ESMA Registers - Application to Application Help File
- Introduction
- Construction of Solr queries
- MiFID/UCITS/AIFMD/EUSEF/EUVECA/ECSPR Core Schema Information
- Sanctions Schema Information
- Suspension and Removals Core Schema Information
- Exempted shares under Short Selling Legal Framework
- Commodities Derivatives Weekly Position Reporting System
- Benchmark Reference Data System
- Money Market Fund authorisations
- Register of STS notifications
- Prospectus III
- AIF/EuSEF/EuVECA funds
- Cross-border marketing of AIFs and UCITS
1.Introduction
ESMA Registers system offers machine-to-machine (A2A) services, exposing a set of services for retrieval of data maintained in ESMA Registers to external systems/clients.
ESMA Registers data is maintained through Solr indexes, regularly updated by ESMA Registers system.
Solr is an open source enterprise search server based on Lucene. It has document oriented data model with rich nested structure, similar to XML or JSON. Solr's document structure is flat and supports multivalued fields (i.e. fields with an array of values). Solr's basic unit of information is a document, which is a set of information describing the content of each Register. Further information for Solr is available in external links:
- Solr Schema XML: http://wiki.apache.org/solr/SchemaXml
- Solr Query Syntax: http://wiki.apache.org/solr/SolrQuerySyntax
ESMA Registers system offers certain queries that can be used to retrieve public data maintained in the Registers' repositories. These queries are accessible via predefined URLs.
2. Construction of Solr queries
The queries are constructed in a format that follows a specific naming convention, as presented below:
http://'serverName:port'/solr/esma_registers_'CoreName'/select?q=( search criteria)
The following explain the attributes used in the queries:
- q: the actual query
- rows: the number of results to be received in the response
- wt: response type (e.g. xml)
ESMA Registers system serves predefined URLs for each supported Register, extracting the full data set from Solr. The following table presents the predefined queries that can be used for data retrieval. For each URL there is a curl so as to make a HTTP request using command line.
| Register | Predefined Query | |
|---|---|---|
| MiFID/UCITS/AIFMD/EUSEF/EUVECA/ECSPR entities |
For json format please change wt parameter to json (i.e &wt=json) | |
| Sanctions |
For json format please change wt parameter to json (i.e &wt=json) | |
| Suspensions and removals |
|
|
| Exempted Shares under Short Selling Legal Framework |
For json format please change wt parameter to json (i.e &wt=json) |
|
| Commodities Derivatives Weekly Position Reporting System |
For json format please change wt parameter to json (i.e &wt=json) |
|
| Benchmark Reference Data System |
For json format please change wt parameter to json (i.e &wt=json) |
|
| Money Market Fund authorisations |
For json format please change wt parameter to json (i.e &wt=json) |
|
| Register of STS Notification |
For json format please change wt parameter to json (i.e &wt=json) |
|
| Prospectus III |
For json format please change wt parameter to json (i.e &wt=json) |
|
| AIF/EuSEF/EuVECA funds |
For json format please change wt parameter to json (i.e &wt=json) |
|
| Cross-border marketing of AIFs and UCITS |
For json format please change wt parameter to json (i.e &wt=json) |
3. MiFID/UCITS/AIFMD/EUSEF/EUVECA/ECSPR Core Schema Information
The following table provides a detailed description of the fields available in the response of the predefined queries for MiFID/UCITS/AIFMD/EUSEF/EUVECA/ECSPR Registers.
| Field Name | Field Type | Comment |
|---|---|---|
| ae_entityTypeCode | text_general | Entity Legal Framework acronym. |
| ae_entityTypeLabel | text_general | Entity Legal Framework full name. |
| ae_isSme | string | Flag corresponding to Entities of SME Legal framework. |
| ae_lastUpdate | date | The last date and time that the Entity was updated. |
| ae_micLeiEsmaId | text_general | The National Identifier of the Entity. It can be: A MIC code, a LEI code or an ESMAId code. |
| ae_lei | text_general | The LEI code of the Entity. |
| ae_headOfficeLei | text_general | The LEI code of the Head Office of the authorised entity in the Home Member State. |
| ae_entityName | text_general | The name of the Entity. |
| ae_officeType | text_general | The possible values are: HO in case of an Head Office or BR in case of a Branch. |
| ae_competentAuthority | text_general | The Competent Authority of the Entity. |
| ae_homeMemberState | text_general | The Home Member State of the Entity. |
| ae_hostMemberState | text_general | The Host Member State of the Entity. |
| ae_headOfficeAddress | text_general | The address of the Head office of the Entity. |
| ae_branchAddress | text_general | The address of the Branch of the Entity. |
| ae_comment | text_general | Comment on the Entity. |
| ae_status | text_general | The status of the Entity. |
| ae_authorisationNotificationDate | date | Notification date of the Entity. |
| ae_authorisationWithdrawalEndDate | date | Withdrawal date of the Entity. |
| ae_website | text_general | Website address of the Entity. |
| ae_legalform | text_general | Legal form of the Entity. |
| ae_commercialName | text_general | Commercial name of the Entity. |
| ac_serviceName | text_general | The full name of the Service. |
| ac_authorisationNotificationDate | date | Notification date of the Service. |
| ac_status | text_general | The status of the Service. |
| ac_comment | text_general | Comment on the Service. |
| ah_serviceName | string | The full name of the Service. |
| ah_authorisationNotificationDate | text_general | Notification date of the Service. |
| ah_authorisationWithdrawalDate | text_general | Withdrawal date of the Service. |
| ah_status | text_general | The status of the Service |
| ah_comment | text_general | Comment on the Service |
| no_of_funds | string | Number of funds that are managed by the Entity. |
4. Sanctions Schema Information
The following table provides a detailed description of the fields available in the response of the predefined query for Sanctions Register.
