Classification of Financial Instruments (CFI)

Category

Group

First Attribute

Second Attribute

Third Attribute

Fourth Attribute

The First character indicates the highest level of classification.

The second character indicates the specific Groups within each Category.

The third character indicates the most important attributes of each group.

The fourth character indicates the most important attributes of each group.

The fifth character indicates the most important attributes of each group.

The sixth character indicates the most important attributes of each group.

Example:

Equities (E)

Shares (S)

Voting (V)

Unrestricted (U)

Fully Paid (F)

Registered (R)

Instrument Description

Category

Group

Voting Right The Voting Right indicates the kind of voting power conferred to the shareholder.

Ownership / Transfer / Sales Restrictions This indicates that the ownership or transfer of the security is subject to special conditions including country specific restrictions.

Payment Status

Form (Negotiability, Transmission)

A Ordinary Share

E - Equities

S - Common / Ordinary Shares

V - Voting Each share has one vote.

N - Non-Voting The shareholder has no voting right.

R - Restricted Voting The shareholder may be entitled to less than one vote per share.

E - Enhanced Voting The shareholder is entitled to more than one vote per share.

T - Restrictions

U - Free (unrestricted)

O - Nil Paid

P - Partly Paid

F - Fully Paid

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

B Ordinary Share

N Ordinary

Ordinary Share

Instrument Description

Category

Group

Voting Right The Voting Right indicates the kind of voting power conferred to the shareholder.

Redemption Redemption indicates the retirement provisions made for the shares.

Income Incomes indicates the kind of dividend income to which the shareholders are entitled.

Form (Negotiability, Transmission)

Preference Shares

E - Equities

P - Preferred / Preference Shares

V - Voting Each share has one vote.

N - Non-Voting The shareholder has no voting right.

R - Restricted Voting The shareholder may be entitled to less than one vote per share.

E - Enhanced Voting The shareholder is entitled to more than one vote per share.

R - Redeemable The shares may be redeemed at the option of the issuer and/or of the shareholder.

E - Extendible The redemption date can be extended at the issuer or holder option.

T - Redeemable / Extendible The issuer and/or holders of redeemable shares with a fixed maturity date have the option to extend the maturity date.

G - Exchangeable The shares may be exchanged for securities of another issuer.

A - Redeemable / Exchangeable / Extendible The issuer and/or holders of redeemable shares with a fixed maturity date have the option to extend the maturity date and the shares may be exchanged for securities of another issuer.

C - Redeemable / Exchangeable The shares may be redeemed at the option of the issuer and/or of the shareholder and may be exchanged for securities of another issuer.

N - Perpetual The share has no fixed maturity date.

F - Fixed Rate Income The shareholder periodically receives a stated income.

C - Cumulative, Fixed Rate Income The shareholder periodically receives a stated amount; dividends not paid in any year accumulate and shall be paid at a later date before dividends can be paid on the common / ordinary shares.

P - Participating Income Preferred / Preference shareholders, in addition to receiving their fixed rate of prior dividend, share with the common shareholders in further dividend distributions and in capital distributions.

Q - Cumulative, Participating Income Shareholders are entitled to dividends in excess of the stipulated preferential rate under specified conditions; dividends not paid in any year accumulate and shall be paid at a later date before dividends can be paid on the common / ordinary shares.

A - Adjustable / Variable Rate Income The dividend rate is set periodically, usually based on a certain yield.

N - Normal Rate Income Shareholders are entitled to the same dividends as common / ordinary shareholders, but have other privileges, for example, as regards distribution of assets upon dissolution.

U - Auction Rate Income Dividend is adjusted through an auction, such as the Dutch auction.

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

Instrument Description

Category

Group

Instrument Dependency Represents the ownership of an instrument.

Redemption / Conversion of the Underlying Assets For common / ordinary shares and limited partnership units, only the values N (Perpetual) and X (Not applicable / undefined) may be used. All other values apply for other underlying instruments.

