Applicable functional actions and respective needed information are stated below. The on-behalf request needs to be worded clearly and without any ambiguity.
| Action | Necessary information |
Position | Close-out | Position Id, Quantity, Exceed ZCQ (Yes/No) |
Re-open | Position Id, Quantity, Transaction Id of previous Close-out(s) |
Internal Position Transfer | Position Id, Long Qty, Short Qty, To Account Name |
External Position Transfer | Position Id, Long Qty, Short Qty, To Exch member |
[Un]Exercise | Position Id, Exercise Qty Change |
Abandon | Position Id, Abandon Qty Change |
Notification | Position Id, ISIN, Notification Qty Change |
Transaction (up to T+5) | Separation | Transaction Id, Tran Qty |
Account Transfer | Transaction Id, To Account Name |
O/C Adjustment | Transaction Id |
Text Adjustment | Transaction Id, Text 1, Text 2, Text 3 |
Give-Up | Transaction Id, To NCM/RC |
Take-Up | Allocation Id, To Clg Mbr, To Account Name, O/C |
- If you’re not aware of the Position Id you may provide us with account sponsor, account owner, position account, product id, contract expiration month and contract expiration year for Futures; for Options, contract class code (call/put), strike price (or contract exercise price) and version number must be specified in addition.
- If you’re not aware of the Transaction Id you may provide us with the same information stated for Position Id, plus Tran Date, B/S, Tran Qty and Tran Price.
- If you’re not aware of the Allocation Id you may provide us with “from NCM/RC”, product id, contract maturity, Tran Date, B/S, Tran Qty and Tran Price for Futures. For options, contract class code (call/put), strike price (or contract exercise price) and version number are needed in addition.
