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AutoClient 2.0.1

For Alliance Lite 2.0

Installation and User GuideThis guide describes how to install, configure, and run AutoClient. It also explains how to send and receive messagesand files with AutoClient. This guide is for those who install and configure AutoClient, and those who send and receivefiles with AutoClient.

19 November 2010

Connectivity

Table of Contents

1 Introduction ....................................................................................................................................................... 4

2 Installation .......................................................................................................................................................... 6

2.1 System Requirements .............................................................................................................................. 6

2.2 Security Recommendations for AutoClient ........................................................................................... 7

2.3 Install AutoClient ..................................................................................................................................... 11

2.4 Uninstalling AutoClient ........................................................................................................................... 16

3 Configuring AutoClient .............................................................................................................................. 18

3.1 Configuring Local Authentication .......................................................................................................... 18

3.2 Modifying Configuration Parameters .................................................................................................... 19

3.3 List of Configuration Parameters .......................................................................................................... 20

4 How AutoClient Works ............................................................................................................................... 23

4.1 Emission Directory .................................................................................................................................. 23

4.2 Reception Directory ................................................................................................................................ 24

4.3 Archive Directory ..................................................................................................................................... 27

4.4 Error Directory ......................................................................................................................................... 27

4.5 FileAct Delivery Notification ................................................................................................................... 28

5 Running AutoClient ..................................................................................................................................... 29

5.1 Starting AutoClient .................................................................................................................................. 29

5.2 Monitoring the Status of AutoClient ...................................................................................................... 30

5.3 Stopping AutoClient ................................................................................................................................ 31

6 Sending Files .................................................................................................................................................. 33

6.1 FIN Message Files .................................................................................................................................. 33

6.2 FileAct Files .............................................................................................................................................. 37

6.3 CSV Files .................................................................................................................................................. 39

6.4 Local Authentication Files ...................................................................................................................... 43

6.5 Local Test Mode Process ...................................................................................................................... 44

6.6 Approval of Autoclient Messages and Files ........................................................................................ 44

7 Receiving Files ............................................................................................................................................... 45

7.1 Process for Receiving FIN Messages .................................................................................................. 45

7.2 Process for Receiving FileAct Files ...................................................................................................... 46

7.3 Process for Receiving CSV Files .......................................................................................................... 47

8 Monitoring File Transfers .......................................................................................................................... 49

9 List of Errors ................................................................................................................................................... 50

9.1 Errors When Uploading Files to the Alliance Lite Server .................................................................. 50

9.2 Pseudo NAK Errors ................................................................................................................................. 51

9.3 CSV NAK Codes ..................................................................................................................................... 52

AutoClient 2.0.1 for Alliance Lite 2.0

2 Installation and User Guide

10 File Examples ................................................................................................................................................. 55

10.1 FIN Message File (RJE Format) ........................................................................................................... 55

10.2 FileAct Companion Parameter File ...................................................................................................... 57

10.3 FileAct Report Files ................................................................................................................................. 60

10.4 CSV File .................................................................................................................................................... 65

.Appendix A Bank Codes and Field Tag Information .................................................................................67

A.1 Built in Bank Codes ................................................................................................................................. 67

A.2 Field Tag Information .............................................................................................................................. 68

.Legal Notices ...............................................................................................................................................................84

Table of Contents

19 November 2010 3

1 IntroductionWhat is AutoClient

AutoClient is an optionally installed part of Alliance Lite, that allows to integrate other softwareapplications with Alliance Lite. Through AutoClient, your back-office applications can send andreceive messages and files over SWIFTNet, in a fully automated way and with strong security.This application provides file-based communication to and from FIN and FileAct services. Youcan send and receive files containing Standards MT and MX messages, and FileAct files.

D11

4000

1

Customer

Internet

SWIFT

Bank

SWIFTNetAutoClient

Alliance LiteWeb interface

AllianceLite

serverBack-officeapplication

AutoClient is designed for simplicity and ease of use:

• Easy automation: AutoClient automatically checks a specific folder, on the PC where it runs,at regular intervals (the frequency is configurable). If AutoClient finds a file in that folder, inone of the supported file formats, it automatically uploads it to the Alliance Lite server. Thesefiles are then converted into standard SWIFT messages, or sent as entire files, overSWIFTNet. Vice versa, AutoClient regularly checks on the server for messages or filesreceived from SWIFTNet, and automatically downloads them to a specific reception folder onthe PC where it runs.

• Simple file-based integration: Back-office applications simply need to produce files and putthem in a designated AutoClient emission folder to send them on to SWIFTNet. And viceversa, they can read received files from a designated AutoClient reception folder. The filescan be in one of 3 formats (for examples see chapter 10"File Examples" on page 55) :

– FIN files: These are text files, containing messages in standard SWIFT FIN format (MTformat). All MT message types are supported, from MT 101 to MT 999. A FIN file cancontain several messages, to one or more correspondents. The messages in the file aresent as individual messages on SWIFTNet to your correspondents. The syntax of eachmessage is verified by SWIFT against the SWIFT standard, providing a guarantee to bothsender and receiver that the message complies to the SWIFTStandards MT format (seethe SWIFT User Handbook, SWIFTStandards MT volumes).

– CSV files: These are text files, where each line contains a series of comma-separatedvalues. Each line is converted by Alliance Lite into a standard SWIFT message (MT orMX), and that message is sent over SWIFTNet . Only a subset of MT and MX messagesare supported. The CSV file formats are described in the Alliance Lite CSV Upload FileFormat Guide. As these file formats are all simple, they can be produced with a text editor



or a spreadsheet application like Microsoft Excel. Many applications exist on the marketthat can produce or process this formats.

– FileAct files: These are files in any proprietary format, for example a domestic file format,or an agreed format. The file is transferred in its entirety 'as such', and no validation of theformat is performed by SWIFT.

• Simple start/stop: To start AutoClient, you need an AutoClient token inserted in a USB portof the PC where AutoClient is installed, and you need to provide the password of that token.AutoClient can not run without this token inserted. You do not need to provide the token'spassword for every message or file that you send.

• Strong security: The AutoClient USB token is a tamper-proof hardware security module,that digitally signs and authenticates every communication with the Alliance Lite server, usinga strong 2048-bit PKI certificate that resides on the token. By default, messages and filesuploaded through AutoClient require manual approval by one or more authorised personsthat hold their own personal security tokens, as designated by the customer's Alliance LiteAdministrators. Finally, the AutoClient can be configured for 'local authentication' i.e. tosecure files in transit between the back-office application and the AutoClient, with anadditional digital signature that accompanies each file. See "Security Recommendations forAutoClient" on page 7 section 2.2 for more information on security.

AutoClient offers two types of services:

• Live service: This service is used to send and receive real live business messages and files.This service is also called Production service.

• Test service: This service allows users send and receive messages and files for test andtraining purposes. Messages and files sent using this Test service will be automaticallymarked as "test" or "pilot" towards your correspondents, and thus this Test service provides a"safe" environment.

Only one security token can be assigned to the AutoClient. Your Alliance Lite Administratorscan configure this token to allow use of the Live service, Test service, or both Live and Testservices.

When AutoClient is used on Test service:

• only FIN messages sent to FIN Test and Training are accepted and CSV files containing datafor Funds MX messages are processed for the pilot Funds service.

• only files sent to FileAct Test and Training services and Funds MX messages areaccepted(service names ending with !p).

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2 Installation

2.1 System RequirementsOverview

This section outlines the system requirements for AutoClient.

The default installation folder is <drive>\Program Files\SWIFT\Alliance Lite\ which is referredto throughout this document as <installation directories>\.

Only the base directory (by default, C:\Program Files\SWIFT\Alliance Lite\files ) must be madeaccessible to the (remote) application for placing and retrieving files. The entire AutoClientinstallation directory that includes logs, configs, and so forth (by default, C:\Program Files\SWIFT\Alliance Lite) must never be made accessible remotely, because it contains theautoclient.properties file and other sensitive files.

Category Requirement

Operating system AutoClient runs on the following operating systems:

• Windows XP with Service Pack 2 (SP2) or Service Pack 3 (SP3)

• Windows Server 2003 with Service Pack 2 (SP2)

• Windows Vista with Service Pack 1 (SP1) or Service Pack 2 (SP2)

Note SWIFT only supports 32-bit versions for these operatingsystems.

Note Non-English versions of Windows are supported.

Disk space • Minimum 120 MB for the software installation

• Minimum 30 MB for the base directory

• Minimum 60 MB for the log directory

Connectivity • Standard broadband Internet access, such as ADSL, WiFi, cable, andother forms. Dial-up connectivity will be insufficient.

• AutoClient can connect to the Internet through a firewall or HTTP proxy,see "Security Considerations" on page 7

• AutoClient connects to the Alliance Lite server over SSL/TLS, TCP port443. AutoClient does not listen on this port, or any other port.

Unlike the Alliance Lite web interface, AutoClient does not need Internet Explorer or a Javaplug-in, and can be run on a PC where Internet Explorer is not used to browse. However, wheninstalling AutoClient, a system check is performed and this check requires Internet Explorer 6, 7or 8.

The software can be installed on the system running under VMWare Workstation. RunningAlliance Lite under other virtualisation technology is not supported. Do not use MicrosoftRemote Desktop or VMware server for the installation, de-installation, or monitoring.



2.2 Security Recommendations for AutoClientOverview

This section provides recommendations for securing the Alliance Lite AutoClient and additionalinformation about the security requirement for normal browsing to Alliance Lite.

2.2.1 Security Considerations

Important

It is recommended not to use Alliance Lite from a PC which is used for other applications thatuse USB based security devices.

Access to AutoClient

To run AutoClient, the user must plug in a USB token created by the customer's Alliance Liteadministrators, see the Alliance Lite Administration Guide. This USB token contains a certificatewhich, together with an associated password, authenticates the files sent from AutoClient to theAlliance Lite server. The user obtains the USB token from an Alliance Lite administrator.

Firewall between AutoClient and the Internet

It is strongly advised to use a firewall between the workstations used for Alliance Lite (both theAlliance Lite Web Interface (browser), as well as the AutoClient) and the Internet. For AllianceLite to function, the firewall must allow outgoing TCP connections from the Alliance Liteworkstation(s) towards www.swiftalliancelite.com (for Live service) and totest.swiftalliancelite.com (for Test service) on the standard port for SSL/HTTPS (tcp/443). Noincoming connections are required, and we recommend to block all incoming connections fromthe Internet. Note that if you are using a local (host based) firewall on the computer runningAutoClient, it must be configured to accept a local connection between two AutoClientprocesses on this computer (localhost port 8000). This TCP connection flow is required forAutoClient to function normally.

Note You can use an HTTP proxy between AutoClient and the Internet. The HTTP proxymust not attempt to inspect (break) the SSL session. Proxy authentication usinglogin and password is supported by Alliance Lite. See "Configuring AutoClient" onpage 18 for more details.

Security mechanisms between AutoClient and the Alliance Lite server

• Use of PKI:

– X.509 certificates, issued by SWIFT and stored on the USB token

– identities are issued at BIC level

• Authentication and encryption:

– SSL 3.0/ TLS 1.0 using 2-way authentication

– encryption algorithm: AES-256

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https://www.swiftalliancelite.com

https://test.swiftalliancelite.com

• Electronic signature:

– Hash: SHA-256

– The RSA 2048 bit Private Key (used for signing) remains on the USB token. The USBtoken is password-protected. The key pair generation (USB token) is performed locally atthe customer's site. The RSA signature operation is performed internally on the USBtoken.

– digital signature of the message exchanges (X.509 V 3.0. PKCS #7 standard)

Security between AutoClient and the back-office application

It is the user's responsibility to implement the necessary security and access mechanismsbetween the AutoClient directories and the back-office application.

Permissions on directories

The Windows user that starts AutoClient with a token, see "Starting AutoClient" on page 29,does not require read or write permissions on the AutoClient file directories. This allows asegregation of duties, for example, the person that can put a file in the AutoClient's emissiondirectory, can be different from the person that can instruct AutoClient to start sending.

The AutoClient file directories (emission, reception, archive, and error), located by defaultunder the base directory <installation directories>\files, must have read and write permissionfor "SWIFT AutoClient Service". This is a Windows service that typically always runs in thebackground on the PC where AutoClient is installed , whether or not AutoClient has beenstarted with a token, or not. This Windows service is by default started when the PC that hostsAutoClient is started, with no user logged on yet. Therefore by default the user that started thisservice is the "Local System account", and thus it is this user that must have read and writepermission on the AutoClient file directories. These permissions are set automatically by theAutoClient installation. If you require other users or applications to read or write files in thosefolders, you (a user with Windows Administrator privileges) might need to set these folders'permissions accordingly. Do not give access to these folders to large groups of users, such asUsers or Everyone.

The logging directory by default is <installation directories>\logs and must have read andwrite permission for the "Local System account". For more information about permissions andprotection, see "Protection of the System" on page 9.

Local Authentication

The AutoClient can be configured to require local authentication between the back-officeapplication and the AutoClient, to protect files in transit between the application and AutoClient.This is strongly recommended. When local authentication is enabled, the back-office applicationdigitally signs each file that it submits to AutoClient, and AutoClient verifies this signature. If thefile has been altered between the back-office application and the AutoClient, then the signatureverification will fail and the AutoClient will refuse to send the file. Correspondingly, when localauthentication is enabled, the AutoClient will digitally sign every received file when putting it inits reception folder. This allows the back-office application to verify this signature. The signatureis calculated with HMAC-SHA-256, a well-known secure hash algorithm with strong key length.This algorithm requires a secret key to be shared between the back-office application and theAutoClient. See "Configuring AutoClient" on page 18 for an explanation on how to configureAutoClient for local authentication.



Automatic prompting for file download for Reports

The reports function uses the "automatic prompting for file downloads" when requesting files.Therefore in the Windows Security Settings, the "automatic prompting for file downloads"option should be set to "enabled".

2.2.2 Protection of the System

Overview

The customer must protect the systems used for Alliance Lite AutoClient in line with industrysecurity practices, such as:

• Harden all operating systems involved in the AutoClient flow with industry best practices

• Protect the Alliance Lite AutoClient system from unauthorised network access. Install andmanage firewalls to shield that system from incoming Internet traffic, and from unauthorisedaccess over the customer's internal network

• The firewall solution must be:

– a physical one to protect incoming traffic from and outgoing traffic to Internet and internalnetworks. Ideally, no Internet incoming traffic must be accepted that is not required by theAutoClient

– a PC-local one to ensure that only authorised programmes communicate with the outside.

• Restrict outgoing traffic from the system to business-critical sites, and to legitimate sitesrequired for software updates.

Ideally, do not browse or access the Internet from the PC where you access Alliance LiteAutoClient and dedicate the system for AutoClient only.

• Use up-to-date virus scanners and malware scanners to protect the Alliance Lite system frommalware such as viruses, worms, keyboard loggers, trojans, and rootkits.

Scan for viruses any file sent to or received from the AutoClient.

• Ensure the system used for hosting the AutoClient is only physically and logically accessibleby persons entitled to access this system.

• Ensure that only authorised and required software products are installed on the system usedto access Alliance Lite. Ideally, dedicate the system for AutoClient only.

• Ensure that all software applications that run on the Alliance Lite system are regularlyupdated and patched. This includes:

– Windows patches

– critical Java runtime patches

– patches for other applications running on the system like the Internet Explorer browser

– additional features of the browser, called plug-ins like Shockwave, QuickTime, Realplayer,and any others.

• Ensure that all critical internal flows to or from the system hosting the AutoClient areprotected against disclosure or malicious changes, especially, if the AutoClient emission andreceiving files are transferred through the network.

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Ideally, use strong authentication controls and cryptography means, like flow encryption andauthentication, in line with Customer Policy.

Note Local Authentication between a back-office application and AutoClient isrecommended by SWIFT. See "Security Considerations" on page 7 for furtherdetails.

2.2.3 Protection of the AutoClient USB Token

USB Token Protection

Users must take the utmost care to protect the AutoClient token from unauthorised borrowing,loss, and theft. They must also take all necessary measures to prevent any unauthoriseddisclosure of the AutoClient token's password.

