KS X ISO 10962-2006 Securities and related financial instruments－Classification of Financial Instruments(CFI code)《证券和相关金融仪器 金融仪器的分类(CFI代码)》.pdf

《KS X ISO 10962-2006 Securities and related financial instruments－Classification of Financial Instruments(CFI code)《证券和相关金融仪器 金融仪器的分类(CFI代码)》.pdf》由会员分享，可在线阅读，更多相关《KS X ISO 10962-2006 Securities and related financial instruments－Classification of Financial Instruments(CFI code)《证券和相关金融仪器 金融仪器的分类(CFI代码)》.pdf（32页珍藏版）》请在麦多课文档分享上搜索。

1、 KSKSKSKS SKSKSKS KSKSKS SKSKS KSKS SKS KS 2006 12 29 http:/www.kats.go.krKS X ISO 10962 (CFI) KS X ISO 10962： 2006 (2011 )X ISO 10962： 2006 : e- ( ) ( ) : (http:/www.standard.go.kr) ： ：2001 12 31 ：2006 12 29 ：2011 12 29 2011-0658 ： ： ( 02-509-72635) (http:/www.kats.go.kr). 10 5 , . X ISO 10962： 200

2、6 i e . KS X 10962 . A() ISO . ISO . . ISO , . ISO IEC . ISO/IEC 3 . DIS( ) . 75 % . . ISO . ISO 10926 ISO/TC68( ) SC4( ) . ISO(10962： 1997) . A . ICS 03.060 KS X ISO (CFI) 10962： 2006(2011 ) Securities and related financial instruments Classification of Financial Instruments(CFI code) 2001 2 ISO 10

3、962 Securities and related financial instruments Classification of Financial Instruments(CFI code) . CFI 2 . . . . . , . . . . . . . . CFI . 1. . . “(Financial instruments)” , . . , , . 2. . . X ISO 10962： 2006 2 KS X ISO 6166： 2006 (ISIN) 3. 3.1 CFI CFI 6 . , , , , . , , , , , , , OPCVM, OICVM , ,

4、, , MTN, ( 4 ). 4 . , , , , . , , , / . , . , “X” . X = , , 3.2 4 “ ” . . , (“ ” “ ” ) “ ” . 4. 4.1 E = D = R = O = F = M = 4.2 ：-E-*-*-*-*-*- . 4.2.1 S = P = R = C = F = V = U = M = 4.2.1.1 ：-E-S-*-*-*-*- X ISO 10962： 2006 3 . 4.2.1.1.1 1 ： ( ) V = 1 1 -E-S-V-*-*-*- N = -E-S-N-*-*-*- R = 1 1 -E-S-R

5、-*-*-*- E = 1 1 -E-S-E-*-*-*- 4.2.1.1.2 2 ： T = -E-S-*-T-*-*- U = -E-S-*-U-*-*- 4.2.1.1.3 3 ： O = -E-S-*-*-O-*- P = -E-S-*-*-P-*- F = -E-S-*-*-F-*- 4.2.1.1.4 4 ：/ B = -E-S-*-*-*-B- R = -E-S-*-*-*-R- N = -E-S-*-*-*-N- Z = -E-S-*-*-*-Z- A = -E-S-*-*-*-A- 4.2.1.2 ：-E-P-*-*-*-*- . 4.2.1.2.1 1 ： V = 1 1

6、-E-P-V-*-*-*- N = -E-P-N-*-*-*- R = 1 1 -E-P-R-*-*-*- E = 1 1 -E-P-E-*-*-*- 4.2.1.2.2 2 ： R = -E-P-*-R-*-*- E = -E-P-*-E-*-*- T = / -E-P-*-T-*-*- 4.2.1.2.3 3 ： ( .) F = -E-P-*-*-F-*- ( ) C = -E-P-*-*-C-*- ( , .) P = -E-P-*-*-P-*- ( X ISO 10962： 2006 4 .) Q = -E-P-*-*-Q-*- ( .) A = -E-P-*-*-A-*- ( .)

