'DisseminationRecipient feature of fundinfo
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1 'DisseminationRecipient feature of fundinfo v Dissemination of client specific documents via fundinfo October 2015
2 Contact information fundinfo AG Staffelstrasse Zürich Phone Birgit Partin Head of Operations René Fuhrer, Paweł Dziedzic Document Management Team DTS section fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , 2
3 Revision History Version Date Author Description General Description Detailed description of PDF delivery. Short user guide on how to integrate embedded Metadata in MS Office 2013 documents New feature: document dissemination for non-authorised funds fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , 3
4 Table of contents Contact information... 2 Revision History... 3 Table of contents... 4 Overview... 5 General information... 5 DisseminationRecipient available on two different levels... 5 Share class level (ISIN)... 5 Document level (PDF)... 5 Important information... 5 Document dissemination: implementation chain... 6 Integration of DisseminationRecipient codes on ISIN level... 7 Integration of DisseminationRecipient codes on PDF level... 8 Document Transfer System (Doc DTS) CSV/XML only... 9 PDF embedded Metadata... 9 Document Upload Tool on 9 PDF filename... 9 Short user guide Integration of embedded Metadata in Microsoft Office Integration of Metadata information Creation and validation of PDF fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , info@fundinfo.com 4
5 Overview General information The DisseminationRecipient feature is available for Paperboy clients of fundinfo. It enables to disseminate documents via fundinfo to certain clients only, without making them available in any other system/website/gateway. - There are several document types which are client specific documents only, i.e. Sales Presentation. These documents cannot be processed and disseminated by fundinfo without a valid DisseminationRecipient code(s). - Every DisseminationRecipient is represented by a unique, four-character code. - The current list of DisseminationRecipient codes is available upon request. Please contact us to receive the latest version. DisseminationRecipient available on two different levels Share class level (ISIN) - Restricts all fund information and all associated documents related to this specific share class to the recipients listed as DisseminationRecipient. - There is no publication of this share class on or Paperboy platform, no notification. - Not to be used, if this share class needs to comply with any legal publication requirements. Document level (PDF) - Restricts the dissemination of a document to the recipient(s) listed as DisseminationRecipient ( non-public documents). - Suitable if the underlying share class and other documents need to be available for the general public. - Enables dissemination of documents for non-authorized funds/isins, according to the PublicationCountries of the document s Metadata. Important information - Setting up a DisseminationRecipient code on share class level (i.e. XXXX ), and simultaneous provision of documents associated to this share class with a different DisseminationRecipient code (i.e. YYYY ), makes such documents unavailable ( impossible combination ). - For review of the existing configurations (share classes/documents), a coverage report including the DisseminationRecipient share classes/documents needs to be requested. - Please refer also to For further details regarding the characteristics and definitions of non-public documents, please refer especially to chapter fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , info@fundinfo.com 5
6 Document dissemination: implementation chain The 'DisseminationRecipient' feature needs to be implemented following a complete chain of document dissemination. It begins with the fund provider s data/document provision to fundinfo s system. From there the documents are integrated into an interface (document gateway) into the client/distribution channel environment (i.e. Landing Page, in-house-system etc.). Please refer to the procedure model below: - Fund provider requests a restricted dissemination for a client/distribution channel - fundinfo discusses the request with the client/distribution channel - Once agreed fundinfo communicates the DisseminationRecipient code to the fund provider Fund provider delivers ISINs or documents with the DisseminationRecipient code - Depending on the client/distribution channel, the client may need to implement the 'DisseminationRecipient' feature in his IT environment. Until this switch is live, there is no access to the restricted documents. fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , info@fundinfo.com 6
