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1、BRITISH STANDARD BS ISO 20022-2:2004 Financial services UNIversal Financial Industry message scheme Part 2: Roles and responsibilities of the registration bodies ICS 03.060 ? Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI BS ISO 20022-2:200
2、4 This British Standard was published under the authority of the Standards Policy and Strategy Committee on 17 February 2005 BSI 17 February 2005 ISBN 0 580 45499 1 National foreword This British Standard reproduces verbatim ISO 20022-2:2004 and implements it as the UK national standard. It supersed
3、es BS ISO 15022-2:1999 which is withdrawn. The UK participation in its preparation was entrusted to Technical Committee IST/12, Banking, securities and other financial services, which has the responsibility to: A list of organizations represented on this committee can be obtained on request to its s
4、ecretary. Cross-references The British Standards which implement international publications referred to in this document may be found in the BSI Catalogue under the section entitled “International Standards Correspondence Index”, or by using the “Search” facility of the BSI Electronic Catalogue or o
5、f British Standards Online. This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. Compliance with a British Standard does not of itself confer immunity from legal obligations. aid enquirers to understand the text;
6、present to the responsible international/European committee any enquiries on the interpretation, or proposals for change, and keep the UK interests informed; monitor related international and European developments and promulgate them in the UK. Summary of pages This document comprises a front cover,
7、 an inside front cover, the ISO title page, pages ii to vii, a blank page, pages 1 to 14, an inside back cover and a back cover. The BSI copyright notice displayed in this document indicates when the document was last issued. Amendments issued since publication Amd. No. DateComments Licensed Copy: s
8、heffieldun sheffieldun, na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI Reference number ISO 20022-2:2004(E) INTERNATIONAL ADNATSDR ISO 222002- tide tsriFino -400251-21 Financial services UNIversal Financial Industry message scheme Part 2: Roles and responsibilities of the registr
9、ation bodies Services financiers Schma universel de messages universel pour lindustrie financire Partie 2: Rles et responsabilits des organismes denregistrement Referecne unbmer OSI -2200202:2)E(40 OSI 4002 INTERNATIONAL STANDARD ISO 20022-2 First edition 2004-12-15 aniFres laicnvicINU sevelasr aniF
10、laicn udnIrtsy assemeg hcs eme :2 traP a seloRser dnpisnobeitilio sf hte ergisttarino obides reSvcise ifcnanreis cShu amnviresel ed semssega vinuersle opru nilsudrtei ifcnanire raPtie :2 Rsel r teespsnoablisti sed roagsinmse nedrsigetremtne BS ISO 200222:2004 Licensed Copy: sheffieldun sheffieldun,
11、na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI ii BS ISO 200222:2004 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI iii Contents Page Forewordiv Introduction v 1 Scope1 2 Normative references .1 3 Terms and definitions.1
12、 4 Structure 1 5 Contract with the Registration Authority2 6 Membership.2 6.1 Registration Authority2 6.2 Registration Management Group 2 6.3 Standards Management Groups3 7 Functions and responsibilities3 7.1 Registration Management Group 3 7.2 Registration Authority3 7.2.1 General responsibilities
13、.3 7.2.2 Responsibilities to requesters.4 7.3 Standards Management Groups4 8 Registration request process 5 9 Ownership of the data 6 10 Service level changes.6 11 Appeals 6 12 Complaints.7 13 Voting.7 Annex A (normative) Designation of the Registration Authority.8 Annex B (normative) Registration M
14、anagement Group .9 Annex C (normative) Service Level Agreement 10 Annex D (normative) Accessing the Data Dictionary and Business Process Catalogue.14 BS ISO 200222:2004 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI iv Foreword ISO (the Int
15、ernational Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee ha
16、s been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical
17、standardization. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodie
18、s for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any o
19、r all such patent rights. ISO 20022-2 was prepared by Technical Committee ISO/TC 68, Financial services. ISO 20022 consists of the following parts, under the general title Financial services UNIversal Financial Industry message scheme: Part 1: Overall methodology and format specifications for inputs
20、 to and outputs from the ISO 20022 Repository Part 2: Roles and responsibilities of the registration bodies Part 3: ISO 20022 modelling guidelines Technical Specification Part 4: ISO 20022 XML design rules Technical Specification Part 5: ISO 20022 reverse engineering Technical Specification BS ISO 2
21、00222:2004 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI v Introduction In the mid-1990s, it was felt strongly that the International Standard for communication between securities industry participants required an urgent review aiming at (
22、1) reducing the time taken to deliver new standardized Message Sets to the market place and (2) improving “straight through processing” capabilities. ISO 15022 set the principles necessary to provide the different communities of users with the tools to design Message Definitions to support their spe
23、cific information flows. These tools consisted of a set of syntax and message design rules; a Data Field Dictionary uniquely identifying Business Elements to be communicated and their technical representation; a Catalogue of Messages built by the industry with the above-mentioned fields and rules. T
24、o address the evolving needs of the industry as they emerge, the Data Field Dictionary and the Catalogue of Messages had been kept outside ISO 15022 though maintained according to it. They were made available by a Registration Authority, which updated them as necessary upon the request of industry p
25、articipants. The early 2000s saw the widespread growth of IP (Internet Protocol) networking and the emergence of XML (eXtensible Mark-up Language) as the “de facto” open technical standard for electronic communications. It was felt that ISO 15022 needed to be extended to offer the whole financial in
26、dustry a common platform for the development of messages in a standardized XML syntax. At the same time, to shield the platform from further syntax changes, it was felt necessary to better split messaging into its business dimension, on one hand, and its technical representation, on the other hand.
