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ISO 10962

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ISO 10962, known as Classification of Financial Instruments (CFI), is a six-letter-code used in the financial services industry to classify and describe the structure and function of a financial instrument (in the form of security or contract) as part of the instrument reference data. It is an international standard approved by the International Organization for Standardization (ISO). CFI have been required since 1 July 2017.

The CFI is attributed to a financial instrument at the time when the financial instrument is issued and when it is allocated an International Securities Identification Number (ISIN) by the respective national numbering agency (NNA). It will normally not change during the life of that instrument.[1]

Each of the six letters of the CFI represents a specific characteristic of the financial instrument (e.g. ESVUFB is used to describe a typical registered share). Those capital letters are drawn from the ISO basic Latin alphabet. The first letter of the code is the Category: E for Equity (shares and other instruments of that nature), D for Debt (particularly bonds), C for Collective Investment Vehicles, (i.e. investment funds). The subsequent letters define the type of instrument for that category.

The purpose of ISO 10962 is to provide a standard for describing all financial instruments that can be recognized world-wide by all operators and computer systems in the financial markets and banking industries. The Classification of financial instrument Code is used to define and describe financial instruments as a uniform set of codes for all market participants.[2] The code is issued by the members of ANNA, the Association of National Numbering Agencies. The group promotes the structure to increase its use by non-governmental market participants.

History of ISO 10962 Modification

[edit]
  • Standard was first accepted and published in 1997 as ISO 10962:1997[3]
  • Its first revision, published in 2001, was ISO 10962:2001[4]
  • In 2006, FIX Protocol group published a proposal for changes of the standard for Consultation.[1]
  • The last revised and accepted version of the standard is ISO 10962:2015 and was published by ISO in 2015.[5]
  • In 2019 a revised version mainly related to OTC derivatives was published and the latest version externalizing the CFI codes was published in 2021.[6]

Background and Goals of Introduction

[edit]

Where distinct entities transact it is seen as helpful to establish a common transaction language. The CFI code is meant to provide the most comprehensive information possible, while at the same time maintaining the code manageability, provides a standard for identification of type of instrument and their main high level characteristics, determined by the intrinsic characteristics of the financial instrument, which would be independent of the individual names or conventions of a given country or financial institution. This principle avoids confusion arising from different linguistic usage as well as redundancy, while allowing an objective comparison of the instruments across markets.[1]

CFI codes also aim to simplify electronic communication between participants, improve understanding of the characteristics of financial instruments for the investors, and allow securities grouping in a consistent manner for reporting and categorization purposes.[2]

Structure of CFI Code

[edit]
  • The first character indicates the highest level of category of the Security.[7]
  • The second character refers to the groups within each category.[7]
  • The next four characters refer to four attributes, that varies between groups.
  • The letter X always means Not Appl./Undefined.

Tabulated Structure of CFI Code

[edit]
CFI Category

(1st Char)

CFI Group

(2nd Char)

Attribute - 1

(3rd Char)

Attribute - 2

(4th Char)

Attribute - 3

(5th Char)

Attribute - 4

(6th Char)

E = Equities S = Shares i.e. Common / Ordinary Voting Right
  1. V = Voting
  2. N = Non-Voting
  3. R = Restricted
  4. E = Enhanced voting
 Ownership
  1. T = Restrictions
  2. U = Free
 Payment Status
  1. F = Fully Paid
  2. O = Nil Paid
  3. P = Partly Paid
 Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
P = Preferred shares

Voting Right

  1. V = Voting
  2. N = Non-Voting
  3. R = Restricted
  4. E = Enhanced voting

Redemption

  1. R = Redeemable
  2. E = Extendible
  3. T = Redeemable / Extendible
  4. G = Exchangeable
  5. A = Redeemable / Exchangeable / Extendible
  6. C = Redeemable/Exchangeable
  7. N = Perpetual

Income

  1. F = Fixed Rate
  2. C = Cumulative, Fixed Rate
  3. P = Participating
  4. Q = Cumulative, Participating
  5. A = Adjustable/Variable Rate
  6. N = Normal Rate
  7. U = Auction Rate
  8. D = Dividends

