ISO 10962:2021 Securities and related financial instruments — Classification of financial instruments (CFI) code

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Securities and related financial instruments — Classification of financial instruments (CFI) code是国际标准化组织发布的ISO标准，适用于世界范围。

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INTERNATIONAL STANDARD ISO 10962:2021

Securities and related financial instruments — Classification of financial instruments (CFI) code

1 Scope

This document defines and describes the structure for the codes for an internationally valid system to classify financial instruments. The classification system applies to financial instruments negotiated internationally as well as to domestic instruments. The term “financial instruments” refers not only to classical securities and derivatives but also covers the innovative financial products that have emerged in different markets (a trend that is expected to continue in the future).

This document is intended for use in any application in the trading and administration of financial instruments in the international securities business. Insofar as the trading and administration of securities do not affect other countries, the application of this document remains at the discretion of the responsible national bodies, such as stock exchanges, banks, brokers, regulatory bodies and other institutions active in the securities field.

In principle, the CFI code reflects characteristics that are defined when a financial instrument is issued and that remain unchanged during its entire lifetime. However, a few events that can lead to a new CFI code for the same instrument are anticipated, such as the changing of voting rights or ownership restrictions by a stockholders' meeting.

2 Normative references

There are no normative references in this document.

3 Terms and definitions

For the purposes of this document, the following terms and definitions apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https://www.iso.org/obp

— IEC Electropedia: available at http://www.electropedia.org/

3.1

concept

unit thought, idea or meaning

Note 1 to entry: A concept uses an Internationalized Resource Identifier (3.2) as a unique identifier.

3.2

Internationalized Resource Identifier

IRI

unique string of characters to identify a concept (3.1)

Note 1 to entry: The IRI supersedes the universal resource identifier (URI) for use in identifying concepts within a Resource Definition Framework (3.3).

3.3

Resource Definition Framework

RDF

general method used to model concepts (3.1)

ISO 10962:2021

3.4

Web Ontology Language

OWL

semantic web language designed to represent rich and complex knowledge about things, groups of things and relations between things, allowing one to represent hierarchical class relationships and capture properties and constraints, among other things

Note 1 to entry: Further information is provided at: https://www.w3.org/OWL/. There are various syntax conventions by which OWL can be represented [see Terse RDF Triple Language (3.6)].

Note 2 to entry: Any terms that are part of this vocabulary are prefixed with owl:.

3.5

Simple Knowledge Organization System

SKOS

W3C recommendation designed for representing classification schemes and taxonomies

Note 1 to entry: Like OWL, SKOS is an RDF-based vocabulary..

Note 2 to entry: Unlike the class hierarchy one can develop in OWL, SKOS provides the ability to create hierarchies that utilize different types of relationships, e.g. is-a-part/member-of and as such, and also provides the opportunity to support classifications and taxonomies across a broad range of information and use cases.

Note 3 to entry: Further information is provided at: https://www.w3.org/SKOS/.

Note 4 to entry: Any terms that are part of this vocabulary are prefixed with skos:.

3.6

Terse RDF Triple Language

TTL

syntax convention that represents the Web Ontology Language (3.4)

Note 1 to entry: Further information on this OWL syntax and details regarding how it is structured is provided at: https://www.w3.org/TeamSubmission/turtle/.

4 Conventions and principles

4.1 General

The CFI code provides the most comprehensive information possible while maintaining the manageability of the code. One of the essential rules of this CFI concept is that the classification is determined by the intrinsic characteristics of the respective financial instruments and not by the instrument names and terms prevailing in a given country; these terms can be used in a different sense in another country. This principle avoids confusion arising from different linguistic usage as well as redundancy, while allowing objective comparison of the instruments across all domestic markets.

The CFI code should be defined in such a way that there is only one possible unique CFI code per type of financial instrument. The CFI code should have a one-to-many relationship with financial instruments. A financial instrument should only be associated with a single CFI code, see Figure 1.

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