derivatives in investment company financial statements, as well as other amendments. The Commission is adopting new Form N-CEN, which will require registered investment companies, other than face-amount certificate companies, to annually report certain census-type information to the Commission in a structured data format. The Commission is adopting amendments to Forms N-1A, N-3, and N-CSR to require certain disclosures regarding securities lending activities. Finally, the Commission is rescinding current Forms N-Q and N-SAR and amending certain other rules and forms. Collectively, these amendments will, among other things, improve the information that the Commission receives from investment companies and assist the Commission, in its role as primary regulator of investment companies, to better fulfill its mission of protecting investors, maintaining fair, orderly and efficient markets, and facilitating capital formation. -
FIRDS Reference Data Reporting Instructions
Reporting Instructions FIRDS Reference Data System 17 September 2020 | ESMA 65-11-1193 Date: 17 September 2020 ESMA 65-11-1193 Document control: Version Date Author Comments 1.0 26/10/2016 ESMA Version 1 for publication 1.1 12/06/2017 ESMA Version 1.1 for publication 2.0 31/10/2018 ESMA Changes applicable to the major maintenance release planned Q1 2019 – XML Schema 1.1.0 Corrections and clarifications 2.1 02/09/2019 ESMA Removal of SI’s and APA’s requirement to report Non-Working days New CFI based validations 02082019 2.2 25/08/2020 ESMA Cancellation of records New CFI based validations 02/03/2020 2.3 17/09/2020 ESMA Cancellation of records - Updated Reference documents: Ref Title Version Author Date 1 MiFIR - REGULATION (EU) No 600/2014 European 15 May 2014 600/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of AND OF THE COUNCIL of 15 Europe May 2014 (Article 27) 2 MAR - REGULATION (EU) No 596/2014 European 16 April 2014 596/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of Europe AND OF THE COUNCIL of 16 April 2014 (Article 4) 3 MiFIR RTS – REGULATION 600/2014 European 14 July 2016 (EU) No 600/2014 OF THE Parliament EUROPEAN PARLIAMENT Council of Europe AND OF THE COUNCIL of 14 July 2016 ESMA • CS 60747 – 201 - 203 rue de Bercy • 75012 • Paris France • Tel. +33 (0) 1 58 36 43 21 • www.esma.europa.eu 2 Date: 17 September 2020 ESMA 65-11-1193 4 MAR RTS – COMMISSION 909/2016 European 1 March 2016 DELEGATED REGULATION (EU) Parliament 2016/909 of 1 March 2016 Council of supplementing Regulation (EU) Europe No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the content of notifications to be submitted to competent authorities and the compilation, publication and maintenance of the list of notifications ESMA • CS 60747 – 201 - 203 rue de Bercy • 75012 • Paris France • Tel. -
18Th ABMF Agenda
28th ASEAN+3 Bond Market Forum (ABMF) Meeting And relevant meetings 18-21 June 2018 / Seinan Gakuin University, Fukuoka City, Japan DAY 3 – 20 June 2018 Venue: Multi-Purpose Hall, 1st Floor, Centennial Hall TIME PROGRAM ABMF Sub Forum 2 (SF2) Meeting 08:30 – 09:00 Registration 09:00 – 09:05 Opening Remarks by Mr. Seung-Kwon Lee, SF2 Chair Session 12: RegTech in US 09:05 – 09:40 by Mr. Hudson Hollister, Data Transparency Coalition (DTC) via Webex - Financial Transparency Act in US Session 13: Enhanced Supervisions and Surveillance with Technology by Mr. Lim Kok Eng, Analytics Department, Securities Commission Malaysia 09:40 – 10:20 - XBRL submission platform - Web crawling robots - Artificial Intelligence for sentiment and text mining capability 10:20 – 10:45 Coffee break Session 14: Panel Discussion: Global trends in data collection and standardization for more structured data - What are the drivers of the trends? What are benefits and costs of building structured data environment? - What needs to be standardized (ISO 20022, XBRL, LEI, ISIN, CFI, etc)? - How can we standardize? What is the role of international body? - What does Asia need to understand and prepare? 10:45 – 12:15 Panelist: Mr. Francois Laurent, European Central Bank, ISO TC68 Mr. Masayuki Tagai, JP Morgan, ISO 20022 RMG Vice Convener Mr. Yoshiaki Wada, NTT Data, Chair of XBRL Asia Round Table Mr. Beju Shah, Bank of England Ms. Meiko Morioka, SWIFT Moderator: ADB 12:15 – 12:25 Wrap-up by ADB Secretariat 12:25 – 12:30 Closing Remarks by Mr. Seung-Kwon Lee, SF2 Chair 12:30 – 13:30 Lunch Farewell Dinner, Café d' Erte, 3rd floor, Hotel Clio Court Hakata, 18:30 – 20:30 5-3 Hakataekichuogai , Hakataku, Hakata, 812-0012 Fukuoka RegTech in the United States Hudson Hollister, Executive Director, Data Coalition @hudsonhollister What is RegTech? “RegTech” refers to technological solutions that perform one of the following functions: ● Automate regulatory compliance or regulatory reporting tasks. -
DSB Questions and Answers