• Ensure only authorised and identified individuals use the AutoClient token

• Ensure each active AutoClient token is safe-stored when not used

• Revoke any unused or lost token. The customer's Alliance Lite administrator can do this, seethe Alliance Lite Administration Guide.

The users must never:

• lend the AutoClient token to others

• leave the token inserted in the PC, unless the PC is in a secured area, protected fromphysical and logical (network) access by unauthorised persons or applications

• write down any password or communicate a password to unauthorised people

• use a password that can be deduced easily

• allow anybody to watch over its shoulder when the token's password is entered

2.2.4 Local Protection of the AutoClient System

Local protection

The customer must implement the following management principles to mitigate the risks to itssystem:

• Establish user management practices to ensure that only authorised users are created andremain on the system

Because users change roles or leave the company, ensure that the administrator maintainsan accurate and up-to-date list of authorised users aligned with the actual access to thesystem.

• Establish entitlement management practices to ensure that users are granted access toAlliance Lite functions only on a need to know or need to have basis. Specially, protect theAutoClient software, files, and hosting directories against unauthorised local and domainaccess by setting up strict permissions and remove any default access like Users andEveryone permissions. Take into consideration any local and remote access (like RDP andWindows File Sharing/CIFS).

Implement Segregation of Duty principles to separate tasks like administration of the system,security administration tasks, and users of the AutoClient.



• Control and monitor the access and usage of the system administrator and any accounthaving access to any of the AutoClient files and hosting directories, specially the emission,and reception directories. For instance, implement 4-eyes procedures to access privilegedaccounts in a way that two or more people are required to do administrative tasks. Ideally,monitor as well the activities of these accounts to detect any malicious action. Establish asolution to log the access and all activities of the privileged accounts and protect these logsfor forensic purposes as well.

• Protect the AutoClient backups against malicious modification and disclosure ideally bycryptographic means, like strong signature and encryption of the backups, in line withCustomer Policy.

• Monitor daily traffic, to detect mismatches between authorised and actual traffic, both, sent orreceived.

• The user must not delegate all the Alliance Lite administrator roles to a single person that canthen use the two different USB tokens to create its own AutoClient token.

2.3 Install AutoClientOverview

The following section provides details of how to install the AutoClient Software.

Note Do not use Microsoft Remote Desktop or VMware server for the installation, or de-installation. Running Alliance Lite under other virtualisation technology is notsupported.

Note You must remove your USB token when installing or upgrading your AutoClient.

What you need to install AutoClient

• the CD labelled "Alliance Lite 2.0.1", which contains the AutoClient software, or the AllianceLite 2.0.1 software downloaded from www.swift.com > Support > Download centre. Onlyuse one of these two sources, do not use software provided by others.

• you must be logged in as a Windows user with Windows Administrator privileges, to installAutoClient. To start or use AutoClient once it is installed, you do not need WindowsAdministrator privileges.

• the user who is installing the AutoClient software needs the All Access permission (read andwrite) on the installation directories. The installation directory is by default <drive>\ProgramFiles\SWIFT\Alliance Lite but the user can change this at the start of the installation.

Note The new installation removes the previously installed AutoClient.

If you have been using a previous version of Alliance Lite, then SWIFTrecommends using the same folders when installing Alliance Lite 2.0.1. Thesoftware is upgraded, and the content of AutoClient file directories (emission,reception, archive, and error), are preserved.

The installation of the driver for the Alliance Lite USB tokens over-writes allexisting SafeNet software that was already present on your PC.

If you have older SafeNet software and want to preserve it, then install AllianceLite on a different system.

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19 November 2010 11

http://www.swift.com

Note Installing AutoClient through a Remote Desktop can lead to a corrupted SafeNetdriver on the local machine. This can be seen by looking at the SafeNet icon thatidentifies a USB token is present but when the certificate details are checked thepop-up shows the "token removed" text.

installation.log

The installation.log file records events that occur during installation. This file is created under<installation directories>\logs.

If you encounter a problem during installation, then check the contents of this file.

To install AutoClient:

1. Insert the CD labelled "Alliance Lite 2.0.1" in the CD drive.

2. Double-click the AllianceLite-install.exe file.

The installation application unpacks the files in the installer. This may take 2 to 3 minutes.When the installer files are unpacked, the following window appears:

3. Select Install Alliance Lite AutoClient, and click Next . This also installs the Alliance LiteUSB token driver automatically.

The End-user Licence window appears.

4. Accept the terms, and click Next .

The following window appears.



5. Select a directory where to install Alliance Lite, by doing either of the following:

• To accept the default directory, click Next .

• To select another directory, click Browse... to locate the directory, or type a local directoryof your choice. Then click Next .

Note The directory must be a local directory if the default directory was notselected.

The following window appears.

6. In this window, define the following parameters:

• Base Directory: the directory used by AutoClient to store files and exchange files withcustomer applications, by default this is <drive>\Program Files\SWIFT\Alliance Lite\files, that is, a subdirectory of the installation directory. This directory does not have to

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be a subdirectory of the installation directory, and can reside on another disk on thesame computer. For security reasons, do not put this directory on another computer oron a networked disk.

Note If you migrate from a previous version of the AutoClient, then the previousversion of the AutoClient is un-installed but the contents of the BaseDirectory are left untouched. SWIFT recommends that you specify the samedirectory when installing a newer version of the AutoClient.

• Emission Timer: the interval (in seconds) with which AutoClient checks for files ready tobe sent to counterparties.

• Reception Timer: the interval (in seconds) with which AutoClient checks for filesreceived from counterparties.

• Advanced: if you want AutoClient to connect to the Internet through an HTTP proxyserver, then click Advanced... .

Configuration window

In the configuration window that appears, select the Configure AutoClient to connectthrough a proxy checkbox, and specify the following information:

– in the Hostname field, type the IP address or hostname of the proxy server throughwhich to connect to the Internet

– in the Port field, type a valid TCP port for the proxy server

Then click OK or optionally if the proxy requires authorisation, then in Username,type the name of the proxy, and in Password, its password.

Note To modify these parameters after installation, see "Configuring AutoClient" onpage 18.

7. Click Next after specifying the parameters.

If the base directory that you have selected does not exist, then click Yes to create it.

After you click Next or Yes , the Close Applications window may appear if you have otherapplications currently running. If not, go to step 9.

8. Do either of the following:

• Close the applications listed in the window, and click Next (this is the SWIFTrecommended method)

• Select Continue installation without closing the running applications, and clickNext



Note If the previously installed AutoClient is still running, then there might be a slightdelay during which the Next is disabled while the installer shuts down therunning AutoClient.

9. A window appears to confirm the Alliance Lite installation details that you have entered inthe previous steps.

Do either of the following:

• To confirm the installation details, and proceed with the installation, click Install .

Note When you click Install , you cannot roll back the installation.

• To modify the installation details, click Previous and make the necessary changes.

Note If there is already SafeNet Drivers installed, you are asked to confirm thatyou want to overwrite them.

After you click Install , the AutoClient software and the Alliance Lite USB token driver areinstalled. You need to remove the USB token when prompted.

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10. The Test Firewall Configuration screen appears:

Click the Test Connections button to run the test to ensure that your firewall does not blockcommunications, or Next to skip the test.

If there are any configuration problems with your firewall, the response received will dependon the firewall. but normally you will receive a message asking you if you wish to "allow theconnection now and in the future". To configure the firewall accept the request.

When the test is complete click OK in the pop-up message that appears.

11. Upon successful installation, the Installation Complete window appears.

Select your preferred restart option, and click Finish . You must restart your computerbefore you start using AutoClient.

2.4 Uninstalling AutoClientTo remove AutoClient:

1. Remove the USB token (note that the uninstall may fail if the USB token is still inserted).

2. Do the following:

• Click the Windows Start > Settings > Control Panel and use the:

– Add or Remove Programs option on Windows XP

– Programs and Features option on Windows Vista.

The Alliance Lite Uninstallation window appears.

3. Click Next to proceed, or Cancel to terminate the process.

A warning prompts you to confirm the uninstallation.

4. Click Yes to remove the software, or No to terminate the process.

After you click Yes , the Close Applications window may appear if you have otherapplications currently running.



5. Do either of the following:

• Close the applications listed in the window, and click Next

• Select Continue installation without closing the running applications, and clickNext .

After you click Next , the removal of the software starts. When the process is complete, theUninstallation Complete window appears to confirm that the software was removedsuccessfully.

6. Click Finish .

Note The content of AutoClient file directories (emission, reception, archive, anderror), are preserved after installation. It is the responsibility of the user to removethe contents and the directories.

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3 Configuring AutoClientIntroduction

This section explains how you can configure Local Authentication and modify the AutoClientconfiguration parameters that you set during AutoClient installation.

3.1 Configuring Local AuthenticationOverview

The Local Authentication (LAU) option can be turned on or off by the user for each of the threedifferent file types that AutoClient supports. The different file types that AutoClient supports areFIN, FileAct, and CSV files.

If LAU signature is required for a file type, then AutoClient generates an LAU signature toaccompany a received file of that type. AutoClient also verifies the correctness of LAUsignatures that the back-office application generates to accompany the files to be sent of thattype. LAU signatures are placed in separate files called LAU files with a ".lau" file extension.These LAU files are always stored alongside the payload file to which they refer to, so that theymay be stored in all the four directories: archive, emission, error, and reception.

Note Users should note that the autoclient.properties file contains confidential data(the LAU keys), so only the "files" directory should be made accessible remotely forplacing and retrieving files. In no case should the whole AutoClient directory (thatincludes logs, configs, and so forth.) be accessible remotely.

To configure LAU in AutoClient:

1. Double-click the setPasswords.cmd file located in the Alliance Lite installation directory.

The Set Passwords tool appears.

2. In the Set Passwords tool, select 2 to set the FIN LAU key, select 3 to set the FileAct LAUkey, or select 4 to set the CSV LAU key. Press ENTER.

3. Type the 17 to 32 ASCII characters for your key and press ENTER.

4. Type the 17 to 32 ASCII characters again to confirm the key values entered in the previousstep and press ENTER.

Note Make a note of the key value, since exactly the same key value needs to beconfigured into the back-office application.

5. If the ASCII characters are

• accepted, go to step 6.

• rejected, repeat steps 3 and 4.

6. Select 5 and click ENTER to save the changes and exit the Set Passwords tool. Select 6and press ENTER to discard the changes and exit.

To remove LAU from AutoClient:

1. Load the autoclient.properties file into an editor from the config subdirectory in theAlliance Lite installation directory.



2. Locate the line at the end of the file that defines the encrypted key value an delete the line.For the FIN key, the line will start at FinLauKey.enc. For the FileAct key, the line will startFileActLauKey.enc. For the CSV key, the line will start CsvLauKey.enc.

3. Save the file.

3.2 Modifying Configuration ParametersNote

When you modify a configuration parameter, you must restart AutoClient before the new settingtakes effect.

To modify a configuration parameter:

1. Locate the autoclient.properties file under <installation directories>\config, and double-click this file. All lines that start with a # (hash character) are comment lines. The content ofthis file resembles the following:

# Parameter Name: BaseDirectory# Public : YES# Possible values: N/A# Default Value: No default value.# Description: Base directory: may not exceed 50 characters. Must be a# valid local directory with read and write permissions.# BaseDirectory=C:\\Program Files\\SWIFT\\Alliance Lite\\files# Parameter Name: AllowRetries# Public : YES# Possible values: TRUE | FALSE# Default Value: TRUE# Description: When set to TRUE, will retry a failed upload up to 3 times # and each attempt will be separated by 3600 sec.# When set to FALSE, the AutoClient will not retry a failed upload. The # upload status is immediately set to error.AllowRetries=TRUE# Parameter Name: EmissionTimerInMillis# Public : YES# Possible values: min = 5000 msec, max = 600000 msec# Default Value: 120000 msec# Description: The local emission directory polling frequence.EmissionTimerInMillis=5000# Parameter Name: ReceptionTimerInMillis# Public : YES# Possible values: min = 60000 msec, max = 600000 msec# Default Value: 120000 msec# Description: The remote server polling frequence.ReceptionTimerInMillis=60000# Parameter Name: HttpsProxyEnabled# Public : YES# Possible values: TRUE | FALSE# Default Value: FALSE# Description: Specifies whether this autoclient should connect through a # Proxy server.HttpsProxyEnabled=FALSE# Parameter Name: HttpsProxyHost# Public : YES# Possible values: valid host name or IP address of the proxy server.# Default Value: No default value.# Description: Address of the proxy server through which to connect # to the Internet. Only taken into account if 'HttpsProxyEnabled' is set to TRUE.HttpsProxyHost=localhost# Parameter Name: HttpsProxyPort

Configuring AutoClient

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# Public : YES# Possible values: Valid TCP port for the proxy server.# Default Value: No default value.# Description: Valid TCP port for the proxy server. Only taken # into account if 'HttpsProxyEnabled' is set to TRUE.HttpsProxyPort=8080# Parameter Name: HttpsProxyUser# Public : YES# Possible values: Valid user name for accessing the Internet through the # proxy server configured by 'HttpsProxyHost' and 'HttpsProxyPort'.# Default Value: No default value.# Description: Valid user name as configured within the proxy server. Only # taken into account if 'HttpsProxyEnabled' is set to TRUE and none of # the 'HttpsProxyUser' and 'HttpsProxyUser' is left empty.HttpsProxyUser=# Parameter Name: HttpsProxyPassword[.enc]# Public : YES# Possible values: Valid password for proxy user defined in 'HttpsProxyUser'.# Default Value: No default value.# Description: Valid password as configured within the proxy server for the # 'HttpsProxyUser'. Only taken into account if 'HttpsProxyEnabled' is set to # TRUE and none of the 'HttpsProxyUser' and 'HttpsProxyUser' is left empty.HttpsProxyPassword.enc=# Parameter Name: LocalTestMode# Public : YES# Possible values: TRUE | FALSE# Default Value: FALSE# Description: When set to TRUE, causes AutoClient to process messages for# emission up to an including LAU validation but will not send any files.# This can be used to test interoperability between back-office applications and AutoClient.LocalTestMode=FALSE

2. Edit the parameters manually, as appropriate. To do this, change the value specified in thelast line of the details of a parameter. In the example shown, to modify the current value(120000) for the ReceptionTimer parameter, the value in the following line must bechanged:

ReceptionTimerInMillis=120000

Note For HttpsProxyPassword, FinLauKey, FileActLauKey, and CsvLauKeyparameters, the value must be changed using the setPasswords tool in theinstallation directory.

3. Save and close the file once you have made the required modifications.

4. Stop and start AutoClient for your changes to take effect.

3.3 List of Configuration ParametersYou can modify the following configuration parameters:

Parameter Description

BaseDirectory The directory used by AutoClient to store and retrieve files.

It must not exceed 50 characters. It must be either a valid local directoryor a valid remote UNC directory with read and write permissions for theWindows account that started the "SWIFT AutoClient Service" Windowsservice (by default, this is the "Local System account").



Parameter Description

AllowRetries Default value: TRUE

• When set to TRUE, AutoClient retries a failed upload 3 times, andeach retry is separated by 3600 sec

• When set to FALSE, AutoClient does not retry a failed upload. Theupload status is immediately set to error.

EmissionTimerInMillis The interval (in seconds) with which AutoClient checks for files ready tobe sent to counterparties.

Default value: 120 seconds

The value of this parameter must be between 60 and 5000 seconds.

ReceptionTimerInMillis The interval (in seconds) with which AutoClient checks for files receivedfrom counterparties.

Default value: 120 seconds

The value of this parameter must be between 60 and 5000 seconds.

HttpsProxyEnabled Specifies whether AutoClient must connect through a proxy server.

Default value: FALSE

HttpsProxyHost The IP address (or hostname) of the proxy server through which toconnect to the Internet. Only taken into account if "HttpsProxyEnabled" isset to TRUE.

Used if the connections to the Internet are made through a proxy, such asan Apache. In some cases, an administrator wants to authenticate theusers connecting to the proxy. In that case the uname / pwd is used ontop of regular proxy settings.

HttpsProxyPort A valid TCP port for the proxy server. Only taken into account if"HttpsProxyEnabled" is set to TRUE.