7 Integration of DisseminationRecipient codes on ISIN level With the transfer of static data information to fundinfo, all restricted share classes need to be tagged with the appropriate DisseminationRecipient codes. - Share classes still requires the correct Registration Countries information i.e. there is no transmission of public documents for countries in which the fund/share class is not legally registered/approved. - A default template is available here: - OFST DisseminationRecipient : 4-digit uppercase alpha-numeric code. - Multiple values need to be separated by comma. - As soon as 'DisseminationRecipient code is introduced on ISIN level, all documents become restricted. There are however certain document types which always require a 'DisseminationRecipient code on PDF level. Please refer to for more details. fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , info@fundinfo.com 7
8 Integration of DisseminationRecipient codes on PDF level There are several ways to use the DisseminationRecipient feature of fundinfo when integrating DisseminationRecipient codes into your delivery of PDF to fundinfo. Please only use one of below listed methods, and do not combine them as you risk to populate contradictory information. - DisseminationRecipient code needs to be integrated into DTS, PDF embedded Metadata or PDF filename. Another option is the upload via self upload -feature on - No manual sending of PDF without integrated DisseminationRecipient code due to compliance requirements. - All updates for the documents need to be tagged with appropriate DisseminationRecipient codes. fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , info@fundinfo.com 8
9 Document Transfer System (Doc DTS) CSV/XML only The CSV or XML according to fundinfo s Doc DTS standard needs to list a DisseminationRecipient category, where a valid four character long code of the desired recipient(s) is populated. Please refer to the full technical description of fundinfo s Doc DTS standard here: PDF embedded Metadata If embedded Metadata is used according to fundinfo s Doc DTS standard, the embedded Metadata in the keyword section of each PDF needs to include a DisseminationRecipient category according to fundinfo s standard. Please refer to the full technical description of fundinfo s DTS standard here: As there are various ways to create PDFs with embedded Metadata, please check with your PDF producer for details. As an add-on, at the end of this manual you will find a short user guide on how to integrate embedded Metadata into documents created with Microsoft Office However, please take good note that fundinfo does not take any responsibility regarding this description and is not able to provide any assistance to the process of embedded Metadata creation. Document Upload Tool on If there is no option to set up a Doc DTS or to use embedded Metadata when creating a PDF, document transmission via web-tool might be used. This transmission method is only recommended for a small set of (manually produced) documents, as each document needs to be transferred separately. Please refer to for further details. PDF filename Another option is the tagging of your PDF by integrating the DisseminationRecipient code(s) into the PDF file name, by following below mentioned standard: - The filename of a PDF needs to hold a certain format and must include the DisseminationRecipient four character code(s) of the desired recipient(s). - Filename formatting: DocType_ISINs_RecordDate_PublicationCountries_Constraint_Language_[code(s)].pdf - Full list of codes for DocType, PublicationCountries etc. is available in the Appendix of Valid PDF filename sample: SP_LU LU _ _LU-DE-AT_RES_en_[XXXX.YYYY].pdf Important: square brackets [ ] are mandatory and need to enclose the DisseminationRecipient code(s). Upload fails without using them. fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , info@fundinfo.com 9
10 Short user guide Integration of embedded Metadata in Microsoft Office 2013 Most programs of Microsoft Office 2013 have an option to add embedded Metadata in the keyword section and save any document (docx, xlsx, pptx) as PDF. Important: please take good note that fundinfo does not take any responsibility regarding this description and is not able to provide any assistance to the process of embedded Metadata creation. Integration of Metadata information - While in a file, go to File Info Properties section Tags - The tags are the Keyword Section of the future PDF. You can introduce all necessary embedded Metadata there, just like in a regular PDF. These keywords can be verified in the Properties - Extended Properties table as on the screenshots below. tags, where the embedded Metadata' should be introduced extended Properties, where tags = Keywords Creation and validation of PDF - Save the document as PDF. - Before transmitting the PDF to fundinfo, you need to validate your PDF by using the online Metadata validator: - Please only transmit the file if the validation was successful. fundinfo AG, Staffelstrasse 12, CH-8045 Zürich, , info@fundinfo.com 10
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