27、Therefore, while capitalizing on the original ISO 15022 tool set, ISO 20022 proposes to use a modelling methodology (e.g. based on formal notation such as UML Unified Modelling Language) to capture, analyse and describe in a syntax-independent way the Business Areas, Business Processes, Business Tra
28、nsactions, Business Actors, Business Roles, Business Information and associated Message Flow Diagrams and Message Definitions which allow the industry to exchange the information required to achieve its business objectives; to define the design rules to be used to convert Message Definitions describ
29、ed in a modelling notation into a standardized syntax representation. At the moment of the publication of ISO 20022 the preferred syntax for all electronic documents (including the subset of electronic STP-messages) is XML as defined by the World Wide Web Consortium (W3C). On request of the financia
30、l industry, the design rules can later be extended to cover other future open syntaxes. Under this approach, which is in line with the messaging developments undertaken by other industries, the complete models and the derived syntax output are stored in a central Repository (the ISO 20022 Repository
31、), serviced by the Registration Authority. The ISO 20022 Repository offers industry participants access to the following. A financial Business Process Catalogue, containing the description of the financial Business Model; the description of financial Business Transactions, including Message Definiti
32、ons; the Message Schemes represented in an agreed syntax (such as ISO 20022 XML). BS ISO 200222:2004 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI vi A financial Data Dictionary, containing Business Concepts, Data Types and Message Concept
33、s used in Business Areas, Business Processes, Business Transactions and Message Sets. It is expected that this flexible framework will allow communities of users to build Business Transactions and Message Sets according to an internationally agreed approach and to migrate to the use of a common synt
34、ax (such as ISO 20022 XML). If the existing set of Business Transactions and Message Definitions stored in the ISO 20022 Repository does not address their requirements, the communities of users can agree on the use of other Business Transactions and Message Definitions and design them from the items
35、 registered in the Data Dictionary. They can submit these Business Transactions and Message Definitions to the Registration Authority. The Registration Authority, with the support of Standards Management Groups, will validate the requests and update the ISO 20022 Repository as necessary and generate
36、 the corresponding ISO 20022 syntax output using the agreed ISO 20022 Syntax Design Rules for XML or for other future open syntaxes. Agreement of common financial Business Models and Message Definitions, which address the business requirements of the communities of users and include a common syntax
37、solution (such as ISO 20022 XML), facilitates end-to-end straight through processing. Furthermore, the agreed Business Models and Message Definitions serve as a reference to migrate to an agreed ISO 20022 syntax (such as ISO 20022 XML). Indeed, communities using another syntax may link the content o
38、f their Industry Message Sets to items already existing in the ISO 20022 Repository. The relation between these items could be provided to the communities of users as “Convergence Documentation”. It is expected that this new, dual split of business standard and technical standard will facilitate the
39、 convergence and the development of any required conversion mechanisms. ISO 20022 contains the overall description of the modelling approach (Part 1); the overall description of the ISO 20022 Repository contents (Part 1); a high-level description of the input to be accepted by the Registration Autho
40、rity to feed/modify the Repositorys Data Dictionary and Business Process Catalogue (Part 1); a high-level description of the Repository output to be made publicly available by the Registration Authority (Part 1); the responsibilities, service levels and procedures for the Registration Bodies, includ
41、ing the role of Standards Management Groups and the supervision by a Registration Management Group and ISO (Part 2); the detailed modelling guidelines to be used to construct ISO 20022 compliant Business Transactions and Message Sets (Part 3); the syntax design rules applied by the ISO 20022 Registr
42、ation Authority to translate an ISO 20022 compliant Message Definition into an ISO 20022 syntax solution. The actual document shall specify a particular syntax such as “XML Design Rules” for the production of ISO 20022 XML Message Schemes and ISO 20022 XML Message instances (Part 4). NOTE The Syntax
43、 Message Schemes published by the Registration Authority for the Message Definitions registered into the ISO 20022 Business Process Catalogue constitutes the reference against which Syntax Message Schemes generated by proprietary implementations of the ISO 20022 syntax design rules can be compared i
44、n order to validate the compliance of those implementations with the design rules. the reverse engineering guidelines explaining how to extract relevant information from existing Industry Message Sets in order to prepare the submission to the ISO 20022 Registration Authority of equivalent ISO 20022
45、compliant Business Transactions and Message Sets (Part 5). BS ISO 200222:2004 Licensed Copy: sheffieldun sheffieldun, na, Sat Nov 25 13:23:51 GMT+00:00 2006, Uncontrolled Copy, (c) BSI vii The ISO 20022 Registration Authority keeps a set of Submission Templates to the Data Dictionary and Business Pr
46、ocess Catalogue available outside of ISO 20022. These templates are to be used when submitting requests to the Registration Authority for inclusion into the ISO 20022 Repository. NOTE Even though ISO 20022 deals with the standardization of the communication between financial industry players, it sho
47、uld be clear that it does not deal directly with any of the seven layers of the ISO Open Systems Interconnect model (OSI model). In fact, one could state that ISO 20022 starts where the OSI-model ends, i.e. ISO 20022 standardizes the content of the “file” (i.e. the message content) that is transport
48、ed in the OSI Application Layer. The standardization of the message content deals itself with two separate layers: the “syntax layer”, i.e. the standardization of the physical representation of the information that is transported, which deals with aspects related to the use of XML, Enhanced 7775, ED
49、IFACT or other syntaxes; and the “semantic layer”, i.e. the standardization of the meaning of the information that is transported. Although these layers were already covered in ISO 15022, ISO 20022 makes the standardization of these layers more formal and makes the separation between both layers more explicit and complete. The introduction of this formal approach improves (1) the interoperability and convergence across