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• party-role-4-0.xml

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coding-schemes.fpml.party-role-4-0.xml Maven / Gradle / Ivy

<?xml version="1.0" encoding="UTF-8"?>
<gcl:CodeList xmlns:gcl="https://docs.oasis-open.org/codelist/ns/genericode/1.0/" xmlns:doc="http://www.fpml.org/coding-scheme/documentation" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="https://docs.oasis-open.org/codelist/ns/genericode/1.0/ CodeList.xsd">
   <Annotation>
      <Description>
         <doc:definition>Contains a code representing a related party role. This can be extended to
			provide custom roles.</doc:definition>
         <doc:publicationDate>2024-02-15</doc:publicationDate>
      </Description>
   </Annotation>
   <Identification>
      <ShortName>partyRoleScheme</ShortName>
      <Version>4-0</Version>
      <CanonicalUri>http://www.fpml.org/coding-scheme/party-role</CanonicalUri>
      <CanonicalVersionUri>http://www.fpml.org/coding-scheme/party-role-4-0</CanonicalVersionUri>
      <LocationUri>http://www.fpml.org/coding-scheme/party-role-4-0.xml</LocationUri>
   </Identification>
   <ColumnSet>
      <Column Id="Code" Use="required">
         <ShortName>Code</ShortName>
         <Data Type="token">
            <Parameter ShortName="maxLength">63</Parameter>
         </Data>
      </Column>
      <Column Id="Source" Use="optional">
         <ShortName>Source</ShortName>
         <Data Type="string"/>
      </Column>
      <Column Id="Description" Use="optional">
         <ShortName>Description</ShortName>
         <Data Type="string"/>
      </Column>
      <Key Id="PrimaryKey">
         <ShortName>key</ShortName>
         <ColumnRef Ref="Code"/>
      </Key>
   </ColumnSet>
   <SimpleCodeList>
      <Row>
         <Value>
            <SimpleValue>Accountant</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization responsible for preparing the accounting for the
					trade.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>AllocationAgent</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The organization responsible for supplying the allocations for a trade to
					be allocated to multiple accounts/organizations.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ArrangingBroker</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The organization that arranged the trade, i.e. brought together the
					counterparties. Synonyms/Alternatives: Inter-dealer broker, agent.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>Beneficiary</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization that suffers the economic benefit of the trade. The
					beneficiary may be distinct from the principal/counterparty - an example occurs
					when a hedge fund trades via a prime broker; in this case the principal is the
					prime broker, but the beneficiary is the hedge fund. This can be represented as
					a payer/receiver account in the name of the hedge fund, but it is also possible
					to add the party role of "Beneficiary" at the partyTradeInformation
					level.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>BookingParty</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The entity for which the organization supporting the trade's processing
					has booked/recorded the trade. This is used in non-reporting workflows
					situations in which the trade doesn't need to be reported but a firm still wants
					to specify their own side.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>Buyer</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Acquirer of the legal title to the financial instrument. In the case of
					an option, the buyer is the holder of the option. In the case of a swap or
					forward, the buyer will be determined by industry best practice. This does not
					refer to an investor or investment manager or other organization on what is
					typically called the "Buy side"; for that, see the "Client" role. Corresponds to
					"Buyer" as defined in certain regulations such as ESMA MiFID II/MIFIR RTS 22
					field 9.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>BuyerDecisionMaker</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The party or person who, having legal authority to act on behalf of the
					trade counterparty acting as Buyer as defined in this coding scheme, made the
					decision to acquire the financial instrument. Corresponds to "buyer decision
					maker" as defined in ESMA's MIFIR RTS 23 report. This does not refer to the
					decision maker for what is traditionally called the "Buy side"; for that, see
					the "Client Decision Maker" role.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ClearingClient</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>An organization that clears trades through a clearing house, via a
					clearing broker (member of the clearing house) who acts as an agent on its
					behalf. The term "client" refers to the organization's role in the clearing
					process in relation to its clearing broker, and not whether it is a price maker
					or taker in the execution process.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ClearingExceptionParty</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>A party to the trade that claims a clearing exception, such as an
					end-user exception under Dodd-Frank Act provisions.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ClearingFirm</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization that submits the trade to a clearing house on behalf of the
					principal. Synonyms/alternates: Futures Commission Merchant (FCM), Clearing
					Broker, Clearing Member Firm. Some implementations use "Clearing Broker" as
					synonym.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ClearingOrganization</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The organization that acts as a central counterparty to clear a
					derivatives contract. This is used to represent the role of Central
					Counterparties (CCPs) or Derivative Clearing Organizations (DCOs). Sometimes
					called "ClearingService". Some implementations also use the term
					"Clearer".</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>Client</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Client as defined under ESMA MIFIR. This is generally the investor or
					other client of an investment firm, and is synonymous with the Beneficiary in
					many circumstances.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ClientDecisionMaker</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The party or person who, having legal authority to act on behalf of a
					trade counterparty, made the decision to acquire or sell the financial
					instrument.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ConfirmationPlatform</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization serving as a financial intermediary for the purposes of
					electronic confirmation or providing services for post-processing of
					transactional data.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ContractualParty</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>A party to a contractual document. If the intended usage relates to the
					context of the trade lifecycle, more specific annotations have been defined
					which might be more appropriate.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>Counterparty</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>An economic counterparty to the trade. Synonym: principal.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>CounterPartyAffiliate</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization offiially attached to the counterparty. e.g. partner,
					branch, subsidiary.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>CounterPartyUltimateParent</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The topmost entity or organization, within the corporate hierarchy,
					responsible for the reporting party.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>CreditSupportProvider</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization that enhances the credit of another organization (similar to
					guarantor, but may not fully guarantee the obligation).</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>Custodian</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization that maintains custody of the asset represented by the trade
					on behalf of the owner/principal.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>DataSubmitter</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Entity submitting the transaction report to the competent
					authority.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>DisputingParty</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization that is disputing the trade or transaction.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>DocumentRepository</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>A marketplace organization which purpose is to maintain document records.
