ShareholdersIdentificationDisclosureRequestV04 (ShrhldrsIdDsclsrReq)

Scope

The ShareholdersIdentificationDisclosureRequest message is sent by an issuer or by a third party nominated by the issuer (such as an issuer's agent) to the first intermediaries in a custody chain or is sent by any intermediaries in a custody chain to the next intermediary down the chain of intermediaries (towards the investor side of the chain) in order to request the disclosure of shareholders identity and provides information on the receiving party to whom responses must be sent, on the financial instrument concerned and on the deadline to respond.

Outline

The ShareholdersIdentificationDisclosureRequestV04 MessageDefinition is composed of 17 MessageBuildingBlocks:

Issuer Disclosure Request Identification — Official and unique identification assigned to a shareholder identification disclosure request process by the issuer or third party nominated by it.
Disclosure Request Type — Specifies the type of disclosure request.
Previous Disclosure Request Identification — Identification of a previously sent shareholder identification disclosure request message.
Forward Request Indicator — Indicates whether the request is to be forwarded to and responded by the other intermediaries down the chain of intermediaries or not. If the request is not to be forwarded, the indicator may not be present.
Response Through Chain Indicator — Indicates whether the shareholder identification disclosure response is to be sent back down the chain of intermediaries or directly to the identified response recipient. If "true" or "1", the response must be sent back through the chain of intermediaries. If "false" or "0" or if the indicator is not present, the response must be sent directly to the identified response recipient.
Shareholder Rights Directive Indicator — Indicates whether the request was initiated by the first intermediary in the custody chain in accordance with SRD II.
Place Of Jurisdiction — Governing law or place of jurisdiction where the disclosure request relates to.
Applicable Law — Identification of the law which relates to the disclosure request.
Financial Instrument Identification — Identifies the financial instrument.
Shareholders Disclosure Record Date — Date set by the issuer on which the shareholders identity is determined based on the settled positions struck in the books of the issuer CSD or any other first intermediary at the close of business day.
Shares Quantity Threshold — Minimum number of shares held by a shareholder above which the identification must be disclosed.
Request Share Held Date — Indicates whether the date from which the shares have been held must be communicated into the disclosure response and according to which method theses dates have to be communicated. The method can be provided either with a predefined code or via a textual description.
Disclosure Response Recipient — Issuer or third party nominated by the issuer to whom the disclosure response shall be transmitted by the intermediary.
Issuer Disclosure Deadline — Latest date/time set by the issuer or a third party appointed by the issuer at which a response to the request to disclose shareholder identity shall be provided by each intermediary to the recipient to whom the response must be sent.
Disclosure Response Deadline — Latest date/time set by an intermediary at which a response to the request to disclose shareholder identity shall be provided when sending the response though the chain of intermediaries.
Issuer — Issuer of the financial instrument.
Supplementary Data — Additional information that can not be captured in the structured fields and/or any other specific block.