Income Incomes indicates the kind of dividend income to which the shareholders are entitled.

Form (Negotiability, Transmission)

Depository Receipt

E - Equities

D - Depositary Receipts on Equities

S - Common / Ordinary Shares

P - Preferred / Preference Shares

C - Common / Ordinary Convertible Shares

F - Preferred / Preference Convertible Shares

 L - Limited Partnership Units

M - Others (miscellaneous)

R - Redeemable

N - Perpetual

B - Convertible

D - Convertible / Redeemable

X - Not applicable / Undefined

F - Fixed Rate Income The shareholder periodically receives a stated income.

C - Cumulative, Fixed Rate Income The shareholder periodically receives a stated amount; dividends not paid in any year accumulate and shall be paid at a later date before dividends can be paid on the common / ordinary shares.

P - Participating Income Preferred / Preference shareholders, in addition to receiving their fixed rate of prior dividend, share with the common shareholders in further dividend distributions and in capital distributions.

Q - Cumulative, Participating Income Shareholders are entitled to dividends in excess of the stipulated preferential rate under specified conditions; dividends not paid in any year accumulate and shall be paid at a later date before dividends can be paid on the common / ordinary shares.

A - Adjustable / Variable Rate Income The dividend rate is set periodically, usually based on a certain yield.

N - Normal Rate Income Shareholders are entitled to the same dividends as common / ordinary shareholders, but have other privileges, for example, as regards distribution of assets upon dissolution.

U - Auction Rate Income Dividend is adjusted through an auction, such as the Dutch auction.

D - Dividends

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

Instrument Description

Category

Group

Type

Distribution Distribution indicates the cash distribution provided by the structured instrument.

Repayment Repayment indicates the repayment form provided by the structured instrument.

Underlying Assets (4) This indicates the type of underlying assets in which the structured instrument participates.

Securities (Other)

E - Equities

Y - Structured Instruments (Participation)

A - Tracker Certificate Participation in development of the underlying asset(s); reflects underlying price moves 1:1 (adjusted by conversion ratio and any related fees); risk is comparable to direct investment in the underlying asset(s).

B - Outperformance Certificate Participation in development of the underlying asset(s); disproportionate participation (outperformance) in positive performance above the strike; reflects underlying price moves 1:1 (adjusted by conversion ratio and any related fees); risk is comparable to direct investment in the underlying asset(s).

C - Bonus Certificate Participation in development of the underlying asset or assets; minimum redemption is equal to the nominal value provided the barrier has not been breached; if the barrier is breached the product changes into a tracker certificate; with greater risk multiple underlying asset(s) (worst-of) allow for a higher bonus level or lower barrier; reduced risk compared to a direct investment into the underlying asset or assets.

D - Outperformance bonus certificate Participation in development of the underlying asset or assets; disproportionate participation (outperformance) in positive performance above the strike; minimum redemption is equal to the nominal value provided the barrier has not been breached; if the barrier is breached the product changes into a outperformance certificate; with greater risk multiple underlying asset(s) (worst-of) allow for a higher bonus level or lower barrier; reduced risk compared to a direct investment into the underlying asset or assets.

E - Twin-win-certificate Participation in development of the underlying asset or assets; profits possible with rising and falling underlying asset values; falling underlying asset price converts into profit up to the barrier; minimum redemption is equal to the nominal value provided the barrier has not been breached; if the barrier is breached the product changes into a tracker certificate; with higher risk levels, multiple underlying asset(s) (worst-of) allow for a higher bonus level or lower barrier; reduced risk compared to a direct investment into the underlying asset or assets.

M - Others (miscellaneous)

D - Dividend Payments Depending on strategy of the structured instrument.

Y - No Payments

M - Others (Miscellaneous)

F - Cash Repayment

V - Physical Repayment

E - Elect at Settlement This attribute is determined at the time of settlement.

M - Others (miscellaneous)

B - Baskets Group of securities that have been put together for a specific investment purpose.