| Field Name | Field Type | Comment |
|---|---|---|
| sn_sanctionEsmaID | int | Esma ID which uniquely identifies a sanction. |
| sn_entityEsmaID | text_general | Entity Esma ID uniquely binds a sanction to the authorised entity. |
| sn_ncaCodeFullName | string | Sanction NCA Full Name. |
| sn_entityLegalFrameworkStr | string | ESMA registered entity's (Authorised and registered entities) Legal Framework. |
| sn_sanctionLegalFrameworkName | string | Sanction's Legal Framework. |
| sn_expirationDate | date | Sanction Expiration Date. |
| sn_date | date | Sanction Date. |
| sn_text | text_general | Sanction Text |
| sn_translatedText | string | Sanction Translated Text |
| sn_sanctioningNCACode | string | Sanction's NCA Code |
| sn_legalFramework | string | Sanction Legal Framework Acronym |
| sn_entityName | text_general | Sanction's ESMA registered entity (Authorised and registered entities) Name. |
| sn_modificationDate | date | Sanction Modification Date. |
| sn_lan_orig | string | Sanction Text Language. |
| sn_lan_trans | string | Sanction Translated Text Language. |
| sn_countryName | string | Sanction country name. |
| sn_authorityKey | string | Sanction authority key. |
| sn_nature | string | Sanction's nature Acronym |
| sn_natureFullName | string | Sanction's nature full name. |
| sn_entityLEI | text_general | Sanction's ESMA registered entity LEI. |
| sn_otherSanctioningInstitut | text_general | Sanction's Other Sanctioning institution full name. |
| sn_otherEntityName | text_general | Sanction's OtherEntity Name |
| sn_otherEntityLEI | text_general | Sanction's OtherEntity LEI. |
5. Suspension and Removals Core Schema Information
The following table provides a detailed description of the fields available in the response of the predefined queries for Suspension and Removals Register.
Using the following fields and the SOLR syntax, the user may structure advanced queries that can be used at the ''Keyword search'' field.
Example 1: It will return all the 'Removal' records:
query:q={!parent which='type_s:parent'}&fq=category:Removal
Example 2: It will return all the records with start date from 10/05/2014 and onwards: query:q={!parent which='type_s:parent'}&fq=startDate:[2014-05-10T00:00:00Z TO *]
| Field Name | Field Type | Comment |
|---|---|---|
| category | Text_general | The category of the record |
| onGoing | String | On going records (i.e. Suspensions with empty end date, Suspensions with ' today or future' end date, Removals with 'today' start date) |
| issuer | Text_general | The issuer of the record |
| Rationale | Text_general | Rationale of the record |
| comments | string | Comments on the record |
| StartDate | string | Start date of the record |
| endDate | string | End date of the record |
| notifyingNCACountryName | string | Notifying NCA country name (Authority Country) |
| ncaName | string | NCA name |
| istrumentName | Text_general | Instrument name |
| previousRationale | Text_general | Previous rationale |
| instrumentName | Text_general | Instrument name |
| instrumentIdentifier | Text_general | Instrument identifier |
| marketCode | Text_general | Related markets |
| derivativeAndUnder | Text_general | Derivatives of the main instruments (suspended or not) |
| initiator | Text_general | Initiator |
| aiiExchangeProductCode | Text_general | AII Exchange Product code |
| aiiExchangeCode | Text_general | AII Exchange code |
| aiiDerivativeType | string | AII Derivative type |
| aiiPutCall | string | AII Put call |
| aiiDate | Date | AII date |
| aiiStrikePrice | Float | AII Strike price |
6. Exempted shares under Short Selling Legal Framework
The following table provides a detailed description of the fields available in the response of the predefined queries for Exempted shares under Short Selling Legal Framework.
