Securities and related financial instruments — Classification of financial instruments (CFI code)
证券及相关金融工具 - 金融工具分类(CFI代码)
发布日期:
2015-07-24
ISO 10962:2015定义并描述了国际有效金融工具分类系统的代码。该分类体系适用于国际谈判的金融工具以及国内工具。“金融工具”一词不仅指经典证券,还包括在不同市场出现的创新金融产品(这一趋势预计将在未来继续)。
ISO 10962:2015适用于国际证券业务中证券交易和管理的任何应用。只要证券的交易和管理不影响其他国家,本国际标准的适用仍由负责的国家机构决定,如证券交易所、银行、经纪人、监管机构和其他活跃于证券领域的机构。
原则上,CFI代码反映了金融工具发行时定义的特征,并且在其整个生命周期内保持不变。然而,预计会发生一些事件,例如股东大会改变投票权或所有权限制,从而导致同一工具的新CFI代码。
ISO 10962:2015 defines and describes 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, but also covers the innovative financial products that have emerged in different markets (a trend that is expected to continue in the future).
ISO 10962:2015 is intended for use in any application in the trading and administration of securities in the international securities business. In so far as the trading and the administration of securities do not affect other countries, the application of this International Standard 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.