CA Instruction

Summary

The CA Instruction domain allow you to manage (create, update and delete) CA Instructions.

Query

The CA Instructions Query allows a user logged on Portal to query on CA Instructions instructed (via CreationOnline, ClearstreamXact, CreationDirect, SWIFT…).

Field description

Search by CA Instructions

Field Name	Description
Corporate Action Ref.	Allows to perform a query based on one or several CA ref (Multiple Input is allowed, 10 maximum, comma separated)
Event Type	Contains all the existing Event types for a Corporate Action. (Multiple selection is allowed).
Sender's Reference	Allows to perform a query based on Sender’s Ref
Input Media	Contains all the existing Input Media for a Corporate Action. (Multiple selection is allowed). Possible values are: • CreationOnline • Xact • CreationDirect • SWIFT • Other • Internal
Status Type	Contains all the Status Types for a Corporate Action. (Multiple selection is allowed).
Status	Contains all the Statuses for a Corporate Action. (Multiple selection is allowed).
File upload ID	Allows to perform a query based on a File Upload ID
Created/Modified By	Allows to perform a query based on the User ID of the user that has created or modified a CA Instruction (Multiple selection is allowed).
Account	Allows to perform a query based on the Account ID. If more than 50 accounts are available the drop down list component is replaced by a look-up Instruction (Multiple selection is allowed).
Account Name	This field is automatically filled with the account name, as long as an account ID has been selected
Financial Instrument	Allows to perform a query based on the Financial Instrument ID (Multiple Input is allowed, 10 maximum, comma separated)
Description	This field is automatically filled with the account name, as long as a Financial Instrument ID has been selected.
Place of safekeeping	Allows to select a Place of Safekeeping, amongst those available related to the selected Financial Instrument.
Last Update Timestamp	Allows to perform a query based on the last update timestamp (of the CA Instructions)

List View

Field description

Field Name	Description
Nbr CA Ins	In the list view the CA Instruction ID are grouped by ID. This column shows the number of instructions grouped together for a specific CA Instruction ID.
Corporate Action Ref.	Contains the Corporate Action Ref of the instruction
Event Type	Contains the Event Type of the instruction
Financial Instrument	Contains the Financial Instrument ID of the related to the instruction
Common Code	Contains Common Code of the instrument of the related instruction
Instrument Type	Contains the type of the instrument of the related instruction
Place of Safekeeping	Contains the Place of Safekeeping of the instrument of the related instruction
Function	Contains the Function of the related instruction. Possible values are: • New • Cancellation Request
Status	Contains the Status of the related instruction. For a top row, in case the sub-rows contain different values, the system will display “Multiple”.
Account	Contains the Account of the related instruction
Option Number	Contains the Option Number of the related instruction
Quantity Type	Contains the Quantity Type of the related instruction. Possible values are: • AMOR • FAM • UNIT
Instructed Quantity	Contains the Instruction Quantity of the related instruction
Sender's reference	Contains the Sender’s Ref of the related instruction
Input Media	Contains the Input Media of the related instruction
Last Update Timestamp	Contains Last Update Timestamp of the related instruction
Last Update User	Contains Last Update User of the related instruction
Related reference	Contains the related Reference of the related instruction
File Upload ID	Contains the File Upload ID of the related instruction

Detailed View

Field description

CA Instruction Summary

Field Name	Description
Event Type	Contains the Type of the Event of the related CA Instruction
CA Reference	Contains the CA Reference of the related CA Instruction
Financial Instrument	Contains the Financial instrument name of the related CA Instruction
Function of the Message	Contains the Function of the message
Selected Option	Contains the Selected Options
Instructed Quantity	Contains the Instructed Quantity
Input Media	Contains the name of the media used to create the CA Instruction
Status	Contains the status of the CA Instruction
Reason Narrative	Contains the Reason Narrative of the CA Instruction
Safekeeping Account	Contains the Safekeeping Account of the CA Instruction
CA Event Balances	Contains the Event Balances of the CA Instruction

A - General Information

Field Name	Description
Corporate Action Ref.	Contains the CA Ref the CA Instruction
Sender's Reference	Contains the Sender Ref of the CA Instruction
File Upload ID	Contains the File Upload ID of the CA Instruction
Function of Message	Contains the Function of Message of the CA Instruction
Event Type	Contains the Type of Event of the CA Instruction
Input Media	Contains the name of the media used to create the CA Instruction

A1 – Linkage

Field Name	Description
Related Message Reference	Contains the Reference of the messages related to the CA Instruction
Previous Message Reference	Contains the Reference of the previous messages related to the CA Instruction

B - Underlying Securities

Field Name	Description
ISIN	Contains the ISIN of the underlying securities related to the CA Instruction
Description	Contains the description of the underlying securities related to the CA Instruction
Common Code	Contains the Common Code of the underlying securities related to the CA Instruction
Place of Safekeeping	Contains the Place of Safekeeping of the underlying securities related to the CA Instruction
Type	Contains the Type of the underlying securities related to the CA Instruction

B2 - Account Information

Field Name	Description
Account	Contains the account number related to the CA Instruction
Account Name	Contains the account name related to the CA Instruction

C - Beneficial Owner Details

Field Name	Description
Party Format	Contains the Party Format of the Beneficial Owner related to the CA Instruction
Party	Contains the Party name of the Beneficial Owner related to the CA Instruction
Country of Domicile	Contains the Country of Domicile of the Beneficial Owner related to the CA Instruction
Country of Non-Domicile	Contains the Country of Non-Domicile of the Beneficial Owner related to the CA Instruction
Quantity Type	Contains the type of Quantity owned by the Beneficial Owner, related to the CA Instruction
Quantity of Securities Owned	Contains the Quantity owned by the Beneficial Owner, related to the CA Instruction
Narrative	Contains the Narrative of the Beneficial Owner, related to the CA Instruction

