Business Rules FATCA V. 08/04/2015

Business rules FATCA V.
08/04/2015
Element
FATCA_OECD
I.Message Header
SendingCompanyIN
II. PersonParty_Type
Unlimited
xsd: string
xsd: string
TransmittingCountry
2 digits
iso:CountryCode_Type
BUSINESS RULES
Requirement
Mandatory
Mandatory = Validation
Mandatory
Mandatory = Validation and must be 19digit (Expected structure =
XXXXXX.XXXXX.XX.056)
Validation
BE
ReceivingCountry
MessageType
ReportingPeriod
2 digits
sfa:MessageType_EnumType
xsd:data
Validation
Validation
Validation
US
FATCA
Calender Year to which the message
relates
(YYYY-MM-DD)
(this
data
element must be the same as the
reporting year indicated in MyMinFin)
ReceivCtryNotUS
XMLNotValid
ReportPerNotOk
ftc:FATCA_OECD/ftc:MessageSpec/sfa:ReceivingCountry
ftc:FATCA_OECD/ftc:MessageSpec/sfa:MessageType
ftc:FATCA_OECD/ftc:MessageSpec/sfa:ReportingPeriod
MessageRefID
xsd: string
Validation
Structuring the MessageId in the

following format: [BE] [XXXXXXXXXX]_
[YYYY-MM-DD]_[HH-MM-SS] where:
o [XXXXXXXXXX] is the number
BCE/KBO (Crossroads Bank for
Enterprises) of the paying agent,
o YYYY: year,
o MM: month,
o DD: day sending / file generation
FATCA
o HH-MM-SS: respectively, hours,
minutes, seconds FATCA which the file
was sent / generated
MesRefIDNotVal //
MesIDNotUniq
ftc:FATCA_OECD/ftc:MessageSpec/sfa:MessageRefId
TIN
sfa:TIN_Type
Mandatory
Mandatory = Validation either TIN or

BirthInfo (with the element BirthDate
present) must be present
NoTINBirth
Mandatory
Mandatory = Validation either TIN or

BirthInfo (with the element BirthDate
present) must be present
Mandatory if TIN is completed and = US
(cfr TIN used by the receiving country)
NoTINBirth
Attribute
Version
Size
InputType
BirthInfo
II a. TIN Type
TIN
II d. Address_Type
CountryCode
issuedBy 2 digits
Optional
2 digits
Mandatory
TYPE ERROR ACK

NoVersion
NoGIIN // GIINNotValid
Xpath
ftc:FATCA_OECD/Version
ftc:FATCA_OECD/ftc:MessageSpec/sfa:SendingCompanyIN
TransCtryNotBE
ftc:FATCA_OECD/ftc:MessageSpec/sfa:TransmittingCountry
TINNoIssuedBy
XMLNotValid
AccountHolder (individual)
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingGroup/ftc:AccountR
eport/ftc:AccountHolder/ftc:Individual/sfa:TIN
eport/ftc:AccountHolder/ftc:Individual/sfa:BirthInfo/sfa:BirthDat
e
AccountHolder (Organisation)
eport/ftc:AccountHolder/ftc:Organisation/sfa:TIN
SubstantialOwner (if present)
eport/ftc:SubstantialOwner/sfa:TIN
eport/ftc:SubstantialOwner/sfa:BirthInfo/sfa:BirthDate
Reporting FI
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingFI/sfa:Address/sfa:
AddressFix/sfa:City
Sponsor (if present)
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingGroup/ftc:Sponsor/
sfa:Address/sfa:AddressFix/sfa:City
Intermediary (if Present)
sfa:Address/sfa:AddressFix/sfa:City
AccountHolder
Individual:
1/3
Business rules FATCA V. 08/04/2015

Element
AddressFree
TIN
III.
OrganisationParty_Ty
pe
TIN
III a. TIN Type
TIN
Attribute
Size
xsd: string
InputType
BUSINESS RULES
Requirement
Optional
AddressFree cannot be used alone =>
AddressFix is a mandatory element
sfa:TIN_Type
Mandatory
Min 1 char sfa:TIN_Type
Mandatory
The TIN of the Reporting FI is the
Global Intermediary Identification
number (GIIN) cfr FATCA XML 1.1
User Guide
Mandatory if TIN is completed
issuedBy 2 digits
Optional
IV b. AccountReport
DocTypeIndic
DocRefID
ftc:FatcaDocTypeIndic_EnumT Validation
ype
Min 1 char xsd: string
Validation
This element (section) is mandatory

for each record
Must be one of:
FATCA1 = New Data
FATCA2 = Corrected Data
FATCA3 = Void Data
FATCA4 = Amended Data
FATCA11 = New Test Data
FATCA12 = Corrected Test Data
FATCA13 = Void Test Data
FATCA14 = Amended Test Data
For the transmission year 2015 only
FATCA1 (New DATA) is authorized.
Only one type of data should be
contained within any single message.
DocRef : [BE] [XXXXXXXXXX]_ [YYYYMM-DD]_[HH-MM-SS.sss] where:
- [BE]
- [XXXXXXXXXX] : is the number
BCE/KBO (Crossroads Bank for
Enterprises) of the paying agent
o YYYY: year,
o MM: month,
o DD: day, generation account report
o HH-MM-SS: respectively, hours,
minutes, seconds FATCA which the
individual account report is generated
TYPE ERROR ACK

