SWIFTReady Financial EAI

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Feb 21, 2014 (3 years and 10 months ago)

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SWIFTReady Financial EAI


Conformance
Questionnaire 2009





Version
1

July

2008



SWIFTReady Financial EAI Qualification Programme







2

SWIFTReady Financial EAI

Legal Notices

Copyright

Copyright © S.W.I.F.T. SCRL ("SWIFT"), avenue Adèle 1, B
-
1310 La Hulpe, Belgium, or its
licensors,
2009

All rights reserved.

You may copy thi
s publication within your organisation. Any such copy must include these legal
notices.

Confidentiality

This publication may contain SWIFT or third
-
party confidential information. Do not disclose this
publication outside your organisation without the prior

written consent of SWIFT.

Disclaimer

SWIFT supplies this publication for information purposes only. The information in this
publication may change from time to time. You must always refer to the latest available version.

Translations

The English version o
f SWIFT documentation is the only official version.

Trademarks

SWIFT, S.W.I.F.T., the SWIFT logo, Sibos, SWIFTNet, SWIFTAlliance, SWIFTStandards,
SWIFTReady and Accord are trademarks of S.W.I.F.T. SCRL. Other SWIFT
-
derived service
and product names, includ
ing SWIFTSolutions, SWIFTWatch and SWIFTSupport are
tradenames of S.W.I.F.T. SCRL. SWIFT is the trading name of S.W.I.F.T. SCRL. Other product
or company names in this publication are tradenames, trademarks, or registered trademarks of
their respective own
ers.

SWIFTReady Financial EAI Qualification Programme






June

2009

3

Table of Contents

1

Purpose

................................
................................
................................
................................

4

2

Data Protection

................................
................................
................................
....................

4

3

Company

................................
................................
................................
..............................

5

4 Submitted Product

................................
................................
................................
...............

7

5

Conformance Requirements

................................
................................
..............................

8

5.1

SWIFT Messaging Protocols

................................
................................
......................

9

5.2

Standards

................................
................................
................................
..................

11

5.3

SWIFT Connectivity

................................
................................
................................
..

11

5.4

Message Validation

................................
................................
................................
...

12

5.5

Refe
rence Data

................................
................................
................................
.........

12

5.6

Message Processing

................................
................................
................................
.

12

5.7

User Interface

................................
................................
................................
...........

13

5.8

Marketing and Sales

................................
................................
................................
.

13

SWIFTReady Financial EAI Qualification Programme







4

SWIFTReady Financial EAI

1

Purpose

SWIFT confers the SWIFTReady Labels p
rimarily based on the information
supplied by SWIFT Partner
through this Conformance Questionnaire. By returning
the SWIFTReady Label Conformance Questionnaire, you warrant to SWIFT that
such information is accurate, complete and reliable for the purpose o
f assessing
whether the relevant EAI suite comply with the criteria applicable for the conferral
of the SWIFTReady Financial EAI Label.

Furthermore, you
agree to promptly notify SWIFT
of any change to ensure that it should
remain accurate, complete and rel
iable for the purpose for which it is supplied at any
time thereafter until notification by SWIFT of it
s decision regarding your SWIFTReady
Label application.


In case of incomplete

or misleading information, or in case of obvious non
-
compliance as
identi
fied, reported by
some

SWIFT customer
,
subsequently
verified

by SWIFT and
reported to the Label
Applicant.

SWIFT reserves the right to suspend the label without any
fee re
-
imbursement.


For the avoidance of doubt, any demonstrable
and repetitive
shortfall

with respect to the
mandator
y
SWIFTReady Financial EAI
c
riteria is

a valid ground for withdrawal of the Label.


2

Data Protection

By returning this form, you acknowledge and agree that SWIFT reserves the right to
process personal data (eg, contact details)
for the purposes for which this form is designed
and, more generally, in connection with the provision or use of the SWIFT services and
products or SWIFT governance. As appropriate, SWIFT may share such

personal data with
other SWIFT
offices, or SWIFT sub
-
contractors, agents or
p
artners, located in or outside
the EU or EFTA (for more information, consult
www.swift.com
).

