BS ISO 6166-2013 en_7055 Securities and related financial instruments International securities identification numbering system (ISIN)《证券及相关金融工具.国际证券识别编号体系(ISIN)》.pdf
《BS ISO 6166-2013 en_7055 Securities and related financial instruments International securities identification numbering system (ISIN)《证券及相关金融工具.国际证券识别编号体系(ISIN)》.pdf》由会员分享,可在线阅读,更多相关《BS ISO 6166-2013 en_7055 Securities and related financial instruments International securities identification numbering system (ISIN)《证券及相关金融工具.国际证券识别编号体系(ISIN)》.pdf(22页珍藏版)》请在麦多课文档分享上搜索。
1、BSI Standards Publication BS ISO 6166:2013 Securities and related financial instruments International securities identification numbering system (ISIN)BS ISO 6166:2013 BRITISH STANDARD National foreword This British Standard is the UK implementation of ISO 6166:2013. It supersedes BS ISO 6166:2001 w
2、hich is withdrawn. The UK participation in its preparation was entrusted to Technical Committee IST/12, Financial services. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of
3、a contract. Users are responsible for its correct application. The British Standards Institution 2013. Published by BSI Standards Limited 2013 ISBN 978 0 580 62836 8 ICS 03.060 Compliance with a British Standard cannot confer immunity from legal obligations. This British Standard was published under
4、 the authority of the Standards Policy and Strategy Committee on 31 August 2013. Amendments issued since publication Date Text affectedBS ISO 6166:2013 ISO 2013 Securities and related financial instruments International securities identification numbering system (ISIN) Valeurs mobilires et autres in
5、struments financiers concerns Systme international de numrotation pour lidentification des valeurs mobilires (ISIN) INTERNATIONAL STANDARD ISO 6166 Seventh edition 2013-07-15 Reference number ISO 6166:2013(E)BS ISO 6166:2013ISO 6166:2013(E)ii ISO 2013 All rights reserved COPYRIGHT PROTECTED DOCUMENT
6、 ISO 2013 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be
7、 requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in SwitzerlandBS ISO 6166:2013ISO 6166:2013(E) IS
8、O 2013 All rights reserved iii Contents Page Foreword iv Introduction v 1 Scope . 1 2 Normative references 1 3 Terms and definitions . 1 4 Principles . 2 4.1 Constituents. 2 4.2 Financial instruments for which the ISIN is allocated 2 5 Registration Authority (RA) 2 5.1 Name and contact details of th
9、e RA 2 5.2 Service provision . 2 6 ISIN allocation . 3 6.1 General . 3 6.2 Existing ISINs and existing securities without ISINs . 3 Annex A (normative) ISIN allocation 4 Annex B (normative) Minimum descriptive elements for each category/issue type 6 Annex C (normative) Formula for computing the modu
10、lus 10 “double-add-double” check digit 7 Annex D (normative) Basic information and minimum descriptive data elements 9 Annex E (informative) Examples10BS ISO 6166:2013ISO 6166:2013(E) Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bo
11、dies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizatio
12、ns, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. The procedures used to develop this document and those intended for its furthe
13、r maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2. www.iso.org/directives Att
14、ention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introducti
15、on and/or on the ISO list of patent declarations received. www.iso.org/patents Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. The committee responsible for this document is ISO/TC 68, Financial services, Subcommittee SC
16、4, Securities and related financial instruments. This seventh edition cancels and replaces the sixth edition (ISO 6166:2001), which has been extended to cover necessary technical changes, the Registration Authority function as well as the usage of the ISIN record.iv ISO 2013 All rights reservedBS IS
17、O 6166:2013ISO 6166:2013(E) Introduction With the rapid expansion of the international securities business, there is a need for a universally applicable international securities identification number (ISIN). No worldwide numbering system existed at the time of the publication of the first edition of
18、 this International Standard. Countries with a developed securities business identified issues of securities by means of code numbers, which are without any significance outside the country concerned. Securities of the same issue are identified by means of different numbers in the country where they
19、 are physically held and/or booked. As a result, the national numbers may not be applicable in cross-border transactions. Because of its strong rationalization effect, an internationally applicable numbering system substantially facilitates and supports international securities business. Such a syst
20、em is provided by this International Standard. Since the publication of the first edition of this International Standard, the Registration Authority (RA) relies on the work of national numbering agencies (NNAs) which play an integral role in this rationalization effort and in the implementation of t
21、his International Standard. In preparing this International Standard, care has been taken to conserve the national systems to the maximum possible extent, not only because of the good routine and valuable experience collected in this field but also to facilitate the adoption of the worldwide system.
22、 Moreover, it is aimed at creating a system which is easy to apply internationally and at establishing an information network which ensures that the required information can be obtained worldwide immediately. ISO 2013 All rights reserved vBS ISO 6166:2013BS ISO 6166:2013Securities and related financ
23、ial instruments International securities identification numbering system (ISIN) 1 Scope This International Standard provides a uniform structure for the identification of fungible and non- fungible securities and financial instruments (see Annex A) using a unique identification number and associated
24、 minimum descriptive data (see Annex B). 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the latest edition of the
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