7、 N = -E-P-*-*-N-*- ( .) 4.2.1.2.4 4 ：/ B = -E-P-*-*-*-B- R = -E-P-*-*-*-R- N = -E-P-*-*-*-N- Z = -E-P-*-*-*-Z- A = -E-P-*-*-*-A- 4.2.1.3 ：-E-R-*-*-*-*- . , . 4.2.1.3.1 1 ： V = 1 1 -E-R-V-*-*-*- N = -E-R-N-*-*-*- R = 1 1 -E-R-R-*-*-*- E = 1 1 -E-R-E-*-*-*- 4.2.1.3.2 2 ： R = -E-R-*-R-*-*- E = -E-R-*-E

8、-*-*- T = / -E-R-*-T-*-*- 4.2.1.3.3 3 ： F = -E-R-*-*-F-*- C = -E-R-*-*-C-*- P = -E-R-*-*-P-*- Q = -E-R-*-*-Q-*- A = -E-R-*-*-A-*- N = -E-R-*-*-N-*- 4.2.1.3.4 4 ：/ B = -E-R-*-*-*-B- R = -E-R-*-*-*-R- N = -E-R-*-*-*-N- Z = -E-R-*-*-*-Z- X ISO 10962： 2006 5 A = -E-R-*-*-*-A- 4.2.1.4 ：-E-C-*-*-*-*- . 4.

9、2.1.4.1 1 ： V = 1 1 -E-C-V-*-*-*- N = -E-C-N-*-*-*- R = 1 1 -E-C-R-*-*-*- E = 1 1 -E-C-E-*-*-*- 4.2.1.4.2 2 ： T = -E-C-*-T-*-*- U = -E-C-*-U-*-*- 4.2.1.4.3 3 ： F = -E-C-*-*-F-*- C = -E-C-*-*-C-*- P = -E-C-*-*-P-*- Q = -E-C-*-*-Q-*- A = -E-C-*-*-A-*- N = -E-C-*-*-N-*- 4.2.1.4.4 4 ：/ B = -E-C-*-*-*-B-

10、 R = -E-C-*-*-*-R- N = -E-C-*-*-*-N- Z = -E-C-*-*-*-Z- A = -E-C-*-*-*-A- 4.2.1.5 ：-E-F-*-*-*-*- ( ) . 4.2.1.5.1 1 ： V = 1 1 -E-F-V-*-*-*- N = -E-F-N-*-*-*- R = 1 1 -E-F-R-*-*-*- E = 1 1 -E-F-E-*-*-*- 4.2.1.5.2 2 ： R = -E-F-*-R-*-*- E = -E-F-*-E-*-*- T = / -E-F-*-T-*-*- 4.2.1.5.3 3 ： F = -E-F-*-*-F-*

11、- C = -E-F-*-*-C-*- X ISO 10962： 2006 6 P = -E-F-*-*-P-*- Q = -E-F-*-*-Q-*- A = -E-F-*-*-A-*- N = -E-F-*-*-N-*- 4.2.1.5.4 4 ：/ B = -E-F-*-*-*-B- R = -E-F-*-*-*-R- N = -E-F-*-*-*-N- Z = -E-F-*-*-*-Z- A = -E-F-*-*-*-A- 4.2.1.6 ：-E-V-*-*-*-*- ( ) , . 4.2.1.6.1 1 ： V = 1 1 -E-V-V-*-*-*- N = -E-V-N-*-*-*

12、- R = 1 1 -E-V-R-*-*-*- E = 1 1 -E-V-E-*-*-*- 4.2.1.6.2 2 ： R = -E-V-*-R-*-*- E = -E-V-*-E-*-*- T = / -E-V-*-T-*-*- 4.2.1.6.3 3 ：() F = -E-V-*-*-F-*- C = -E-V-*-*-C-*- P = -E-V-*-*-P-*- Q = -E-V-*-*-Q-*- A = -E-V-*-*-A-*- N = -E-V-*-*-N-*- 4.2.1.6.4 4 ：/ B = -E-V-*-*-*-B- R = -E-V-*-*-*-R- N = -E-V-

13、*-*-*-N- Z = -E-V-*-*-*-Z- A = -E-V-*-*-*-A- 4.2.1.7 ：-E-U-*-*-*-*- . , , OPCVM OICVM . 4.2.1.7.1 1 ： ( .) X ISO 10962： 2006 7 C = -E-U-C-*-*-*- ( .) O = -E-U-O-*-*-*- ( ) 4.2.1.7.2 2 ： ( .) I = -E-U-*-I-*-*- ( ) G = -E-U-*-G-*-*- ( ) M = -E-U-*-M-*-*- ( ) 4.2.1.7.3 3 ： ( / .) R = -E-U-*-*-R-*- S =

