csn guide - amazon s3 · csn guide 6 of 20 3. csn creation 3.1 csn types the bancs attribute “bp...

20
CSN Guide 14 December 2016 Version 1.1

Upload: others

Post on 14-Mar-2020

25 views

Category:

Documents


0 download

TRANSCRIPT

CSN Guide

14 December 2016

Version 1.1

CSN GUIDE 2 of 20

CONTENTS

1. Introduction .......................................................................................................................... 4

1.1 Document Purpose ........................................................................................................ 4

1.2 Intended Audience ......................................................................................................... 4

1.3 Document History ........................................................................................................... 4

2. Overview ............................................................................................................................. 5

3. CSN Creation ...................................................................................................................... 6

3.1 CSN Types ..................................................................................................................... 6

3.2 Creation Rules ............................................................................................................... 6

3.2.1 Client / Nominee CSN ............................................................................................. 6

3.2.2 Owned CSN ............................................................................................................ 7

3.3 Holder Types .................................................................................................................. 7

3.3 CSN Examples ............................................................................................................... 8

4. Long Form Outward Transfers (COT/OOT).......................................................................... 9

4.1 Overview ........................................................................................................................ 9

4.2 Name and Address Format ............................................................................................ 9

4.2.1 Basic Format ........................................................................................................ 10

4.2.2 Punctuation........................................................................................................... 10

4.2.3 Holder Names ....................................................................................................... 10

4.2.4 Designated Holdings ............................................................................................. 11

4.2.5 Account Designations ........................................................................................... 11

4.2.6 Address ................................................................................................................ 12

4.3 Share Registry Validation of Outward Transfer Requests ............................................. 12

5. Similarity Checking .............................................................................................................. 13

Appendix 1 .............................................................................................................................. 14

Appendix 2 .............................................................................................................................. 16

Appendix 3 .............................................................................................................................. 19

CSN GUIDE 3 of 20

DISCLAIMER:

THE INFORMATION CONTAINED IN THIS DOCUMENT IS A GUIDE ONLY. ALL PARTICIPANTS ON ANY NZX MARKET MUST COMPLY WITH THE RELEVANT RULES, AND THIS DOCUMENT IS NOT A SUBSTITUTE FOR THOSE RULES. NZX CLEARING WILL DETERMINE, IN ITS SOLE DISCRETION, WHETHER ANY PARTICIPANT OR POTENTIAL PARTICIPANT MEETS THE REQUISITE CRITERIA TO BECOME AND REMAIN A PARTICIPANT. THOSE WISHING EITHER TO TRADE IN ANY PRODUCTS AVAILABLE AT NZX OR TO OFFER AND SELL THEM TO OTHERS SHOULD CONSIDER BOTH THEIR LEGAL AND REGULATORY POSITION, INCLUDING THE RELEVANT RULES, AND THE RISKS ASSOCIATED WITH SUCH PRODUCTS BEFORE DOING SO. NO PART OF THIS PUBLICATION MAY BE REDISTRIBUTED OR REPRODUCED IN ANY FORM OR BY ANY MEANS OR USED TO MAKE ANY DERIVATIVE WORK WITHOUT WRITTEN PERMISSION FROM NZX CLEARING. NZX CLEARING (INCLUDING ITS PARENT COMPANY DIRECTORS, OFFICERS, EMPLOYEES AND CONTRACTORS) SHALL NOT BE LIABLE (EXCEPT TO THE EXTENT REQUIRED BY LAW) FOR THE USE OF THE INFORMATION CONTAINED HEREIN HOWEVER ARISING IN ANY CIRCUMSTANCES CONNECTED WITH ACTUAL TRADING OR OTHERWISE. NZX CLEARING IS NOT RESPONSIBLE FOR ANY ERRORS OR OMISSIONS CONTAINED IN THIS PUBLICATION. THIS PUBLICATION IS FOR INFORMATION ONLY AND DOES NOT CONSTITUTE AN OFFER, SOLICITATION OR RECOMMENDATION TO ACQUIRE OR DISPOSE OF ANY INVESTMENT OR TO ENGAGE IN ANY OTHER TRANSACTION. ALL INFORMATION, DESCRIPTIONS, EXAMPLES AND CALCULATIONS CONTAINED IN THIS PUBLICATION ARE FOR GUIDANCE PURPOSES ONLY, AND SHOULD NOT BE TREATED AS DEFINITIVE.