HttpsProxyUser The username to authenticate the AutoClient towards its Proxy

HttpsProxyPassword.enc The password of the ProxyUser. Note that the value of this parametermust be changed using the setPasswords tool in the installationdirectory.

FinLauKey.enc LAU key for FIN file transfers. Note that the value of this parameter mustbe changed using the setPasswords tool in the installation directory..

FileActLauKey.enc LAU key for FileAct file transfers. Note that the value of this parametermust be changed using the setPasswords tool in the installationdirectory.

CsvLauKey.enc LAU key for CSV file transfers. Note that the value of this parameter mustbe changed using the setPasswords tool in the installation directory.

LocalTestMode Used to test the flow between the Back-Office and the AutoClient withoutactually sending the files to Alliance Lite. The AutoClient checks the LAUbut does not submit or lock the files.

Example with proxy

Parameter Value

HttpsProxyEnabled TRUE

HttpsProxyHost 172.0.1.1

HttpsProxyPort 8080

HttpsProxyUser username

Configuring AutoClient

19 November 2010 21

Parameter Value

HttpsProxyPassword <xxxxxxxxxx>

Example without proxy

Parameter Value

HttpsProxyEnabled FALSE

HttpsProxyHost localhost

HttpsProxyPort 8080

HttpsProxyUser

HttpsProxyPassword



4 How AutoClient WorksOverview

AutoClient uses a directory structure on the local host to interface with your back-officeapplication. This section describes the AutoClient directory structure, what are the functions ofeach directory, and the types of file contained in each directory.

It is the user's responsibility to determine the way the back-office application communicates withAutoClient.

The AutoClient directory structure

When you install AutoClient, you must specify a location for the installation directory (by default,C:\Program Files\SWIFT\Alliance Lite ) and a location for the base directory (by default, C:\Program Files\SWIFT\Alliance Lite\files ) on the AutoClient host. The base directory containsfour subdirectories: emission, reception, archive, and error.

Other technical directories also exist and are located in the installation directory, such as:

• logs: contains the AutoClient log files and installation log files

• config: contains the AutoClient configuration file called autoclient.properties

The previous diagram shows the default directory structure under Program Files. The 'files'directory is the base directory, and can be placed elsewhere at installation time.

4.1 Emission DirectoryEmission

The back-office application uses the emission directory to request upload of files by AutoClientto SWIFTNet. AutoClient regularly scans the emission directory for new files to be uploaded.The EmissionTimerInMillis polling timer determines how often the emission directory isscanned, see "List of Configuration Parameters" on page 20.

The back-office application can submit FIN (RJE) files, FileAct files, and CSV files, with orwithout LAU files with the following conventions:

How AutoClient Works

19 November 2010 23

• For FIN:

– <filename>.fin (data file)

– <filename>.fin.lau ( LAU file)

• For FileAct,:

– <filename>[.pde] (data file)

– <filename>[.pde].par (a companion parameter file). The file transfer only starts ifthe .par file is present.

[.pde]: the back-office application may add a .pde (Possible Duplicate Emission)extension to the file name. This .pde extension is then carried up to the destination.The .pde extension can be added to the file name to indicate that this file may have beensent already. This extension forces the file transfer to be marked as possible duplicate onthe reception side (<filename>.<TransferRef>S[_pdr]). The .pde extension is notapplicable to FIN files.

– <filename>[.pde].par.lau (LAU file)

• for CSV,

– <filename>.csv (data file)

– <filename>.csv.lau ( LAU file)

The emission directory does not require any maintenance because the AutoClientautomatically moves a file from its emission directory to its archive directory (see "ArchiveDirectory" on page 27), when the file has been uploaded to the Alliance Lite server.

Note However, the back-office application must monitor the emission directory. Should afile stay in the emission directory for more than 30 minutes, the back officeapplication must raise an alarm. The AutoClient Operator must investigate theissue.

4.2 Reception DirectoryReception

The reception directory contains the files that your organisation receives from counterparties. Italso contains the status of the messages that your organisation sent previously throughAutoClient.

AutoClient regularly polls the Alliance Lite server for new files ready for download. Files appearin the server when they are completely downloaded and ready for the back-office application toprocess. The ReceptionTimerInMillis timer determines how often AutoClient checks thereception directory for files received from counterparties, see "List of ConfigurationParameters" on page 20.

The reception directory can contain the following types of file:

• FIN (Standards MT) files:

– identified by extension .fin and if LAU is enabled, LAU files are identified by extensionfin.lau

– containing the business MTs addressed to your organisation.



– with the status of messages that you have sent through AutoClient (ACK, NAK, MT 010,MT 011, MT 012, MT 019, or pseudo NAK).

Conforming to the following conventions:

– <filename>.fin (data file)

– <filename>.fin.lau ( LAU file)

For more information, see "Process for Receiving FIN Messages" on page 45.

• FileAct files (any format):

– files received

– transfer status of files sent previously

– LAU file in reception directory (if LAU is enabled)

Conforming to the following conventions

– <filename>.<TransferRef>S[_pdr]

– <filename>.<TransferRef>S[_pdr].par

– <filename>.<TransferRef>S[_pdr].ok

– <filename>.<TransferRef>S[_pdr].err

If LAU is enabled:

– <filename>.<TransferRef>S[_pdr].par[.lau]

– <filename>.<TransferRef>S[_pdr].ok[.lau]

– <filename>.<TransferRef>S[_pdr].err[.lau]

For the transfer status of files sent previously

– <filename>.<TransferRef>C.ok

– <filename>.<TransferRef>C.dlv

– <filename>.<TransferRef>C.err

– <filename>.<timestamp>.err

If LAU is enabled:

– <filename>.<TransferRef>C.ok.lau

– <filename>.<TransferRef>C.dlv.lau

– <filename>.<TransferRef>C.err.lau

– <filename>.<timestamp>.err.lau

For more information, see "Process for Receiving FileAct Files" on page 46.

– <TransferRef>: SWIFT generates a unique string of characters called TransferRef. TheTransferRef contains a timestamp assigned by SWIFTNet, and is the same at the senderand at the receiver side, except for the last character.


19 November 2010 25

The last character is:

• C for files sent by AutoClient

• S for files received by AutoClient

– [_pdr]: in some cases (for example, after retries during the FileAct transfer), the FileActprotocol adds a _pdr extension (Possible Duplicate Reception) to the received data file,companion parameter, or report file names. This additional extension is carried unalteredto the reception directory.

– .lau for the LAU of files sent previously

• CSV Application Files

– identified by an extension .csv, or .csv.lau if LAU is activated

– contain the statuses of messages previously sent within a CSV file. Received CSV files donot contain business messages.

Conforming to the following conventions

– <filename>.csv (data file)

– <filename>.csv.lau ( LAU file)

The <filename> structure consists of : <Instruction>_<Status>_<timestamp>.csv[.lau]

where the structure elements can contain the following:

– Instructions: Subscription, Redemption, SwitchSLeg, SwitchRLeg, ConfSubscription,ConfRedemption, ConfSwitchSLeg, ConfSwitchRLeg, Status, StatusSwitch.

– Status: can be ACK, DLV, NAK, ABD, DELNAK and OVRDUE

Note The instruction type is the message business name as defined in the CSV layoutdefinition document. It is the keyword used in the incoming CSV to identify themessage type.

Example: Subscription_ACK_20090609100143592.csv

The following is the format of a CSV file:

<status> <error code> <error text> <status time stamp> <original filename><position in original file>

<copy of first line from original message in CSV>

[,,,,,<copy of line 2 from original message in CSV>] will be present for switch orders, may bepresent for semt*

[,,,,,<copy of line 3 from original message in CSV>] may be present for semt*


It is the user's responsibility to maintain the reception directory - AutoClient does notautomatically move files from the reception directory. SWIFT recommends that you performregular archives of the files contained in this directory.



4.3 Archive DirectoryArchive

FIN and FileAct files that have been successfully uploaded to the Alliance Lite server are movedfrom the emission directory to the archive directory.

Note The presence of a file in the archive directory does not mean that the file has beensent on SWIFTNet, or delivered to the receiver - that is indicated through othermeans, see "Sending Files" on page 33.

The archive directory can contain the following types of file:

• for a FIN file:

– <filename>.<timestamp>.fin (original)

– <filename>.<timestamp>.fin.lau (original) if LAU enabled

• for a FileAct file, two files are present:

– <filename>[.pde].<timestamp> (original)

– <filename>[.pde].<timestamp>.par

– <filename>[.pde].<timestamp>.par.lau (copy of original) if LAU enabled

• for a CSV file:

– <filename>.<timestamp>.csv (original)

– <filename>.<timestamp>.csv.lau (copy of original) if LAU enabled

It is the user's responsibility to maintain the archive directory. SWIFT recommends that youperform regular archives of the files contained in this directory.

4.4 Error DirectoryError

The error directory contains copies of the files that resulted in an error before or during upload,together with an error file (with extension .err) containing a description of the error.

The error directory can contain the following types of file:

• for a FIN file, two files are present:

– <filename>.<timestamp>.fin (original)

– <filename>.<timestamp>.fin.err

– <filename>.<timestamp>.fin.lau if LAU enabled

– <filename>.<timestamp>.fin.err.lau if LAU enabled

• for a FileAct file, three files are present:

– <filename>[.pde].<timestamp>

– <filename>[.pde].<timestamp>.par


19 November 2010 27

– <filename>.<timestamp>.err

– <filename>[.pde].<timestamp>.par.lau if LAU enabled

– <filename>[.pde].<timestamp>.err.lau ) if LAU enabled

• for a CSV file, two files are present:

– <filename>.<timestamp>.csv

– <filename>.<timestamp>.csv.err

– <filename>[.pde].<timestamp>.csv.lau if LAU enabled

– <filename>[.pde].<timestamp>.csv.err.lau if LAU enabled

It is the user's responsibility to maintain the error directory. SWIFT recommends that youperform regular archives of the files contained in this directory.

4.5 FileAct Delivery NotificationSending a notification

Should a FileAct transfer require a Delivery Notification, Alliance Lite creates this DeliveryNotification Automatically for the receiver. Alliance Lite creates the Delivery Notification once theReceiver's AutoClient has successfully downloaded the file.

The FileAct delivery notification is stored in the reception directory.

Receiving a notification

• When you send a FileAct Transfer, you receive the Delivery Notification in the Receptiondirectory of your AutoClient as a .dlv file.



5 Running AutoClientOverview

This section explains how to start and stop AutoClient, and how to monitor the status ofAutoClient.

To run AutoClient, you must have a USB token created by an Alliance Lite Administratorspecifically for AutoClient. You also need the password associated with this USB token. Formore information, see the Alliance Lite Administration Guide.

5.1 Starting AutoClientTo start AutoClient:

The "SWIFT AutoClient Service" runs automatically as a Windows Service under a systemaccount:

1. Insert the AutoClient USB token in a USB port.

2. Do one of the following:

• Click the Windows Start button, and select Programs > Alliance Lite > StartAutoClient.

• Or, right-click the AutoClient icon in the Windows Tray and click Start AutoClient fromthe shortcut menu

• In the Alliance Lite installation path use one of the command line utility: autoclient -start.

Note You can start AutoClient by connecting either to the Live service or to theTest service.

3. Type the password of the AutoClient USB token and select Live if you want to connectAutoclient to the Live service. Select Test&Training if you want to connect the AutoClientto the Test service.

Do one of the following:

• If AutoClient starts successfully, then the AutoClient Monitor icon (in the WindowsTray) turns green. AutoClient polls the Alliance Lite server for files ready for download,and the emission directory for files ready to be sent.

• If AutoClient fails to start, then the AutoClient Monitor icon turns yellow or red, and anerror message appears. For more information, see "Monitoring the Status of AutoClient"on page 30.

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19 November 2010 29

Note To start AutoClient from an application program, the autoclient -startcommand can be used. It is possible to provide the password of the token as aparameter of this command for example, autoclient -start -passwordxxxxx, where "xxxxx" is the value of the token's password. You can providethe mode as the command parameter to indicate whether AutoClient must bestarted on the Live service or Test service. For example, to start AutoClient onthe Test service, use the autoclient -start -mode TT command and tostart AutoClient on the Live service, use the autoclient -start -modeLIVE command.

WARNING: for security reasons, SWIFT does not recommend providing thepassword as a parameter to the autoclient -start command. If you do,then make sure that the password is not visible to unauthorised people, forexample, do not store the password in clear in a file, or script , or in log files.The password of the AutoClient token is very important for the protection, andsecure operation of AutoClient.

After three consecutive invalid logon attempts, the AutoClient Monitor icon (in the WindowsTray) turns red. You must stop and start the "SWIFT AutoClient Service" and start theAutoClient again. If you then fail two extra times, your USB token becomes disabled. In thiscase, contact your Alliance Lite Administrator to generate a new USB token.

If the user that started AutoClient logs off from Windows then the AutoClient remains running.

5.2 Monitoring the Status of AutoClientYou can monitor the status of AutoClient

You can check the status of AutoClient in three ways:

• by looking at the colour of the AutoClient Monitor icon in the Windows Tray.

– green: indicates that AutoClient is running properly

– yellow: indicates that the AutoClient is not started or that a network problem occurred

– red: indicates that the "SWIFT AutoClient Service" is not started or that a major issueoccurred.

• by checking the contents of the current autoclient_logs.log file.

• by running the AutoClient -status command.

AutoClient state transition

The following table lists the different states that AutoClient can be in:

State Description

Stopping AutoClient stop was requested

Stopped AutoClient is stopped

Starting AutoClient start was requested

Started AutoClient has started

Unavailable The "SWIFT AutoClient Service" is not started or a major issue occurred



State Description

Network Network problem

Certificate expiry warning

The Certificate on the USB token can be in one of the following states:

• Not yet valid

• Will expire in (a number of) days

• Expires today

• Expired

• Valid

In the first four cases, a balloon pop-up will appear to warn you in terms of Certificate expirywhen you start AutoClient with a token. You must then contact your Alliance Lite Administratorto renew it.

This warning is also logged in the autoclient_logs.log file.

5.3 Stopping AutoClientOverview

This section describes the procedure for stopping AutoClient.

Note AutoClient must not be stopped while files are being transferred. Wait until thetransfer is completed: that is until the emission directory is empty.

To stop AutoClient:

1. If you want to stop AutoClient, then do one of the following:

• Click the Windows Start button, and select Programs > Alliance Lite > StopAutoClient

• Right-click the AutoClient Monitor icon in the Windows taskbar, and select StopAutoClient from the shortcut menu

• Navigate to the Alliance Lite installation directory, and run the command: autoclient-stop

2. The system prompts the user to confirm the action in a Stop AutoClient window.

3. Type the AutoClient token's password and click OK .

When you select Stop AutoClient, the following occurs:

• the last entry in the log file contains an indication that the user stopped the system

• AutoClient stops checking its emission and reception directories for new files

• any ongoing file transfers are aborted

• a notification pop-up is displayed from the Windows taskbar.

Running AutoClient

19 November 2010 31

Note To stop AutoClient from an application programme, the autoclient -stopcommand can be used. It is possible to provide the password of the token as aparameter of this command, for example, autoclient -stop -passwordxxxxx where "xxxx" is the value of the tokens password.

WARNING: for security reasons, SWIFT does not recommend providing thepassword as a parameter to the autoclient -stop command. If you do, thenmake sure that the password is not visible to unauthorised people, for example, donot store the password in the clear in a file, script , or in log files. The password ofthe AutoClient token is very important for the protection, and secure operation ofAutoClient.



6 Sending FilesIntroduction

This section explains the process by which AutoClient handles files to be sent, from theemission directory up to the Alliance Lite server. It briefly talks about the preparation of thefiles. It also describes the possible scenarios that can occur when you send files throughAutoClient.

6.1 FIN Message FilesOverview

This section describes the process flow when sending FIN message files.

6.1.1 Message File Preparation

Preparation

Before sending a message file, the back-office application must prepare it.

Basic file requirements

Each file must conform to the following basic requirements:

• the message file name must:

– end in the extension .fin

– be less than 200 characters

– not contain the ":" (colon) character. The file name can contain dots.