Using the following fields and the SOLR syntax, the user may structure advanced queries that can be used at the ''Keyword search'' field field by using the prefix q= .
| Field Name | Field Type | Comment |
|---|---|---|
| shs_relevantAuthority | String | The Competent authority |
| shs_isin | String | The ISIN |
| shs_name | Text_general | The name of the share |
| shs_status | Text_general | Possible values:
|
| shs_countryCode | string | The country code (Example: FR, GR etc) |
| shs_modificationDate | Date | Those two elements are used in order to define the Version date. Both of them have to be set to the same date (the Version date). |
| shs_modificationBDate | Date | |
| shs_exemptionStartDate | Date | The exemption start date of the share |
For the predefined query the user has to set the isin_value, the country_code_value and date_value (the same date must be set twice).
7.Commodities Derivatives Weekly Position Reporting
The following table provides a detailed description of the fields available in the response of the predefined query for Commodities Derivatives Weekly Position Reporting Register.
| Field Name | Field Type | Comment |
|---|---|---|
| id | string | |
| tv_mic | string | Trading Venue Identifier (MIC) |
| tv_name | text_general | Name of Trading Venue |
| wp_refdt | date | Weekly Report Reference Date |
| wp_pubdt | date | Publication Date and Time |
| wp_cednm | text_general | Name of Commodity Derivative Contract, Emission Allowance or Derivative thereof |
| wp_vpcode | text_general | Venue Product Code |
| wp_sts | string | Report Status |
| wp_munit | string | Notation of the position quantity |
| wp_pos_name | string | Report Position Name (Risk Reducing directly related to commercial activities / Other / Total) |
| wp_pos_cat | string | Report Position Category (Number of positions / Changes since last report / Percentage of open interest) |
| wp_ifi_lo | string | Investment Firms or credit institutions Long Position type |
| wp_ifi_sh | string | Investment Firms or credit institutions Short Position type |
| wp_ifu_lo | string | Investment Funds Long Position type |
| wp_ifu_sh | string | Investment Funds Short Position type |
| wp_oth_lo | string | Other Financial Institutions Long Position type |
| wp_oth_sh | string | Other Financial Institutions Short Position type |
| wp_com_lo | string | Commercial Undertakings Long Position type |
| wp_com_sh | string | Commercial Undertakings Short Position type |
| wp_ope_lo | string | Operators with compliance obligations under Directive 2008/87/ECs Long Position type |
| wp_ope_sh | string | Operators with compliance obligations under Directive 2008/87/ECs Short Position type |
8.Benchmark Reference Data System
The fields available in the machine-to-machine queries are listed below.
Please note that the files containing the full list of administrators/third country benchmarks are also available in the Benchmark register page:
https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_bench_files.
The description of the fields and the download process included in the https://registers.esma.europa.eu/publication/getBenchInstructionsPDF .
BENCHMARKS ADMINISTRATORS
| Field Name | Field Type | Comment |
|---|---|---|
| id | string | SOLR id record response |
| en_esmaId | string | Administrator ESMA ID in the ESMA central database. Unique identifier of the Adminitrator. |
| en_fullName | text_general | Administrator full name |
| en_lei | text_general | Administrator Legal entity identifier (LEI) |
| en_country | text_general | Administrator location country |
| en_supervisingAuthority | text_general | Authority supervising the administrator in the third country |
| en_contactInfo | text_general | Administrator official website URL or postal address (in case no website exists) |
| en_euEeaRevelantAuthority | text_general | Authority relevant for the status of the administrator under BMR (Art. 30,32,33, 34) |
| en_euEeaStatus | text_general | The status of the administrator under BMR (Art. 30,32,33, 34) |
| en_referenceCountryName | text_general | Country relevant for the status of the administrator under BMR (Art. 30,32,33, 34) |
| bm_esmaId | string | Benchmark ESMA ID in the ESMA central database. Unique identifier of the Benchmark. |
| bm_fullName | text_general | Benchmark full name as reported by its administrator |
| bm_isin | text_general | Benchmark ISIN code |