CSN GUIDE 4 of 20

1. Introduction

1.1 Document Purpose

The purpose of this document is to provide participants with additional information on the creation of Common Shareholder Numbers (CSN)’s. This can be used as a supplementary guide to User Guide 2 – Business Relations.

1.2 Intended Audience

This document is intended for use Clearing & Settlement Participants.

1.3 Document History

Version Date Nature of Amendment

1.0 January 2012 Initial draft

1.1 14-Dec-2016 Updates for BaNCS V7

CSN GUIDE 5 of 20

2. Overview Common Shareholder Number (CSN)’s provide a single customer number to a single

shareholder entity (holder) across multiple share registries. A CSN is required for all Client

Outward Transfers or Owned Outward Transfers (i.e. Existing or new holders).

CSN’s are created and stored in the Settlement System (BaNCS) database operated by NZX

Clearing. Details of new CSN’s are either transmitted to the share registries when initial

registration of shares occurs, or linked to an existing shareholder number.

CSN’s can be allocated by Participants or share registries, and occasional NZX Clearing if

required. The primary requirement is to ensure that any shareholder has only one CSN to

remove ambiguity between share registries and provide the shareholder with concise reporting.

BaNCS provides assistance to the user allocating the CSN by highlighting possible similarities.

A “Client” CSN has between one and three individual holders. A Client CSN may contain a

person or persons, a company or companies, or a mix of both. The order of the individual

names within a CSN is important, i.e. “Mary” and “John” is a different entity to “John” and

“Mary”/ All Client CSN’s have an Authorisation code (FIN) that may be randomly generated at

the time of creation, or specified by the client. The same FIN is used across all share registries.

FIN’s are created in the range 0000 to 9999. The FIN must be presented with the Shareholder

Number or CSN to authorise the transfer of securities. A FIN on a CSN is similar to a PIN on a

bank account, and security is important. Shareholders are responsible for ensuring the safe

custody of their FIN.

A Participant can also create an “Owned” CSN. This is a CSN whose holdings may only be

accessed by the creating Participant. The restriction means an Owned CSN does not required a

FIN.

Prior to creating a new CSN the Participant must perform sufficient customer due diligence,

including obtaining two or more forms of ID for an individual, and one or more forms for a

company.

CSN GUIDE 6 of 20

3. CSN Creation

3.1 CSN Types

The BaNCS attribute “BP Role” identifies the type of CSN. There are three types as follows:

1) “Client” CSN’s have one or more holders of any type. This CSN can incorporate individuals and entities. These CSN’s are allocated in the number range starting at 330000000. These CSN’s have a FIN, and transfers on register for Client CSN’s are performed using Client Inward and Client Outward transfers.

2) “Nominee” CSN’s are a special version of Client CSN. A Nominee CSN has these additional requirements:

The Nominee CSN has a single holder

CSN Account Designation is required

Transfers on register for Nominee CSN’s are performed using Client Inward and Client Outward transfers. These CSN’s also have a FIN. Nominee/Custodial holders can make use of the CSN account designation as part of the search key in situations where large numbers of CSN’s have the same holder details and are distinguished by the CSN Account Designation.

3) “Owned” CSN’s require one holder’s name to be provided. No identification details are required for this holder, although an Account Designation is required. These CSN’s are allocated in the number range starting at 220000000. Owned CSN’s make use of Owned Inward and Owned Outward transfers, and do not have a FIN.

3.2 Creation Rules

The following rules apply when creating a CSN:

3.2.1 Client / Nominee CSN

Account designation is optional. If supplied, similarity checking is not performed

Companies require one form of ID

Individuals require two forms of ID

ID with a NZ country of origin (E.g. NZ IRD numbers) may have further validation

performed

Overseas ID’s are not validated

Similarity checking is performed on each shareholder name and their associated ID’s

The order of the names within a CSN is important

Subsequent updates to a CSN must follow the same rules. Similarity checking is not

performed on these updates

Share registries may have more than three names for a holder, whereas BaNCS only stores the

first three. The order of names is important and BaNCS will assume the Participant or share

registry has entered the three most significant names. If it is important for the CSN to contain

the fourth of subsequent names, the “Remarks” field may be used to store these details.

CSN GUIDE 7 of 20

However this information will not be passed to the share registry or used in any validation

checking.