• the message file must:

– be less than 85 KB in size

– have the read attribute enabled

File structure and format requirements

The file format must be RJE. An RJE file contains a number of MT messages, separated by a"$" (dollar) sign. The MT messages in the file must conform to the Standards MT syntax, asspecified in the Standards MT documentation.

For an example, see "FIN Message File (RJE Format)" on page 55.

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19 November 2010 33

6.1.2 Process Flow

FIN message files sent through AutoClient

D11

4000

5

During file upload to Alliance Lite server

Start

WaitingFile Upload

File UploadError

File moved toerror directory

File moved to emission directory

File moved to archive directory

Alliance Liteserver

6.1.2.1 Successful Upload

Overview

This section describes the process flow of messages successfully uploaded by AutoClient to theAlliance Lite server.

Process flow

1. A file prepared on your back-office application is ready to be sent.

2. The back-office application places the file in the emission directory, with the filenameending in the extension .fin.

3. AutoClient scans the emission directory, finds the file, and starts processing it.

Note If LAU is enabled for FIN messages, AutoClient will wait until the .lau file isfound. See "Local Authentication Files" on page 43 for details of how to setup a LAU file.

4. AutoClient checks whether the file meets the basic requirements listed in "Message FilePreparation" on page 33.

5. On successful validation, AutoClient uploads the file to the Alliance Lite server.

6. During upload, the file remains in the emission directory.

7. On successful completion of the file upload:

• AutoClient moves the file to the archive directory (if LAU enabled the LAU files are alsomoved)

• the messages are submitted for transmission to FIN.

At this stage, you can view and monitor the messages and their status from the Alliance LiteWeb interface. Messages can also be approved manually from the interface. For moreinformation, see "Approval of Autoclient Messages and Files" on page 44.



FIN ACK

1. For every message that is successfully sent on the FIN network, an ACK(Acknowledgement) message is returned. There can also be messages returned thatindicate error, or successful delivery to the receiver. The ACK messages are put in a .finfile generated by the Alliance Lite server.

2. The .fin file is downloaded into the reception directory by AutoClient. The back-officeapplication can then process these ACK messages, see "Process for Receiving FINMessages" on page 45. If LAU is enabled, the LAU file is provided as well.

6.1.2.2 Unsuccessful Upload

Errors can occur at various stages

When files are sent to the Alliance Lite server, errors can occur at the following stages:

1. when the file is validated by the sending AutoClient

2. when the files are validated by the Alliance Lite server

3. when the Alliance Lite server validates the messages after successful extraction

4. when the Alliance Lite server sends the message on SWIFTNet

5. during transmission over SWIFTNet, for example, after SWIFTNet accepted the messagebut before the message was delivered successfully to the receiver.

Errors at stage 1, 2, or 3

If a file results in an error at one of these stages, then the entire file is rejected, and AutoClientmoves the file to the error directory. AutoClient adds a timestamp extension to the original filename (<filename>.fin). In addition, a text file is generated in the error directory. This filecontains an error code with a description of the error.

The format of these files is as follows:

• <filename>.<timestamp>.fin - when occurring at stage 1

• <filename>.<timestamp>.fin.err - when occurring at stage 1, 2, and 3

where <timestamp> is the current system date and time (in YYYYMMDDhhmmss format) onthe AutoClient host

For a list of the possible errors, see "Errors When Uploading Files to the Alliance Lite Server" onpage 50.

Errors at stage 4, or 5: NAK and pseudo-NAK

At this stage, the file is accepted by the Alliance Lite server, and messages from the file areprocessed one by one. If a message results in an error at this stage, then only that message isrejected, while other messages in the file may be processed successfully. The error is typically aNAK (Negative Acknowledgement). A FIN NAK is a message returned by the SWIFT network toindicate that the sent message was rejected by the SWIFT network, and could not be forwardedto the receiver.

A pseudo-NAK is a message that is returned by the Alliance Lite server, to indicate that the sentmessage could not be forwarded to SWIFTNet. An error at stage 4 or 5 that indicates rejectionof a message is put in a .fin file generated by the Alliance Lite server. This file is thendownloaded by AutoClient into the reception directory.

Sending Files

19 November 2010 35

The FIN NAK or pseudo NAK message contains a copy of the original message which it rejects.The back-office application can then process these NAK messages, and determine whichmessage was rejected.

If a message must be repaired, then it must be created again on the back-office application.

FIN NAK

The FIN network may reject a message, and then return a NAK. Such a NAK is a message witha particular structure.

The following is an example of a NAK message:

{1:F21BANKBEBBAXXX0001000002}{4:{177:0803051517}{451:1}{405:M50}}{1:F01.......}In this example, the error code is "M50", which means "message length exceeded". A list ofpossible NAK error codes returned by the FIN network is documented in the User Handbook,Standards MT, and FIN Error Codes Guide.

In the AutoClient's .fin files, a NAK is followed by a copy of the original message to which theNAK refers. The copy of the original message is appended to the NAK, and starts with {1:F01.

Note The syntax of NAK messages is explained in the User Handbook, Standards MT,and FIN System Messages Guide. In summary, a NAK starts with {1:F21 andcontains a line with {451:1} to indicate rejection and {405:xxx}, where "xxx" isthe error code.

Pseudo NAK

The Alliance Lite server may return a pseudo NAK, containing a specific error code and itsdescription. A pseudo NAK is a NAK generated by Alliance Lite, not by the SWIFT network. Apseudo-NAK looks like a normal NAK, except that the error code starts with "I", or "AUT". Butthe pseudo-NAK does not contain field 108 (Message User Reference) in block 3 (UserHeader).

A pseudo NAK is generated in the following cases:

• no RMA relation "SEND_TO" exists with your counterparty, with the receiver BIC of themessage

An RMA relation is a relation that you establish with a counterparty that agrees to receiveSWIFT messages from you.

• the sender BIC8 inside the header of the message is not the BIC owned by the Alliance Liteuser

• message is incorrectly formatted in the FIN blocks or contains incorrect characters

• a message is rejected by the approver (in case of manual approval).

The following example shows a pseudo NAK due to the absence of RMA relation:

{1:F21VNDZBET2BXXX0000000000}{4:{177:0803051517}{451:1}{405:AUT}}{1:F01.......}A pseudo NAK is always followed by a copy of the original message. For the list of pseudo NAKerrors, see "Pseudo NAK Errors" on page 51.



MT 019 abort notification

A message that was successfully sent on FIN (for which an ACK was returned by SWIFTNet),can in exceptional cases be aborted before it is successfully received. There are two reasonsfor this:

• the receiver never receives the message, for example, the receiver never logs on to FIN toreceive messages that are waiting for them

• in case of a FINCopy message, the central institution does not authorise the message.

In both cases, SWIFTNet returns an MT 019 Abort Notification message to the sender of themessage. AutoClient puts these MT 019 messages in .fin files in its reception directory. Formore information, see "Process for Receiving FIN Messages" on page 45.

6.2 FileAct FilesOverview

This section describes the process flow when sending FileAct files.

6.2.1 Data File Preparation

Preparation

Before sending a FileAct file, the back-office application must prepare the following files:

• a data file, that must be sent to your counterparty, embedded in a FileAct file transmission

• a companion parameter file (.par file), that specifies how the file must be sent. For moreinformation, see "Emission .par File" on page 58.

• a LAU file (if LAU enabled)

Basic file requirements

Each file must conform to the following basic requirements:

• the file name must:

– be less than 200 characters

– not contain colon characters (:)

• the file must be less than 20 MB in size

Sending Files

19 November 2010 37

6.2.2 Process Flow

FileAct files sent through AutoClient

D11

4000

2


After sucessful file upload to Alliance Lite server


File moved to emission directoryFile moved toerror directoryFile Upload

Error

Start

Waiting Transfer

FileAct Delivered

FileAct Error FileAct ok

.err file in reception directory .ok file in reception directory

.dlv file in reception directory

Waiting FileActFile Upload


Overview

This section describes the process flow of data files that are successfully uploaded byAutoClient to the Alliance Lite server.

Process flow

1. A data file and its companion .par file, prepared on your back-office application, are readyto be sent.

2. The back-office application places both files in the emission directory, in the followingorder:

1. data file

2. companion .par file

Note The presence of the .par file in the emission directory triggers the fileupload. If no .par file is present in the emission directory, then the data fileupload does not start. If LAU is configured, then the upload will not start untilthe .lau file is also found. See "Local Authentication Files" on page 43 fordetails of how to setup and LAU file.

3. AutoClient scans the emission directory, finds both a data file and a .par file, and startsprocessing the files.



4. AutoClient checks whether the files meet the basic requirements listed in "Data FilePreparation" on page 37.

5. On successful validation, AutoClient uploads the files to the Alliance Lite server.

6. During upload, the files remain in the emission directory.


• AutoClient moves the data file and the .par file to the archive directory.

• the data file is submitted to FileAct following the routing information contained in thecompanion .par file.

• the LAU file (if LAU enabled) is moved to the archive directory.

At this stage, the status of the FileAct file transfer can be monitored from:

• the Alliance Lite Web interface. See the Inbox/Outox section of the Alliance Lite User Guidefor more information.

• report files (with extensions .ok, .err, and .dlv) that are moved to the reception directory.


Errors during basic validation checks and file upload

If the file upload fails, then AutoClient moves the data file and the companion .par file to theerror directory. AutoClient adds a timestamp extension to the original file names. In the errordirectory, a text file is also generated, containing an error code with a description of the error. IfLAU enabled the LAU file is moved as well.

The format of these files is as follows:

• <filename>[.pde].<timestamp>

• <filename>[.pde].<timestamp>.par

• <filename>[.pde].<timestamp>.err

• <filename>.<timestamp>.lau



Errors during validation by the Alliance Lite server

FileAct errors are put in an .err file. AutoClient then downloads this file into the receptiondirectory.

6.3 CSV FilesOverview

To send certain types of MT or MX messages, you can upload CSV (comma separated values)files with Alliance Lite, and Alliance Lite will transform the lines in these CSV files into messages(MT or MX), and send them as properly formatted MT or MX messages over SWIFTNet.

Sending Files

19 November 2010 39

The following message types can be uploaded in CSV format :

• For Funds Distributors

– Funds Orders Subscription MX (setr.010)

– Funds Orders Redemption MX (setr.004)

– Funds Orders Switch MX (setr.013)

• For Funds Transfer Agents or Funds Administrators

– Funds Statuses MX (setr.016)

– Funds Confirmations MX (setr.006, setr.012, setr.015)

– Funds Statements of Holdings MX (semt.002, semt.003)

• For Investment Managers, Broker, or Dealers

– Securities Settlement Instructions MT (MT 540, MT 541, MT 542, MT 543)

For more information about uploading CSV files, refer to the Alliance Lite CSV File UploadGuide.

6.3.1 Process Flow

CSV files sent through AutoClient

D11

4000

5


Start

WaitingFile Upload

File UploadError

File moved toerror directory

File moved to emission directory


Alliance Liteserver


Overview

This section describes the process flow of CSV files successfully uploaded by AutoClient to theAlliance Lite server.

Process flow

1. The CSV file is dropped in the emission folder of the AutoClient. The file name ends withthe extension .csv.

2. AutoClient scans the emission folder regularly, and if it finds a file, it automatically uploadsthe file and starts processing it.



Note If LAU is configured, then the upload will not start until the .lau file is alsofound. See "Local Authentication Files" on page 43 for details of how tosetup and LAU file.

3. On successful validation, AutoClient uploads the file to the Alliance Lite server.

4. The lines of the CSV file are transformed by Alliance Lite into MT or MX messages.

5. During upload, the file remains in the emission directory.


• AutoClient moves the file to the archive directory (if LAU is enabled the LAU files arealso moved)

• the messages are submitted for transmission to SWIFTNet.

Note The messages uploaded from the CSV files are visible in the Alliance Lite userinterface with the Outbox feature. The messages are displayed in a summary gridwith the most important elements of the message. For more information, seechapter Inbox Outbox of the Alliance Lite User Guide.

CSV ACK

1. For every message that is successfully sent on the network, an ACK (Acknowledgement)message is returned. There can also be messages returned that indicate error, orsuccessful delivery to the receiver. The ACK messages are put in a .csv file generated bythe Alliance Lite server.

2. The .csv file is downloaded into the reception directory by AutoClient. The back-officeapplication can then process these ACK messages, see "Process for Receiving CSV Files"on page 47. If LAU is enabled, the LAU file is provided as well.


Errors can occur at various stages

When files are sent to the Alliance Lite server, errors can occur at the following stages:

1. when the file is validated by the sending AutoClient

2. when the files are validated by the Alliance Lite server

3. when the Alliance Lite server validates the messages after successful extraction

4. when the Alliance Lite server sends the message on SWIFTNet

5. during transmission over SWIFTNet, for example, after SWIFTNet accepted the messagebut before the message was delivered successfully to the receiver.

Sending Files

19 November 2010 41

Errors at stage 1, or 2

If a file results in an error at one of these stages, then the entire file is rejected, and AutoClientmoves the file to the error directory. AutoClient adds a timestamp extension to the original filename (<filename>.csv). In addition, a text file is generated in the error directory. This filecontains an error code with a description of the error.

The format of the filenames of these files is as follows:

• <filename>.<timestamp>.csv - when occurring at stage 1

• <filename>.<timestamp>.csv.err - when occurring at stage 1, 2, and 3



Errors at stage 3, 4, or 5: NAK

At this stage, the file is accepted by the Alliance Lite server, and messages from the file areprocessed one by one. If a message results in an error at this stage, then only that message isrejected, while other messages in the file may be processed successfully.

A NAK is a message returned by the network to indicate that the sent message was rejected bythe SWIFT network, and could not be forwarded to the receiver.

A NAK can also be returned by the Alliance Lite server, to indicate that the sent message couldnot be forwarded to SWIFTNet. An error at stage 4 or 5 that indicates rejection of a message isput in a .csv file generated by the Alliance Lite server. This file is then downloaded byAutoClient into the reception directory. The NAK message contains a copy of the originalmessage which it rejects. The back-office application can then process these NAK messages,and determine which message was rejected.

If a message must be repaired, then it must be created again.

CSV NAK

NAK reporting on CSV files is achieved by using the Status CSV file. The Status CSV file isreturned to AutoClient with the NAK status and contains the NAk'd message. The file cancontains the status of one message or more.

The filename of the Status CSV file is as follows:

• <instruction type>_<status>_ <timestamp>.csv

Where: the <instruction type> is the message business name, the <status> is NAK, and the<timestamp> is the current system date and time (in YYYYMMDDhhmmss format) on theAutoClient host.

The following is the format of a CSV file:

<status> <error code> <error text> <status time stamp> <original filename><position in original file>

<copy of first line from original message in CSV>

[,,,,,<copy of line 2 from original message in CSV>] will be present for switch orders, may bepresent for semt*





The status for these messages is NAK and the error codes and text are described in "CSV NAKCodes" on page 52.

An example of Status CSV filename is as follows: DeliverFree_NAK_20100318154345644.csv

An example of the contents of this Status CSV status file is as follows:

NAK,CSVNAK_113,in Position 3,543_003.csv,3,DeliverFree,SWBPBEHA,ABCD,ABCD,Invest Account at HA,,EGS673T1C012,5000,UNIT,,,TRAD,20100102,20100101,CEDELULL,SWBPBEHA,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

6.4 Local Authentication FilesIntroduction

This section describes the process flow for Local Authentication (LAU) with files.

Process flow

1. The back-office application is configured with the same key value as the characters of thekey value(s) for the defined file types (CSV, FIN, or FileAct). The management of the keysis application specific and must be secure.

2. The back-office application creates a 256-bit array and fills the array with byte valuescorresponding to the LAU key ASCII characters. If the LAU key is less than 32 characters(256 bits), then the application will right-pad the remainder of the keys with 0 bits.

3. The back-office application calculates the HMAC-SHA256 signature over the entire bytestream of the payload file using the 256-bit array created in step 2 as the algorithm'ssymmetric key. This generates a 256-bit (32-byte) binary signature value.