14、-E-U-*-*-S-*- M = -E-U-*-*-M-*- C = -E-U-*-*-C-*- D = -E-U-*-*-D-*- 4.2.1.7.4 4 ：/ B = -E-U-*-*-*-B- R = -E-U-*-*-*-R- N = -E-U-*-*-*-N- Z = -E-U-*-*-*-Z- A = -E-U-*-*-*-A- 4.2.1.8 ：-E-M-X-X-X-*- . 4.2.1.8.1 1 X = / -E-M-X-*-*-*- 4.2.1.8.2 2 X = / -E-M-*-X-*-*- 4.2.1.8.3 3 X = / -E-M-*-*-X-*- 4.2.1.

15、8.4 4 ：/ B = -E-M-X-X-X-B- R = -E-M-X-X-X-R- N = -E-M-X-X-X-N- Z = -E-M-X-X-X-Z- A = -E-M-X-X-X-A- 1. ： , X ISO 10962： 2006 8 . 2. ： . 4.2.2 : -D-*-*-*-*-*- . B = C = W = T = MTN Y = M = 4.2.2.1 ：-D-B-*-*-*-*- . 4.2.2.1.1 1 ： F = -D-B-F-*-*-*- Z = / -D-B-Z-*-*-*- ( .) V = -D-B-V-*-*-*- 4.2.2.1.2 2 ：

16、 ( .) T = -D-B-*-T-*-*- ( ) G = -D-B-*-G-*-*- ( ) S = (ABS ) -D-B-*-S-*-*- ( ) U = / -D-B-*-U-*-*- ( ) 4.2.2.1.3 3 ： F = -D-B-*-*-F-*- G = -D-B-*-*-G-*- C = -D-B-*-*-C-*- D = / -D-B-*-*-D-*- A = -D-B-*-*-A-*- B = -D-B-*-*-B-*- T = -D-B-*-*-T-*- L = / -D-B-*-*-L-*- P = -D-B-*-*-P-*- Q = -D-B-*-*-Q-*-

17、 X ISO 10962： 2006 9 4.2.2.1.4 4 ：/ B = -D-B-*-*-*-B- R = -D-B-*-*-*-R- N = -D-B-*-*-*-N- Z = -D-B-*-*-*-Z- A = -D-B-*-*-*-A- 4.2.2.2 ：-D-C-*-*-*-*- . 4.2.2.2.1 1 ： F = -D-C-F-*-*-*- Z = / -D-C-Z-*-*-*- V = -D-C-V-*-*-*- 4.2.2.2.2 2 ： T= -D-C-*-T-*-*- G = -D-C-*-G-*-*- S = -D-C-*-S-*-*- U = / -D-C-*

18、-U-*-*- 4.2.2.2.3 3 ： F = -D-C-*-*-F-*- G = -D-C-*-*-G-*- C = -D-C-*-*-C-*- D = / -D-C-*-*-D-*- A = -D-C-*-*-A-*- B = -D-C-*-*-B-*- T = -D-C-*-*-T-*- L = / -D-C-*-*-L-*- P = -D-C-*-*-P-*- Q = -D-C-*-*-Q-*- 4.2.2.2.4 4 ：/ B = -D-C-*-*-*-B- R = -D-C-*-*-*-R- N = -D-C-*-*-*-N- Z = -D-C-*-*-*-Z- A = -D-C-*-*-*-A- 4.2.2.3 ：-D-W-*-*-*-*- ( ) ( ) . 4.2.2.3.1 1 ： F = -D-W-F-*-*-*- Z = / -D-W-Z-*-*-*- X ISO 10962： 2006 10 V = -D-W-V-*-*-*- 4.2.2.3.2 2 ： T = -D-W-*-T-*-*- G = -D-W-*-G-*-*- S = -D-W-*-S-*-*- U = / -D-W-*-U-*-*- 4.2.2.3.3 3 ： F = -D-W-*-*-F-*- G = -D-W-*-*-G-*- C =