3.2.2 Owned CSN

Must have an account designation

Must have a company holder name

No forms of ID are required, but can be entered if desirable

Only one shareholder is allowed

Similarity checking is performed on name / account designation

A participant may have many Owned CSN’s. When a CSN is created the Participant’s BPID is

stored against that CSN. Subsequently only that Participant can perform transfers against the

CSN, this being enforced both by BaNCS and the share registries. This removes the need for a

FIN as the Participant is the legal owner of the CSN.

3.3 Holder Types

Identification of the type of holder within a CSN is provided by a holder type value for each

holder within the CSN. BaNCS will examine the name entered by the user and enforce the

correct holder type.

The holder type may be:

Individual – The CSN holder is a person and the identification details provided must be

those that relate to a person. These are: Tax Number, Passport, Drivers Licence, Bank

Account or Date of Birth

Corporate – The CSN holder is a registered company, incorporated society or charitable

trust and the identification details provided must be those that relate to these entities.

These are: Tax Number, Company Registration Number, Bank Account Number or

FATCA Code

The following table shows the combinations of CSN Type and Holder Type that are allowed.

CSN Type Account Designation

Number ID Required Holder Type Acceptable ID

Owned Mandatory 1 No Company

Optional: Tax Number, Company Registration Number, Bank Account Number, FATCA Code

Client Optional 1 to 3 Yes

Individual

Tax Number, Passport, Driver’s License, Bank Account Number, Date of Birth

Company Tax Number, Company Registration Number,

CSN GUIDE 8 of 20

Bank Account Number, FATCA Code

Nominee Mandatory 1 No Company

Optional: Tax Number, Company Registration Number, Bank Account Number, FATCA Code

3.3 CSN Examples

The following table provides some example CSN’s:

Example CSN Type A/C Designation Holder Type Holder Name(s)

1 Owned Non Resident Account Corporate Fraco Nominees Limited

2 Nominee AJ Robertson Account Corporate ABC Nominees Limited

3 Nominee Estate John Smith Corporate Public Trust

4 Client Individual Mr John William Smith

5 Client Corporate Fracaz Limited

6 Client Adams Family

Individual Mr John James Adams

Individual Mrs Sally Anne Adams

Corporate Lawright Nominees Limited

7 Client Corporate The Roman Catholic Bishop of the Diocese of Hamilton

8 Client Individual Jen Fu

CSN GUIDE 9 of 20

4. Long Form Outward Transfers (COT/OOT)

4.1 Overview

After creating a CSN a Participant can register shares to the holder at any share registry. If the

share registry does not have the holder in their records, a “Long Form” Client Outward Transfer

(COT) will deliver the shares and the holder details to the share registry to update their system.

The details for this transfer are identical to those for a regular or “Short Form” COT, the main

difference being the inclusion of the full shareholder name and address.

The steps for performing this process are as follows:

1) Participant creates a CSN

2) Participant enters details into COT and sends transaction to the share registry. BaNCS

will automatically send the FIN associated with the CSN

3) Registry receives transaction, assigns a transfer reference number and returns a reply

BaNCS with a “Pending” transfer status and warning message “3023 transfer name

match required”. The share are still in the Participant FTA at this stage but are moved to

the unavailable balance

4) Registry will accept or reject the transfer

5) Participants check the “Un-notified transfer” screen in BaNCS for the current status of

the COT, as the original COT transfer status will remain pending and will not change

If the holder details are incomplete or don’t satisfy the share registry requirements, the registry

will reject the transfer and move the shares back to the available balance in the Participant’s

Transfer Account. If the holder details are sufficient the registry will accept the transfer, set up

the holder in the registry system based on the name and address details supplied, and move

the shares from the Transfer Account unavailable balance to the new holder’s available

balance. In both cases the registry will report the completion of the transfer back to the

Participant with an “Un-notified” transaction.

4.2 Name and Address Format

BaNCS uses a combined Name and Address field for sending details to share registries via

Outward Transfers.

The format of the BaNCS name and address field is five lines of 30 characters and one line of

14 characters. A 10 character postcode and a three character country code are separate fields.

The Name and Address format can be summarised as:

Name [‘<’ account-designation ‘>’][,] Address

Name Is compulsory

Account-Designation Is required if the registration details are for a CSN that has an

account designation. If provided it must be enclosed by “<” and “>”

, Is compulsory. Thu comma separates name (and account

designation if applicable) from address

CSN GUIDE 10 of 20

Address Is compulsory

The following sections provide more detail on the specific requirements of each of the above

items and how to incorporate them into the name and address fields.