4. The back-office application encodes the binary signature value in Base-64 encoding. ForFIN and CSV files, the Base-64 encoded value of the signature is put in a separate file withthe .lau extension. For FileAct files, the signature is put as a parameter in the .par file, andan additional signature is calculated on that .par file and put in a .par.lau file.

5. The remainder of the process flow depends on the file type (CSV, FIN, or FileAct).

For FIN and CSV payload files:

• The back-office application writes the base-64 encoded signature value to a filealongside the payload file in the AutoClient emission directory using the same name asthe payload file name but appended with .lau extension. This .lau file contains no othercharacters except the signature.

• The AutoClient initiates a transfer when it finds both the payload file and the .lau file inthe emission directory.

For binary payload files to be transported using FileAct:

• The back-office application writes a property called 'Algorithm' to the payload's .par filewith the 'HMAC_SHA256' as the property value. For example,

Algorithm=HMAC_SHA256

• The back-office application writes a property called 'Value' to the .par file with thebase-64 encoded signature value as the property value. For example,

Value=OXD9/6TwIHqROLr6ZXi8Y3cD03pV+wk6IGtoi4gQqrQ\=

Sending Files

19 November 2010 43

• The back-office application writes the updated .par file to disk.

• The back-office application calculates a second HMAC-SHA256 signature over the entirebyte stream of the .par file using the symmetric key created in step 2. This generates asecond 32-byte, binary signature value.

• The back-office application encodes the binary signature value as base-64.

• The back-office application writes the base-64 encoded signature value to a filealongside the payload file in the AutoClient emission directory using the same name asthe payload file name but appended with .par.lau extension. This par.lau file contains noother characters except the signature.

• The AutoClient initiates a transfer when it finds the payload file, the .par file andthe .par.lau file in the emission directory.

6.5 Local Test Mode ProcessIntroduction

When setting up a system, if an operator would like to test the flow between the back-officeapplication and the AutoClient without actually sending the file to Alliance Lite. This sectiondescribes the process flow for Local Test Mode.

Process Flow

1. In the back-office application, the operator creates a file for each type (FIN, CSV, FileAct).

2. The back-office application creates the LAU files and stores the files in the emissiondirectory.

3. The AutoClient retrieves the files and validates the LAU signatures (logging the results inthe log file), but does not send the files.

4. After validation, the operator deletes the files after stopping AutoClient.

Note In case of failure, the operator configures the keys again and validates theLAU signatures.

6.6 Approval of Autoclient Messages and FilesOverview

AutoClient allows you to manually approve any outgoing AutoClient message or FileAct file.Using Inbox/Outbox you can see all files/messages sent with AutoClient. From the Outbox youcan approve these files or messages. The Outbox module lists all messages and FileAct filesthat require approval. You can approve each message or file, if the message or file wasuploaded from AutoClient and if the auto-approval option is not enabled in AutoClient.

You can also use Automatic Approval for messages in AutoClient. For information aboutapproval of outbox instructions, see chapter Inbox Outbox of the Alliance Lite User Guide.



7 Receiving Files

7.1 Process for Receiving FIN MessagesOverview

This section describes the process flow when receiving Standards MT messages.

Process flow

1. A .fin file containing Standards MT messages is processed by the Alliance Lite server.AutoClient then downloads the file into the reception directory. The file name is<filename>.fin.

This .fin file can contain the following types of message:

• business messages addressed to your institution

• status of messages sent previously

• a combination of both

• an LAU file (if LAU enabled)

2. The back-office application checks the reception directory for the presence of .fin files.

3. The back-office application moves the file from the reception directory to the workingdirectory of the back-office application.

Note If LAU is configured, the back-office application should wait until the LAU file isavailable in the reception directory before processing the message.

Status of messages sent previously

The back-office application can track the status of all messages sent previously throughAutoClient. The following message states exist:

Message Description Means that the message that yousent

Additional information

FIN ACK FINacknowledgement

was successfully sent (accepted bySWIFTNet)

A FIN ACK contains:

• a message user reference or atransaction reference number toidentify the original message in theback-office application

• a message input reference to enablethe following MT 019, MT 011, and MT010, to be reconciled with the originalmessage

FIN NAK FIN negativeacknowledgement

was rejected by SWIFTNet. An errorcode indicates the reason for therejection.

A FIN NAK contains a message userreference or a transaction referencenumber to identify the original message inthe back-office application

Receiving Files

19 November 2010 45

Message Description Means that the message that yousent

Additional information

MT 010 Non-Delivery warning was being monitored in case of non-delivery, and was not deliveredbefore its obsolescence periodexpired

(this is only possible for messagesflagged as Urgent). See UserHandbook FIN System Messages fordetails.

MT 011 Delivery notification is a message being monitored fordelivery and has actually beendelivered.

See User Handbook FIN SystemMessages for details.

MT 012 FINCopy releasenotification

for which FINCopy was requested,was authorised for release by theFINCopy service's central institution,and has been forwarded to thereceiver.

Note: Not all FINCopy services usethis MT 012 feature.

MT 019 delivery abort was acknowledged, but SWIFTNetaborted the delivery of the message.An error code indicates the reasonfor the delivery abort.

pseudoNAK

pseudo negativeacknowledgement

resulted in an error before beingtransmitted onto SWIFTNet by theAlliance Lite server.

Pseudo NAK can be identified with anError Code beginning with "I" or "AUT"(see "Pseudo NAK Errors" on page 51).

7.2 Process for Receiving FileAct FilesIntroduction

This section describes the process flow when receiving FileAct files.

Process flow

1. The Alliance Lite server makes FileAct files available for download. AutoClient thendownloads these files into the reception directory.

2. The back-office application checks the reception directory for the presence of FileAct files.

3. The back-office application moves the files from the reception directory to the workingdirectory of the back-office application.

Note The back-office application must only move the files that have anassociated .par file.

If LAU is configured, an LAU file is provided as well. Also, the back-officeapplication must only start processing the file if LAU file is available.



Files received from counterparties

When a FileAct file is successfully received from a counterparty, the following files are presentin the reception directory:

• <filename>.<TransferRef>S[_pdr][.lau]

• <filename>.<TransferRef>S[_pdr].par[.lau]

• <filename>.<TransferRef>S[_pdr].ok[.lau]

([.lau] added if LAU enabled)

When the file transfer from a counterparty fails, the following file is present in the receptiondirectory:

• <filename>.<TransferRef>S[_pdr].err[.lau]

<TransferRef> is the FileAct TransferRef of the file sent or received (<filename>). It is a uniquestring of characters generated by SWIFT. The TransferRef is the same at the sender and at thereceiver side.

TransferRef example: SNL00112D10045533050123736SS means that the file is received from a counterparty.

[_pdr] is an optional extension added when retries occurred during the FileAct transfer.

Status of files uploaded previously

The following files indicate the status of FileAct files uploaded previously:

File name Meaning

<filename>[.pde].<TransferRef>C.ok the <filename> file was successfully transferred to FileAct

<filename>[.pde].<TransferRef>C.dlv the <filename> file was successfully delivered to thereceiving destination

<filename>[.pde].<TransferRef>C.err the <filename> file generated an error during its transfer toFileAct

<filename>[.pde].<timestamp>.err the <filename> file generated an error before its transfer toFileAct

[.pde] is an optional extension added when retries occurred during the FileAct transfer.

<TransferRef> is the FileAct TransferRef of the uploaded file (<filename>).

TransferRef example: SNL00112D10045533050123736CC indicates a status update on the file sent to the counterparty.

<timestamp> is the current date and time (GMT) when the error file is created on the FileActinterface.

7.3 Process for Receiving CSV FilesIntroduction

This section describes the process flow when receiving CSV files.

Receiving Files

19 November 2010 47

Process Flow

1. The Alliance Lite server makes CSV files available for download. AutoClient thendownloads these files into the reception directory.

2. The back-office application checks the reception directory for the presence of CSV files.

3. The back-office application moves the files from the reception directory to the workingdirectory of the back-office application.

Note The back-office application must only move the files that have anassociated .csv file.

If LAU is configured, an LAU file is provided as well. Also, the back-officeapplication must only start processing the file if LAU file is available, if LAU isconfigured.



8 Monitoring File TransfersOverview

You can monitor the status of the files that you send from AutoClient to the Alliance Lite server.

The autoclient_logs.log file

Whenever you start AutoClient, a log file is created under <installation directories>\logs. Thisfile is called autoclient_logs.log.

The autoclient_logs.log file contains entries for each file that you send and for all the states ofthese files, from UPLOAD_READY to UPLOAD_COMPLETED. Each entry has a timestampagainst it.

A backup mechanism limits the maximum size of all log files to 60 MB.

The oldest AutoClient log files present in the log directory are overwritten.

Note It is the user's responsibility to archive the log files.

Monitoring File Transfers

19 November 2010 49

9 List of Errors

9.1 Errors When Uploading Files to the Alliance LiteServer

Overview

This section lists the errors that can occur during basic file validation and during file upload tothe Alliance Lite server.

Error code Error message or action to be taken

AC_ERR_1 Filename longer than 250 characters

AC_ERR_2 Filename contains an invalid character (:)

AC_ERR_3 File size is bigger or equal to 20 MB

AC_ERR_4 File is empty (0 KB)

AC_ERR_5 File format error, messages could not be extracted from the file

AC_ERR_6 Could not successfully verify signature. USB token is either removed or the sender'scertificate is no longer valid or is incorrect.

Make sure the USB token is correctly inserted. Stop and start the AutoClient with avalid password.

AC_ERR_7 Maximum number of upload retries reached, the file cannot be uploaded to theAlliance Lite Central Server

AC_ERR_11 File is duplicate

AC_ERR_12 Could not successfully sign message. USB token removed or no longer valid.

AC_ERR_15 USB token removed.

Insert token and restart AutoClient.

AC_ERR_16 The LAU keys break the complexity rules.

Correct the LAU keys identified in the error message.

AC_ERR_17 LAU validation failed for file.

Check back-office software.

AC_ERR_18 Could not write data to disk

AC_ERR_19 Could not read data from disk

AC_ERR_22 Server Error while writing data for file.

Sent by the server. The system periodically tries to recover the connection.

AC_ERR_23 Server Error while reading data for file


An error occurred. Please look within the AutoClient logs to detect the root cause ofthe problem

AC_ERR_24 Service unavailable due to communication error

AC_ERR_25 Database Error.


AC_ERR_26 Unsupported file type.

Change file type.



Error code Error message or action to be taken

AC_ERR_28 Configuration Error.

A configuration error was detected. Look in the log files to see details about theissue. Correct the configuration. Stop and start AutoClient.

AC_ERR_29 Unexpected local Error.

A fatal system error occurred. System freezes immediately. Look in the AutoClientlog files to detect the root cause of the problem. Stop and start AutoClient when theproblem is solved.

AC_ERR_31 Unexpected server Error.

AC_ERR_41 Invalid companion file.

The companion (.par file) could not be successfully validated for the specific reasonprovided.

AC_ERR_42 Service not allowed.

The service is not allowed on this network.

AC_ERR_43 Digest incorrect.

The digest for file does not match the calculated digest on the received content.

AC_ERR_102 AUTOCLNT user of User Group <BIC8> is not eligible for message transmission.

AC_ERR_103 Non-SWIFT character encountered.

9.2 Pseudo NAK ErrorsOverview

This section lists the pseudo NAK errors that the Alliance Lite server may return.

Error code Error information (text not visible to the user)

I01 Missing header 1: block

I02 Missing header 2: block

I03 Missing body 4: block

I04 Invalid Sender's BIC

I05 Invalid Tag 20 (length > 16)

I06 No data in body 4: block

I10 Alliance Lite was unable to load the message. The RJE FIN file format is incorrect or amandatory field is missing.

I11 The FIN message was rejected by user with Approver role

I15 The FIN message is incorrectly formatted in FIN blocks or contains incorrectcharacters.

AUT No RMA relation exists with the counterparty

List of Errors

19 November 2010 51

9.3 CSV NAK CodesOverview

This section lists the CSV NAK errors that the Alliance Lite server may return.

Funds Management CSV NAK Codes

Code Description

CSV Dispatcher

CSVNAK_001 Invalid CSV File

CSVNAK_002 Invalid Instruction Type

CSVNAK_003 Invalid Receiver DN/Bankcode

CSVNAK_005Invalid Switch Order/Conf (Based on Bank Code/DN and Order Ref match in bothlegs)

CSVNAK_006 Invalid Character

CSVNAK_007Criteria to psueod nak Order CSV > 53 postions Status CSV> 11 PositionsConfirmation CSV > 91 postions

CSV Loader

CSVNAK_012 Value exceeds maximum allowable length

CSVNAK_013 Settlement Party ID Type provided without ID

CSVNAK_014 Place of Settlement is missing

CSVNAK_015 Value is not allowed

CSVNAK_016 Invalid amount for Charge Amount or Commission Amount

CSVNAK_017 Missing value

CSVNAK_018 Invalid currency

CSVNAK_019 Allowable code value validation failure

CSVNAK_020 Invalid country code

CSVNAK_021 Invalid ISIN

CSVNAK_022 Invalid amount unit

CSVNAK_023 Invalid amount for Gross Amount or Net Amount

CSVNAK_024 Invalid percentage/rate

CSVNAK_025 Invalid amount

CSVNAK_026 Invalid BIC

CSVNAK_027 Invalid date format

CSVNAK_028 Invalid Cum Dividend Indicator

CSVNAK_029 Invalid Distinguished Name

CSVNAK_030 Invalid Usergroup

CSVNAK_031 Invalid Senders BIC

CSVNAK_032 Invalid Place Of Settlement BIC



Securities Instructions CSV NAK codes

Code Description

CSV Dispatcher


CSVNAK_003 Invalid Receiver BIC

CSVNAK_006 Invalid Character

CSV Loader

CSVNAK_110 Field value length is too long

CSVNAK_111 Non-SWIFT character

CSVNAK_112 This BIC is not a Place Of Settlement BIC

CSVNAK_113 MESSAGEFUNCTION doesn't exist in AllowedValueCodes_FIN table

CSVNAK_114 Instruction Type missing


CSVNAK_116 Invalid or missing settlement Date

CSVNAK_117 Invalid or missing Trade Date

CSVNAK_118 Invalid Allow Value Code

CSVNAK_119 Invalid Sender Ref

CSVNAK_120 Invalid Quantity

CSVNAK_121 Missing Settlement Type

CSVNAK_122 Missing Safe Account Number

CSVNAK_123 Settlement Amount is Mandatory Applicable only for DVP and RVP instruction types.

CSVNAK_124 Invalid Place of Trade Code or Narrative

CSVNAK_125 Invalid Settlement Amount Currency (missing or invalid)

CSVNAK_126 Invalid or missing Amount field (missing if currency provided)

CSVNAK_127 Invalid or missing Currency field (missing if amount provided)

CSVNAK_128 Missing or Invalid ISIN

CSVNAK_129Reference format Validation: Reference(s) must not start or end with a slash '/' andmust not contain two consecutive slashes '//')

CSVNAK_130

Invalid/Missing Reference:

1. If Instruction Function is Cancellation Request (position 3 = CANC), thenPrevious Reference is mandatory.

2. If Instruction Function is New or Preadvice (Position 3 = NEWM/PREA), thenPrevious Reference is not allowed.

3. Preadvice Reference is allowed only If Instruction Function is New (Position3 = NEWM).

CSVNAK_131 Missing/ Invalid place of safekeeping options

CSVNAK_132 Missing/Invalid Place of Settlement options

List of Errors

19 November 2010 53

Code Description

CSVNAK_133 Missing/ Invalid Receiving Agent options

CSVNAK_134 Missing/ Invalid Delivering Agent options

CSVNAK_135 Missing/ Invalid Buyer options

CSVNAK_136 Missing/ Invalid Seller options

CSVNAK_137 Missing/ Invalid Receiver's Custodian options

CSVNAK_138 Missing/ Invalid Deliverer's Custodian options

CSVNAK_139 Missing/ Invalid Investor options

CSVNAK_140 Missing/ Invalid Beneficiary of Money options

CSVNAK_141 Missing/ Invalid Account With Institution options

CSVNAK_142 Missing/ Invalid Paying Institution options

CSVNAK_143

Deal price conditional validations:

1. If position 54 is present, then either position 55 or 56 should be present.

2. If position 55 is present, then position 57 must be present and position 58 is notallowed.

3. If position 56 is present, then both 57 and 58 must be present.

CSVNAK_144 Stamp Duty Indicator conditional validation

CSVNAK_145 Trade Details - Reporting Indicator conditional validation

CSVNAK_146Fore Deliver Free (DF) or Receive Free (RF): When position 77 (Stamp Duty Indicator)is present, Settlement Amount is mandatory.

