BS ISO 10383-2012 Securities and related financial instruments Codes for exchanges and market identification (MIC)《证券及相关金融工具 交易所和市场识别(MIC)用代码》.pdf

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1、raising standards worldwideNO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAWBSI Standards PublicationBS ISO 10383:2012Securities and related financialinstruments Codes forexchanges and marketidentification (MIC)BS ISO 10383:2012 BRITISH STANDARDNational forewordThis British Stan

2、dard is the UK implementation of ISO 10383:2012.The UK participation in its preparation was entrusted to TechnicalCommittee IST/12, Financial services.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the

3、 necessaryprovisions of a contract. Users are responsible for its correctapplication. The British Standards Institution 2012. Published by BSI StandardsLimited 2012ISBN 978 0 580 77615 1ICS 03.060Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard wa

4、s published under the authority of theStandards Policy and Strategy Committee on 31 October 2012.Amendments issued since publicationDate Text affectedBS ISO 10383:2012 ISO 2012Securities and related financial instruments Codes for exchanges and market identification (MIC)Valeurs mobilires et autres

5、instruments financiers concerns Codes pour changes et identification de march (MIC)INTERNATIONAL STANDARDISO10383Third edition2012-10-01Reference numberISO 10383:2012(E)BS ISO 10383:2012ISO 10383:2012(E)ii ISO 2012 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2012All rights reserved. Unless o

6、therwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs member body in the country of the requester.ISO copyri

7、ght officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandBS ISO 10383:2012ISO 10383:2012(E) ISO 2012 All rights reserved iiiContents PageForeword iv1 Scope . 12 Terms and definitions . 13 Structure . 14 Exampl

8、e 15 Registration Authority, information and enquiries .2Annex A (normative) Accessing the Market Identifier Codes . 3Bibliography 5BS ISO 10383:2012ISO 10383:2012(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bo

9、dies). 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 organizations, governmental an

10、d 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.International Standards are drafted in accordance with the rules given in the ISO/IEC Directives,

11、Part 2.The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casti

12、ng a vote.Attention 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.ISO 10383 was prepared by Technical Committee ISO/TC 68, Financial services, Subcommittee SC

13、 4, Securities and related financial instruments.This third edition cancels and replaces the second edition (ISO 10383:2003), which has been technically revised.iv ISO 2012 All rights reservedBS ISO 10383:2012INTERNATIONAL STANDARD ISO 10383:2012(E)Securities and related financial instruments Codes

14、for exchanges and market identification (MIC)1 ScopeThis International Standard specifies a universal method of identifying exchanges, trading platforms, regulated or non-regulated markets and trade reporting facilities as sources of prices and related information in order to facilitate automated pr

15、ocessing.It is intended for use in any application and communication for identification of places where a financial instrument is listed (place of official listing), where a related trade is executed (place of trade), and where trade details are reported (trade reporting facility).Market Identifier

16、Codes (MICs) are to be registered at operating/exchange level and at market segment level. Market segment MICs and their operating/exchange MIC are to be clearly linked in the published lists.2 Terms and definitionsFor the purposes of this document, the following terms and definitions apply.2.1opera

17、ting/exchange level MICentity operating an exchange/market/trade reporting facility in a specific market/country2.2market segment MICsection of an exchange/market/trade reporting facility that specialises in one or more specific instruments or that is regulated differentlyNOTE 1 A market segment MIC

18、 can only be registered if an operating/exchange MIC already exists.NOTE 2 It is not required to have a MIC registered for all segments of a market, only for those segments that need to be identified. See Clause 4.EXAMPLE Dark pool.3 StructureThe code consists of four continuous alpha and/or numeric

19、 characters with no intelligence of meaning attributed to any part of the code.4 ExampleIf “Stock Exchange ABC” has two market segments (one for the bonds market, one for the equities market) and wants to register a MIC for the bonds market, Stock Exchange ABC will have at least two MICs registered:

20、 ABCD: STOCK EXCHANGE ABC ABC5: STOCK EXCHANGE ABC BONDS MARKET ISO 2012 All rights reserved 1BS ISO 10383:2012ISO 10383:2012(E)ABCD is to be used for the identification of the market at operating level, that is, when there is no need to identify specifically the bonds market segment. ABC5 will be u

21、sed only to identify the bonds market segment.If the exchange decides to register MICs for its two market segments, the exchange will therefore have three MICs registered: ABCD: STOCK EXCHANGE ABC ABC5: STOCK EXCHANGE ABC BONDS MARKET ABCZ: STOCK EXCHANGE ABC EQUITIES MARKETABCD is to be used for th

22、e identification of the market at operating level, that is, when there is no need to identify a particular segment. ABC5 will be used to only identify the bonds market segment. ABCZ will be used to only identify the equities market segment.5 Registration Authority, information and enquiriesRequests

23、for information and enquiries may be directed to the Registration Authority. The name and contact details of the organization acting as Registration Authority for ISO 10383 can be found athttp:/www.iso.org/iso/maintenance_agencies.htm#103832 ISO 2012 All rights reservedBS ISO 10383:2012ISO 10383:201

24、2(E)Annex A (normative) Accessing the Market Identifier CodesThe Registration Authority (RA) is responsible for providing access to the MICs. The method for submission of applications and publication of MICs is described on the RA website, which can be found at http:/www.iso.org/iso/maintenance_agen

25、cies.htm#10383.The attributes provided by the RA for each MIC shall include: country; ISO country code (see ISO 3166-1); MIC; O (Operating) or S (Segment) indicating whether the MIC is an operating/exchange MIC or a segment MIC; institution description; operating MIC, used to link segment MICs toget

26、her; acronym, when available; city; website, when available; date the MIC was originally created; date the MIC was last modified; status: active, modified since last publication, deleted; comments: any additional information worth mentioning to help users with identifying the exchange or understandi

27、ng a modification. ISO 2012 All rights reserved 3BS ISO 10383:2012ISO 10383:2012(E)EXAMPLE Based on Clause 4:Country ABCLAND ABCLAND ABCLANDCountry code XX XX XXMIC ABCD ABC5 ABCZO/S O S SDescription STOCK EXCHANGE ABC STOCK EXCHANGE ABC BONDS MARKETSTOCK EXCHANGE ABC EQUITIES MARKETOperating MIC AB

28、CD ABCD ABCDAcronym SEA City ABCITY ABCITY ABCITYWebsite http:/ http:/ date 20110605 20120507 20120507Last modification date20120113 20120507 20120604Status active active modifiedComments modified description4 ISO 2012 All rights reservedBS ISO 10383:2012ISO 10383:2012(E)Bibliography1 ISO 3166-1, C

29、odes for the representation of names of countries and their subdivisions Part 1: Country codes ISO 2012 All rights reserved 5BS ISO 10383:2012ISO 10383:2012(E) ISO 2012 All rights reservedICS 03.060Price based on 5 pagesThis page deliberately left blankBSI is the independent national body responsibl

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