Appendix 6-G
Use of <Parties> Component Block: PartyRole, PartyIDSource, PartyID, and PartySubID
The
The matrix below identifies the various PartyRole values and the anticipated PartyIDSource values which may be associated with each PartyRole. It is important to note that other combinations may exist. In addition, see "Volume 7 — Products" for any documented product-specific anticipated PartyRole mapping and guidance.
| PartyRole value | Common Identification and Considerations Reference | |
|---|---|---|
| 1 | Executing Firm | See "Common PartyRole Identification for Firms" |
| 2 | Broker of Credit | See "Common PartyRole Identification for Brokers" |
| 3 | Client ID | See "Common PartyRole Identification for Firms" |
| 4 | Clearing Firm | See "Common PartyRole Identification for Firms" |
| 5 | Investor ID | See "Common PartyRole Identification for Investor ID" |
| 6 | Introducing Firm | See "Common PartyRole Identification for Firms" |
| 7 | Entering Firm | See "Common PartyRole Identification for Firms" |
| 8 | Locate/Lending Firm (for short-sales) | See "Common PartyRole Identification for Firms" |
| 9 | Fund manager Client ID (for CIV) | See "Common PartyRole Identification for Firms" |
| 10 | Settlement Location | See "Common PartyRole Identification for (Settlement) Locations" |
| 11 | Order Origination Trader (associated with Order Origination Firm – e.g. trader who initiates/submits the order) | See "Common PartyRole Identification for Traders" |
| 12 | Executing Trader (associated with Executing Firm – actually executes) | See "Common PartyRole Identification for Traders" |
| 13 | Order Origination Firm (e.g. buyside firm) | See "Common PartyRole Identification for Firms" |
| 14 | Giveup Clearing Firm (firm to which trade is given up) | See "Common PartyRole Identification for Firms" |
| 15 | Correspondent Clearing Firm | See "Common PartyRole Identification for Firms" |
| 16 | Executing System | See "Common PartyRole Identification for Execution Systems" |
| 17 | Contra Firm | See "Common PartyRole Identification for Firms" |
| 18 | Contra Clearing Firm | See "Common PartyRole Identification for Firms" |
| 19 | Sponsoring Firm | See "Common PartyRole Identification for Firms" |
| 20 | Underlying Contra Firm | See "Common PartyRole Identification for Firms" |
| 21 | Clearing Organization | See "Common PartyRole Identification for Firms" |
| 22 | Exchange | See "Common PartyRole Identification for Execution Systems" |
| 24 | Customer Account | See "Common PartyRole Identification for Accounts" |
| 25 | Correspondent Clearing Organization | See "Common PartyRole Identification for Firms" |
| 26 | Correspondent Broker | See "Common PartyRole Identification for Firms" |
| 27 | Buyer/Seller (Receiver/Deliverer) | See "Common PartyRole Identification for Buyer/Seller, Custodian, Intermediary, Agent or Beneficiary" Value intended to be used in SettlParties component block (note these values correspond to ISO15022 settlement party categories) |
| 28 | Custodian | See "Common PartyRole Identification for Buyer/Seller, Custodian, Intermediary, Agent or Beneficiary" Value intended to be used in SettlParties component block (note these values correspond to ISO15022 settlement party categories) |
| 29 | Intermediary | See "Common PartyRole Identification for Buyer/Seller, Custodian, Intermediary, Agent or Beneficiary" Value intended to be used in SettlParties component block (note these values correspond to ISO15022 settlement party categories) Note it is possible to have multiple parties with this role in a SettlParties component block (intermediary 1, intermediary 2 etc.) in which case the PartySubID is used to distinguish between them |
| 30 | Agent | See "Common PartyRole Identification for Buyer/Seller, Custodian, Intermediary, Agent or Beneficiary" Value intended to be used in SettlParties component block (note these values correspond to ISO15022 settlement party categories) |