CSVNAK_147 Invalid BIC

CSVNAK_148 Invalid Place of listing Code or Narrative

CSVNAK_149 Missing/Invalid Debtor options



10 File ExamplesIntroduction

This section provides examples of FIN message files (RJE format) and FileAct files.

10.1 FIN Message File (RJE Format)RJE format

A FIN message file in RJE format can contain one or more FIN messages. Each line must endwith the CRLF characters (ascii '0D' and '0A'). Multiple FIN messages within such files aredelimited by a "$" (dollar) sign. All messages must be in 8-bit ASCII. The last character in anRJE file must be the closing bracket (ascii '7D'). If not, the file gets rejected.

For more information about the FIN message syntax, see the SWIFTStandards documentation.

The format for files to be sent and files received is identical, except for the following differences:

• messages to be sent - have a header block 2 that start with {2:I, where "I" stands for input (toSWIFTNet):

– do not normally contain a block 5

– contain a dummy session and sequence number in block 1

• messages received - have a header block 2 that starts with {2:O where "O" stands for output(from SWIFTNet):

– contain datetime stamps and a unique message input reference in block 2

RJE files with received messages contain messages that are:

• received from your counterparties

• returned by SWIFTNet, or the Alliance Lite server to indicate what happened with previouslysent messages:

– FIN ACK

– FIN NAK

– pseudo-NAK messages

– MT010, MT011, MT012, and MT019 messages

Example 1

The following example file contains two MT 999 messages to be sent:

{1:F01LITEBEBBAXXX0000000001}{2:I999LITEBEBBXXXXN}{4::20:TESTREF1:79:This is text line 1-}${1:F01LITEBEBBAXXX0000000004}{2:I999BANKDEFFX123U3}{4::20:TESTREF1:79:Another example line 1Example line 2-}

File Examples

19 November 2010 55

• Sender - the (fictitious) BIC11 of the sending Alliance Lite customer is LITEBEBBXXX. Insert"A" as the 9th character, to make LITEBEBBAXXX as sending Logical Terminal in headerblock 1.

• Receiver - the receiver of the first message is the same Alliance Lite customer (sent tohimself). The receiver of the second message is a fictitious bank with BANKDEFF123 asBIC11. Always insert "X" as the 9th character, to make LITEBEBBXXXX or BANKDEFFX123as receiver in header block 2.

• The session number (4 digits) and sequence number (6 digits) in header block 1 can use anydummy value when putting the message in an RJE file. The session and sequence numberare allocated when the message is sent on FIN, and are visible in the copy of the sentmessage that is returned in the ACK.

• In header block 2, after the receiver BIC, the message delivery options are indicated. Useone of the following:

– N - message is sent with normal priority, no delivery notification is requested

– N2 - message is sent with normal priority, delivery notification is requested. This meansthat an MT 011 delivery notification message is returned by SWIFTNet, when the messageis delivered successfully to the intended recipient.

– U3 - message is sent with urgent priority, delivery notification is requested (see N2), andoverdue delivery warning is requested. This means that SWIFTNet returns an MT 010overdue delivery warning if SWIFTNet can not deliver the message to the receiver within15 minutes of sending for example, because the receiver was offline.

Example 2

{1:F01SAAJBEBBAXXX0000000001}{2:I103SAAJBEBBXXXXN2}{3:{108:ACK MT103 0004}}{4::20:TEST000001:23B:CRED:23E:SDVA:23E:INTC:23E:CORT:23E:PHOB:23E:TELE:23E:PHOI:26T:AAA:32A:001118USD3,34:33B:DEM3,34:36:1,3456789012:50A:/34xSALABEBB:52A:/C/34xSALABEBB:53D:/D/34x4X35x:54B:/C/34x35x:55B:/C/34x35x:56A:/C/34xSALABEBB:57A:/C/34xSALABEBB:59:4X35x:70:35x3X35x:71A:OUR:71G:USD1,34



:72:/AAAAAAAA/25x/A/32x//33x/A/x//x//x:77B:35x2X35x-}${1:F01SAAJBEBBAXXX0000000002}{2:I199SAAJBEBBXXXXN}{3:{108:ACK MT199 0198}}{4::20:TEST000002:21:x:79:ZZZZZZZZZZZZZZZZZZZZ-}${1:F01SAAJBEBBAXXX0000000003}{2:I206SAAJBEBBXXXXN}{3:{108:ACK MT206 0021}}{4::20:TEST000003:28E:12345/MORE:23E:TRAV:52A:SALABEBB:44A:ABCDEFGHIJKLMNOPQRSTUVWXYZ-1234567890abcdefghijklmnopqrstuvwxyz12:21D:01/456-7890-AB-1234567890:32J:15,:58A:SALABEBB:57A:SALABEBB:19:15,-}${1:F01SAAJBEBBAXXX0000000004}{2:I341SAAJBEBBXXXXN}{3:{108:ACK MT341 0037}}{4::15A::20:TEST000004:22A:SETT:22C:XXXXXX1234XXXXXX:23D:FIXEDFLOAT:82A:SALABEBB:87A:SALABEBB:15B::30T:20000101:32B:ZAI666,2:30F:20030314:30P:20000101:37M:N1,3456789012:15C::37R:N12345678901,:34E:NUSD123456789012,45:57A:SALABEBB-}${1:F01SAAJBEBBAXXX0000000005}{2:I410SAAJBEBBXXXXN}{3:{108:ACK MT410 0048}}{4::20:TEST000005:21:X:32A:940930USD1,12:72:/AAAA1234/-}

10.2 FileAct Companion Parameter FileOverview

The companion parameter file contains the FileAct routing information for the associated datafile.

The file name of the parameter file is the file name of the data file followed by theextension .par. The structure of the parameter file is a JAVA properties file, also called a"tag=value" text file.

File Examples

19 November 2010 57

10.2.1 Emission .par File

10.2.1.1 Parameters

Parameters available in an emission .par file

Parameter file tag Description Mandatory field? Maximum length orallowed values

Responder Responder DN Yes 100

Service Service Name Yes 30

RequestType RequestType Yes 30

TransferDescription Transfer Description No 256

TransferInfo Transfer Info No 256

FileDescription File Description No 256

FileInfo File Info Yes 256

NonRepudiation Non-repudiation No TRUE or FALSE

Sign Signed No TRUE or FALSE

Priority Urgent No Urgent or Normal

AckIndicator Request Delivery Notification No TRUE or FALSE

AckResponder Delivery Notification ReceiverDN

No 100

AckRequestType Delivery Notification RequestType

No 30

10.2.1.2 Emission .par File Example

Code

Responder=o=bankbebb,o=swiftService=swift.generic.faRequestType=camt.9012.001.001TransferDescription=file transfer descriptionTransferInfo=file infoFileDescription=file descriptionFileInfo=contentNonRepudiation=TRUESign=TRUEAckIndicator=TRUEAckResponder=o=bankbeff,o=swiftAckRequestType=ack.9012.001.001Priority=Urgent



10.2.2 Reception .par File

10.2.2.1 Parameters

Parameters available in a reception .par file

Parameter name Type Length or allowed values

SwiftTime DateTime ISO 8601 datetime format

NonRep Boolean string matches "FALSE" | "TRUE"

SNLId String string length <= 30

SNLEP String string length <= 15

DeliveryTime DateTime ISO 8601 datetime format

MsgId String string length <= 40

Creationtime DateTime ISO 8601 datetime format

PDIndication Boolean string matches "FALSE" | "TRUE"

Requestor UserDN string length <= 100

Responder UserDN string length <= 100

Service String string length <= 30

RequestType String string length <= 30

Priority String string matches "Normal" | "Urgent"

RequestRef String string length <= 30

TransferRef TransferRef string length <= 30

TransferDescription String string matches any* length <= 256 octet

TransferInfo String string matches US ASCII* length <= 256

PossibleDuplicate Boolean string matches "FALSE" | "TRUE"

OrigTransferRef String string length <= 30

AckIndicator Boolean string matches "FALSE" | "TRUE"

AckResponder UserDN string length <= 100

AckRequestType String string length <= 30

LogicalName Sw filename

FileDescription String string matches any* length <= 256 octet

FileInfo String string matches US ASCII* length <= 256

Size integer <= 0

DigestAlgorithm String string matches "SHA-1" | "SHA-256"

DigestValue String string length <= 50

File Examples

19 November 2010 59

10.2.2.2 Reception .par File Example

Code

DigestValue=O3SoajDHlQP2l5pNW2NVZSHAFao=SNLEP=swhq_epa2Requestor=o=bankbebb,o=swiftTransferDescription=Transfer descriptionLogicalName=filename.pdfPriority=UrgentFileInfo=File infoMsgId=82cbb3db-8010-416c-84aa-c8f946352f83AckIndicator=FALSETransferInfo=Transfer informationService=swift.generic.faRequestRef=requestref001SwiftTime=2008-04-10T06:43:00ZTransferRef=SNL00209D11207810832045314SSize=1000PossibleDuplicate=FALSERequestType=camt.9012.001.001FileDescription=File descriptionResponder=o=bankbeff,o=swiftSNLId=snl12345DigestAlgorithm=SHA-1

10.3 FileAct Report Files

10.3.1 Parameters

Parameters present in FileAct report files

Parameter name Type Description Presence or value indication

.ok .dlv .err

ReportStatus String

matches"Success" |"Delivery" |"Error"

Report name Value isSuccess

Value isDelivery

Value isError

Requestor UserDN

length <= 100

DistinguishedName of therequestor (theinitiator) of the filetransfer

Present in all reports

Responder UserDN

length <= 100

DistinguishedName of theorganisation towhich the file istransferred


Service String

length <= 30

Name of thebusiness serviceused for the filetransfer


RequestType String

length <= 30

A specific functionwithin the servicebeing provided





.ok .dlv .err

Security String

length <= 100

DistinguishedName used tosecure the filetransfer


TransferDescription String

matches any*length <= 256octet

Information aboutthe file transferprovided by thesender


TransferInfo String

matches USASCII* length <=256

Structured datathat the receivercan use toautomate the filetransferprocessing


RequestReference String

length <= 30

Additionalreferenceinformation aboutthe transfer, suchas date, IDnumber, orreference code


PhysicalName String

length <= 254

Physical name ofthe file (full path)


LogicalName String

length <= 254

Logical name ofthe file


FileDescription String


User informationabout the file (freetext)


FileInfo String


Structured datathat the receivercan use toautomate the fileprocessing


Size Integer >= 0 Size of the file Present in all reports

Value String

length <= 50

Value of thedigest


Algorithm String

matches"SHA-1" |"SHA-256"

Name of thedigest algorithm


HeaderInfo String Indicates whethera requestcontainedenhanced headerinformation

Present in all reports. Value is always No.

TransferRef TransferRef

length <= 30

See "Process forReceiving FileActFiles" on page 46


File Examples

19 November 2010 61


.ok .dlv .err

MsgId String

length <= 40

Unique fileidentifier,automaticallycreated at thetime of filetransfer


DeliveryMode String

matches"RealTime" |"SnF"

File transferdelivery mode

Present in all reports. Value is always"RealTime"

TransferDirection String

matches"Incoming" |"Outgoing"

Present in all reports. Value is always"Outgoing"

TransferStatus String

matches"Ongoing" |"Completed" |"Rejected" |"Aborted" |"Failed" |"Unknown"

File transferdelivery status

Not presentin .dlvreports

StartTime DateTime

length <= 20

Local date andtime when the filetransfer started


StateTime DateTime

length <= 20

Time of last statuschange in the filetransfer


StopReason String


Details about thereason why a filetransfer failed


StopDetails Any String Details about thereason why thefile transfer failed.This is a dump ofSwGbl:Statusreceived from snl(tags areescaped)


PossibleDuplicate Boolean

matches"FALSE" |"TRUE"

Indicates whetherthe file transfer isa possibleduplicate


AckIndicator Boolean


Indicates whetherthe clientapplicationrequested filetransfer adapterto send a deliverynotification


Priority String Priority of the filetransfer. Possible





.ok .dlv .err

matches"Normal" |"Urgent"

values are Normalor Urgent.

NRIndicator Boolean


Indicates whetherSWIFT keeps aformal record ofthe file transferevent for futurereference


SignIndicator Boolean


Indicates whetherthe file is signed


AckTime DateTime

length <= 20

Time when theacknowledgementto the file transferwas received

Not present Only presentin .dlvreports

Not present

Status String

matches"Accepted" |"Rejected" |"Duplicated"

Indicates whetherthe file wasaccepted orrejected. Possiblevalues areAccepted,Rejected,Duplicated.


Not present

AckDescription String


Indicates why theapplicationaccepted orrejected the file(free text)


Not present

AckInfo String


Indicates why theapplicationaccepted orrejected the file.Structured datathat the servercan analyse.


Not present

Code String Code of the error Not present Not present Onlypresentin .errreportsgeneratedbeforetransfer toFileAct

Reason String Error description Not present Not present Onlypresentin .errreportsgeneratedbeforetransfer toFileAct

File Examples

19 November 2010 63

10.3.2 .ok File

10.3.2.1 Emission

Example

RequestReference=requestref001HeaderInfo=NoSecurity=cn=liteuser,o=bankbebb,o=swiftRequestor=o=bankbebb,o=swiftTransferDescription=Transfer descriptionStateTime=2009-04-10T09:35:35ZPriority=NormalMsgId=e5cf44e9-5e59-4ac7-b59d-5256e48c8c14NRIndicator=FALSEAckIndicator=TRUETransferInfo=transfer informationService=swift.generic.faStartTime=2009-04-10T09:35:31ZTransferRef=SNL00209D11207820131339514CDeliveryMode=RealTimeSignIndicator=FALSEPossibleDuplicate=FALSETransferDirection=OutgoingRequestType=camt.9012.001.001TransferStatus=CompletedResponder=o=bankbeff,o=swift

10.3.2.2 Reception

Example

RequestReference=requestref001HeaderInfo=NoSecurity=cn=liteuser,o=bankbebb,o=swiftRequestor=o=bankbebb,o=swiftTransferDescription=Transfer descriptionStateTime=2009-04-10T09:35:35ZPriority=NormalMsgId=e5cf44e9-5e59-4ac7-b59d-5256e48c8c14NRIndicator=FALSEAckIndicator=TRUETransferInfo=transfer informationService=swift.generic.faStartTime=2009-04-10T09:35:31ZTransferRef=SNL00209D11207820131339514SDeliveryMode=RealTimeSignIndicator=FALSEPossibleDuplicate=FALSETransferDirection=IncomingRequestType=camt.9012.001.001TransferStatus=CompletedResponder=o=bankbeff,o=swift



10.3.3 .dlv File (Emission)

Example

Status=AcceptedTransferDescription=Transfer descriptionStateTime=2008-04-10T09:36:03ZPriority=NormalNRIndicator=FALSETransferInfo=Transfer informationService=swift.generic.faTransferRef=SNL00209D11207820162340877CAckTime=2009-04-10T09:18:32ZSignIndicator=FALSEPossibleDuplicate=FALSERequestType=camt.9012.001.001Responder=o=bankbeff,o=swiftHeaderInfo=NoRequestReference=requestref001Security=cn=liteuser,o=bankbebb,o=swiftRequestor=o=bankbebb,o=swiftMsgId=2f55098d-f3a3-4fc5-a292-0120118bea64AckIndicator=TRUEAckDescription=Delivery Notification message generated by userStartTime=2009-04-10T09:36:02ZDeliveryMode=RealTimeTransferDirection=Outgoing

10.3.4 .err File (Emission)

Example

RequestReference=requestref001Security=cn=liteuser,o=bankbebb,o=swiftRequestor=o=bankbebb,o=swiftTransferDescription=Transfer descriptionStateTime=2008-04-09T10:56:05ZPriority=NormalMsgId=c144a6ca-8bec-4c35-b622-ce13868040ccNRIndicator=FALSEAckIndicator=TRUETransferInfo=transfer informationService=swift.generic.faStartTime=2008-04-09T10:56:04ZTransferRef=SNL00209D11207738564663183CDeliveryMode=RealTimeSignIndicator=TRUEStopReason=The file cannot be opened for read.PossibleDuplicate=FALSETransferDirection=OutgoingRequestType=camt.9012.001.001Responder=o=bankbeff,o=swiftTransferStatus=Failed

10.4 CSV FileOverview

To send certain types of MT or MX messages, you can upload CSV (comma separated values)files with Alliance Lite, and Alliance Lite will transform the lines in these CSV files into messages(MT or MX), and send them as properly formatted MT or MX messages over SWIFTNet.

