ANNEXURE E

Format and Order of Fields for the Daily Transaction Report

(DTR)

S.No	CODE	EXPLANATION	FIELD DESCRIPTION	FIELD WIDTH
1	CUST_CODE	Custodian Code (this is the numeric code present in the SEBI Regn No)	NUMBER	3
2	REPORT_DT	Date of report(DD-MON-YYYY)	CHARACTER	11
3	ID	Unique Transaction Identification Number to be given by custodian	CHARACTER	12
4	FII_R_NO	FII Registration Number CC-CC-CC-XXXX-YY	CHARACTER	16
5	FII_NAM	FII Name	CHARACTER	60
6	SA_CODE	Sub-account Code	NUMBER	7
7	BRK_R_NO	Broker Registration Number	CHARACTER	12
8	SCR_NAM	Scrip Name	CHARACTER	40
9	ISIN_CODE	ISIN Code	CHARACTER	12
10	TRN_DT	Transaction Date DD-MON-YYYY	NUMBER	11
11	NAT_TRN	Nature of Transaction (Purchase, Sale, Bonus etc.)	NUMBER	2
12	EXCH_CODE	Exchange Code	CHARACTER	2
13	SETT_CODE	Settlement Code	CHARACTER	1
14	T_RATE	Transaction Price (Rs.)	NUMBER	(15,4)
15	T_QTY	Transaction Quantity	NUMBER	(11,2)
16	VALUE	Transaction Value (Rs.)	NUMBER	(16,2)
17	INST_TYPE	Instrument Type	CHARACTER	2
18	R_DELAY	Reasons for Delay in Reporting	CHARACTER	1
19	R_TYPE	Reporting Type	CHARACTER	1
20	R_CHANGE	Reason for amendment / deletion of trade	NUMBER	2

C - Character N - Number

N (12,2) - Number with 10 integers and 2 decimal digits

MANDATORY FIELDS

All the fields are mandatory. If a field is left blank, an error record would be encountered and the whole report would be returned to the custodian for corrections.

Please note that the earlier reporting which was submitted in DBF format by way of soft copy should now be in "TEXT" format with fields separated by "I" (i.e. a pipe).

4. FII_R_No. : FII Registration Number

The current registration number given to the FIIs is the format : CC-CC-CC-XXX-YY. The serial number contained in the registration number is presently of three digits. Please prefix a zero in respect of all the existing FII Registration Numbers while reporting to SEBI in all reports. Consequently the field structure would now be CC-CC-CC-XXXX-YY i.e. Numeric (16).

6. SA_Code : Sub Account Code.

As mentioned in the circular, the sub account codes would be sent to the custodians by SEBI. Wherever, the trades are in the proprietary account of the FII, there the SA_Code field should contain the four numeric digits which appear in the FII registration number.

11. NAT_TRN : Nature of transaction

Nature of transaction	Transaction code
Purchase in secondary market	01
Purchase in primary market (net of refund)	02
Preferential allotment (net of refund)	03
Sale in secondary market	04
Purchase through rights issue (net of refund)	05
Conversion of debentures into equity shares	06
Receipt of bonus shares	07
Redemption of debentures / units of mutual funds	08
Lodging shares in terms of open offer	09
Repurchase of units by Mutual Fund	10
Buyback of shares by company	11
Payment of allotment / call money	12
Square off – on account of short delivery received	13
Square off and auction – on account of short delivery given	14
Consolidation/Sub Division of securities	15

12. EXC_CODE : Stock Exchange Code

*CODE*	*NAME OF STOCK EXCHANGE*
01	THE STOCK EXCHANGE, MUMBAI (BSE)
02	THE STOCK EXCHANGE, AHMEDABAD (ASE)
03	CALCUTTA STOCK EXCHANGE
04	MADRAS STOCK EXCHANGE
05	DELHI STOCK EXCHANGE
06	HYDERABAD STOCK EXCHANGE
07	MADHYA PRADESH STOCK EXCHANGE, INDORE
08	BANGALORE STOCK EXCHANGE
09	COCHIN STOCK EXCHANGE
10	UTTAR PRADESH STOCK EXCHANGE, KANPUR
11	PUNE STOCK EXCHANGE
12	LUDHIANA STOCK EXCHANGE
13	GAUHATI STOCK EXCHANGE
14	MANGALORE STOCK EXCHANGE
15	MAGADH STOCK EXCHANGE, PATNA
16	JAIPUR STOCK EXCHANGE
17	BHUBANESHWAR STOCK EXCHANGE
18	SAURASHTRA KUTCH STOCK EXCHANGE, RAJKOT
19	VADODARA STOCK EXCHANGE
20	OVER THE COUNTER EXCHANGE OF INDIA
21	COIMBATORE STOCK EXCHANGE
23	NATIONAL STOCK EXCHANGE OF INDIA (NSE)
24	INTER-CONNECTED STOCK EXCHANGE