4.2.1 Basic Format

The complete name and address details excluding postcode and country code must be

contained within the six lines provided for name and address, including spaces and acceptable

punctuation, per line.

The first five lines may contain up to 30 characters per line. The sixth line may contain up to 14

characters. All details are held by the share registries in UPPER CASE. BaNCS upshifts details

before passing them to the share registries.

4.2.2 Punctuation

All punctuation is acceptable as are other special characters (E.g. Hyphens, apostrophes etc.)

with the following exceptions:

Only one comma is permitted which is to be used to separate the name (and account

designation if applicable) from the address

Full stops are not permitted

Angle brackets “< >” and plus sign “+” are not permitted except as defined below

Other rules include:

Whenever space permits, the comma must follow the last character of the name/s or account

designation closing bracket and be inserted on the same line, if possible.

If the last character of the name/s or the account designation closing angle bracket finishes in

the last character space of a line, then the comma must be inserted as the first character of the

following line prior to the commencement of the address details

Participants and share registry systems should be programmed to delete the comma, and

where applicable left justify the first address line of the registered details when printing

statements, notices, advices etc.

Where the holding is to be registered in joint names, the names are to be linked by a plus “+”

sign. This plus sign will be converted to an ampersand “&” by Participant and share registry

systems when printing the security holder name and address details. The ampersand cannot be

used to link the names of joint holders, because it is used in many company names. The “+”

sign should not replace the “&” when it is part of the company name.

4.2.3 Holder Names

Titles may be included (E.g. Mr, Mrs, Miss, Ms etc.)

CSN GUIDE 11 of 20

When the holder is a person:

Full name to be used where possible

One given name must be provided for each holder

Neither the first given name nor the second given name (where present) are to be

initials. Third or subsequent given names may be abbreviated to initials or omitted if

space is an issue.

Incomplete or abbreviated names may cause failures in the name matching processing

or creation of a duplicate CSN

Details of persons are to be registered in the following order:

1) Title if present

2) Given names in full followed by

3) The Surname

When a holder is a company:

The full registered company name is to be used

Acceptable abbreviations include “INC” for Incorporated and “LTD” for Limited

4.2.4 Designated Holdings

Companies are sometimes asked to register a designated holding or split an existing holding

appearing in the register of members into several separately designated holdings in the same

name, each with a designated holding to bear a unique reference (E.g. NO 2 ACCOUNT).

Care must be taken, as no designation reference should be capable of being construed as the

entry on the register of a notice of trust, expressed, implied or constructive as required by the

Companies Act 1993. In general, BaNCS will reject CSN allocation requests that identify the

holder names or account designation as a trust.

4.2.5 Account Designations

Where a designation is required to be recorded after the holding name or names (E.g. “NO 2

ACCOUNT”) it must be included on a separate line of up to a maximum of 30 characters of

information

The following rules apply:

The designation must be contained within the angle brackets “< >”

The word ACCOUNT may be abbreviated to A/C or ACCT

The comma used to separate the registered name or names from the address should be

inserted after the closing angle bracket containing any designation

CSN GUIDE 12 of 20

4.2.6 Address

The registered name and address details are to be wet out in the lines of information in such a

way as to allow the name and address to be immediately usable by Participants and the share

registry computer systems for mailing purposes.

Whenever difficulties are encountered with recording the name and address details because of

insufficient space, normal business practice abbreviations may be used in the address. This is

provided that the end result supplies sufficient information for the registered address to be used

by postal authorities for mailing purposes.

The following rules apply:

The registered address details should always be in full without abbreviation, whenever

space permits

The last line of all addresses must contain the town or city

Post code and country code are separate fields in BaNCS messages and must not be

included in the address. Postcodes are not validated by BaNCS and are passed to the

share registry as submitted. Share registries may validate post codes at their discretion

Country codes are 3 character ISO 3166-1 codes

4.3 Share Registry Validation of Outward Transfer Requests

For existing shareholders, name matching is performed by the share registries on receipt of an

outward transfer. The shareholder number is verified by matching the name on the shareholding

with the first 30 characters of Name and Address.

Methods used by share registries for matching the name are:

1) The registry reduces the 30 characters of line 1 of name and address to the first 12

characters of the shareholder last name or company name by removing all titles,

insignificant characters and other qualifications (E.g. Spaces, Mr, Mrs, Deceased,

Estate, Ltd, Company etc.). This is compared with the 12 character shareholder search

key of the shareholding referenced by the shareholder number in the BaNCS request

message. An exact match is required.