DSB Q&A Document December 2017 Contents General Information ............................................................................................................................... 3 1.1 DSB Governance ...................................................................................................................... 3 1.2 DSB Scope ............................................................................................................................... 3 1.3 DSB Documentation ................................................................................................................ 4 1.4 User Categories ....................................................................................................................... 4 1.5 Connectivity ............................................................................................................................ 5 1.6 How to access DSB data .......................................................................................................... 5 1.7 Third party Risk Management/Info Sec doc ........................................................................... 6 1.8 CFI Code .................................................................................................................................. 6 1.9 Issuer or Operator of the Trading Venue ................................................................................ 6 1.10 DSB ISIN Usage and associated reporting ............................................................................... 6 1.11 -
ISO Update Supplément À L'isofocus
ISO Update Supplément à l'ISOfocus Avril 2021 Les Normes internationales en chantier ISO/DTS Lubrifiants, huiles industrielles et produits con- 6521-2 nexes (Classe L) — Famille D (Compresseurs) Une Norme internationale résulte d’un accord entre les com- — Partie 2: Spécifications des catégories DAH, ités membres de l’ISO. Dans l’établissement d’une Norme interna- DAI et DAJ (Lubrifiants pour compresseurs tionale, le premier stade important est celui du projet de comité (CD) d’air rotatifs à injection d’huile) - qui est diffusé pour examen au sein d’un comité technique de l’ISO. TC 30 Mesure de débit des fluides dans les Lorsqu’un consensus a été obtenu au niveau du comité technique, le conduites fermées document est adressé au Secrétariat central pour traitement en tant que projet de Norme internationale (DIS). Le DIS doit être approuvé ISO/CD 24460 Titre manque par 75 % au moins des comités membres ayant exprimé un vote. Un TC 34 Produits alimentaires vote de confirmation est ensuite effectué sur le projet final de norme ISO/CD 7927-1 Titre manque — Partie 1: Titre manque internationale (FDIS). Les critères d'approbation restant les mêmes. ISO/CD 7927-2 Titre manque — Partie 2: Titre manque TC 35 Peintures et vernis ISO/CD 8130-4 Poudres pour revêtement — Partie 4: Calcul de la limite inférieure d'explosibilité ISO/CD Préparation des subjectiles d'acier avant ap- 11127-7 plication de peintures et de produits assimilés — Méthodes d'essai pour abrasifs non métal- liques destinés à la préparation par projec- CD enregistrés tion — Partie 7: Détermination des chlorures solubles dans l'eau TC 38 Textiles Période du 01 mars au 01 avril 2021 ISO/CD 24040 Textiles - Détermination de certains composés Ces documents sont actuellement à l’étude par le comité technique. -
WORK PROGRAMME of General Directorate of Standardization - ALBANIA (Period 1 July to 31 December 2018)
WORK PROGRAMME of General Directorate of Standardization - ALBANIA (Period 1 July to 31 December 2018) Technical Committee No. 1 “Quality assurance and social responsibility”, 11 standards No. Standard number English title 1. EN ISO 22300:2018 Security and resilience - Vocabulary (ISO 22300:2018) 2. CEN/TS 17159:2018 Societal and citizen security - Guidance for the security of hazardous materials (CBRNE) in healthcare facilities 3. EN ISO 9004:2018 Quality management - Quality of an organization - Guidance to achieve sustained success (ISO 9004:2018) 4. CWA 17145-2:2017 Ethics assessment for research and innovation - Part 2: Ethical impact assessment framework 5. CWA 17145-1:2017 Ethics assessment for research and innovation - Part 1: Ethics committee 6. EN ISO 41011:2018 Facility management - Vocabulary (ISO 41011:2017) 7. EN ISO 41001:2018 Facility management - Management systems - Requirements with guidance for use (ISO 41001:2018) 8. IWA 18:2016 Framework for integrated community-based life-long health and care services in aged societies 9. IWA 16:2015 International harmonized method(s) for a coherent quantification of CO2e emissions of freight transport 10. ISO/IEC Guide 17:2016 ISO/IEC Guide 17:2016Guide for writing standards taking into account the needs of micro, small and medium-sized enterprises 11. ISO 37500:2014 Guidance on outsourcing Technical Committee No. 3 “Electrical and electronical materials”, 59 standards No. Standard number English title 1. EN 50288-12-1:2017 Multi-element metallic cables used in analogue and digital communications and control - Part 12-1: Sectional specification for screened cables characterised from 1 MHz up to 2 000 MHz - 1 Horizontal and building backbone cables 2. -