Form

  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
C = Convertible shares

Voting Right

  1. V = Voting
  2. N = Non-Voting
  3. R = Restricted
  4. E = Enhanced voting

Ownership

  1. T = Restrictions
  2. U = Free

Payment Status

  1. F = Fully Paid
  2. O = Nil Paid
  3. P = Partly Paid

Form

  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
F = Preferred convertible shares

Voting Right

  1. V = Voting
  2. N = Non-Voting
  3. R = Restricted
  4. E = Enhanced voting
 Redemption
  1. R = Redeemable
  2. E = Extendible
  3. T = Redeemable / Extendible
  4. G = Exchangeable
  5. A = Redeemable / Exchangeable / Extendible
  6. C = Redeemable/Exchangeable
  7. N = Perpetual

Income

  1. F = Fixed Rate
  2. C = Cumulative, Fixed Rate
  3. P = Participating
  4. Q = Cumulative, Participating
  5. A = Adjustable/Variable Rate
  6. N = Normal Rate
  7. U = Auction Rate
  8. D = Dividends

Form

  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
L = Limited partnership units

Voting Right

  1. V = Voting
  2. N = Non-Voting
  3. R = Restricted
  4. E = Enhanced voting
 Ownership
  1. T = Restrictions
  2. U = Free
 Payment Status
  1. F = Fully Paid
  2. O = Nil Paid
  3. P = Partly Paid

Form

  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
D = Depository receipts on equities Instrument dependency
  1. S = Common/Ordinary Shares
  2. P = Preferred/Preference Shares
  3. C = Common/Ordinary Convertible Shares
  4. F = Preferred/Preference Convertible Shares
  5. L = Limited Partnership Units
  6. M = Others (Misc.)
 Redemption / Conversion of the Underlying Asset
  1. R = Redeemable
  2. N = Perpetual
  3. B = Convertible
  4. D = Convertible/Redeemable
  5. X = Not Appl./Undefined
 Income
  1. F = Fixed Rate
  2. C = Cumulative, Fixed Rate
  3. P = Participating
  4. Q = Cumulative, Participating
  5. A = Adjustable/Variable Rate
  6. N = Normal Rate
  7. U = Auction Rate
  8. D = Dividends
 Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
Y = Structured instruments (participation) Type
  1. A = Tracker Certificate
  2. B = Outperforming Certificate
  3. C = Bonus Certificate
  4. D = Outperformance Bonus Certificate
  5. E = Twin-Win-Certificate
  6. M = Others (Misc.)
 Distribution
  1. D = Dividend Payments
  2. Y = No Payments
  3. M = Others (Misc.)
 Repayment
  1. F = Cash Repayment
  2. V = Physical Repayment
  3. E = Elect at Settlement
  4. M = Others (Misc.)

Underlying asset

  1. B = Baskets
  2. S = Equities
  3. D = Debt Instruments
  4. G = Derivatives
  5. T = Commodities
  6. C = Currencies
  7. I = Indices
  8. N = Interest rates
  9. M = Others (Misc.)
R = Preference shares Voting Right
  1. V = Voting
  2. N = Non-Voting
  3. R = Restricted
  4. E = Enhanced voting

Redemption

  1. R = Redeemable
  2. E = Extendible
  3. T = Redeemable / Extendible
  4. G = Exchangeable
  5. A = Redeemable / Exchangeable / Extendible
  6. C = Redeemable/Exchangeable
  7. N = Perpetual
 Income
  1. F = Fixed Rate
  2. C = Cumulative, Fixed Rate
  3. P = Participating
  4. Q = Cumulative, Participating
  5. A = Adjustable/Variable Rate
  6. N = Normal Rate
  7. U = Auction Rate
  8. D = Dividends
 Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
V = Preference convertibles shares Voting Right
  1. V = Voting
  2. N = Non-Voting
  3. R = Restricted
  4. E = Enhanced voting
 Redemption
  1. R = Redeemable
  2. E = Extendible
  3. T = Redeemable / Extendible
  4. G = Exchangeable
  5. A = Redeemable / Exchangeable / Extendible
  6. C = Redeemable/Exchangeable
  7. N = Perpetual
 Income
  1. F = Fixed Rate
  2. C = Cumulative, Fixed Rate
  3. P = Participating
  4. Q = Cumulative, Participating
  5. A = Adjustable/Variable Rate
  6. N = Normal Rate
  7. U = Auction Rate
  8. D = Dividends
 Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
U = Units