Each person concerned has the right to request SWIFT in writing at the address specified
in this for
m to (i) consult and, if necessary, correct its personal data, and (ii) stop using its
personal data for direct marketing. If the personal data is not supplied by the person
concerned, you are responsible for notifying that person of the terms of this stat
ement and
ensuring that such personal data is collected and supplied, for the purposes above, in
accordance with all applicable laws and regulations and without infringing any third
-
party
rights.

Except when stated

otherwise
, the information provided conce
rning product compliance
may

be published on www.swift.com to
provide

SWIFT Users
with a

complete

product
overview,
including optional features supported.

Custome
r

related information is kept confidential at SWIFT, and is exclusively used to
assess the com
pliance of the product against customer testimonials.


SWIFTReady Financial EAI Qualification Programme






June

2009

5

3

Company

Provide here the d
etails over the

organization

that
applies for the

SWIFTReady

Financial
EAI

label. The
information

provided in this section is

kept confidential at SWIFT
.


Organization

Name


SWIFT
Partner ID Code (PIC)


Company Ownership


Company
City

and Country HQ


Number o
f employees

in

2008

(worldwide)


Main
Business
Segments

in

percentage
weight

Banking

:

Securities:

Insurances:

Corporates:

Healthcare

Telecoms:



Total n
umber
of customers
per regions, for
all products and services.

North America :

Europa

:

MidEast
-

Africa:

North America :

Asia

:

Number of customers

using the EAI suite


Number of customers using the EAI to
integrate
in a

SWIFT

contex
t


Number of offices worldwide


2008

Operating income



2008

Net profit


Main partners in
f
inancial
markets


Main
inte
gration/consultancy partners


Regional P
resence in FInancial Services:
Number of
Sales and

Services

(
Support

or
integration service
s
)

North America


Sales:
Services
:

Europa

Sales:

Services
:

M
E/
Africa

Sales:

Services
:
North
America

Sales:

Services
:

Asia

Sales:

Services
:




SWIFTReady Financial EAI Qualification Programme







6

SWIFTReady Financial EAI

Contact resources



Name

-

First Name

Email

Telephone

Pro
duct Manager for the
EAI suite




Principal IT Architect


for EAI suite




Head of sales for EAI




SWIFT relationship
Manager




SWIFTReady Financial EAI Qualification Programme






June

2009

7

4

Submitted Product

The n
ame and version of the
EAI

suite
to

which this qualification and conformance claim
applies.

When your product integrate third party software, please state third party name and
product name.

New in 2009: please provide the additional networks and messaging services which
your EAI is serving (in Securities, payment, insurance). Ex: Chips, Fedwire,
SIC, …
This will help us position your product toward our sales force.

New in 2009: we ask you to provide and maintain a page on your web site where
your product is described This page wil
l be referred from our web site, and the URL
should be maintained an
d updated for the full year.


EAI product suite

n
ame


Product Version Number

(only one)


Supported Operating Systems


Entry fee for the EAI suite (per CPU) (*)


Recurring fee for the EAI suite (*)


BPM product name (if any)


BAM product name (if an
y)


Message Entry/Browser (if any)


Process Server name (if any)


Application Server name (if any)


Enterprise Service Bus (if any)


EAI Repository (for messages, events
and reference data storage)


Messaging Library for data mapping
and validati
on (if any)


Rule
-
based Engine (if any)


J2EE Platforms supported (if any)


.NET Support (if any)




(*) Product prices are kep
t confidential at SWIFT Partner management.

SWIFTReady Financial EAI Qualification Programme







8

SWIFTReady Financial EAI

5

Conformance Requirements

The conformance requirements
for a
SWIFTReady Financial

EAI

are specified in the
SWIFTReady Financial EAI

Label
Criteria

2009

document, which is posted on
www.swift.com/partners
, and which
is
referred here after as the Criteria document.

