 Option F |
:4!c/[8c]/4!c |
(Qualifier)(Data Source Scheme)(Indicator) |
Optional in mandatory subsequence C1
(Error code(s): T89)
| Order |
M/O |
Qualifier |
R/N |
CR |
Options |
Qualifier Description |
|---|---|---|---|---|---|---|
| 1 |
O |
TRCA |
R |
|
F |
Party Capacity Indicator |
| 2 |
O |
INCA |
N |
|
F |
Investor Capacity Indicator |
This qualified generic field specifies:
| INCA |
Investor Capacity Indicator |
Role of the investor in the transaction. |
| TRCA |
Party Capacity Indicator |
Specifies the role of the party in the transaction. |
If Qualifier is TRCA and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):
| AGEN |
Trading as Agent |
Party is trading on behalf of his client. |
| BAGN |
Acting as Agent for Customer and Other Person |
Party is acting as an agent for both customer and another person. |
| CAGN |
Crossing as Agent |
Party is crossing on behalf of his client. |
| CPRN |
Crossing as Principal |
Party is crossing for his own account. |
| INFI |
Investment Firm |
Any legal person whose regular occupation or business is the provision of one or more investment services to third parties and/or the performance of one or more investment activities on a professional basis. |
| MKTM |
Market Maker |
Dealer or specialist that is trading for their own account in the OTC market. Market makers are expected to maintain an orderly market by being available to buy or sell. |
| MLTF |
Multi-Lateral Trading Facility |
Multilateral trading facility (MTF) is a multilateral system which brings together multiple third-party buying and selling interests in financial instruments in a way that results in a contract. |
| OAGN |
Acting as Agent for Person Other than Customer |
Party is acting as an agent for a person other than a customer. |
| PRAG |
Acting as Agent for Some Executions and Principal |
Party is acting as an agent for some executions and principal for others. |
| PRIN |
Trading as Principal |
Party is trading for his own account. |
| RISP |
Acting as Riskless Principal |
Party is trading as a riskless principal, that is, the order to buy (sell) has been simultaneously offset by an order to sell (buy) with another party. |
| RMKT |
Regulated Market |
A regulated market is a market on which financial instruments can be traded according to rules defined by the stock exchange. |
| SINT |
Systematic Internaliser |
Firms which, on an organised, frequent and systematic basis, deal on their own account by executing client orders outside a regulated market or an MTF. SIs have the obligation to provide, and make public, a definite bid and offer quote for liquid securities. |
| TAGT |
Transfer Agent |
The party appointed by the Fund Management Company. It updates records of investor accounts to reflect the daily investor purchases, redemptions, switches, transfers, and re-registrations. It ensures the timely settlement of transactions, and may provide tax information to the investor and/or to its intermediaries. It may calculate, collect, and rebate commissions. It prepares and distributes confirmations reflecting transactions, resulting in unit or cash account movements to the investor or the investor's intermediary. It responds to inquiries concerning account status, and processes the income distribution. |
If Qualifier is INCA and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):
| ELIG |
Eligible Counterparty |
MiFID classification of counterparty. Eligible customers are the most sophisticated level of investor, able to opt out of some of the protections afforded by conduct of business rules defined under MiFID. |
| PROF |
Professional Client |
MiFID classification of counterparty. Professional customers are, for example, investment firms, credit institutions, insurance companies. |
| RETL |
Retail Client |
MiFID classification of counterparty. Retail customers are the least sophisticated level of investor. |
For Qualifier INCA, the use of the codes needs to be bi-laterally agreed.