(from Unit trusts, Mutual funds,

OPCVM or OICVM)

Closed/open-end
  1. C = Closed-end
  2. O = Open-end
 Distribution policy
  1. I = Income funds
  2. G = Growth funds
  3. M = Mixed funds
 Assets
  1. R = Real estate
  2. S = Securities
  3. M = Mixed-general
  4. C = Commodities
  5. D = Derivatives
 Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. Z = Bearer depository receipt
  5. A = Registered depository receipt
  6. M = Others (Misc.)
M = Others (Misc.) X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
D = Debt Instruments B = Bonds Type of interest
  1. F = Fixed rate
  2. Z = Zero rate / discounted rate
  3. V = Variable
  4. C = Cash payment
  5. K = payment in kind
 Guarantee
  1. T = Government / State Guarantee
  2. G = Joint Guarantee
  3. S = Secured
  4. U = Unsecured / Unguaranteed
  5. P = Negative Pledge
  6. N = Senior
  7. O = Senior Subordinated
  8. Q = Junior
  9. J = Junior Subordinated
  10. C = Supranational
 Redemption/Reimbursement
  1. F = Fixed Maturity
  2. G = Fixed Maturity with Call Feature
  3. C = Fixed Maturity with Put Feature
  4. D = Fixed Maturity with Put and Call
  5. A = Amortization Plan
  6. B = Amortization Plan with Call Feature
  7. T = Amortization Plan with Put Feature
  8. L = Amortization Plan with Put and Call
  9. P = Perpetual
  10. Q = Perpetual with Call Feature
  11. R = Perpetual with Put Feature
  12. E = Extendible

Form

  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
C = Convertible Bonds
W = Bonds with warrants attached
T = Medium-term notes
S = Structured products (with capital protection) Type
  1. A = Capital Protection Certificate with Participation
  2. B = Capital Protection Convertible Certificate
  3. C = Barrier Capital Protection Certificate
  4. D = Capital Protection Certificate with Coupons
  5. M = Others (Misc.)
 Distribution
  1. F = Fixed Interest Payments
  2. D = Dividend Payments
  3. V = Variable Interest Payments
  4. Y = No Payments
  5. M = Others (Misc.)
 Repayment
  1. F = Fixed Cash Repayment (Only Protected Capital Level)
  2. V = Variable Cash Repayment
  3. M = Others (Misc.)
 Underlying asset
  1. B = Baskets
  2. S = Equities
  3. D = Debt Instruments / Interest Rates
  4. T = Commodities
  5. C = Currencies
  6. I = Indices
  7. M = Others (Misc.)
E = Structured products (without capital protection) Type
  1. A = Discount Certificate
  2. B = Barrier Discount Certificate
  3. C = Reverse Convertible
  4. D = Barrier Reverse Convertible
  5. E = Express Certificate
  6. M = Others (Misc.)
 Repayment
  1. R = Repayment in Cash
  2. S = Repayment in Assets
  3. C = Repayment in Assets and Cash
  4. T = Repayment in Assets or Cash
  5. M = Others (Misc.)
G = Mortgage-backed securities (MBS)

Type of interest

  1. F = Fixed rate
  2. Z = Zero rate / discounted rate
  3. V = Variable
 Guarantee
  1. T = Government / State Guarantee
  2. G = Joint Guarantee
  3. S = Secured
  4. U = Unsecured / Unguaranteed
  5. P = Negative Pledge
  6. N = Senior
  7. O = Senior Subordinated
  8. Q = Junior
  9. J = Junior Subordinated
  10. C = Supranational

Redemption/Reimbursement

  1. F = Fixed Maturity
  2. G = Fixed Maturity with Call Feature
  3. C = Fixed Maturity with Put Feature
  4. D = Fixed Maturity with Put and Call
  5. A = Amortization Plan
  6. B = Amortization Plan with Call Feature
  7. T = Amortization Plan with Put Feature
  8. L = Amortization Plan with Put and Call
  9. P = Perpetual
  10. Q = Perpetual with Call Feature
  11. R = Perpetual with Put Feature
  12. E = Extendible