You
should ensure that you

downloaded
the last version of the document.

A
SWIFTReady Financial EAI

must support
all the M
andatory
features

referr
ed
to
in the
Criteria document

and
may support
any of the additional

O
ptional
features
.


It is important that you provide com
plete and ac
curate information
.

Incomplete

questionnaire will not be processed for vali
dation

Non
-
compliance items will be discussed for the granting of the

G
old or Silver label.

The tables below identify
the features

that a
SWIFTReady Financial EAI

product
should

su
pport.
They
indicate for each
of the features
whether
the qualified
product

supports
and/or requires the elements, by
a
Y
es or
N
o

in
the respective
columns on the right.


Column 1 identifies the feature.

Column 2 contains reference

to notes which describe
the feature in more detail and where
possible gives reference to the specification source.

Column 3 describes whether the feature is Mandatory

or Optional.



M

refers to a feature that is Mandatory for
the conferral of the

EAI label
. When M is
share
d

by two

or more

option

lines, it
means

that at leas
t

on
e of

the options must be
supported
.



O

refers to a feature that is Optional for Gold and Silver label, but recognized as
adding value for SWIFT Users, and published as such on www.swift.com

Column 4
is for
the

Applicant

to indicate the

support of the feature

by the EAI product
(“Y”
or “N”)
.

SWIFTReady Financial EAI Qualification Programme






June

2009

9

5.1

SWIFT Messaging Protocols


Support FIN messag
ing structure


A.1

M


Support

SWIFTNet InterAct RT

over SAG
(send and receive request)

A.2

O


Support SWIFTNet InterAct SF
over SAG

(push reception mode)

A.3

O


Support SWIFTNet InterAct SF
over SAG

(pull reception mode)


Support
SWIFTNet FileAct RT

over SAG

(send and

receive

files)

A.4

O


Support SWIFTNet FileAct SF
over SAG

(push reception mode)

A.5

O


Support SWIFTNet

FileAct SF

over SAG

(pull reception mode)


Support SWIFTNet FileAct Download Server

A.6

O


Support SWIFTNet Headers structure for SWIFTNet 6.0

A.7

M


Support SWIFTNet Headers structure for SWIFTNet 6.1

A.8




A.1

SWIFTNet FIN support involves th
e capability to generate
and parse
valid FIN
messages (correct header,
MT
payload

and trailer blocks generation)

A.2 Both

client

(
to
send)

and server

(
to receive
)

processes

are requested when SAG is
used.








A.3 Client

(pull)
or

server (push) process
es
can be used to access SF queues

with SAG
.
At least one if the options must be supported.

A.4 Client

and server are both needed. A Download
file
server is not mandated
.

A.5 Both

client (sending) and server (receiving) processes are requested.

A.6 Cou
nterparty

can access the File Server to download files through SWIFTNet FileAct

A.7
SWIFTNet R6.0 enforces stronger header validation. All headers should be compliant
with

the

Messaging Operation Guide

R6.0

available in the UHB. FileAct in particular,
req
uires

complia
nt
structured header requests and file compression indicat
ors.

A.8

SWIFTNet R6.1 further enforces the usage of FileAct headers, and
is mandated
for
SWIFT Users
to
get reduced Bulk Payment pricing

in the SEPA framework.

.


Test services


Menti
on which test services you subscribed to and the executed / planned date for the test
over ITB.

At least

one ITB service must be
subscribed to and
tes
ted for each Messaging
Service for which you claim support.