S - Equities

D - Debt instruments

G - Derivatives options, futures, swaps, spot, forwards, strategies, financing

T - Commodities

C - Currencies specified exchange rate

I - Indices The performance of an index.

N - Interest rates Specified amount based on the future level of interest rates.

M - Others (miscellaneous)

Instrument Description

Category

Group

Closed / Open-end Indicates whether units are traded or whether funds continually stand ready to sell new units and redeem the outstanding units on demand.

Distribution Policy The Distribution Policy indicates the fund's normal distribution policy.

N/A

Security Type and Investors Restrictions

Ordinary Share with REIT Status

C - Collective Investment Vehicles

B - Real Estate Investment Trusts (REIT)

C - Closed-end Units are sold on either an organised exchange or in the over-the-counter market and are usually not redeemed.

O - Open-end Funds permanently sell new units to the public and redeem outstanding units on demand, resulting in an increase or decrease of outstanding capital.

M - Others (Miscellaneous)

I - Income Funds The fund regularly distributes its investment profits.

G - Accumulation Funds The fund normally reinvests its investment profits.

J - Mixed Funds Investment profits are partly distributed, partly reinvested.

X - Not Applicable / Underfined

S - Shares retail and/or qualified / institutional / professional investors

Q - Shares for QI qualified / institutional / professional investors only

U - Units retail and/or qualified / institutional / professional investors

Y - Units for QI qualified / institutional / professional investors only

Participatory Interest

Instrument Description

Category

Group

Closed / Open-end Indicates whether units are traded or whether funds continually stand ready to sell new units and redeem the outstanding units on demand.

Distribution Policy The Distribution Policy indicates the fund's normal distribution policy.

Assets This attribute indicates the underlying assets in which the fund invests.

Security Type

Exchange Traded Funds

C - Collective Investment Vehicles

E - Exchange Traded Funds (ETF)

C - Closed-end Units are sold on either an organised exchange or in the over-the-counter market and are usually not redeemed.

O - Open-end Funds permanently sell new units to the public and redeem outstanding units on demand, resulting in an increase or decrease of outstanding capital.

M - Others (Miscellaneous)

I - Income Funds The fund regularly distributes its investment profits.

G - Accumulation Funds The fund normally reinvests its investment profits.

J - Mixed Funds Investment profits are partly distributed, partly reinvested.

R - Real Estate

B - Debt Instruments Fund invests in debt instrument regardless of maturity.

E - Equities

V - Convertible Securities

L - Mixed Fund invests in different assets.

C - Commodities

D - Derivatives

F - Referential Instruments (excluding commodities)

K - Credits Contractual agreement in which a borrower receives something of value (goods, service or money) now and agrees to repay the lender at some date in the future, generally with interest; CIVs normally invest in credits originated by third parties; credits are not freely transferable like debt securities.

M - Others (miscellaneous)

S -Shares retail and/or qualified / institutional / professional investors

U - Units retail and/or qualified / institutional / professional investors

Instrument Description

Category

Group

Type of Interest or Cash Payment

Guarantee or Ranking Guarantee or Ranking indicates, in the case of the issuer's inability to settle, whether the debt issue is additionally secured.

Redemption / Reimbursement Redemption/Reimbursement indicates the retirement provisions made for the debt issue.

Form (Negotiability, Transmission)

Debenture (Debt)

D - Debt

B - Bonds

F - Fixed Rate All interest payments are known at issuance and remain constant for the life of the issue.

Z - Zero Rate / Discounted No periodical interest payments are made, the interest charge (discount) is the difference between maturity value and proceeds at time of acquisition.

V - Variable The interest rate is subject to adjustment through the life of the issue; includes graduated, that is, step-up / step-down, floating and indexed interest rates.

C - Cash Payment This attribute applies only for sukuk certificates. A sukuk takes place when a set of investors pool their wealth to invest in accordance with Sharia principles to earn profits which are then distributed pro rata.