ASX Market Data Protocol Specification V1.01 © Copyright 2016 ASX Limited ABN 98 008 624 691
New Trading Platform ASX Market Data Protocol Specification Version 1.01 | September 2016 INFORMATION CLASSIFICATION - CONFIDENTIAL Table of Contents 1. About This Document ................................................................................................................................ 5 Terms and Acronyms ....................................................................................................................... 5 Support Details ................................................................................................................................ 5 Version History ................................................................................................................................ 6 2. ASX Market Data Protocol Overview ......................................................................................................... 7 Sessions............................................................................................................................................ 8 Service Topology and Connection Recommendation ...................................................................... 8 3. Message Protocol .................................................................................................................................... 10 Packet Header ................................................................................................................................ 10 3.1.1. Data Message Header....................................................................................................... -
The Role of ANNA and ISO Standards in the International Capital Markets
ANNA numbers the world Association of National Numbering Agencies scrl The role of ANNA and ISO Standards in the International Capital Markets Dan Kuhnel – ANNA Chairman XII International AECSD Conference Almaty, Kazakhstan – September 10/11, 2015 ANNA numbers the world Name Agenda Who is ANNA? - Objectives - Mission Statement - ANNA Organisation and Membership - ANNA Service Bureau Overview - Benefits of ANNA Membership ANNA’s role in Cross-Border Standardisation - Overview of ISO Financial standards - Existing ISO Financial standards - ISO Financial Standards in preparation ANNA’s involvement in the Eurasian Capital Markets - How are we involved? - Benefits for members and the region ANNA numbers the world 2 Agenda What is ANNA? - Objectives - Mission Statement - ANNA Organisation and Membership - ANNA Service Bureau Overview - Benefits of ANNA Membership ANNA’s role in Cross-Border Standardisation - Overview of ISO Financial standards - Existing ISO Financial standards - ISO Financial Standards in preparation ANNA’s involvement in Asian Capital Markets - How are we involved? - Benefits for members and the region ANNA numbers the world 3 Objectives . Globally develop and promote standards under ANNA‘s control; . Commit to work for the benefit of the financial industry; . Codify, classify and make data accessible and available to industry participants; . Contribute to ISO Standards development process; . Ensure timeliness, accuracy and quality in the application of standards; . Fulfil our obligation as an ISO Registration Authority for the ISIN (ISO 6166) and CFI (ISO 10962) standards. ANNA numbers the world 4 Mission Statement We are committed to providing actionable global ID and reference data products and services to global market participants, including Regulators and the financial services industry to uniquely identify, classify and describe entities and financial instruments. -
New 3D Parameters and Filtration Techniques for Surface Metrology, François Blateyron, Quality Magazine White Paper
New 3D Parameters and Filtration Techniques for Surface Metrology François Blateyron, Director of R&D, Digital Surf, France For a long time surface metrology has been based upon contact measurement using 2D profilometers. Over the past twenty years the appearance of 3D profilometers and non-contact gauges has created a need for the standardization and formalization of the analysis of 3D surface texture. This paper presents the current status of the standardization process and includes a short description of the tools and parameters that will become available to users when work on the definition of the new standards, which is being carried out by working groups WG15 and WG16 of ISO technical committee TC213, has been completed. 