Messaging Service

Subscribed ITB
service

Su
bscribed
(Y/N)

ITB test date

FIN

SWIFTNet FIN



InterAct Real
-
time

Generic InterAct RT



InterAct
Store&Forward

Generic InterAct SF



Funds



Exceptions and
Investigations



FpML



Cash Reporting



SEPA



FileAct Real
-
Time

Generic FileAct RT



Data Distribution



FileAct Store&Forward

Generic FileAct SF



Trade Service Utility







SWIFTReady Financial EAI Qualification Programme







10

SWIFTReady Financial EAI

SWIFTNet InterAct and FileAct API support

Initialisation Primitives


Sw:Init

B.1

O


Sw:Term

B.2

O


Sw:HandleInit

B.3

O


Sw:HandleTerm

B.4

O


S
ecurity Primitives


SwSec:CreateContext

B.5

O


SwSec:DestroyContext

B.6

O


SwSec:SignEncrypt

B.7

O


SwSec:VerifyDecrypt

B.8

O


Request/Response Primitives


SwInt:Exchange

B.9

O


SwInt:Send

B.10

O


SwInt:Wait

B.11

O


SwInt:Handle

B.12

O


Miscellaneo
us Primitives


Sw:GetDateTime

B.13

O


Sw:SMAGetStatus

B.14

O


FileAct Primitives


Sw:ExchangeFile

B.15

O


Sw:HandleFile

B.16

O


Sw:FetchFile

B.17

O


Sw:GetFileStatus

B.18

O


Sw:ListFileStatus

B.19

O


Sw:AbortFile

B.20

O


Sw:SubscribeFileEvent

B.21

O


Sw:HandleFileEvent

B.22

O


Sw:GetFileDigest

B.23

O


Store
-
and
-
Forward primitives

Sw:ExchangeSnF

B.24

O


Sw:HandleSnF

B.25

O


Sw:PullSnF

B.26

O


Sw:GetSnFStatus

B.27

O


Return SNL Information

Sw:HandleResponseInfo

B.28

O


Note

B.1
-
B.6 Refer to th
e SWIFTNet Link Interface Specifications

B.7, B.8 The Sign and Verify functions are invoked

B.9
-
B.12 The exchange may be asynchronous (using SwInt: Exchange and
SwInt:Handle) or synchronous (using SwInt:Send and SwInt:Wait). For SWIFTNet FIN,
the asynch
ronous mode is recommended.

B.14 The Sw:SMAGetStatus maybe used to obtain HSM status

B.15
-
B.27 Refer to the SWIFTNet Link Interface Specifications

B.28 Only required for specific services




SWIFTReady Financial EAI Qualification Programme






June

2009

11

5.2

Standards


Support
Message Validation rules (MFVR) for
all MT me
ssage
s


B.1

M


Support MT Usage Rules for all messages

B.2

O


Support
Message

Guidelines for all MT messages

B.
2

O


Support MX messages (XML messages defined through ISO2002)

B.4

M


Support the ISO15022 data dictionary

B.5

M


Support the ISO20022 data

dictionary

B.6

M


Support Market Practices (SMPG)

B.
7

O


Support FpML messages

B.
8

O



B.1



Support
FIN
syntax and semantic
validation rules
(network validation rules)
for

all MT
messages is required

B.2 MT Usage Rules and STP Guidelines are describ
ed In the UHB. These are decided
on a bilateral basis.

B.
4


MX messages are de
fined through SWIFT provided XML Schema
(
XSD,
available
today as part of the SWIFTSolutions). The XSD includes facets on simple data type
(such as pattern, numerical limits, enum
erations, max digit and decimal numbers). MX
messages must be parsed and validated against these XSD. Non
-
well formed MX
must be routed to repair.

B.
5


ISO15022 data fields should be managed centrally, and reused across MT messages
for mapping
and validati
on
purpose.

B.
6


The ISO20022 data
types and business elements definition

should be used for
parsing, validating and storing MX messages.

Ideally,
formatting and validation rule
applying to a given data type should be reusable throughout all messages using

these
data types.

B.
8


FpML should be par
sed against FpML provided syntax, and wrapped into InterAct
envelopes. This is an optional feature.