| bm_indexCode | text_general | Benchmark Index code in case it exists under MiFIR reference data |
| bm_euEeaStatus | text_general | Benchmark status under BMR (Art. 30,32,33) |
| bm_administratorCountry | text_general | Benchmark administrator location country |
| bm_relatedAdministratorFullName | text_general | Benchmark administrator full name |
| bm_euEeaRelevantAuthority | text_general | Relevant authority relevant for the status under BMR (Art. 30,32,33) |
| bm_endorsingEntityFullName | text_general | Full name of the entity endorsing the benchmark under Art.33 |
| bm_endorsingEntityLei | text_general | Legal Entity Identifier of the entity endorsing the benchmark under Art.33 |
| bm_endorsingEntityCountry | text_general | EU/EEA member State of the entity endorsing the benchmark under Art.33 |
| bm_endorsingEntityContact | text_general | Administrator official website URL or postal address (in case no website exists) of the endorsing entity under Art.33 |
THIRD COUNTRY BENCHMARKS
| Field Name | Field Type | Comment |
|---|---|---|
| id | string | SOLR id record response |
| bm_esmaId | string | Benchmark ESMA ID in the ESMA central database. Unique identifier of the Benchmark. |
| bm_fullName | text_general | Benchmark full name |
| bm_isin | text_general | Benchmark ISIN code |
| bm_indexCode | text_general | Benchmark Index code (in case it exists under MiFIR reference data) |
| bm_euEeaStatus | text_general | Benchmark status under BMR (Art. 30,32,33) |
| bm_administratorCountry | text_general | Benchmark administrator location country |
| bm_relatedAdministratorFullName | text_general | Benchmark administrator full name |
| bm_euEeaRelevantAuthority | text_general | Relevant authority for the status of the benchmark under BMR |
| bm_endorsingEntityFullName | text_general | Full name of the entity endorsing the benchmark under Art.33 |
| bm_endorsingEntityLei | text_general | Legal Entity Identifier of the entity endorsing the benchmark under Art.33 |
| bm_endorsingEntityCountry | text_general | EU/EEA member State of the entity endorsing the benchmark under Art.33 |
| bm_endorsingEntityContact | text_general | Official website URL or postal address (in case no website exists) of the entity endorsing the benchmark under Art.33 |
| bm_referenceCountryName | text_general | Country relevant for the status of the administrator under BMR (Art. 30,32,33, 34) |
| bm_en_esmaId | string | Benchmark administrator ESMA ID in the ESMA database |
| bm_en_fullName | text_general | Benchmark administrator full name |
| bm_en_lei | text_general | Benchmark administrator Legal entity identifier |
| bm_en_country | text_general | Benchmark administrator location country |
| bm_en_supervisingAuthority | text_general | Authority supervising the benchmark administrator in the third country |
| bm_en_contactInfo | text_general | Official website URL or postal address (in case no website exists) of the benchmark administrator |
| bm_en_euEeaRevelantAuthority | text_general | Relevant authority relevant for the status of the benchmark administrator under BMR (Art. 30,32,33) |
| bm_en_euEeaStatus | text_general | The status of the benchmark administrator under BMR (Art. 30,32,33, 34) |
Predefined list of values per attribute.
The queries specified in section 2 are indicative for Benchmarks Reference Data System. More refine queries can be constructed according to the specified format and naming convention (see page 5). In order to construct the queries, specific values can be assigned to every attribute. Some attributes can only be mapped with a value from a predefined list.
For the Benchmarks Reference Data System, the aforementioned attributes and the predefined lists can be found below:
A. Attributes: en_supervisingAuthority, en_euEeaRevelantAuthority, bm_euEeaRelevantAuthority, bm_en_supervisingAuthority, bm_en_euEeaRevelantAuthority
| Predefined list of values: |
|---|
| Albanian Financial Supervisory Authority - ALAF |
| Alberta Securities Commission - CAAS |
| Australian Securities and Investments Commission (ASIC) - AUAS |
| Austrian Financial Market Authority (FMA) - ATFM |
| Authority for the Supervision and Development of Cooperative Societies - CYAS |
| Autoridad de Supervisión del Sistema Financiero - BOAS |
| Autorité de Contrôle Prudentiel et de Résolution (ACPR) - FRAC |
| Autorité des marchés financiers - CAAM |
| Autorité des Marchés Financiers (AMF) - FRAM |