Form

  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
A = Asset backed securities (ABS) Type of interest
  1. F = Fixed rate
  2. Z = Zero rate / discounted rate
  3. V = Variable
 Guarantee
  1. T = Government / State Guarantee
  2. G = Joint Guarantee
  3. S = Secured
  4. U = Unsecured / Unguaranteed
  5. P = Negative Pledge
  6. N = Senior
  7. O = Senior Subordinated
  8. Q = Junior
  9. J = Junior Subordinated
  10. C = Supranational
 Redemption/Reimbursement
  1. F = Fixed Maturity
  2. G = Fixed Maturity with Call Feature
  3. C = Fixed Maturity with Put Feature
  4. D = Fixed Maturity with Put and Call
  5. A = Amortization Plan
  6. B = Amortization Plan with Call Feature
  7. T = Amortization Plan with Put Feature
  8. L = Amortization Plan with Put and Call
  9. P = Perpetual
  10. Q = Perpetual with Call Feature
  11. R = Perpetual with Put Feature
  12. E = Extendible
 Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
N = Municipal bonds Type of interest
  1. F = Fixed rate
  2. Z = Zero rate / discounted rate
  3. V = Variable
 Guarantee
  1. T = Government / State Guarantee
  2. G = Joint Guarantee
  3. S = Secured
  4. U = Unsecured / Unguaranteed
  5. P = Negative Pledge
  6. N = Senior
  7. O = Senior Subordinated
  8. Q = Junior
  9. J = Junior Subordinated
  10. C = Supranational
 Redemption/Reimbursement
  1. F = Fixed Maturity
  2. G = Fixed Maturity with Call Feature
  3. C = Fixed Maturity with Put Feature
  4. D = Fixed Maturity with Put and Call
  5. A = Amortization Plan
  6. B = Amortization Plan with Call Feature
  7. T = Amortization Plan with Put Feature
  8. L = Amortization Plan with Put and Call
  9. P = Perpetual
  10. Q = Perpetual with Call Feature
  11. R = Perpetual with Put Feature
  12. E = Extendible
 Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
D = Depository receipts on debt instruments Instrument dependency
  1. B = Bonds
  2. C = Convertible Bonds
  3. W = Bonds with Warrants Attached
  4. T = Medium-Term Notes
  5. Y = Money Market Instruments
  6. G = Mortgage-Backed Securities
  7. Q = Asset-Backed Securities
  8. N = Municipal Bonds
  9. M = Others (Misc.)
 Type of interest/cash payment
  1. F = Fixed Rate
  2. Z = Zero Rate/Discounted
  3. V = Variable
  4. C = Cash Payment
 Guarantee
  1. T = Government / State Guarantee
  2. G = Joint Guarantee
  3. S = Secured
  4. U = Unsecured / Unguaranteed
  5. P = Negative Pledge
  6. N = Senior
  7. O = Senior Subordinated
  8. Q = Junior
  9. J = Junior Subordinated
  10. C = Supranational
 Redemption/Reimbursement
  1. F = Fixed Maturity
  2. G = Fixed Maturity with Call Feature
  3. C = Fixed Maturity with Put Feature
  4. D = Fixed Maturity with Put and Call
  5. A = Amortization Plan
  6. B = Amortization Plan with Call Feature
  7. T = Amortization Plan with Put Feature
  8. L = Amortization Plan with Put and Call
  9. P = Perpetual
  10. Q = Perpetual with Call Feature
  11. R = Perpetual with Put Feature
  12. E = Extendible
Y = Money market instruments Type of interest
  1. F = Fixed Rate
  2. Z = Zero Rate/Discounted
  3. V = Variable
  4. K = Payment in Kind
 Guarantee
  1. T = Government / State Guarantee
  2. G = Joint Guarantee
  3. S = Secured
  4. U = Unsecured / Unguaranteed
  5. P = Negative Pledge
  6. N = Senior
  7. O = Senior Subordinated
  8. Q = Junior
  9. J = Junior Subordinated
  10. C = Supranational
 X = Not Appl./Undefined Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
M = Others (Misc.) Type
  1. B = Bank Loan
  2. P = Promissory Note
  3. M = Others (Misc.)
 X = Not Appl./Undefined X = Not Appl./Undefined Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
C = Collective Investment Vehicles I = Standard (vanilla)investment funds/mutual funds Closed / Open-end
  1. O = Open-End
  2. C = Closed-End
  3. M = Others (Misc.)
 Distribution Policy
  1. I = Income Funds
  2. G = Accumulation Funds
  3. J = Mixed Funds
 Asset