K - Payment in Kind Pays interest using other assets instead of cash.

T - Government Guarantee The debt instrument is guaranteed by a federal, state, (semi)-government, sovereigns, agencies.

G - Joint Guarantee The debt instrument is guaranteed by an entity, for example, a corporation, other than the issuer; not a federal or state government.

S - Secured Debt issue against which specific assets are pledged to secure the obligation, for example, mortgage or receivables.

U - Unsecured / Unguaranteed The direct obligations of the issuer rest solely on its general credit.

P - Negative Pledge The borrower agrees not to pledge any assets if such pledging would result in less security for the agreement's bondholders.

N - Senior Applies to senior debts that are placed before senior subordinated, junior and junior subordinated in the ranking in the event of liquidation.

O - Senior Subordinated Applies to senior subordinated debts that are placed before junior and junior subordinated in the ranking in the event of liquidation.

Q - Junior Applies to junior debts that are placed before junior subordinated in the ranking in the event of liquidation.

J - Junior Subordinated Applies to junior subordinated debts in the ranking in the event of liquidation.

C - Supranational Organisation defined as being beyond the scope or borders of any one nation such as two or more central banks or two or more central governments. Examples of supranational include the United Nations, the European Union, the European Investment Bank and the World Bank.

F - Fixed Maturity The principal amount is repaid in full at maturity.

G - Fixed Maturity with Call Feature The issue may be called for redemption prior to the fixed maturity date.

C - Fixed Maturity with Put Feature The holder may request the reimbursement of his bonds prior to the maturity date.

D - Fixed Maturity with Put and Call

A - Amortization Plan Reduction of principal by regular payments.

B - Amortization Plan with Call Feature The redemption of principal may occur as the result of the outstanding portion of the bond being called.

T - Amortization Plan with Put Feature

L - Amortization Plan with Put and Call

P - Perpetual (bonds) The debt instrument has no fixed maturity date and is only due for redemption in the case of the issuer's liquidation.

Q - Perpetual with Call Feature The issue may be called for redemption at some time in the future.

R - Perpetual with Put Feature The issue may be puttable for redemption at some time in the future.

E - Extendible

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

Instrument Description

Category

Group

Type of Interest or Cash Payment

Guarantee or Ranking Guarantee or Ranking indicates, in the case of the issuer's inability to settle, whether the debt issue is additionally secured.

Redemption / Reimbursement Redemption/Reimbursement indicates the retirement provisions made for the debt issue.

Form (Negotiability, Transmission)

Bonds (Debt Instruments)

D - Debt

B - Bonds

F - Fixed Rate All interest payments are known at issuance and remain constant for the life of the issue.

Z - Zero Rate / Discounted No periodical interest payments are made, the interest charge (discount) is the difference between maturity value and proceeds at time of acquisition.

V - Variable The interest rate is subject to adjustment through the life of the issue; includes graduated, that is, step-up / step-down, floating and indexed interest rates.

C - Cash Payment This attribute applies only for sukuk certificates. A sukuk takes place when a set of investors pool their wealth to invest in accordance with Sharia principles to earn profits which are then distributed pro rata.

K - Payment in Kind Pays interest using other assets instead of cash.

T - Government Guarantee The debt instrument is guaranteed by a federal, state, (semi)-government, sovereigns, agencies.

G - Joint Guarantee The debt instrument is guaranteed by an entity, for example, a corporation, other than the issuer; not a federal or state government.

S - Secured Debt issue against which specific assets are pledged to secure the obligation, for example, mortgage or receivables.

U - Unsecured / Unguaranteed The direct obligations of the issuer rest solely on its general credit.

P - Negative Pledge The borrower agrees not to pledge any assets if such pledging would result in less security for the agreement's bondholders.

N - Senior Applies to senior debts that are placed before senior subordinated, junior and junior subordinated in the ranking in the event of liquidation.

O - Senior Subordinated Applies to senior subordinated debts that are placed before junior and junior subordinated in the ranking in the event of liquidation.

