4 Each file (dataset) must contain the Intermediary data record (page 16) that contains identifying data, contact details and the address of the intermediary for the report. The Intermediary data record (page 16) must be the first record on each data file. It must be reported once only per data file and must be followed directly by the first Reporting party data record. The first Reporting party data record (page 17) must appear as the second record on the data file and is to be followed by the Account data record. The Account data record(s) (page 18) contains information the account being reported on. It must immediately follow each Reporting party data record. The Multiple data record (page 18) contains information additional SRN or HIN allocated to the account by the issuer of the securities. This record, if applicable, must follow immediately after the Account data record relevant to that account. The Bulk trade data record(s) (page 18) contains information about bulk trades; a Bulk trade data record must be reported for each origin of order number involved in the bulk trade and must follow immediately after the Account data record if present. The Investor data record(s) (page 19) contains information about the investor(s) belonging to the account(s). If the account is a joint account or has multiple investors then an Investor data record for each investor must be included after the corresponding Account data record or the Multiple data record, if applicable. The File total data record (page 20) must be the last record on the file (dataset) to indicate the end of the data. It contains the total number of records in the data file. Only one File total data record may be present in each data file. The sort order of the report data file must be as follows: the Intermediary data record then the Reporting party data record then the Account data record(s)
4 Each file (dataset) must contain the Intermediary data record (page 16) that contains identifying data, contact details and the address of the intermediary for the report. The Intermediary data record (page 16) must be the first record on each data file. It must be reported once only per data file and must be followed directly by the first Reporting party data record. The first Reporting party data record (page 17) must appear as the second record on the data file and is to be followed by the Account data record. The Account data record(s) (page 18) contains information the account being reported on. It must immediately follow each Reporting party data record. The Multiple data record (page 18) contains information additional SRN or HIN allocated to the account by the issuer of the securities. This record, if applicable, must follow immediately after the Account data record relevant to that account. The Bulk trade data record(s) (page 18) contains information about bulk trades; a Bulk trade data record must be reported for each origin of order number involved in the bulk trade and must follow immediately after the Account data record if present. The Investor data record(s) (page 19) contains information about the investor(s) belonging to the account(s). If the account is a joint account or has multiple investors then an Investor data record for each investor must be included after the corresponding Account data record or the Multiple data record, if applicable. The File total data record (page 20) must be the last record on the file (dataset) to indicate the end of the data. It contains the total number of records in the data file. Only one File total data record may be present in each data file. The sort order of the report data file must be as follows: the Intermediary data record then the Reporting party data record then the Account data record(s)
Transfers_of_shares_and_units_%28Market_Participants%29_report_final_tracked_version_1.1.0.docx