# FpML® Financial product Markup Language Last Call Working Draft 21 March 2012 (Recordkeeping View)

## Version: 5.3

#### This version: http://www.fpml.org/spec/fpml-5-3-4-lcwd-1

#### Latest version: http://www.fpml.org/spec/fpml-5-3-4-lcwd-1

#### Previous version: http://www.fpml.org/spec/fpml-5-3-3-wd-3/

#### Errata for this version: http://www.fpml.org/spec/fpml-5-3-4-lcwd-1/html/recordkeeping/fpml-5-3-errata.html

Build Number: 4; Document built: Thu 03/29/2012 10:12:37.42

Copyright (c) 1999 - 2012 by International Swaps and Derivatives Association, Inc.

Financial Products Markup Language is subject to the FpML® Public License.

FpML® is a registered trademark of the International Swaps and Derivatives Association, Inc.

A copy of this license is available at http://www.fpml.org/license/license.html

The FpML specifications provided are without warranty of any kind, either expressed or implied, including, without limitation, warranties that FpML, or the FpML specifications are free of defects, merchantable, fit for a particular purpose or non-infringing. The entire risk as to the quality and performance of the specifications is with you. Should any of the FpML specifications prove defective in any respect, you assume the cost of any necessary servicing or repair. Under no circumstances and under no legal theory, whether tort (including negligence), contract, or otherwise, shall ISDA, any of its members, or any distributor of documents or software containing any of the FpML specifications, or any supplier of any of such parties, be liable to you or any other person for any indirect, special, incidental, or consequential damages of any character including, without limitation, damages for loss of goodwill, work stoppage, computer failure or malfunction, or any and all other commercial damages or losses, even if such party shall have been informed of the possibility of such damages.

## Table Of Contents

## 1 Message Examples

This section contains examples of FpML messages for Recordkeeping Reporting. Each example illustrates a different part of the process.

The sample xml documents are available for download from the fpml.org website.

### 1.1 Example 100 - Non-Public Execution Report, New Trade

File: record-ex100-new-trade.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository reporting on execution of a derivatives transaction.

### 1.2 Example 100a - Acknowledgement of new trade report

File: record_ex100a_new_trade_ack.xml

A message returned by a Swap Data Repository acknowledging receipt of a non-public execution report.

### 1.3 Example 101 - Non-Public Execution Report, New Trade Correction

File: record-ex101-new-trade-correction.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository correcting a report of execution of a derivatives transaction.

### 1.4 Example 102 - Non-Public Execution Report, Retraction

File: record-ex102-new-trade-retracted.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository retracting (canceling) a report of execution of a derivatives transaction (because it was reported in error).

### 1.5 Example 110 - Non-Public Execution Report, Amendment

File: record-ex110-amendment.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository reporting a negotiated amendment to a derivatives transaction.

### 1.6 Example 111 - Non-Public Execution Report, Increase

File: record-ex111-increase.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository reporting a negotiated increase in size of a derivatives transaction.

### 1.7 Example 112 - Non-Public Execution Report, Partial Termination

File: record-ex112-partial-termination.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository reporting a negotiated reduction in size of (partial termination of) a derivatives transaction.

### 1.8 Example 113 - Non-Public Execution Report, Novation (from transferor)

File: record-ex113-novation_from-transferor.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository reporting a novation of a derivatives transaction from the point of view of the transferor.

### 1.9 Example 114 - Non-Public Execution Report, Novation Retracted

File: record-ex114-novation-retracted.xml

A non-public message sent by a reporting party, execution facility, or derivatives clearing organization to a Swap Data Repository retracting a prior non-public report of a novation.

## 2 Product Examples

This section contains examples of FpML messages for non-public execution reporting. Each example illustrates a different product in Recordkeeping view. Most products in recordkeeping view are identical to those in confirmation view, and so at this time separate examples are not provided. Please consult the confirmation view for most detailed examples

### 2.1 Example 1 - Non-public Execution Report of Vanilla IR Swap in Recordkeeping View

File: record-ex01-vanilla-swap.xml

### 2.2 Example 2 - Data Document Holding Vanilla IR Swap in Recordkeeping View

File: record-ex02-vanilla-swap-datadoc.xml

### 2.3 Example 51 - Generic product with an attached PDF confirm

File: record-ex51-generic-product-with-pdf.xml