Q - Junior Applies to junior debts that are placed before junior subordinated in the ranking in the event of liquidation.

J - Junior Subordinated Applies to junior subordinated debts in the ranking in the event of liquidation.

C - Supranational Organisation defined as being beyond the scope or borders of any one nation such as two or more central banks or two or more central governments. Examples of supranational include the United Nations, the European Union, the European Investment Bank and the World Bank.

F - Fixed Maturity The principal amount is repaid in full at maturity.

G - Fixed Maturity with Call Feature The issue may be called for redemption prior to the fixed maturity date.

C - Fixed Maturity with Put Feature The holder may request the reimbursement of his bonds prior to the maturity date.

D - Fixed Maturity with Put and Call

A - Amortization Plan Reduction of principal by regular payments.

B - Amortization Plan with Call Feature The redemption of principal may occur as the result of the outstanding portion of the bond being called.

T - Amortization Plan with Put Feature

L - Amortization Plan with Put and Call

P - Perpetual (bonds) The debt instrument has no fixed maturity date and is only due for redemption in the case of the issuer's liquidation.

Q - Perpetual with Call Feature The issue may be called for redemption at some time in the future.

R - Perpetual with Put Feature The issue may be puttable for redemption at some time in the future.

E - Extendible

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

Instrument Description

Category

Group

Type of Interest

Guarantee or Ranking Guarantee or Ranking indicates, in the case of the issuer's inability to settle, whether the debt issue is additionally secured.

Redemption / Reimbursement Redemption/Reimbursement indicates the retirement provisions made for the debt issue.

Form (Negotiability, Transmission)

Convertible Bonds (Debt)

D - Debt

C - Convertible Bonds

F - Fixed Rate All interest payments are known at issuance and remain constant for the life of the issue.

Z - Zero Rate / Discounted No periodical interest payments are made, the interest charge (discount) is the difference between maturity value and proceeds at time of acquisition.

V - Variable The interest rate is subject to adjustment through the life of the issue; includes graduated, that is, step-up / step-down, floating and indexed interest rates.

K - Payment in Kind Pays interest using other assets instead of cash.

T - Government Guarantee The debt instrument is guaranteed by a federal, state, (semi)-government, sovereigns, agencies.

G - Joint Guarantee The debt instrument is guaranteed by an entity, for example, a corporation, other than the issuer; not a federal or state government.

S - Secured Debt issue against which specific assets are pledged to secure the obligation, for example, mortgage or receivables.

U - Unsecured / Unguaranteed The direct obligations of the issuer rest solely on its general credit.

P - Negative Pledge The borrower agrees not to pledge any assets if such pledging would result in less security for the agreement's bondholders.

N - Senior Applies to senior debts that are placed before senior subordinated, junior and junior subordinated in the ranking in the event of liquidation.

O - Senior Subordinated Applies to senior subordinated debts that are placed before junior and junior subordinated in the ranking in the event of liquidation.

Q - Junior Applies to junior debts that are placed before junior subordinated in the ranking in the event of liquidation.

J - Junior Subordinated Applies to junior subordinated debts in the ranking in the event of liquidation.

C - Supranational Organisation defined as being beyond the scope or borders of any one nation such as two or more central banks or two or more central governments. Examples of supranational include the United Nations, the European Union, the European Investment Bank and the World Bank.

F - Fixed Maturity The principal amount is repaid in full at maturity.

G - Fixed Maturity with Call Feature The issue may be called for redemption prior to the fixed maturity date.

C - Fixed Maturity with Put Feature The holder may request the reimbursement of his bonds prior to the maturity date.

D - Fixed Maturity with Put and Call

A - Amortization Plan Reduction of principal by regular payments.

B - Amortization Plan with Call Feature The redemption of principal may occur as the result of the outstanding portion of the bond being called.