1. Introduction meeting, and officially transferred to the TC213, in order to Since the first roughness meters appeared at the beginning start the standardization process. of the 1930s, the measurement of surface texture has always been based on 2D profilometry and contact gauges. 3. Towards a complete rework of all We had to wait until the beginning of the 1980s to see the surface texture standards appearance of instruments for measuring 3D surfaces, such In June 2002, the TC213 voted the creation of a new as white light interferometers and 3D profilometers working group [N499] and assigned it the task of [WHI94]. The first tools for analysing measurements developing future international standards for 3D surface generated by these instruments were developed by each texture. This group met for the first time in January 2003, in manufacturer, often extrapolating from existing tools for Cancun. -
ISO 10962:Redline:2019(E)
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 . -
Roughness Control and Surface Texturing in Lubrication 8H35 9H15 Keynote Speaker D
1 Web site www.metprops2019.org #Met&PropsLYON 2 Local Organising Committee CHAIR: Prof. Hassan Zahouani (University of Lyon, France - Halmstad University, Sweden) Prof. Cyril-Pailler Mattéi (University of Lyon, France) Prof. Haris procopiou (Université Paris I, Panthéon-Sorbonne, France) Prof Philippe Kapsa (CNRS, France) Dr. Roberto Vargiolu (Univesity of Lyon, France) Dr. Coralie Thieulin (University of Lyon, France) International Program Committee Prof. Liam Blunt (University of Huddersfield, UK) Prof. Christopher Brown (WPI Worcester Polytech Institute, USA) Prof. Thomas Kaiser (University of Hamburg, Germany) Prof. Mohamed El Mansori (Ecole Nationale Supérieure d'Arts et Métiers (ENSAM), France) Prof. Richard Leach (University of Nottingham, UK) Prof. Bengt-Göran, BG, Rosén (Halmstad University, Sweden) Dr. Ellen Schulz-Kornas, (Max Planck Weizmann Center for Integrative Archaeology and Anthropology, Germany) Prof. Tom R Thomas (Halmstad University, Sweden) Prof. Michael Wieczorowski (University of Poznan, Poland) Prof. Hassan Zahouani (University of Lyon - ENISE - Ecole Centrale de Lyon, France) International Scientific Committee A. Archenti, Royal Institute of Technology, Sweden K. Adachi, Tohoku University, Japan F. Blateyron, Digital Surf, France L. Blunt, University of Huddersfield, UK D. Butler, Nanyang Tech. Uni. NTU, Singapore C. Boulocher , Veagro-sup , France C. Brown, Worcester Polytechic Institute, USA M. El-Mansori, Ecole Nationale Superieure d'Arts et Metiers , France C. Evans, University of North Carolina - Charlotte, USA C. Giusca, National Physical Laboratory, UK S. Gröger, Chemnitz University of Technology, Germany W. Hongjun, Beijing Information Science & Technology University, China T. Kaiser University of Hamburg, Germany M. Kalin, University of Lubljana, Slovenia P. Kapsa, CNRS, France P. Krajnik, Chalmers University of Technology, Sweden R. -
Technical Specifications
Technical specifications Measuring head Max. number of measuring points in a single measurement x,y (µm2) 580x580 Image capture module Max. frame rate in (Hz) at full resolution 55 Camera type GigE Adjustment travel for motorized 50 z-axis (mm) Fine adjustment Vertical measuring range (µm) 250 Vertical measuring module (piezoelectric module) Repeat accuracy1 (nm) 10 High performance LED (nm) 505 Light source MTBF (h) 50,000 Typical measuring time (s) 2–8 (depending on the number of confocal sections) Basic configuration Dimensions W×H×D (mm3) 281 x 678 x 281 Measuring system Weight (kg) 15 φ-positioning module (axis of rotation) (degrees) 355 Positioning module y-positioning module (immersion depth) (mm) up to 165 z-positioning module (bore diameter) (mm) 68 - 150 To support the measuring system when not in Dimensions W×H×D (mm3) 600 × 384 × 324 Stand use. Allows modular expansion to liner and/or piston measuring station. Weight (kg) 62 Top deck adapter Adapter plate to position the measuring system on the top deck (includes centering aid) Rolling container 19“ Dimensions W×H×D (mm3) 600 × 600 × 615 Motor controller Positioning module controller Computer type Brand computer / industrial PC System controller Voltage (V) 100-240 Energy supply Frequency (Hz) 50-60 Max. power consumption (W) 700 Standard holder Module to hold the standards used for calibration and verification of the measuring system. Norms Flatness standard, lateral standard, roughness standard, depth standard Lenses 1600S 800XS 320S Lens magnification 10× 20× 50× Lateral measuring range x,y (µm) 110 0 550 220 Lateral measuring range x ∙ y (mm2) 1.21 0.3 0.0484 1) Measurement noise to VDI 2655-1.2 Numerical aperture NA 0.3 0.6 0.8 2) Measuring point distance Working distance (mm) 10.1 0.9 1 Resolution z1 with fine 20 <10 <2 L: long working distance adjustment (nm) S: normal working distance Lateral resolution2 (µm) 1.