File Examples

19 November 2010 65

10.4.1 Message Types Allowed

Message types

The following message types can be uploaded in CSV format:

• For Funds Distributors

– Funds Orders Subscription MX (setr.010)

– Funds Orders Redemption MX (setr.004)

– Funds Orders Switch MX (setr.013)

• For Funds Transfer Agents or Funds Administrators

– Funds Statuses MX (setr.016)

– Funds Confirmations MX (setr.006, setr.012, setr.015)

– Funds Statements of Holdings MX (semt.002, semt.003)

• For Investment Managers, Broker, or Dealers

– Securities Settlement Instructions MT (MT 540, MT 541, MT 542, MT 543)

For more information and examples about uploading CSV files, refer to the Alliance Lite CSVFile Upload Guide.



Appendix A

Bank Codes and Field Tag Information

A.1 Built in Bank CodesBuilt in BIC Directory and other bank codes

Alliance Lite has a built-in directory of codes that can be used to identify financial institutions orcorporates on SWIFT. These are the financial institution BICs, non-financial institution BICs,national and international clearing codes, as published in SWIFT's BICPlusIBAN Directory. Forexample, Alliance Lite contains the international CHIPS Universal Identifiers, and nationalclearing codes of more than 50 countries, including the US (ABA/ Fedwire) codes, Swiss SIC/BC codes, German Bankleitzahl codes, United Kingdom Sort codes, and so on.

When entering a Bank Code in Alliance Lite screens, Alliance Lite allows you to select the typeof bank code from a drop-down.

By default, this drop-down is set to SWIFT, to allow entry or selection of a BIC. The user canthen enter a BIC11 manually, or click ... to select a BIC11 from the entire BIC Directory.

If a BIC is entered manually, then it is looked up in the BIC Directory, and if found, its name andaddress are shown. Similarly, if a BIC is selected from the built-in directory, its name andaddress are shown. This allows a visual check against accidentally typing or selecting the wrongBIC. Only the BIC, not its name and address, are put in the message, as this is recommendedin SWIFT messages to allow straight-through processing.

Note An 8-character BIC can not be entered, it must be an 11-character BIC. You cantype in XXX as the branch code, to convert a BIC8 to a BIC11. For example, typeABXXDEFFXXX instead of ABXXDEFF.

The built-in national clearing codes are indicated in the drop-down with their country code (forexample, AT for Austria, DE for Germany, CH for Switzerland).

In SWIFT messages, a National Clearing Code is not always prefixed by its country code, theexceptions are:

Bank code drop-down(country code)

Country Prefix in SWIFTmessage

Code name

CA Canada CC Canadian PaymentsAssociation Payment RoutingNumber

CH Switzerland SW Swiss SIC/BC code

CHIPS (international) CH CHIPS Universal Identifier

DE Germany BL German Bankleitzahl

GB Great Britain SC UK Sort code

US USA FW ABA/Fedwire code

In SWIFT messages, it is always preferred to use a SWIFT code (BIC), if one is available,instead of a (inter)National Clearing Code. Therefore, Alliance Lite automatically converts theclearing code to a BIC, and put the BIC in the message, if the user has selected a NationalClearing Code for which a BIC is also known.

In the rare case where a bank code must be entered that is not part of the built-in directory:

Appendix A - Bank Codes and Field Tag Information

19 November 2010 67

• it does not matter which type of bank code is selected in the drop-down

• enter the bank code manually, preceded by a single slash / character. After the slash, put thecorrect prefix for this type of code as required in SWIFT messages. For example, Russiancodes must be prefixed by RU, Swiss codes must be prefixed by SW, and so on. Thestandardised prefixes are documented in the User Handbook, Standards MT, for the relevantMT and field.

• a warning message appears to say that you entered an unknown code (to prevent accidentaltyping mistakes).

• you must enter a Name and at least one Address line, plus the country. This ensures that thereceiver of the message can understand which bank you intended to specify, even if the bankcode that you entered turns out to be unknown by the receiver.

Example: in Beneficiary's Bank of the MT 103, leave SWIFT as bank code type, and thentype /RU12345 in the code field, and type Test bank in the Name, and Test address inAddress.

In some messages, and fields, the bank code drop-down allows "FW" and "RT" as choices:

• FW followed by a BIC means "Pay this BIC by Fedwire". It indicates to the receiver that thespecified bank must be reached over the Fedwire network.

• RT followed by a BIC means "Pay this BIC by (domestic) Real Time Gross SettlementSystem". This is a binding instruction to the receiver.

In some messages, and fields, the bank code drop-down contains "Other" as a choice. If "Other"is selected, then the user can enter freely a code, or a name, or an address. "Other" must onlybe used in very rare cases. It is always mapped to option "D" of the field. If "Other" is selected,and nothing is entered in code, name, address, then the field is absent from the message.

A.2 Field Tag InformationOverview

This section provides reference information for the field tags of a message type. It allows you tomap the field descriptions you see on the Alliance Lite Web interface with the tags used in theFIN Standards MT message format.

A.2.1 Payments - Request for Transfer (MT 101)

How to enter Request for Transfer fields in Alliance Lite screens:

Mandatory sequence A - General Information

Standards MT Alliance Lite web interface Comment

Fieldtag

Field name(and format)

Tab Block Fieldname

20 Sender'sReference

Requiredtab

MessageIdentificationblock

Sender'sRef

If not entered, then this mandatory field isautomatically set to a unique value (TNum). Ifentered, then the entered value overrules theTnum.

21R CustomerSpecifiedReference

- AutoClient only - this field would typically beused in case multiple payments are part of thesame MT 101, to give one overall reference




different from the sender's reference. Multiplepayments in same MT 101 can be enteredthrough AutoClient.

28D Message Index/Total

- Automatically set to: 28D:1/1 - not displayed.This field is only used in case multiple MT 101messages are chained together. This can bedone through AutoClient.

50C Instructing party(BEI format)

- AutoClient only - on the screen, 50L can beentered

50L Instructing party(text format)

Required Debit Account Instructing party

This field is only open for input if the checkbox"Debit Party is Instructing party" is unticked.

50F Orderingcustomer(structuredformat)

- AutoClient only - on the screen, 50H can beentered

50G Orderingcustomer (BIC/BEI format)

- AutoClient only - on the screen, 50H can beentered

50H Orderingcustomer(account,name, andaddress format)

Required Debit Account AccountNumber

Select the Account Number from the set ofaccounts that your Alliance Lite administratorshave defined. The Name and Address of theaccount's owner, as defined by the administratorand as they are put in field 50H, are shown inthe Optional tab, Debit Account Details. TheAccount Number, Name, and Address aredefined by the administrator in Admin > Setup >Account > Add or Modify.

Optional (Debit AccountDetails)

(Name &Address)(displayonly)

52A AccountServicingInstitution (BICformat)

- AutoClient only - on the screen, the receiver ofthe MT101 is the account servicing institution.

52C AccountServicingInstitution(clearing codeformat)

- AutoClient only - on the screen, the receiver ofthe MT 101 is the account servicing institution

30 RequestedExecution Date

Required Amount &Dates

RequestedExecutionDate

25 Authorisation - AutoClient only

Note Only one occurrence of Sequence B can be entered on the screen. Multipleoccurrences of Sequence B (multiple payments in same MT 101) can be enteredthrough AutoClient.


19 November 2010 69

Mandatory Sequence B - Transaction Details


Fieldtag


Tab Block Fieldname

21 TransactionReference

Automatically set to samevalue as field 20. Can beoverruled throughAutoClient

- Field 21 only must be set differently from field 20if there are multiple payments in the sameMT101. This can be entered through AutoClient.

21F F/X DealReference


ContractID

Contract ID is only shown when currency ofCredit Amount is changed by the user to bedifferent from the currency of the selected DebitAccount.

23E InstructionCode

Optional Instructions ProcessingInstructions

Max. 4 processing instructions can be enteredthrough GUI. If more than 4 are required, thenuse AutoClient.

32B Currency/TransactionAmount


CreditAmount

The currency of the Credit Amount isautomatically set to the currency of the selectedDebit Account, but can be changed to a differentcurrency.

50C InstructingParty

- See Sequence A. Can only be set in SequenceB through AutoClient

50L InstructingParty


50F OrderingCustomer


50G OrderingCustomer


50H OrderingCustomer


52A AccountServicingInstitution

- AutoClient only. On the screen, the receiver ofthe MT101 is the account servicing institution.

52C AccountServicingInstitution

- AutoClient only. On the screen, the receiver ofthe MT 101 is the account servicing institution.

56A Intermediary(BIC format)

Optional IntermediaryBank

BankCode

Bank code type drop-down must be set toSWIFT. A BIC must be entered or selected fromthe BIC Directory. For known BICs, their Name,Address and Country are displayed forconvenience.

56C Intermediary(clearing codeformat)


BankCode

Bank code type drop-down must not be set toSWIFT. A clearing code must be entered orselected from the directory. For known codes,their Name, Address and Country are displayedfor convenience.

56D Intermediary(name, andaddress format)


BankCodeNameAddress1Address2

If an entered BIC or clearing code is unknown,then the user must enter at least the bank nameand 1 address line, and all this is put in field56D. This is to make sure that the institutionreceiving the message can correctly determinethe correct bank when the BIC or clearing codeis actually wrong.




Fieldtag


Tab Block Fieldname

Address3 Country

57A Account withInstitution (BICformat)

Required BeneficiaryBank

BankCode

Bank code type drop-down must be set toSWIFT. A BIC must be entered or selected fromthe BIC Directory. For known BICs, their Name,Address and Country are displayed forconvenience.

57C Account withInstitution (BICformat)


BankCode


57D Account withInstitution(name, andaddress format)


BankCodeNameAddress1Address2Address3 Country

If the BIC or clearing code is unknown, then theuser must enter at least the bank name and 1address line, and all this is put in field 56D. Thisis to make ensure that the institution receivingthe message can correctly determine the correctbank when the BIC or clearing code is actuallywrong.

59 Beneficiary Required Beneficiary AccountNumberNameAddress1Address2Address3

59A Beneficiary(BIC format)

- AutoClient only. On the screen, 59 can beentered.

70 RemittanceInformation

Optional Instructions Information forBeneficiary(Remittance Info.)

77B RegulatoryReporting

Optional Instructions RegulatoryReporting

33B Currency/OriginalOrderedAmount


DebitAmount

The Debit Amount field is only shown if thecurrency of the Credit Amount is changed by theuser to be different from the currency of theselected Debit Account, for example, for a cross-currency payment. The Debit Amount's currencyis always identical to the Debit Account'scurrency.

71A Details ofCharges


Charges

25A ChargesAccount

- AutoClient only


19 November 2010 71


Fieldtag


Tab Block Fieldname

36 Exchange Rate Required Amount &Dates

Exchange Rate

The Exchange Rate field is only shown if thecurrency of the Credit Amount is changed by theuser to be different from the currency of theselected Debit Account, for example, for a cross-currency payment.

A.2.2 Payments - Customer Transfer (MT 103)

How to enter Customer Transfer (MT 103) fields in Alliance Lite screens:


Fieldtag


Tab Block Fieldname


Required MessageIdentification

Sender'sRef

If not entered, then this field is automatically setto a unique value (TNum). If entered, theentered value overrules the TNum.

13C Time Indication - AutoClient only.

23B Bank OperationCode

- Automatically set to: 23B:CRED - not displayed.Other values can be entered through AutoClient.

23E InstructionCode

Optional Instructions ProcessingInstructions

Max. 4 processing instructions can be enteredthrough GUI. If more than 4 are required, thenuse AutoClient.

26T TransactionType Code

- AutoClient only.

32A Value Date/Currency/InterbankSettled Amount


AmountorInterbankSettledAmount(debit)ValueDate

By default, a single Amount field is shown, andthis Amount field is mapped to both 32A, and33B. Only if Sender's or Receiver's charges areentered, or currency of Amount is changed bythe user to be different from the currency of theSender's Account, then 2 amount fields areshown: an Instructed Amount (credit) andInterbank Settled Amount (debit) instead ofAmount.

The Interbank Settled Amount is calculated fromthe entered Instructed Amount, taking intoaccount Exchange Rate and charges, unlessuser disables calculation. Calculation is as perStandards MT, Category 1, MT 103, UsageRules for Amount Related Fields.

33B Currency/InstructedAmount


AmountorInstructedAmount(credit)

By default, an Amount field is shown, and thisAmount field is mapped to both 32A, and 33B.Only if Sender's or Receiver's charges areentered, or currency of Amount is changed to bedifferent than currency of the Sender's Account,then show both Instructed Amount (credit) andInterbank Settled Amount (debit) instead ofAmount.

36 Exchange Rate Required Amount &Dates

Exchange Rate

The Exchange Rate field is only shown if thecurrency of Amount is changed to be differentfrom the currency of the selected Sender's




Fieldtag


Tab Block Fieldname

Account. When shown, it is mandatory, unlessuser selects "disable calculation".

50A OrderingCustomer (BICformat)

- AutoClient only - on the screen, 50K can beentered

50F OrderingCustomer(structuredformat)

- AutoClient only - on the screen, 50K can beentered

50K OrderingCustomer(account,name, andaddress format)

Optional Originator NameAccount/IDAddress1Address2Address3 Country

If "Account at Receiver" checkbox is ticked in"Sender's Account to be debited", thenOriginator is auto-prefilled with owner of thisaccount, or left empty. The user can overrulethis. The account and owner of this account aredefined by the Alliance Lite administrator inAdmin > Setup > Account > Add or Modify

52A OrderingInstitution (BICformat)

Optional Originator'sBank

BankCode

This field must only be entered, if the sendingAlliance Lite user is sending or forwarding theMT 103 on behalf of another institution.

52D OrderingInstitution(name, andaddress format)

Optional Originator'sBank


This field only must be entered, if the sendingAlliance Lite user is sending or forwarding theMT 103 on behalf of another institution.

53A Sender'sCorrespondent(BIC format)

Optional Sender'sCorrespondentBank

BankCode

Field open for input if "Account at Receiver"checkbox is unticked in "Sender's Account to bedebited". Bank code type drop-down must be setto SWIFT. A BIC must be typed in Bank Code,or selected from the BIC Directory. For knownBICs, their Name, Address and Country aredisplayed for convenience.

53B Sender'sCorrespondent(account)

Required Sender'sAccount to beDebited

AccountNumber

If "Account at Receiver" checkbox is ticked in"Sender's Account to be debited", then theselected Account Number is put in field 53B.Note: if a branch location name must also bespecified in 53B, then AutoClient must be used.

53D Sender'sCorrespondent(name, andaddress format)

Optional Sender'sCorrespondentBank


Field by default not open for input (greyed out).Open for input if "Account at Receiver" checkboxis unchecked. If the user selects Other as BankCode type, then the entered Bank Code(preceded by a single slash), Name, Address,and Country are put in 53D.

54A Receiver'sCorrespondent(BIC format)

Optional Receiver'sCorrespondentBank

BankCode

Field open for input if "Account at Receiver"checkbox is unticked in "Sender's Account to bedebited". Bank code type drop-down must be setto SWIFT. A BIC must be entered in Bank Code,


19 November 2010 73


Fieldtag


Tab Block Fieldname

or selected from the BIC Directory. For knownBICs, their Name, Address and Country aredisplayed for convenience.