NoAddressFix
NoTIN
TINFINoGIIN
TINNoIssuedBy
Xpath p
_
g
p
eport/ftc:AccountHolder/ftc:Individual/sfa:Address/sfa:Address
Fix/sfa:City
Organisation:
eport/ftc:AccountHolder/ftc:Organisation/sfa:Address/sfa:Addr
essFix/sfa:City
eport/ftc:SubstantialOwner/sfa:Address/sfa:AddressFix/sfa:Cit
y
Reporting FI
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingFI/sfa:TIN
Sponsor (if present)
sfa:TIN
eport/ftc:SubstantialOwner/sfa:TIN
Intermediary (if Present)
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingGroup/ftc:Intermedi
ary/sfa:TIN
AccountHolder (individual)
eport/ftc:AccountHolder/ftc:Individual/sfa:TIN
AccountHolder (organisation)
eport/ftc:AccountHolder/ftc:Organisation/sfa:TIN
eport
DocTypeNotNew
Reporting FI:
//DocTypeNotConsistent ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingFI/ftc:DocSpec/ftc:
DocTypeIndic
if present Sponsor:
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingGroup/ftc:Sponsor/f
tc:DocSpec/ftc:DocTypeIndic
if present Intermediary:
ary/ftc:DocSpec/ftc:DocTypeIndic
AccountReport:
eport/ftc:DocSpec/ftc:DocTypeIndic
PoolReport:
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingGroup/ftc:PoolRepo
rt/ftc:DocSpec/ftc:DocTypeIndic
DocRefIDNotVal //
Reporting FI:
DocRefIDNotUniq
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingFI/ftc:DocSpec/ftc:
DocRefId
if present Sponsor:
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingGroup/ftc:Sponsor/f
tc:DocSpec/ftc:DocRefId
if present Intermediary:
ary/ftc:DocSpec/ftc:DocRefId
AccountReport :
eport/ftc:DocSpec/ftc:DocRefId
NoAccountReport
2/3
Business rules FATCA V. 08/04/2015

Element
AcctHolderType
SubstantialOwner
IV c. Pool Report
V. All XSD-schema
elements
VI. Entire XML-file

VII. Entire XML-file
Attribute
Size
InputType
BUSINESS RULES
Requirement
ftc:FatcaAcctHolderType_Enum Mandatory
If present, must be one of:
Type
1. FATCA101 = Owner-Documented FI
with specified US owner(s)
2. FATCA102 = Passive Non-Financial
Entity with substantial US owner(s)
3. FATCA103 = Non-Participating FFI
4. FATCA104 = Specified US Person
5. FATCA105 = Direct Reporting NFFE
sfa: PersonParty_type
Mandatory*
*This element is mandatory when the
entity account holder is an owner
documented FI (FATCA101) or passive
NFFE with US owner(s) (FATCA102)
Type
ftc:FatcaPaymentType_EnumT Validation
ype
All element of this section
ftc:CorrectablePoolReport_Typ
e
xsd: file
Mandatory
All elements and its content
Max. Size
Encoding
xsd: file
xsd: file
Must be one of:

FATCA501 = Dividends
FATCA502 = Interest
FATCA503 = Gross
Proceeds/Redemptions
FATCA504 = Other FATCA.
(Example: Foreign reportable amount)
Pooled reporting option is not
authorized (Model 1 IGA)
Following special Characters are
prohibited (and can be replaced by)
(Ampersand) & ( can be replaced by
"&")
(Apostrophe) ' ( can be replaced by
"'")
(Quotation Mark) " (can be replaced by
""")
(Double hash) - - (can NOT be
replaced)
( Hashtag) # (can NOT be replaced)
( Less Than) < (can be replaced by
"<")
(Greater Than) > (can be replaced by
">")
100MB
Encoding = "UTF-8"
TYPE ERROR ACK

XMLNotValid
Xpath
eport/ftc:AccountHolder/ftc:AcctHolderType
NoSubstanOwner
eport/ftc:SubstantialOwner
XMLNotValid
eport/ftc:Payment/ftc:Payment_Type/
PoolReport
ftc:FATCA_OECD/ftc:FATCA/ftc:ReportingGroup/ftc:PoolRepo
rt
CharNotAllowed
XMLNotValid
NoUTF8
3/3

Business Rules FATCA V. 08/04/2015

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Business Rules FATCA V. 08/04/2015

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Available Formats

Business rules FATCA V.

Structuring the MessageId in the

Mandatory = Validation either TIN or

Mandatory = Validation either TIN or

TYPE ERROR ACK

Business rules FATCA V. 08/04/2015

Min 1 char sfa:TIN_Type

Min 1 char xsd: string

This element (section) is mandatory

TYPE ERROR ACK

Business rules FATCA V. 08/04/2015

VI. Entire XML-file

All element of this section

All elements and its content

Must be one of:

TYPE ERROR ACK

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