| Autorité Marocaine du Marché des Capitaux - MAAM |
| Autoriti Monetari Brunei Darussalam - BNAM |
| BANCA D'ITALIA (BDI) - ITBD |
| Banco Central del Uruguay - UYBC |
| Banco de Portugal (BP) - PTBP |
| Bangladesh Securities and Exchange Commission - BDBS |
| Bank of Greece (BOG) - GRBO |
| Bank of Lithuania (LSC) - LTLS |
| Bank of Spain (BDE) - ESBD |
| Bermuda Monetary Authority - BMBM |
| British Columbia Securities Commission - GBBC |
| British Virgin Islands Financial Services Commission - GBBV |
| Canadian Securities Transition Office (CSTO) - CACS |
| Capital Market Authority - OMCM |
| Capital Market Authority - SACM |
| Capital Market Development Authority - MVSM |
| Capital Markets and Securities Authority - TZCM |
| Capital Markets Authority - KECM |
| Capital Markets Authority - KWCM |
| Capital Markets Authority - UGCM |
| Capital Markets Board - TRCM |
| Cayman Islands Monetary Authority - KYCI |
| Center for Coordination and Development of Securities Market - UZCC |
| Central Bank of Armenia - AMCB |
| Central Bank of Bahrain - BHCB |
| Central Bank of Cyprus (CBC) - CYCB |
| Central Bank of Iceland |
| Central Bank of Ireland (CBI) - IECB |
| China Securities Regulatory Commission - CNCS |
| Comisión Nacional Bancaria y de Valores - MXCN |
| Comisión Nacional de Valores - ARCN |
| Comisión Nacional del Mercado de Valores (CNMV) - ESCN |
| Comissão de Valores Mobiliários - BRCV |
| Comissão do Mercado de Capitais - AOCM |
| Comissão do Mercado de Valores Mobiliários (CMVM) - PTCM |
| Commission de Surveillance du Marché Financier de l'Afrique Centrale (Securities and Exchange Commission of Central Africa) - CFCS |
| Commission de Surveillance du Secteur Financier (CSSF) - LUCS |
| Commission d'Organisation et de Surveillance des Opérations de Bourse - DZCO |
| Commissione Nazionale per le Societa e la Borsa (CONSOB) - ITCO |
| Conseil du marché financier - TNCM |
| Conseil régional de l'épargne publique et des marchés financiers - WACR |
| Croatian Financial Services Supervisory Agency (HANFA) - HRHA |
| Cyprus Securities and Exchange Commission (CySEC) - CYCY |
| Czech National Bank (CNB) - CZCN |
| Egyptian Financial Supervisory Authority* - EGEF |
| Estonian Financial Supervision Authority (EFSA) - EEEF |
| European Securities and Markets Authority - ESMA |
| Federal Financial Supervisory Authority (BaFin) - DEBA |
| Financial & Capital Market Commission (FKTK) - LVFK |
| Financial Conduct Authority (FCA) - GBFC |
| Financial Market Authority (FMA) - LIFM |
| Financial Markets Authority - NZFM |
| Financial Regulatory Commission - MNFR |
| Financial Services Agency - JPFS |
| Financial Services and Markets Authority (FSMA) - BEFS |
| Financial Services Authority (FSA) - GBFA |
| Financial Services Board - ZAFS |
| Financial Services Commission - BBFS |
| Financial Services Commission - JMFS |
| Financial Services Commission - MRFS |
| Financial Services Commission/Financial Supervisory Service - KRFS |
| Financial Supervision Commission (FSC) - BGFS |
| Financial Supervisory Commission - CNFS |
| Finansinspektionen (FI) - SEFI |
| Finanssivalvonta (FSA) - FIFS |
| Finanstilsynet - DKFI |
| Gibraltar FSC (FSC) - GIFS |
| Guernsey Financial Services Commission - GGGF |
| Hellenic Capital Market Commission (HCMC) - GRHC |
| Hungarian Financial Supervisory Authority (PSZAF) - HUPS |
| Indonesia Financial Services Authority - IDIF |
| Institut Nacional Andorra de Finances - ADIN |
| Isle of Man Financial Services Authority - IMIM |
| Israel Securities Authority - ILIS |
| Jersey Financial Services Commission - JEJF |
| Jordan Securities Commission - JOJS |
| Magyar Nemzeti Bank (The Central Bank of Hungary) - HUMN |
| Malta Financial Services Authority (MFSA) - MTMF |
| Ministry of Agriculture, Forestry and Fisheries - JPMA |
| Ministry of Economy, Trade and Industry - JPME |
| Monetary Authority of Singapore - SGMA |
| National Bank of Belgium - BENB |
| National Bank of Kazakhstan - KZNB |
| National Bank of Slovakia (NBS) - SKNB |
| National Securities and Stock Market Commission - UANS |
| Nederlandse Bank (DNB) - NLDN |
| Netherlands Authority for the Financial Markets (AFM) - NLAF |
| Non Applicable - NOAP |
| Norwegian Financial Supervisory Authority (Finanstilsynet) - NOFI |
| Ontario Securities Commission - USOS |
| Palestine Capital Market Authority - PSPC |
| Polish Financial Supervision Authority - PLPF |