| 31 | Sub custodian | See "Common PartyRole Identification for Buyer/Seller, Custodian, Intermediary, Agent or Beneficiary" Value intended to be used in SettlParties component block (note these values correspond to ISO15022 settlement party categories) |
| 32 | Beneficiary | See "Common PartyRole Identification for Buyer/Seller, Custodian, Intermediary, Agent or Beneficiary" Value intended to be used in SettlParties component block (note these values correspond to ISO15022 settlement party categories) |
| 33 | Interested party | See "Common PartyRole Identification for Firms" |
| 34 | Regulatory body | See "Common PartyRole Identification for Firms" |
| 35 | Liquidity provider | See "Common PartyRole Identification for Firms" |
| 36 | Entering trader | See "Common PartyRole Identification for Traders" |
| 37 | Contra trader | See "Common PartyRole Identification for Traders" |
| 38 | Position account | See "Common PartyRole Identification for Accounts" |
| 39 | Contra Investor ID | See "Common PartyRole Identification for Investor ID" |
| 40 | Transfer to Firm | |
| 41 | Contra Position Account | See "Common PartyRole Identification for Accounts" |
| 42 | Contra Exchange | See "Common PartyRole Identification for Execution Systems" |
| 43 | Internal Carry Account | See "Common PartyRole Identification for Accounts" |
| 44 | Order Entry Operator ID | See "Common PartyRole Identification for Traders" |
| 45 | Secondary account number | See "Common PartyRole Identification for Accounts" |
| 46 | Foreign firm | See "Common PartyRole Identification for Firms" |
| 47 | Third party allocation firm | See "Common PartyRole Identification for Firms" |
| 48 | Claiming account | See "Common PartyRole Identification for Accounts" |
| 49 | Asset Manager | See "Common PartyRole Identification for Firms" |
| 50 | Pledgor account | See "Common PartyRole Identification for Accounts" |
| 51 | Pledgee account | See "Common PartyRole Identification for Accounts" |
| 52 | Large trader reportable account | See "Common PartyRole Identification for Accounts" |
| 53 | Trader mnemonic | See "Common PartyRole Identification for Traders" |
| 54 | Sender location | See "Common PartyRole Identification for (Settlement) Locations" |
| 55 | Session ID | |
| 56 | Acceptable counterparty | See "Common PartyRole Identification for Firms" |
| 57 | Unacceptable counterparty | See "Common PartyRole Identification for Firms" |
| 58 | Entering Unit | See "Common PartyRole Identification for Firms" |
| 59 | Executing unit | See "Common PartyRole Identification for Firms" |
| 60 | Introducing broker | See "Common PartyRole Identification for Brokers" |
| 61 | Quote originator | See "Common PartyRole Identification for Firms" |
| 62 | Report originator | See "Common PartyRole Identification for Firms" |
| 63 | Systematic internaliser (SI) | See "Common PartyRole Identification for Execution Systems" |
| 64 | Multilateral Trading Facility (MTF) | See "Common PartyRole Identification for Execution Systems" |
| 65 | Regulated Market (RM) | See "Common PartyRole Identification for Execution Systems" |
| 66 | Market maker | See "Common PartyRole Identification for Firms" |
| 67 | Investment firm | See "Common PartyRole Identification for Firms" |
| 68 | Host Competent Authority (Host CA) | See "Common PartyRole Identification for Firms" |
| 69 | Home Competent Authority (Home CA) | See "Common PartyRole Identification for Firms" |
| 70 | Competent Authority of the most relevant market in terms of liquidity (CAL) | See "Common PartyRole Identification for Firms" |
| 71 | Competent Authority of the Transaction (Execution) Venue (CATV) | See "Common PartyRole Identification for Firms" |
| 72 | Reporting intermediary | See "Common PartyRole Identification for Firms" |
| 73 | Execution Venue | See "Common PartyRole Identification for Execution Systems" |