54B Receiver'sCorrespondent(account)

- AutoClient only - on the screen, 54A or 54D canbe entered.

54D Receiver'sCorrespondent(name, andaddress)

Optional Receiver'sCorrespondentBank


Field open for input if "Account at Receiver"checkbox is unticked in "Sender's Account to bedebited". If the user selects Other as Bank Codetype, then the entered Bank Code (preceded bya single slash), Name, Address, and Country areput in 54D.

55a ThirdReimbursementInstitution

- AutoClient only.

56A IntermediaryInstitution (BICformat)


BankCode

Bank code type drop-down must be set toSWIFT. A BIC must be entered in Bank Code, orselected from the BIC Directory. For knownBICs, their Name, Address and Country aredisplayed for convenience.

56C IntermediaryInstitution(clearing codeformat)


BankCode

Bank code type drop-down must not be set toSWIFT or Other. A clearing code must beentered or selected from the directory. Forknown codes, their Name, Address and Countryare displayed for convenience.

56D IntermediaryInstitution(name, andaddress format)



If the user selects Other as Bank Code type,then the entered Bank Code (preceded by asingle slash), Name, Address, and Country areput in 56D.

57A Account WithInstitution (BICformat)


BankCode

Bank code type drop-down must be set toSWIFT, FW, or RT. A BIC must be entered inBank Code, or selected from the BIC Directory.For known BICs, their Name, Address andCountry are displayed for convenience. FW is aninstruction that says "Pay this BIC by Fedwire"RT is an instruction that says "Pay this BIC by(domestic) Real Time Gross Settlement System"

57B Account WithInstitution(location)

- AutoClient only - on the screen, 57A, 57C, or57D can be entered

57C Account WithInstitution(clearing codeformat)


BankCode

Bank code type drop-down must not be set toSWIFT or Other. A clearing code must beentered or selected from the directory. Forknown codes, their Name, Address and Countryare displayed for convenience.




Fieldtag


Tab Block Fieldname

57D Account WithInstitution(name, andaddress format)



If the user selects Other as Bank Code type,then the entered Bank Code (preceded by asingle slash), Name, Address, and Country areput in 56D.

59 BeneficiaryCustomer

Required Beneficiary NameAccountAddress1Address2Address3 Country

59A BeneficiaryCustomer

- AutoClient only. On the screen, 59 can beentered.

70 RemittanceInformation

Optional Instructions Information forBeneficiary(Remittance Info)

71A Details ofCharges


Charges Select from drop-down BEN, SHA, or OUR.Default is SHA. If BEN is selected, thenSender's Charges becomes mandatory (blue). IfOUR is selected, then Sender's Charges iscleared and greyed out.

71F Sender'sCharges


Sender'sCharges

only 1 occurrence can be entered

71G Receiver'sCharges


Receiver'sCharges

currency of Receiver's Charges must be sameas currency of Interbank Settled Amount.

72 Sender toReceiverInformation

Optional Instructions Bank toBankInstructions

Only 4 lines can be entered. If more than 4 arerequired, then use AutoClient.

77B RegulatoryReporting

Optional Instructions RegulatoryReporting

77T EnvelopeContents

- AutoClient only


19 November 2010 75

A.2.3 Payments - Institutional Transfer (MT 202)

How to enter Institutional Transfer (MT 202) fields in Alliance Lite screens:

Alliance Lite fields


Fieldtag


Tab Block Fieldname

20 TransactionReferenceNumber


Sender'sRef


21 RelatedReference


RelatedRef

13C Time Indication - AutoClient only

32A Value Date,Currency Code,Amount


CreditAmount(Currency) ValueDate

Currency is set to the currency of the selectedDebit Account

52a OrderingInstitution

- AutoClient only

53A Sender'sCorrespondent

- AutoClient only

53B Sender'sCorrespondent

Required Debit Account AccountNumber

53D Sender'sCorrespondent

- AutoClient only

54a Receiver'sCorrespondent

- AutoClient only



BankCode

Bank code type drop-down must be set toSWIFT. A BIC must be typed in Bank Code, orselected from the BIC Directory. For knownBICs, their Name, Address and Country aredisplayed for convenience.

56D Intermediary(name, andaddress format)




57A Account WithInstitution (BICformat)

Required Account WithInstitution

AccountBankCode

Bank code type drop-down must be set toSWIFT, FW, or RT. A BIC must be entered inBank Code, or selected from the BIC Directory.For known BICs, their Name, Address andCountry are displayed for convenience. Enteringan Account is optional, and only possible if codetype is SWIFT. FW is an instruction that says"Pay this BIC by Fedwire." RT is an instructionthat says "Pay this BIC by (domestic) Real TimeGross Settlement System"




Fieldtag


Tab Block Fieldname

57B Account WithInstitution(location)

- AutoClient only. On the screen, 57A or 57D canbe entered.

57D Account WithInstitution(account orclearing code,name, andaddress)

Required Account WithInstitution

AccountBankCodeNameAddress1Address2Address3 Country


58A BeneficiaryInstitution (BICformat)

Required BeneficiaryInstitution

AccountBankCode

Bank code type drop-down must be set toSWIFT. A BIC must be entered in Bank Code, orselected from the BIC Directory. For knownBICs, their Name, Address and Country aredisplayed for convenience. Entering an Accountis optional.

58D BeneficiaryInstitution(name, andaddress)

Required BeneficiaryInstitution




Optional Instructions Sender toReceiverinstructions

A.2.4 Payments - Notice to Receive (MT 210)

How to enter Notice to Receive (MT 210) fields in Alliance Lite screens:



Fieldtag


Tab Block Fieldname

20 TransactionReferenceNumber


Sender'sRef


25 AccountIdentification

Required Credit Account AccountNumber

30 Value Date Required Amount & Date ValueDate

21 RelatedReference


RelatedRef


19 November 2010 77


Fieldtag


Tab Block Fieldname

32B Currency Code,Amount

Required Amount & Date CreditAmount(Currency)

The currency is automatically set to the currencyof the selected Credit Account

50 OrderingCustomer

Required Ordering Party NameAddress1Address2Address3 Country

If the user has not ticked the "Ordering Party is aFinancial Institution" check box.

50C OrderingCustomer

- AutoClient only. On the screen, 50 can beentered

50F OrderingCustomer

- AutoClient only. On the screen, 50 can beentered

52A OrderingInstitution

Required Ordering Party BankCode


52D OrderingInstitution

- AutoClient only. On the screen, 52A can beentered

56A Intermediary Optional IntermediaryBank

BankCode


56D Intermediary Optional IntermediaryBank

- AutoClient only. On the screen, 56A can beentered

A.2.5 Foreign Exchange Confirmation (MT 300)

How to enter Foreign Exchange Confirmation (MT 300) fields in Alliance Lite screens:



Fieldtag


Tab Block Fieldname


Required General CustomerReference

This field specifies the reference numberassigned by the Sender to unambiguouslyidentify the message. If not entered, then thisfield is automatically set to a unique value(TNum). If entered, the entered value overrulesthe TNum.

21 RelatedReference

Optional General RelatedReference

This field contains the identification of themessage to which the current message isrelated, that is, the sender's reference in field 20of the previous message which is to beamended or cancelled by this message.




Fieldtag


Tab Block Fieldname

22C CommonReference

Required General CommonReference

A unique value that contains portions of theSender and Receiver BIC codes along with thelast few digits of the Exchange Rate.

22A Type ofOperation

Required General Type ofOperation

This field specifies the function of the message.Allowed values:

• New

• Cancel

• Amend

• Duplicate

94A Scope ofOperation

Optional General Scope ofOperation

This field specifies the role of the Sender andthe Receiver of the message in the execution ofthe confirmed trade

Contract Type Required General ContractType

Allowed values:

• Spot

• Forward

• NDF

Used to assign a default value date for Spot.

17T Block TradeIndicator

Optional BlockTradeIndicator

This field specifies whether the confirmed deal isa block trade and whether an MT 303 Forex/Currency Option Allocation Instruction, will besent by the funds manager.

17U Split SettlementIndicator

Optional SplitSettlementIndicator

This field specifies whether the amount is to besettled as a whole or in several parts.

AccountNumber

Required Sender AccountNumber

Internal bank account number.

Account Name Required Sender [Account]Name

The account name is automatically set to theselected account number, but can be changedto a different account name.

Bank Required Sender Bank The Bank Code is automatically set to theselected account number, but can be changedto a different Bank Code.

Routing Code Required Sender RoutingCode

BIC code for banks.

Bank Name Required Sender [Bank]Name

The Bank Name is automatically set to theselected Bank Code, but can be changed to adifferent Bank Code.

82A Party A Required Sender Instructing Party

The Client BIC Code is automatically set to theUser Group for the access ID and Account, butcan be changed to a different value.

83A AccountNumber

Optional AccountNumber

This field specifies the funds or beneficiarycustomer.


19 November 2010 79


Fieldtag


Tab Block Fieldname

87A Party B Required Receiver BankCode

This field identifies party B.

33B Currency,Amount

Required ReceivingAgentInstructions:Currency Sold

CurrencyAmountSold

This field specifies the currency and amountsold by party A. Allowed values are Amount andCurrency Code.

32B Currency,Amount

Required ReceivingAgentInstructions:CurrencyBought

CurrencyAmountBought

This field specifies the currency and amountbought by party A. Allowed values are Amountand Currency Code.

53A Delivery Agent Optional BankCode

This field identifies the financial institution fromwhich the payer will transfer the amount bought.

57A ReceivingAgent

Required BankCode

This field identifies the financial institution andaccount where the payee will receive theamount bought.

58A BeneficiaryInstitution

Optional BankCode

This field specifies the institution in favour ofwhich the payment is made.

36 Exchange Rate Required Amounts andDates

Exchange Rate

This field specifies the agreed exchange rate ofthe transaction. It is the rate as the deal wasstruck.

30T Trade Date Required TradeDate

This field specifies the date the transaction wasagreed between party A and party B.

30V Value Date Required ValueDate

This field specifies the value date of thetransaction.

56A Intermediary Optional IntermediaryParties:Currency Sold

BankCode

This field specifies the intermediary institution forthe transfer of the funds.

56A Intermediary Optional IntermediaryParties:Currency Sold

Name This field specifies the intermediary institution forthe transfer of the funds.

56A Intermediary Optional IntermediaryParties:CurrencyBought

BankCode

This field specifies the intermediary institution forthe transfer of the funds.

56A Intermediary Optional IntermediaryParties:CurrencyBought

Name This field specifies the intermediary institution forthe transfer of the funds.


Optional SpecialInstructionsSender toReceiver: TIMEor VENU

Sender toReceiverLine

TIME: Time at which the transaction wasconcluded.

VENU: Venue where the transaction wasexecuted.



A.2.6 Fixed Loan or Deposit Confirmation (MT 320)

How to enter Fixed Loan or Deposit Confirmation (MT 320) fields in Alliance Lite screens:

Mandatory sequence A - General Information


Fieldtag


Tab Block Fieldname


Required MessageIdentificationblock

Sender'sRef

If not entered, then this mandatory field isautomatically set to a unique value (TNum). Ifentered, then the entered value overrules theTnum.

21 RelatedReference

Optional MessageIdentificationblock

RelatedRef

This field contains the identification of themessage to which the current message isrelated.

22A Type ofOperation

Required TransactionDetails

Type ofOperation

This field specifies the function of the message.

94A Scope ofOperation

Optional TransactionDetails

Scope ofOperation

This field specifies the role of the Sender andthe Receiver of the message in the conclusion ofthe confirmed trade.

22B Type of Event Required TransactionDetails

Type ofEvent

This field specifies the event in the life of theloan/deposit.

22C CommonReference


CommonReference

This field contains a reference common to boththe Sender and the Receiver.

82A Party A Required Entity BankCode

This field identifies party A. Name and addressfields populated from BIC code table.

87A Party B Required Counterparty BankCode

This field identifies party B. Name and addressfields populated from BIC code table.

83A Funds orInstructingParty

Optional Funds orInstructing Party

This field identifies the account information forparty A, the underlying funds or instructinginstitution.

Mandatory Sequence B - Transaction Details


Fieldtag


Tab Block Fieldname

17R Party A's Role Required TransactionDetails

DealType

This field specifies whether party A is theborrower or the lender.

30T Trade Date Required TransactionDetails

TradeDate

This field specifies the date the original deal orthe rollover was agreed between party A andparty B.

30V Value Date Required TransactionDetails

ValueDate

Date must be a valid date expressed asYYYYMMDD

30P Maturity Date Required TransactionDetails

MaturityDate

This field specifies the latest agreed maturitydate, that is, the date on which the principal is tobe returned and the interest due.


19 November 2010 81


Fieldtag


Tab Block Fieldname

32B PrincipalAmount/Currency


PrincipalAmount

This field specifies the currency and contractamount, that is, the amount on which the interestspecified in field 34E is calculated. For a newconfirmation (22B=CONF), this amount has tobe settled at value date.

32H Amount to beSettled


Amountto beSettled

For a rollover confirmation (22B=ROLL), thisfield specifies the difference between theprevious and the new principal amount, withinterest included when interest is settled throughthe same cash flow.

For a maturity confirmation (22B=MATU), thisfield specifies the amount with optional interestto be paid by the borrower at maturity date.

30X Next InterestDue Date


NextInterestDue Date

This field specifies the date the next interest isdue.

34E Currency andInterest Amount


InterestAmount

This field specifies:

• for a new confirmation (22B=CONF), the firstinterest amount

• for a rollover confirmation (22B=ROLL), thenext interest amount

• for a maturity confirmation (22B=MATU), thefinal interest amount to be settled at maturity.

37G Interest Rate Required TransactionDetails

InterestRate

This field specifies the interest rate.

14D Day CountFraction


DayCountFraction

This field specifies the number of days which aretaken into account for the calculation of theinterest.

Mandatory Sequence C - Settlement Instructions for Amounts Payable to Party A


Fieldtag


Tab Block Fieldname


This field identifies the financial institution fromwhich party A will transfer the funds.

86A Intermediary 2 Optional BankCode

This field identifies the second intermediaryinstitution for the transfer of the funds.


Optional Entity-IntermediaryBank

BankCode

This field identifies the first intermediaryinstitution for the transfer of the funds.

57A ReceivingAgent

Required Entity-Receiving Bank

BankCode

This field identifies the financial institution andaccount where party B will receive the payment.


Optional BankCode

This field specifies the institution in favour ofwhich the payment is made when different fromParty B.



Mandatory Sequence D- Settlement Instructions for Amounts Payable to Party B


Fieldtag


Tab Block Fieldname


This field identifies the financial institution fromwhich party B will transfer the funds.

86A Intermediary 2 Optional BankCode

This field identifies the second intermediaryinstitution for the transfer of the funds.


Optional Counterparty-IntermediaryBank

BankCode

This field identifies the first intermediaryinstitution for the transfer of the funds.

57A ReceivingAgent

Required Counterparty-Receiving Bank

BankCode

This field identifies the financial institution andaccount where party A will receive the payment.


Optional BankCode

This field specifies the institution in favour ofwhich the payment is made when different fromparty A.

Optional Sequence E- Additional Information


Fieldtag


Tab Block Fieldname


Optional AdditionalInformation

Sender toReceiverInformation

This field specifies additional information for theReceiver and applies to the whole messages.


19 November 2010 83

Legal Notices

Copyright

SWIFT © 2010. All rights reserved.

You may copy this publication within your organisation. Any such copy must include these legal notices.

Confidentiality

This publication may contain SWIFT or third-party confidential information. Do not disclose this publicationoutside your organisation without the prior written consent of SWIFT.

Disclaimer

SWIFT supplies this publication for information purposes only. The information in this publication maychange from time to time. You must always refer to the latest available version on www.swift.com.

Translations

The English version of SWIFT documentation is the only official version.

Trademarks

SWIFT is the trade name of S.W.I.F.T. SCRL. The following are registered trademarks of SWIFT: SWIFT,the SWIFT logo, 3SKey, Innotribe, Sibos, SWIFTNet, SWIFTReady, and Accord. Other product, service, orcompany names in this publication are trade names, trademarks, or registered trademarks of their respectiveowners.



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