2) The registry scans the 30 characters of line 1 of name and address and removes all

titles, insignificant characters and other qualifications as in method 1. The same

algorithm is applied to the name on the shareholding referenced by the shareholder

number in the BaNCS message request. The first 12 characters of the resulting

character strings (each padded with trailing spaces if less than 12 characters are

produced) are compared. An exact match is required.

Share registries return registration details to BaNCS in MT544 and MT535 messages. The

registration details returned to BaNCS must confirm to these formatting rules.

For new holders sending in Long Form COTs, the registry will check all details confirm to their

requirements for the accurate format of names, and sufficient address details for mailing

purposes.

CSN GUIDE 13 of 20

5. Similarity Checking The primary purpose of similarity checking during the creation of a CSN is to minimize the risk

of duplication of CSN’s for any one holder. Similarity checking provides the tool for a Participant

to prevent this, but they can still override the evidence presented and create a duplicate if they

wish.

Similarity checking is performed during CSN creation. If one of more existing CSN’s satisfies the

similarity check, the existing CSN or CSN’s and details are returned to the user, and the user

can decide if any of these are a true duplicate. If so, they can cancel their CSN creation. If not,

the user can proceed and force the creation of the new CSN.

BaNCS users the “Soundex” algorithm to generate database indexes to assist identification of

name similarities. The Soundex code makes use of surname and first Christian name for

people, or the first two significant words of the name for companies. For Nominee CSN’s

portions of the account designation are also included in the database indexes to provide a finer

grained search result.

Candidates for similarities are those CSN holders that have matching identifications or matching

Soundex codes for their names.

Where no similarities are found, a CSN allocation request will be successful on the first attempt.

CSN GUIDE 14 of 20

Appendix 1

The following table lists those words and phrases that BaNCS will use to recognise Company

holder names. Please note that this list may change over time as new terms are added.

ASSN

ASSOCIATION

ASSOC

BISHOP OF

CENTER

CHARITABLE TRUST

CH TRUST

COMMUNITY TRUST

CORP

CORPORATION

COY

COMPANY

CO LTD

COY LTD

COY LIMITED

COMPANY LTD

COMPANY LIMITED

CREDIT UNION

DEVELOPMENT

EDUCATION TRUST

EDUCATIONAL TRUST

FNDN

FOUNDATION

FRIENDLY SOCIETY

HEALTH BOARD

HOSPITAL

HOSPICE TRUST

INC

INCORPORATED

CSN GUIDE 15 of 20

INCORPORATION

INSTITUTE

INV FUND

INVESTMENT FUND

INV TRUST

LIFESAVING TRUST

LLC

LTD

LIMITED

LP

L.P.

LIMITED PARTNERSHIP

LUTHERAN CHURCH

MEDICAL CARE SOCIETY

MEMORIAL TRUST

MINISTRY

MINISTRIES

NATIONAL TRUST

NO LIABILITY

NL

N.L.

PHILATELIC

PTY

PROPRIETARY

REGIONAL COUNCIL

SCHOLARSHIP TRUST

SERVICES

SUPER FUND

SUPERANNUATION FUND

TRUST BOARD

TRUST FUND

WELFARE TRUST

CSN GUIDE 16 of 20

Appendix 2

Detailed below are some examples of acceptable name and address layout registration details

together with comments for the guidance of share registries and participants.

Name and Address Postcode Country Code

MR GORDON JOHNSTONE SMITH, 101 TARANAKI STREET WELLINGTON

6011 NZL

Standard type of registration. The last line of all New Zealand addresses must contain the town or city.

MR GORDON JOHNSTONE PATRICK SMITH, 101 TARANAKI STREET WELLINGTON

6011 NZL

Always enter the FULL name of the holder. If insufficient space on the first line, continue on to the second line with a comma to identify the end of the name field. The address details are to commence on the next line and not on the same line in which the name finishes where space permits.

MR GORDON JOHNSTONE SMITH + MRS ROSEANNE MARY SMITH <NO 2 ACCOUNT>, 101 TARANAKI STREET WELLINGTON

6011 NZL

Joint holding with an account designation. A plus sign “+” is to be inserted between joint holder names and not an ampersand “&”. The comma is to be inserted after the closing account designation angle bracket “>”.