R = Real Estate

B = Debt Instruments

E = Equities

V = Convertible Securities

L = Mixed

C = Commodities

D = Derivatives

F = Referential Instruments

K = Credits

M = Others (Misc.)

Security Type and Investors Restrictions

  1. S = Shares
  2. Q = Shares for QI
  3. U = Units
  4. Y = Units for QI
H = Hedge funds
B = Real estate investment trusts (REITs)
E = Exchange-traded funds (ETFs)
S = Pension funds
F = Funds of funds
P = Private equity funds
M = Others (Misc.) X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined Security Type and Investors Restrictions
  1. S = Shares
  2. Q = Shares for QI
  3. U = Units
  4. Y = Units for QI
R = Entitlement (Rights) A = Allotments (Bonus Rights) X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
S = Subscription Rights Asset
  1. S = Common/Ordinary Shares
  2. P = Preferred/Preference Shares
  3. C = Common/Ordinary Convertible Shares
  4. F = Preferred/Preference Convertible Shares
  5. B = Bonds
  6. I = Combined Instruments
  7. M = Others (Misc.)
 X = Not Appl./Undefined X = Not Appl./Undefined Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
P = Purchase Rights Asset
  1. S = Common/Ordinary Shares
  2. P = Preferred/Preference Shares
  3. C = Common/Ordinary Convertible Shares
  4. F = Preferred/Preference Convertible Shares
  5. B = Bonds
  6. I = Combined Instruments
  7. M = Others (Misc.)
 X = Not Appl./Undefined X = Not Appl./Undefined

Form

  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
W = Warrants Underlying asset
  1. B = Baskets
  2. S = Equities
  3. D = Debt Instruments/Interest Rates
  4. T = Commodities
  5. C = Currencies
  6. I = Indices
  7. M = Others (Misc.)
 Type
  1. T = Traditional Warrants
  2. N = Naked Warrants
  3. C = Covered Warrants
 Call / Put
  1. C = Call
  2. P = Put
  3. B = Call and Put
 Exercise Option Style
  1. A = American
  2. E = European
  3. B = Bermudan
  4. M = Others (Misc.)
F = Mini-future certificates/constant leverage certificates Underlying asset
  1. B = Baskets
  2. S = Equities
  3. D = Debt Instruments/Interest Rates
  4. T = Commodities
  5. C = Currencies
  6. I = Indices
  7. M = Others (Misc.)
 Barrier dependency type
  1. T = Barrier Underlying Based
  2. N = Barrier Instrument Based
  3. M = Others (Misc.)
 Long / short
  1. C = Long
  2. P = Short
  3. M = Others (Misc.)
 Exercise Option Style
  1. A = American
  2. E = European
  3. B = Bermudan
  4. M = Others (Misc.)
D = Depository receipts on entitlements Instrument dependency
  1. A = Allotment (Bonus) Rights
  2. S = Subscription Rights
  3. P = Purchase Rights
  4. W = Warrants
  5. M = Others (Misc.)
 X = Not Appl./Undefined X = Not Appl./Undefined Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
M = Other (Misc.) X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined
O = Listed Options C = Call Options Exercise option style
  1. A = American
  2. E = European
  3. B = Bermudan
 Underlying asset
  1. B = Baskets
  2. S = Stock-Equities
  3. D = Debt Instruments
  4. T = Commodities
  5. C = Currencies
  6. I = Indices
  7. O = Options
  8. F = Futures
  9. W = Swaps
  10. N = Interest Rates
  11. M = Others (Misc.)
 Delivery
  1. P = Physical
  2. C = Cash
  3. N = Non-Deliverable
  4. E = Elect at Exercise
 Standard
  1. S = Standardized
  2. N = Non-Standardized
P = Put Options
M = Others (Misc.) X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined
F = Futures F = Financial futures Underlying Asset
  1. B = Baskets
  2. S = Stock-Equities
  3. D = Debt Instruments
  4. C = Currencies
  5. I = Indices
  6. O = Options
  7. F = Futures
  8. W = Swaps
  9. N = Interest Rates
  10. V = Stock Dividend
  11. M = Others (Misc.)
 Delivery
  1. P = Physical
  2. C = Cash
  3. N = Non-Deliverable
 Standardized / Non-Standardized
  1. S = Standardized
  2. N = Non-Standardized
 X = Not Appl./Undefined
C = Commodities futures Underlying Asset
  1. E = Extraction Resources
  2. A = Agriculture
  3. I = Industrial Products
  4. S = Services
  5. N = Environmental
  6. P = Polypropylene Products
  7. H = Generated Resources
  8. M = Others (Misc.)
 Delivery
  1. P = Physical
  2. C = Cash
  3. N = Non-Deliverable