| Polish Financial Supervisory Commission (KNF) - PLKN |
| Prudential Regulation Authority (PRA) - GBPR |
| Qatar Financial Markets Authority - QAQF |
| Reserve Bank of Malawi - MWRB |
| Romanian Financial Supervisory Authority (ASF) - ROAS |
| Securities and Commodities Authority - AESC |
| Securities and Exchange Board of India - INSE |
| Securities and Exchange Commission - GHSE |
| Securities and Exchange Commission - NGSE |
| Securities and Exchange Commission - PHSE |
| Securities and Exchange Commission - PKSE |
| Securities and Exchange Commission - THSE |
| Securities and Exchange Commission - USSE |
| Securities and Exchange Commission - ZMSE |
| Securities and Exchange Commission of Montenegro - MESE |
| Securities and Exchange Commission of Sri Lanka - LKSE |
| Securities and Exchange Commission of the Republic of Macedonia - MKSE |
| Securities and Futures Commission - HKSF |
| Securities Commission - MYSC |
| Securities Commission - PGSC |
| Securities Commission - RSSC |
| Securities Commission of The Bahamas - BSSC |
| Securities Commission of the Federation of Bosnia and Herzegovina - BASC |
| Securities Market Agency (ATVP) - SIAT |
| State Securities Commission - VNSS |
| State Service for Financial Market Regulation and Supervision under the Government of the Kyrgyz Republic - KGSS |
| Superintendencia de Compañías, Valores y Seguros - ECSC |
| Superintendencia de Valores de la República Dominicana - DOSV |
| Superintendencia de Valores y Seguros - CLSV |
| Superintendencia del Mercado de Valores - PASM |
| Superintendencia del Mercado de Valores - PESM |
| Superintendencia del Sistema Financiero - SVSS |
| Superintendencia Financiera de Colombia - COSF |
| Superintendencia General de Valores - CRSG |
| Superintendencia Nacional de Valores - VESN |
| Swiss Financial Market Supervisory Authority - CHFI |
| Syrian Commission on Financial Markets and Securities - SYSC |
| The Bank of Russia - RUBR |
| Trinidad and Tobago Securities and Exchange Commission - TTTT |
| Turks & Caicos Islands Financial Services Commission - TCTC |
| US Commodity Futures Trading Commission (CFTC) - USCF |
B. Attributes: en_euEeaStatus, bm_euEeaStatus, bm_en_euEeaStatus
| Predefined list of values: |
|---|
| Equivalence under Art. 30 |
| Recognition under Art. 32 |
| Authorisation under Art. 34 |
| Registration under Art. 34 |
| Endorsement under Art. 33 |
C. Attributes: en_country, en_referenceCountryName, bm_administratorCountry, bm_endorsingEntityCountry, bm_en_country
| Predefined list of values: |
|---|
| The ISO 3166 English short names should be used (https://www.iso.org/obp/ui/#search). |
D. Attribute: bm_indexCode
| Predefined list of values: |
|---|
| EONA |
| EONS |
| EURI |
| EUUS |
| EUCH |
| GCFR |
| ISDA |
| LIBI |
| LIBO |
| MAAA |
| PFAN |
| TIBO |
| STBO |
| BBSW |
| JIBA |
| BUBO |
| CDOR |
| CIBO |
| MOSP |
| NIBO |
| PRBO |
| TLBO |
| WIBO |
| TREA |
| SWAP |
| FUSW |
9.Money Market Fund authorisations
The following table provides a detailed description of the fields available in the response of the predefined query for Money Market Fund authorisations.
| Field Name | Field Type | Comment |
|---|---|---|
| mmf04_lei | string | LEI of the MMF |
| mmf04_ca_cou_code_name | text_general | Country Code of the Authorising CA |
| mmf04_national_name | text_general | National Name of the MMF |
| mmf04_auth_ca_code_name | text_general | Authorising CA of the MMF |
| mmf04_domicile_name | text_general | Domicile of the MMF |
| mmf04_type_name | text_general | Type of the MMF (Short-term VNAV, Short-term Public debt CNAV, Short-term LVNAV, Standard VNAV) |
| mmf04_lgl_framework_name | string | Legal Framework (UCITS, AIF) |
| mmf04_is_passported_name | text_general | Passported MMF (Passported, Not Passported) |
| mmf04_auth_status_name | text_general | MMF authorisation status (Authorised, Withdrawn) |
| mmf04_manager_lei | string | LEI of the manager of the MMF |
| mmf04_manager_nat_name | text_general | Name of the manager of the MMF |
| mmf04_manager_domicile_name | text_general | Domicile of the manager of the MMF |
| mmf04_auth_start_date | date | Authorisation Start date |
| mmf04_auth_end_date | date | Authorisation End date |
| mmf04_creation_date | date | Last update date |
10.Register of STS notifications
The following table provides a detailed description of the fields available in the response of the predefined query for Register of STS notifications.