MR GORDON JOHNSTONE SMITH, 66 WICKENHOUSE YARD LONDON UNITED KINGDOM

W1X 2AN GBR

Overseas holder with an overseas country code included. The overseas postcode and full country name or a widely recognised abbreviation such as USA must be included in the address field.

MR GUY HENRY BELL-PEARSON + MR WILLIAM BROWN O’REILLY, UNIT 5 101 TARANAKI STREET WELLINGTON

6011 NZL

Punctuation such as hyphens used to link names together and apostrophes used in names such as O’Reilly can be included. No spaces should be left between hyphens and apostrophes and the names, as shown above. A common can only be used to indicate the end of the name.

MRS DOROTHY LOUISE MARIA BLACK , 101 QUEEN STREET AUCKLAND

1010 NZL

CSN GUIDE 17 of 20

Where the name uses the full 30 characters on the first line, the comma may be placed as the first character on the next line.

MR JACK SMITH + MISS ANA BLACK, 101 QUEEN STREET AUCKLAND

1010 NZL

Joint holders with short names are to be included on separate lines where possible.

REGULAR GOLD TRUSTEES NOMINEES LIMITED + MR JACK SMITH, PO BOX 1234 AUCKLAND

1010 NZL

Joint holdings may include the second holder’s name on the second line.

CHRISTCHURCH SIGNMAKING SHOP & SIGNATURE PROMOTIONS COMPANY LIMITED, PO BOX 1234 CHRISTCHURCH

8140 NZL

Where the holder’s name extends past the first line, the comma must be inserted at the end of the holder’s name. The “&” in the company name must not be replaced with a “+”.

MERLIN HOLDERS (WELLINGTON) COMPANY LIMITED <BLACK SUPERFUND ACCOUNT> 101 TARANAKI STREET WELLINGTON

6011 NZL

Account Designations must be contained within the opening and close angle brackets “< >”. The comma must be inserted immediately after the closing account designation angle bracket.

JACK BLACK & COMPANY LIMITED, PO BOX 3456 AUCKLAND

1140 NZL

An ampersand “&” must be used within the name of the company if it is included in the legally incorporated name.

PROF JACK TOD BLACKSMITH + MRS LOUISE BLACKSMITH + MR JACK TOD BLACKSMITH (JNR), 101 QUEEN STREET AUCKLAND

1010 NZL

A joint holding is to be entered in full and not as MR & MRS JACK AND LOUISE BLACK. Titles should always be included and in many cases it will be necessary to abbreviate (E.g. Professor to PROF, Captain to CAPT, Junior to JNR and Senior to SNR).

MISS MARIA JANE MCMILLAN, UNIT 7 101 TORY STREET WELLINGTON

6011 NZL

Surnames with a space such as Mc Millan must be included as one word with no space being left, as this would result in the surname being recorded as MILLAN.

CSN GUIDE 18 of 20

NEW ZEALAND GRAPE GROWING VINEYARDS BODY GROUPS LTD, PO BOX 2345 AUCKLAND

1140 NZL

Company names can only be abbreviated by the use of legally acceptable abbreviations such as COY and LTD.

MR ROBERT RILEY C/- PERFORMANCE PARTNERS 100 MACQUARIE STREET SYDNEY NSW

2000 AUS

If an address is to be care of, it should be shown as C/- or C/O.

INFORMATION & MAPS GROUP EXPANSION DIVISION COMPANY OF NEW ZEALAND GROUP COMPANY LTD, C/- JACK BLACK INV MGT DEPT LEVEL 25/266 APPLICATION BLVD WASHINGTON DC

123456 USA

Where an address is too long to fit in the remaining lines, it may be abbreviated but must be able to be used by postal authorities for mailing purposes. The address should commence on a separate line and not on the same line in which the name finishes, if space permits.

CSN GUIDE 19 of 20

Appendix 3

When processing a Long Form COT, full names are to be entered where space permits. Where

this is not possible, the rules are outlined below:

Registration detail rules:

1) First name in full

2) If present second in in full

3) If present third and subsequent name(s) may be abbreviated if space is limited

For example:

Jayne Louise Maria Blacksmith

Jayne Louise M Blacksmith

Jayne Louise Blacksmith

Guy Henry Blacksmith

Guy Blacksmith

Jack Todd Gordon Johnstone Blacksmith

Jack Todd Gordon J Blacksmith

Jack Todd G J Blacksmith

Jack Todd Blacksmith