Standardized / Non-Standardized

  1. S = Standardized
  2. N = Non-Standardized
 X = Not Appl./Undefined
S = Swaps R = Rates
T = Commodities
E = Equity
C = Credit
F = Foreign exchange (FX)
M = Others (Misc.)
H = Non-listed and complex listed options R = Rates
T = Commodities
E = Equity
C = Credit
F = Foreign exchange (FX)
M = Others (Misc.)
I = Spots F = Foreign exchange (FX) X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined Delivery
  1. P = Physical
T = Commodities Underlying asset
  1. A = Agriculture
  2. J = Energy
  3. K = Metals
  4. N = Environmental
  5. P = Polypropylene Products
  6. S = Fertilizer
  7. T = Paper
  8. M = Others (Misc.)
 X = Not Appl./Undefined X = Not Appl./Undefined X = Not Appl./Undefined
J = Forwards E = Equity
F = Foreign exchange (FX)
C = Credit
R = Rates
T = Commodities
K = Strategies R = Rates
T = Commodities
E = Equity
C = Credit
F = Foreign exchange (FX)
Y = Mixed assets
M = Others (Misc.)
L = Financing L = Loan Lease Underlying asset
  1. A = Agriculture
  2. B = Baskets
  3. J = Energy
  4. K = Metals
  5. N = Environmental
  6. P = Polypropylene Products
  7. S = Fertilizer
  8. T = Paper
  9. M = Others (Misc.)
 X = Not appl./Undefined X = Not appl./Undefined Delivery
  1. P = Physical
  2. C = Cash
  3. N = Non-Deliverable
R = Repurchase agreements Underlying asset
  1. G = General collateral
  2. S = Specific security collateral
  3. C = Cash collateral
 Termination
  1. F = Flexible
  2. N = Overnight
  3. O = Open
  4. T = Term
 X = Not appl./Undefined Delivery
  1. D = Delivery versus payment
  2. H = Hold-in-custody
  3. T = Tri-party
S = Securities Lending Underlying asset
  1. C = Cash collateral
  2. G = Govt. bonds
  3. P = Corporate bonds
  4. T = Convertible bonds
  5. E = Equity
  6. L = Letter of credit
  7. D = Cert. of deposit
  8. W = Warrants
  9. K = Money Market instruments
  10. M = Others (Misc.)
 Termination
  1. N = Overnight
  2. O = Open
  3. T = Term
 X = Not appl./Undefined Delivery
  1. D = DvP / Delivery versus payment
  2. F = Free of payment
  3. H = Hold-in-custody
  4. T = Tri-party
T = Referential instruments C = Currencies Type
  1. N = National Currency
  2. L = Legacy Currency
  3. C = Bullion Coins
  4. M = Others (Misc.)
 X = Not appl./Undefined X = Not appl./Undefined X = Not appl./Undefined
T = Commodities Underlying asset
  1. E = Extraction Resources
  2. A = Agriculture
  3. I = Industrial Products
  4. S = Services
  5. N = Environmental
  6. P = Polypropylene Products
  7. H = Generated Resources
  8. M = Others (Misc.)
 X = Not appl./Undefined X = Not appl./Undefined X = Not appl./Undefined
R = Interest rates Type
  1. N = Nominal
  2. V = Variable
  3. F = Fixed
  4. R = Real
  5. M = Others (Misc.)
 Freq. of calculation
  1. D = Daily
  2. W = Weekly
  3. N = Monthly
  4. Q = Quarterly
  5. S = Semi-Annually
  6. A = Annually
  7. M = Others (Misc.)
 X = Not appl./Undefined X = Not appl./Undefined
