Several regulatory jurisdictions require historical transactions to be disclosed either directly in their standard disclosure form or as an annexure to the standard form.
Examples of rules that require historical Transactions to be uploaded into the system for the disclosures to be generated correctly are:
The below sample transaction file provides an example of the file format and the fields necessary within the transactions file:
| Column Name | Description |
|---|---|
| SchemeID | ID of the scheme |
| Trade_Date | Date the trade was executed |
| Settle_Date | Date of the settlement |
| TransactionType | See below for possible types |
| Product_ID | ID of the product |
| ISIN | ISIN identifier |
| CUSIP | CUSIP identifier |
| Price | Price transaction was executed at |
| Quantity | Quantity purchased/sold |
| Pricing_CCY | Currency of price |
| Exchange_Rate | Price exchange rate |
| Type | Description |
|---|---|
| Buy | A standard purchase / buy transaction |
| Sell | A standard sale /sell transaction |
| CorporateAction | The issue of bonus shares, stock splits - everything related to actions taken by the issuer |
| Expiry | The expiry of a derivative contract |
| Exercise | The exercise of an option, future etc. |
| Adjustment | Internal transfer of Assets |
| Maturity | The maturity of a convertible bond, for example |
| TakeOn | Asset resulting from a new account being opened |
| Withdrawal | Asset withdrawn due to an account being closed |