5.3

SWIFT Connectivity


Support
SAA MQSA using XML Format V2

C.1

M


Support

SAA AFT using XML Fo
r
mat V2

C.2

G


Supp
ort SAA ADK for MT and MX messages

C.3

O


Support SAA CASmf

for MT

C.4

O


Support SAG RAHA for InterAct

C.5

O


Supp
ort SAG MQHA for Inter
Act

C.6


Support SAG RAHA for FileAct

C.7

O


Support SAG MQHA for FileAct

C.8


Support SAG FTA for FileAct

C.9

M


Support SAG FTI for FileAct

C.10


Support SAG WSHA for InterAct

(SOAP adapter)

C.11

O


Support SAA/SAG adapters in commercial Financial EAI suite

C.12

O


Support
FileAct Enhanced Header (TotalNumberTransactions
)

C.13

M



C.1

SAA Protocol Data Uni
t (PDU) is available in XML Format V2 for both MT and MX
messages. It is described

in SAA System Management Guide, part 5, Annex G.5

C.2

Same
XML Format V2 should

be used for AFT

C.3

ADK supports both MT and MX messages

C.4


CASmf

supports only MT messages

C.5


At least one of RAHA or MQHA should be supported for InterAct RT and SF

C.6


At least one of RAHA or MQHA should be supported for FileAct RT and SF

C
11


WSHA uses SO
AP

protocol to exchange info with ser
ver. It is available with SAG 6.
1


C12

The comme
rcial Financial EAI suite should
support the mentioned
SAA/
SAG adapters
as product feature, as opposed to code sample

provided
without support
or
maintenance to the customers.


SWIFTReady Financial EAI Qualification Programme







12

SWIFTReady Financial EAI

C13

Use Enhanced FileAct 6.1 headers

to include

the number of transactions in e
ach file and
specify the result in the
TotalNumberOfTransactions

data element of the File Header I
nfo.
Usage the FTA Companion parameter file

5.4

Message
Validation

Support

Message Format Validation Rules

for all MT messages

D
.1

M


Support

Message Usage Rules

D
.2

M


Support

STP Guidelines

D
.3

O


Support

Securities Market Practices

D
.
4

O


Support MX messages schema validation

D.5

M


Support MX messages extended validation

D.6

M


Support MX rules book for SWIFTNet Funds

D.7

O


Support MX rules book for SWI
FTNet Cash Reporting

D.8

O


Support MX rules book for SWIFTNet Exceptions and Investigations

D.9

O


Support MX rules book for SEPA

D.10

O


Support MX rules book for Proxy Voting

D.11

O


Support TSU Messages

D.12

O


Support SCORE messaging and Rules B
ook for Treasury

D.13

O


Support SCORE messaging and Rules Book for Cash Management

D.14

O


Support FpML messages for Contracts, including semantic validation

D.15

O


Support
Transactions

Reporting (MiFID)

D.16

O



D
.1

MFVR is provided in the UHB

D
.2

M
essage Usage Rules is provided in the UHB

D
.3

STP Guidelines are published in the UHB

D
.4

Securities Market Practices are provided in www.smpg.com

D
.
5

Generic message validation rules are provided in the Criteria document

D
.6 to
D
.1
6
. MX rules books are pr
ovided
in the UHB.


5.5

Reference Data


support for

BIC Dir
ector
y

E
.1

M


support for BICPlusIBAN

Database

E.2

M


Support for SEPA Routing Directory

E
.
3

M


Support of BIC Monthly update using delta BIC files

E
.4

O


Support of BIC Monthly update using full
BIC files

E
.5

O



E
.1

BIC Directory should be accessible for validation and repair. Access can be through
dedicated copy of BIC Directory on EAI database,
through ODBC
/JDBC access to
external database, or through BIC file look
-
up.

E.2
U
s
e BICPlusIBAN
directory to validate the IBAN
-
BIC combinations, to translate BIC
into national clearing codes, and to derive the BIC from the IBAN
.

E.3
U
se this SEPA Routing Directory to validate
pacs

messages against the Scheme to be
used for a given correspondent BIC
,

E
.
4


Delta BIC files can be downloaded from swift.com or

from SWIFTNet.

E
.5


Full BIC files can be downloaded
from swift.com or from SWIFTNet.