T - Amortization Plan with Put Feature

L - Amortization Plan with Put and Call

P - Perpetual (bonds) The debt instrument has no fixed maturity date and is only due for redemption in the case of the issuer's liquidation.

Q - Perpetual with Call Feature The issue may be called for redemption at some time in the future.

R - Perpetual with Put Feature The issue may be puttable for redemption at some time in the future.

E - Extendible

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

Instrument Description

Category

Group

Type of Interest

Guarantee or Ranking Guarantee or Ranking indicates, in the case of the issuer's inability to settle, whether the debt issue is additionally secured.

Redemption / Reimbursement Redemption/Reimbursement indicates the retirement provisions made for the debt issue.

Form (Negotiability, Transmission)

Municipal Bonds (Debt)

D - Debt

N- Municipal Bonds

F - Fixed Rate All interest payments are known at issuance and remain constant for the life of the issue.

Z - Zero Rate / Discounted No periodical interest payments are made, the interest charge (discount) is the difference between maturity value and proceeds at time of acquisition.

V - Variable The interest rate is subject to adjustment through the life of the issue; includes graduated, that is, step-up / step-down, floating and indexed interest rates.

T - Government Guarantee The debt instrument is guaranteed by a federal, state, (semi)-government, sovereigns, agencies.

G - Joint Guarantee The debt instrument is guaranteed by an entity, for example, a corporation, other than the issuer; not a federal or state government.

S - Secured Debt issue against which specific assets are pledged to secure the obligation, for example, mortgage or receivables.

U - Unsecured / Unguaranteed The direct obligations of the issuer rest solely on its general credit.

P - Negative Pledge The borrower agrees not to pledge any assets if such pledging would result in less security for the agreement's bondholders.

N - Senior Applies to senior debts that are placed before senior subordinated, junior and junior subordinated in the ranking in the event of liquidation.

O - Senior Subordinated Applies to senior subordinated debts that are placed before junior and junior subordinated in the ranking in the event of liquidation.

Q - Junior Applies to junior debts that are placed before junior subordinated in the ranking in the event of liquidation.

J - Junior Subordinated Applies to junior subordinated debts in the ranking in the event of liquidation.

C - Supranational Organisation defined as being beyond the scope or borders of any one nation such as two or more central banks or two or more central governments. Examples of supranational include the United Nations, the European Union, the European Investment Bank and the World Bank.

F - Fixed Maturity The principal amount is repaid in full at maturity.

G - Fixed Maturity with Call Feature The issue may be called for redemption prior to the fixed maturity date.

C - Fixed Maturity with Put Feature The holder may request the reimbursement of his bonds prior to the maturity date.

D - Fixed Maturity with Put and Call

A - Amortization Plan Reduction of principal by regular payments.

B - Amortization Plan with Call Feature The redemption of principal may occur as the result of the outstanding portion of the bond being called.

T - Amortization Plan with Put Feature

L - Amortization Plan with Put and Call

P - Perpetual (bonds) The debt instrument has no fixed maturity date and is only due for redemption in the case of the issuer's liquidation.

Q - Perpetual with Call Feature The issue may be called for redemption at some time in the future.

R - Perpetual with Put Feature The issue may be puttable for redemption at some time in the future.

E - Extendible

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

Instrument Description

Category

Group

Exercise Option Style

Underlying Assets (2) This attribute indicates the type of underlying assets that the option holder is entitled to acquire.

Delivery This attribute indicates whether the settlement of the option, when exercised, is made in cash or whether the underlying instruments are delivered.

Standardized / Non-Standardized (4) This attribute indicates whether the terms of the contract are standardised or not.

Call Option

O - Listed Options

C - Call Options

A - American (LO) Listed Option that can be exercised at any time between the purchase date and the expiration date.

E - European (LO) Listed Option that can only be exercised for a short, specified period of time just prior to its expiration, usually a single day.

B - Bermudan (LO) Listed Option that can only be exercised on predetermined dates, usually every month.