13. SET_CODE : Settlement Code

C- Settlement through Clearing House
H-Hand Delivery settlement not involving Clearing House
I- Clearing house transactions settled through Hand Delivery due to non-receipt of client confirmation
J-Other (Public issue, etc.)

INST_TYPE : Type of instrument

Type of Instrument	Instrument code
Equity shares (listed)	EQ
Preference shares	PS
Partly convertible debentures	PC
Fully convertible debentures	FC
Non convertible debentures	NC
Warrants	WR
Corporate Bonds	CB
Secured Premium Notes	SP
Mutual Fund Units of Equity Based schemes i.e. Growth funds, balanced funds, index funds, etc.	ME
Mutual Funds-Debt Based i.e. bond funds, money markets funds etc.	MD
Government Bonds	GB
Treasury Bills	TB
Certificate of deposit	CD
Commercial Paper	CP
Right renunciations	RR
Equity Shares (unlisted)	EU
Others (Debt)	OT
Others (Equity)	OE

18. R-DELAY: Reasons for delay in reporting

    P- Prompt reporting
    D - Delay in receipt of contract from broker
    S - System failure at custodian office
    O –Other delay reasons

19. R_TYPE : Reporting Type

      N- New Transaction
      A-Amendment in earlier reported transaction
      D- Deletion of earlier reported transaction

20. R_CHANGE : REASONS FOR AMENDMENT / DELETION OF TRADES

DESCRIPTION	CODE
Change in quantity of scrip	01
Change in name of scrip transacted	02
Change in price of scrip transacted	03
Change in date of contract	04
Change in name of FII/sub-accounts (with same custodian)	05
Change in name of FII/sub-accounts (with different custodian)	06
Sub division of the contract	07
Consolidation of two or more trades	08
Cancellation of trade by broker	09
Cancellation/non acceptance of trade by FII	10
Two contract notes received for same deal	11
Contract note wrongly delivered by broker to us (pertaining to another custodian)	12
Change of stock exchange	13
Change in the ISIN code	14
Change in mode of settlement of trade	15
Others (please submit details)	16

OPERATIONAL NOTES

1. How to report call money, allotment money payment transactions

At the time of call money payments, the transactions would be reported in the same format with the quantity field as originally allotted quantity and the full value of the call money be paid in the price field, using the old ISIN only.
As and when the revised ISIN of these new shares (i.e. shares after the call money is paid) is issued, there should be separate modifications for the initial allotment record and the record reported on call money payment.

2. How to report the bonus shares and debentures conversion

As and when the debentures are converted and the equity shares are allotted, the reported purchase transactions should contain the quantity of equity shares in the quantity field and the price filed should contain zero.

3. How to report sale or purchase of rights

Sale of rights renunciations need not be reported as they do not impact holdings.
Similarly, purchase of rights renunciations also need not be reported as they do not impact holdings. Acquisitions of the rights shares may be reported only on allotment at cost of renunciation plus cost of shares.
Acquisition of securities in public/preferential issue may be reported only on allotment at actual cost of securities allotted.

4. Delay Parameter

Delay by more than one day in reporting should be considered as delay. Thus, a trade done on t day and reported by the custodian on t+2 working day should be considered as delayed reporting.

5. Sub Division and Consolidation Issues

In case of sub division or consolidation of securities, the transaction may be reported in two parts. A notional sale of the securities held may be reported with T_Rate as zero and a notional purchase of the revised number of securities received may be reported again with T_Rate field as zero

6. Square Off and Auction

In case of short delivery received, and when the short delivery is squared off, the resulting transaction should be reported as sale of the shares (square off) at the value received.
In case of short delivery given, and when the shares are auctioned (or squared off) – the resulting transaction should be reported as purchase with the auction price (or squaring off price) in the price field.