I = Indices Asset class
  1. E = Equities
  2. D = Debt
  3. F = Collective Investment Vehicles
  4. R = Real Estate
  5. T = Commodities
  6. C = Currencies
  7. M = Others (Misc.)
 Weighting type
  1. P = Price Weighted
  2. C = Capitalization Weighted
  3. E = Equal Weighted
  4. F = Modified Market Capitalization Weighted
  5. M = Others (Misc.)
 Index return type
  1. P = Price Return
  2. N = Net Total Return
  3. G = Gross Total Return
  4. M = Others (Misc.)
 X = Not appl./Undefined
B = Baskets Composition
  1. E = Equities
  2. D = Debt
  3. F = Collective Investment Vehicles
  4. I = Indices
  5. T = Commodities
  6. C = Currencies
  7. M = Others (Misc.)
 X = Not appl./Undefined X = Not appl./Undefined X = Not appl./Undefined
D = Stock dividends Type of equity
  1. S = Common Ordinary Shares
  2. P = Preferred/Preference Shares
  3. C = Common Ordinary Convertible Shares
  4. F = Preferred/Preference Convertible Shares
  5. L = Limited Partnership Units
  6. K = Collective Investment Vehicles
  7. M = Others (Misc.)
 X = Not appl./Undefined X = Not appl./Undefined X = Not appl./Undefined
M = Misc. / Others X = Not appl./Undefined X = Not appl./Undefined X = Not appl./Undefined X = Not appl./Undefined
M = Misc. / Others C = Combined instruments Component
  1. S = Combination of Shares
  2. B = Combination of Bonds
  3. H = Share and Bond
  4. A = Share and Warrant
  5. W = Warrant and Warrant
  6. U = Fund Units and Other Components
  7. M = Others (Misc.)
 Ownership
  1. T = Restrictions
  2. U = Free
 X = Not appl./Undefined Form
  1. B = Bearer
  2. R = Registered
  3. N = Bearer/Registered
  4. M = Others (Misc.)
M = Misc. / Others Further grouping
  1. R = Real Estate Deeds
  2. I = Insurance Policies
  3. E = Escrow Receipts
  4. T = Trade Finance Instruments
  5. N = Carbon Credit
  6. P = Precious Metal Receipts
  7. S = Other OTC Derivative Products
  8. M = Others (Misc.)
 X = Not appl./Undefined X = Not appl./Undefined X = Not appl./Undefined

See also

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References

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  1. ^ a b c "Securities and related financial instruments — Classification of Financial Instruments (CFI code) – [Revision of ISO 10962:2001]" (PDF). FIX Protocol association (FPL). Retrieved 30 July 2013.[permanent dead link‍]
  2. ^ a b "CFI & ISO 10962 on ANNA website". Association of National Numbering Agencies (ANNA). Retrieved 30 July 2013.
  3. ^ "ISO 10962:2001". ISO. Retrieved 26 April 2019.
  4. ^ "ISO 10962:2001". ISO. Retrieved 26 April 2019.
  5. ^ "ISO 10962:2015". International Organization for Standardization (ISO). Archived from the original on 2017-03-02.
  6. ^ "ISO/DIS 10962". ISO. Retrieved 26 April 2019.
  7. ^ a b "CFI Code description on CNMV site". The Comisión Nacional del Mercado de Valores (CNMV). Retrieved 30 July 2013.
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