5.6

Message Processing


Extract
a
pplication, file and

DB data
and map in

MT and MX messages

F
.1

M


Validate mes
sages agains
t SWIFT Standards

(syntax and semantic)

F.2

M


Wrap messages with header based on correspondant profile

F.3

M


Enrich messages with reference data (BIC, Country, Currency)

F.4

M


Receive message/file from SWIFTNet SAA/SAG and parse them

F.5

M


Fill in header ProductList info (VendorName and ProductList)

F.6

M


SWIFTReady Financial EAI Qualification Programme






June

2009

13

Use

messaging data services product
to transform messages

F.7

O


Route message based on message header info

F.8

M


Route message based on message payload content

F.9

M


Bulk messag
es into files and un
-
bulk files into messages

F.10

O


Reconcile messages based on SAA Information Notification

F.11

M


Reconcile message based on SAA Transmission Notification

F.12

M


Reconcile Counterparty Delivery Notification

F.13

M


Manual Repair o
f invalid messages

F.14

M


Automatic repair of invalid messages

F.15

O


Duplication Emission Management (insert of PDE)

F.16

M


Duplicate Reception Management

F.17

M


Event Logging

F.18

M


Message Archiving

F.19

M


Message flow monitoring

F.20

M


S
upport MT/MX translation for Funds and Payment

F.21

O



5.7

User Interface


Message
Viewer

G
.1

M


Message
Entry


G
.2

O


Message
Repair

G
.3

M


BIC look
-
up GUI

G
.4

M


Business

Activity

Monitoring
(BAM)

G
.5

O



G.1 Message Browser allows to inspect the mess
ages present in the workflow

G.2 Message
Entry is requested by some customers to allow
on the flight
data entry

G.3 Messages that need to be repaired should be routed to a repair station where
manual
modification

is enabled

G.4 BIC look
-
up facility should
be provided for any field of type BIC or BEI.

G.5 BAM allows
monitoring

the technical and business flows.

5.8

Marketing and Sales

This information is kept confidential at SWIFT, it must be provided for the granting of
the Silver or Gold Label. Implementation o
f the EAI in the context of SWIFT integration
only should be provided.

Type


Client Name
-
BIC

Location

Market

Application

1.
FIN
Client

M






2.
FIN
Client

M






3.
FIN
Client

M






4.
SWIFT
Client

M






5.
SWIFT
Client

M






6. SWIFT
Clie
nt

O





7. SWIFT
Client

O





8. SWIFT
Client

O





9. SWIFT
Client

O





SWIFTReady Financial EAI Qualification Programme







14

SWIFTReady Financial EAI

Type


Client Name
-
BIC

Location

Market

Application

10.SWIFT
Client

O





11.SWIFT
Client

O





12.SWIFT
Client

O





13.SWIFT
Client

O





14.SWIFT
Client

O





15.SWIFT
Client

O





16.SWIFT
Client

O





17.SWIFT
Clie
nt

O





18.SWIFT
Client

O





19.SWIFT
Client

O





20.SWIFT
Client

O





21.SWIFT
Client

O





22.SWIFT
Client

O





23.SWIFT
Client

O





24.SWIFT
Client

O





25.SWIFT
Client

O





26.SWIFT
Client

O





27.SWIFT
Client

O





28.SWIFT
Client

O





29.SWIFT
Client

O





30.SWIFT
Client

O






Type:

at least
5

financial

institutions

or
Corporate

c
ustomer
s

must be provided.
At
least three of these customers
should
support
FIN
messaging
.


Name

Customer Name and BIC code

if available.


Locatio
n:

Country and City where EAI has been installed and is currently running
.


Market
:

Type of traffic (Payment, Treasury, Trade, Funds,
Securities

settlement,
Corporate Actions,
TSU, Target2, SEPA, E&I, Accord, Proxy Voting,
Affirmations, Transaction Repor
ting, FpML,
Others
)
.


Application
:

N
ame of the back
-
office

application

(Vendor and product name) that the EAI
connect to in Back
-
office
.