| Field Name | Field Type | Comment |
|---|---|---|
| stsre_notif_id | string | Notification ID |
| stsre_init_notif_dt | pdate | Initial Notification date |
| stsre_notif_dt | pdate | Last Notification date |
| sts_notification_information_notification_indentifier | string | Securitisation ID |
| stsre_secclass_desc | string | Securitisation classification |
| stsre_sectype_desc | string | Securitisation type |
| de_lei_priv | string | Designated entity LEI |
| stsre_compl_stat_desc | string | STS compliance status |
| authorised_third_party_name | string | Authorised third party name |
| stsre_undrlexp_desc | string | Underlying exposures classification |
| stsre_sanc_status | string | Securitisations with sanction |
11. Prospectus III
The following table provides a detailed description of the fields available in the response of the predefined queries for Prospectus III Register.
PROSPECTUS III DOCUMENTS
| Field Name | Field Type | Comment |
|---|---|---|
| id | string | SOLR id record response |
| home_member_state_code | text_general | Home Member State code |
| home_member_state_descr | text_general | Home Member State description |
| document_type | text_general | Document Type code |
| document_type_descr | text_general | Document Type description |
| national_document_id | text_general | Document National ID |
| document_rfss_id | text_general | Document's physical file record Primary key in RFSS database |
| approval_filing_date | pdate | Approval or Filing Date |
| eu_growth_prosp_cat_code | text_general | EU Growth Prospectus Category code |
| eu_growth_prosp_cat_descr | text_general | EU Growth prospectus Category description |
| doc_last_update_date | pdate | Document Last Update Date |
| prospectus_type_code | text_general | Prospectus Type code |
| prospectus_type_descr | text_general | Prospectus Type description |
| parent_rds_urds | text_general | Parent URD/RD ID |
| structure_type_code | text_general | Structure Type code |
| structure_type_descr | text_general | Structure Type description |
| first_passporting_date | pdate | First Passporting Date |
| last_passporting_date | pdate | Last Passporting Date |
| request_type | text_general | Request Type code |
| document_comment | text_general | Comment |
| prospectus_id | text_general | Prospectus ID |
| prospetus_id_fk | text_general | List of Prospectuses' primary keys as exist in database |
| party_name | text_general | Issuer(s) Name / LEI |
| instrument_isins | text_general | Document list of ISINs |
| member_states | text_general | Document list of Host Member State(s) |
| related_urd | text_general | Related URD ID |
| related_rd | text_general | Related RD ID |
| related_amendment | text_general | Related Amendment ID |
| related_supplement | text_general | Related Supplement ID |
| related_securities_note | text_general | Related Securities note ID |
| related_amendment | text_general | Related Amendment ID |
| related_final_terms | text_general | Related Final Terms ID |
| related_prospectuses | text_general | Related Prospectuses |
| is_passported | text_general | Indicates whether this Document is Passported |
PROSPECTUS III SECURITIES
| Field Name | Field Type | Comment |
|---|---|---|
| id | string | SOLR id record response |
| sec_dbId | plong | Security record primary key in database |
| sec_isin | text_general | ISIN |
| sec_fisn | text_general | Financial Instrument Name (FISN) |
| sec_cfi | text_general | Classification Type (CFI) |
| sec_underlyingIsin | text_general | Underlying ISIN |
| sec_underlyingIsinName | text_general | Underlying ISIN Name |
| sec_consOfferedFrom | pdouble | Consideration Offered From |
| sec_consOfferedTo | pdouble | Consideration Offered To |
| sec_consOfferedEqqty | pdouble | Consideration Offered Equal Amount |
| sec_consOfferedValue | text_general | Consideration Offered Value |
| sec_denominationAmnt | pdouble | Denomination per Unit |
| sec_denominationCurr | text_general | Denomination Issuance Currency |
| sec_volOfferedFrom | pdouble | Volume Offered From |
| sec_volOfferedTo | pdouble | Volume Offered To |
| sec_volOfferedEqqty | pdouble | Volume Offered Equal Amount |
| sec_priceOfferedAmntFrom | pdouble | Price Offered From |
| sec_priceOfferedAmntTo | pdouble | Price Offered To |
| sec_priceOfferedAmntEqqty | pdouble | Price Offered Equal Amount |
| sec_matExpDate | pdate | Maturity or Expiry Date |
| sec_undIdNotAvl | text_general | Underlying Instrument identification not available |
| sec_securitiesType | text_general | Securities Type code |
| sec_securitiesTypeDesc | text_general | Securities Type description |