| 74 | Market data entry originator | See "Common PartyRole Identification for Firms" |
| 75 | Location ID | See "Common PartyRole Identification for (Settlement) Locations" |
| 76 | Desk ID | See "Common PartyRole Identification for Firms" |
| 77 | Market data market | See "Common PartyRole Identification for Execution Systems" |
| 78 | Allocation Entity | See "Common PartyRole Identification for Firms" |
| 79 | Prime broker providing general trade services | See "Common PartyRole Identification for Brokers" |
| 80 | Step-out firm (prime broker) | See "Common PartyRole Identification for Brokers" |
| 81 | Broker clearing ID | See "Common PartyRole Identification for Brokers" |
| 82 | Central Registration Depository (CRD) | See "Common PartyRole Identification for (Settlement) Locations" |
| 83 | Clearing account | See "Common PartyRole Identification for Accounts" |
| 84 | Acceptable Settling Counterparty | See "Common PartyRole Identification for Firms" |
| 85 | Unacceptable Settling Counterparty | See "Common PartyRole Identification for Firms" |
Common PartyRole Identification for Firms:
| PartyIDSource (447) | PartyID (448) | PartySubID (523) | |
|---|---|---|---|
| B | BIC (Bank Identification Code) | «BIC Value» | (optional) |
| C | Generally accepted market participant identifier | (various) | (optional) |
| D | Proprietary/Custom code | (various) | (optional) |
Common PartyRole Identification for Brokers:
| PartyIDSource (447) | PartyID (448) | PartySubID (523) | |
|---|---|---|---|
| B | BIC (Bank Identification Code) | «BIC Value» | (optional) |
| I | ISITC code for identifying directed brokers as per ETC Best Practices document (for use with PartyRole = Broker of Credit only) | «ISITC-defined 3 character code» | (optional) |
| D | Proprietary/Custom code | (various) | (optional) |
Common PartyRole Identification for Traders:
| PartyIDSource (447) | PartyID (448) | PartySubID (523) | |
|---|---|---|---|
| C | Generally accepted market participant identifier | (various) | (optional) |
| D | Proprietary/Custom code | (various) | (optional) |
Common PartyRole Identification for Investor ID:
See Volume 4: "Example Usage of PartyRole="Investor ID""
Common PartyRole Identification for Execution Systems:
| PartyIDSource (447) | PartyID (448) | PartySubID (523) | |
|---|---|---|---|
| C | Generally accepted market participant identifier | (various) | (optional) |
| D | Proprietary/Custom code | (various) | (optional) |
| G | MIC (SIO 10383 Market Idenfifier Code) | (various) | (optional) |
Common PartyRole Identification for (Settlement) Locations:
| PartyIDSource (447) | PartyID (448) | PartySubID (523) | |
|---|---|---|---|
| B | BIC (Bank Identification Code) | «BIC Value» | (optional) |
| C | Generally accepted market participant identifier | CED = CEDEL DTC = Depository Trust Company EUR = Euroclear FED = Federal Book Entry HIC = Held In Custody ICSD = International Central Securities Depository NCSD = National Central Securities Depository PNY = Physical PTC = Participant Trust Company |
(optional) |
| E | ISO Country Code [for Local Market Settlement] |
« ISO Country Code Value » | (optional) |
Common PartyRole Identification for Buyer/Seller, Custodian, Intermediary, Agent or Beneficiary:
| PartyIDSource (447) | PartyID (448) | PartySubID (523) | |
|---|---|---|---|
| B | BIC (Bank Identification Code) | «BIC Value» | (optional) |
| H | CSD participant/member code (e.g. Euroclear, DTC, CREST or Kassenverein number) | «CSD participant or member code» | (optional) |
Common PartyRole Identification for Accounts:
| PartyIDSource (447) | PartyID (448) | PartySubID (523) | |
|---|---|---|---|
| D | Proprietary/Custom code | (various) | (optional) |
| H | CSD participant/member code (e.g. Euroclear, DTC, CREST or Kassenverein number) | «CSD participant or member code» | (optional) |