Corporate Action Instruction

Field Name	Description
Option number	Contains the option number related to the CA Instruction
Disposition of Fractions	Contains the Disposition of Fractions related to the CA Instruction
Cash Currency	Contains the Cash Currency related to the CA Instruction
ISIN	Contains the ISIN related to the CA Instruction
Description	Contains the description of the Financial Instrument related to the CA Instruction
Common Code	Contains the Common Code of the Financial Instrument related to the CA Instruction
Place of Safekeeping	Contains the Place of Safekeeping of the Financial Instrument related to the CA Instruction
(Security) Type	Contains the type of security related to the CA Instruction
Quantity – fld 1
Quantity – fld 2
Quantity – fld 3
Execution Requested Date	Contains the Execution Requested Date related to the CA Instruction
Requested Withholding Tax Rate	Contains the Requested Withholding Tax Rate related to the CA Instruction
Offered Price	Contains the Offered Price related to the CA Instruction
(CA Instruction Narrative) Type
(Ca Instruction Narrative) Narrative

Additional Information

Field Name	Description
Option number	Contains the Option Number related to the CA Instruction
Disposition of Fractions	Contains the Disposition of Franctions related to the CA Instruction

Create View (= Input Manager)

The CA Instructions Input Manager allows a user logged in the Portal to create a new CA Instruction.

The ‘Corporate Action Instruction – Create’ screen follows the same order as the CA Instruction – Detailed view.

The ‘Corporate Action Instruction – Create’ screen is used for:

an unsolicited instruction creation (with Corporate action reference ‘NONREF’) by clicking on the button ‘Create CA Instruction’ via sub-domain “CA Instruction” or
a response to a Notification by clicking on the button ‘Create CA Instruction’ via sub-domain “CA Event” or
a Request of Cancellation via sub-domain “CA Instruction”

Field description

General Information

Field Name	Description
Corporate Action Ref.	2 possibilities: ‘NONREF’ Prefilled with CA Ref.
Function of the Message	2 possibilities: ‘CANCEL’ ‘NEW’.
Sender's Reference	To provide the sender’s Reference. Free text format.
Event Type	To select an event type amongst the event list.

Underlying securities

Previous Reference	Only in case of linkage, the previous reference is automatically filled by the system
Financial Instrument	To select a Financial Instrument via the look up. Auto complete feature is enabled to ease the selection.
Description	As soon as a Financial Instrument has been selected, the system will automatically retrieve its description.
Place of Safekeeping	As soon as a Financial Instrument has been selected, the system will automatically retrieve its Place of safekeeping. In case there are more than one linked to this instrument you will be allowed to select the one you need amongst a list.
Account	To select an account: If you are granted access to less than 50 accounts then the component will be a drop down list. Else, if you have access to 50 or more accounts then the component will be a look-up
Account Name

Beneficial owner details

Click on the “Add” button to create a new line for a new beneficial owner

Party Format	2 possibilities: ‘BIC’ Name and Address
Party	To provide the Party Name: If Party Format = ‘BIC’, then select a BIC code via the lookup If Party Format = ‘Name and Address’, input a Party Name
Country of Domicile	To provide the country of domicile (enabled only if Party Format = “Name and address”)
Country of Non-Domicile	To provide the country of Non-domicile (enabled only if Party Format = “Name and address”)
Quantity Type	2 possibilities: ‘FAMT’ ‘UNIT’
Quantity of Securities Owned	To provide the Quantity of owned securities
Narrative	To input a free text narrative

Corporate action instruction

Option number	To select one of the available options of the CA Notification. Values are available in drop down list composed as: ‘Option number’ and ‘Type’.
Cash Currency	Prefilled from CA instruction or CA Event Option chosen ( if one unique Currency code is present else blank)
Disposition of Fractions	Prefilled from CA Instruction or from the selected Option
Financial Instrument	Prefilled from CA Instruction
Description	As soon as a Financial Instrument is select, the system will automatically retrieve its description.
Place of Safekeeping	As soon as a Financial Instrument is select, the system will automatically retrieve its place of safekeeping (if multiple places are available, a drop-down list will be displayed).
Quantity (Amount)	To input the Quantity to instruct
Quantity (Amount type)	To select the Amount type related to the Quantity to instruct, 2 possibilities: ‘FAMT’ ‘UNIT’
CA Eligible Balance	Prefilled from ‘ELIG' balance of the safekeeping account from the CA Notification. When unsolicited CA instr., field is left to blank
Execution Requested Date	To specify the execution requested date
Offered Price - Format	To select the format of the Offered Price Possible values are * Blank * Index Points * Actual Amount * Percentage
Offered Price – Amount	To specify the amount of the Offered Price
Offered Price - Currency	To specify the currency of the Offered Currency
Requested Withholding Tax Rate - Format	To select the format of the Requested Withholding Tax Rate. Possible values: Blank ‘FATCA’ ‘Non Resident Alien’
Requested Withholding Tax Rate Amount	To specify the format of the Requested Withholding Tax Amount
(CA Instruction Narrative) Type	To select a type of Narrative Possible values: REGI - Registration Details PACO - Party contact narrative CETI - Certification/Breakdown Narrative (Mandatory when narrative is not null.)
(CA instruction) Narrative	To specify a Narrative