| sec_indexType | text_general | INDEX of the Underlying Instrument code |
| sec_indexTypeDesc | text_general | INDEX of the Underlying Instrument description |
| sec_tvCharType | text_general | Characteristics of the Trading Venue code |
| sec_tvCharTypeDesc | text_general | Characteristics of the Trading Venue description |
| sec_offerAdmType | text_general | Type of Offer / Admission code |
| sec_offerAdmTypeDesc | text_general | Type of Offer / Admission description |
| sec_docVersionDbId | plong | Security's Document version primary key in database |
| sec_natDocId | text_general | Document National ID |
| sec_docType | text_general | Document Type code |
| sec_docTypeDesc | text_general | Document Type description |
| sec_homeMemberStateCode | text_general | Home Member State code |
| sec_homeMemberStateDesc | text_general | Home Member State description |
| sec_approvalFilingDate | pdate | Approval/ Filing date |
| sec_firstPassportingDate | pdate | First Passporting Date |
| sec_lastPassportingDate | pdate | Last Passporting Date |
| sec_isPassportedFlag | text_general | Indicates whether Security's Document is Passported |
| sec_docRfssId | text_general | Document's physical file record Primary key in RFSS database |
| sec_prospectusId | text_general | Prospectus ID |
| sec_prospectusType | text_general | Prospectus Type code |
| sec_prospectusTypeDesc | text_general | Prospectus Type description |
| sec_hostMemberStateList | text_general | List of Host Member State(s) |
| sec_issuerNameList | text_general | List of Issuer(s) Name / LEI |
| sec_prospectusPkList | text_general | List of Prospectuses' primary keys as exist in database |
12. AIF/EuSEF/EuVECA funds
The following table provides a detailed description of the fields available in the response of the predefined queries for AIF/EuSEF/EuVECA funds.
| Field Name | Field Type | Comment |
|---|---|---|
| id | string | SOLR id record response |
| entity_type | string | Record type (funds_report/marketing_notification_data) |
| funds_ca_cou_code_name | string | Fund reporting country |
| funds_national_name | text_general | Fund national name |
| funds_lei | string | Fund LEI |
| funds_legal_framework_name | string | Fund type |
| funds_other_legal_framework_name | string | Other fund type |
| funds_status_code_name | string | Fund status |
| funds_mgmnt_structure_code_name | string | Fund management structure |
| funds_domicile_cou_code_name | string | Fund domicile |
| funds_mgmnt_status_code_name | string | Fund management status |
| funds_manager_nat_name | text_general | Fund manager name |
| funds_manager_lei | string | Fund manager LEI |
| funds_manager_cou_code_name | string | Fund manager country |
| funds_manager_legal_framework_name | string | Fund manager legal framework |
| funds_host_country_code_name | string | Host Member State |
| funds_fund_mrkt_status_code_name | string | Marketed status |
| funds_notification_event1_date | string | Notification date |
| funds_notification_event2_date | string | De-notification date |
| funds_notif_legal_framework_name | string | Notification legal framework |
13. Cross-border marketing of AIFs and UCITS
The following table provides a detailed description of the fields available in the response of the predefined queries for Cross-border marketing of AIFs and UCITS.
| Field Name | Field Type | Comment |
|---|---|---|
| id | string | SOLR id record response |
| entity_type | string | Record type (funds_report/marketing_notification_data) |
| funds_ca_cou_code_name | string | Fund reporting country |
| funds_national_name | text_general | Fund national name |
| funds_lei | string | Fund LEI |
| funds_legal_framework_name | string | Fund type |
| funds_other_legal_framework_name | string | Other fund type |
| funds_status_code_name | string | Fund status |
| funds_mgmnt_structure_code_name | string | Fund management structure |
| funds_domicile_cou_code_name | string | Fund domicile |
| funds_mgmnt_status_code_name | string | Fund management status |
| funds_manager_nat_name | text_general | Fund manager name |
| funds_manager_lei | string | Fund manager LEI |
| funds_manager_cou_code_name | string | Fund manager country |
| funds_manager_legal_framework_name | string | Fund manager legal framework |
| funds_host_country_code_name | string | Host Member State |
| funds_fund_mrkt_status_code_name | string | Marketed status |
| funds_notification_event1_date | string | Notification date |
| funds_notification_event2_date | string | De-notification date |
| funds_notif_legal_framework_name | string | Notification legal framework |