B - Basket

S - Stock Equities

D - Debt Instruments

T - Commodities

C - Currencies

I - Indices

O - Options

F - Futures

W - Swaps

N - Interest Rates

M - Others (Miscellaneous)

P - Physical The meeting of a settlement obligation under a derivative contract through the receipt or delivery of the actual underlying instrument(s) instead of through cash settlement.

C - Cash The discharge of an obligation by payment or receipt of a net cash amount instead of payment or delivery by both parties.

N - Non-deliverable Synthetic options on foreign exchange (FX) forwards that are based on non-convertible or thinly traded currencies.

E - Elect at Exercise The method of delivery of the underlying instrument when the option is exercised shall be determined at the time of exercise.

S - Standardized The underlying instruments, exercise price, expiration date and contract size of the options are standardised. These options are traded on special option exchanges.

N - Non-standardized Options traded on option exchanges which have non-standard delivery or expiry terms.

Instrument Description

Category

Group

N/A

N/A

N/A

N/A

Options

O - Listed Options

M - Other (Miscellaneous)

X - Not Applicable / Undefined

X - Not Applicable / Undefined

X - Not Applicable / Undefined

X - Not Applicable / Undefined

Instrument Description

Category

Group

Assets (1) This attribute indicates the type of assets that the right's holder is entitled to acquire.

N/A

N/A

Form (Negotiability, Transmission)

Nil Paid Letters

R - Entitlements (Rights)

S - Subscription Rights

S - Common / ordinary shares

P - Preferred / preference shares

C - Common / ordinary convertible shares

F - Preferred / preference convertible shares

B - Bonds

I - Combined Instruments

M - Others (miscellaneous)

X - Not Applicable / Undefined

X - Not Applicable / Undefined

B - Bearer The owner is not registered in the books of the issuer or the registrar.

R - Registered Securities are recorded in the name of the owner on the books of the issuer or the issuer's registrar and can only be transferred to another owner when endorsed by the registered owner.

N - Bearer / Registered Securities are issued in both bearer and registered form but with the same identification number.

M - Others (Miscellaneous)

Instrument Description

Category

Group

Underlying Assets (1) This attribute indicates the type of underlying assets that the warrant holder is entitled to acquire.

Type

Call / Put (3) This attribute indicates whether the warrant entitles the holder to acquire assets at specified terms or to acquire cash in exchange for specific underlying assets.

Exercise Option Style

Warrants

R - Entitlements (Rights)

W - Warrants

B - Basket The warrant holder is entitled to acquire a package or group of assets.

S - Equities The warrant holder is entitled to acquire equity.

D - Debt Instruments/Interest Rates The warrant holder is entitled to acquire debt instruments.

T - Commodities The warrant holder is entitled to acquire a specific commodity.

C - Currencies (Warrants) The warrant holder is entitled to acquire a specified amount in a certain currency at a specified exchange rate.

I - Indices (Warrants) The warrant holder is entitled to acquire a specified amount based on the performance of an index.

M - Others (Miscellaneous)

T - Traditional Warrants Issued by the issuer of the underlying instrument.

N - Naked Warrants Issued by a third party which is not the issuer of the underlying securities to which the warrant refers. The warrant issuer does not hold as many securities as would be required if all the warrants are exercised.

C - Covered Warrants Issued by a third party which is not the issuer of the underlying securities to which the warrant refers. Warrant issuer holds as many securities as would be required if all the warrants are exercised.

C - Call In most cases, the warrant entitles the holder to acquire specific underlying assets during a specified period at a specified price.

P - Put The warrant entitles the holder to acquire cash in exchange for specific underlying assets.

B - Call and Put Warrants with neither call nor put feature or warrants with call and put feature.

A - American Warrant that can be exercised at any time between the purchase date and the expiration date.

E - European Warrant that can only be exercised for a short, specified period of time just prior to its expiration, usually a single day.

B - Bermudan Warrant that can only be exercised on predetermined dates, usually every month.

M - Others (Miscellaneous)