					If the intended usage relates to the context of the trade lifecycle, more
					specific annotations have been defined which might be more
					appropriate.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ExecutingBroker</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The (generally sell-side) organization that executed the trade; the
					price-making party.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ExecutingEntity</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Entity executing the transaction. If the transaction is executed directly
					by the reporting party, it will be the reporting party. If it is executed by an
					execution agent or an affiliated party on behalf of the reporting party, it will
					be that affiliate or agent.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ExecutionAgent</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The (generally buy-side) organization that acts to execute trades on
					behalf of an investor. Typically this is an investment manager or asset manager,
					and also makes the investment decisions for the investor. If required, a
					separate InvestmentDecision role can be specified to distinguish that the party
					making the investment decision is different.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ExecutionFacility</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The facility, exchange, or market where the trade was executed. Synonym:
					Swap Execution Facility, Designated Contract Market, Execution
					Venue.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>Guarantor</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization that backs (guarantees) the credit risk of the
					trade.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>OrderTransmitter</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The entity transmitting the order to the reporting firm. Synonym:
					Transmitting Firm.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>PrimeBroker</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The organization that takes on or took on the credit risk for this trade
					by stepping in between the two economic parties (without a central counterparty
					clearing mechanism).</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>PriorTradeRepository</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The trade repository at which the trade was reported previous to the
					current trade repository.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>PTRRCompressionProvider</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>A party providing a post trade risk reduction service in the form of
					compression.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>PTRRRebalancingProvider</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>A party providing a post trade risk reduction service in the form of
					portfolio rebalancing.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>PublicationVenue</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The reporting service (whether trade repository, market data service, or
					exchange/facility/venue data distribution service) that published the report of
					this trade.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ReportingParty</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The party with the regulatory responsibility to report this
					trade.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ReportingPartyAffiliate</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>Organization offiially attached to the reporting party e.g. partner,
					branch, subsidiary.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>ReportingPartyUltimateParent</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The topmost entity or organization, within the corporate hierarchy,
					responsible for the reporting party.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>Seller</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>A counterparty in a trade, which performs in one of the following
					capacities: 1) it transfers or agrees to transfer in the future an instrument or
					title to that instrument in exchange for payment, 2) it writes a derivatives
					instrument such as an option or a swap in which it provides risk protection to
					the buyer. This does not refer to the broker/dealer or other organization on
					what is typically called the "Sell side"; for that, see the "Executing Broker"
					role. Corresponds to "Seller" as defined in certain regulations such as ESMA
					MiFID II/MIFIR RTS 22 field 16.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>SellerDecisionMaker</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The party or person who, having legal authority to act on behalf of the
					trade counterparty acting as Seller as defined in this coding scheme, made the
					decision to sell the financial instrument. Corresponds to "seller decision
					maker" as defined in ESMA's MIFIR RTS 23 report. This does not refer to the
					decision maker for what is traditionally called the "Sell side"; for that, see
					the "Trader" person role.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>SettlementAgent</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The organization that makes or receives payments on behalf of the given
					principal party.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>TradeRepository</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>An organization that maintains records of the trade for regulatory
					reporting purposes.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>TradeSource</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The organization that originally supplied the record of the trade. In the
					context of regulatory reporting, it is the submitter of the trade record to a
					regulator or TR.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>TradingManager</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>The entity responsible for managing the assets/investments of this party.
					Synonnym: Asset Manager, Investment Manager, Trading Advisory.</SimpleValue>
         </Value>
      </Row>
      <Row>
         <Value>
            <SimpleValue>TradingPartner</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>FpML</SimpleValue>
         </Value>
         <Value>
            <SimpleValue>An entity with which this party trades from time to time, ie. with which
					it acts as a counterparty on some transactions. This role is used for static
					reference data, not individual transactions.</SimpleValue>
         </Value>
      </Row>
   </SimpleCodeList>
</gcl:CodeList>