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Connectivity

AutoClient 2.0.1
For Alliance Lite 2.0

Installation and User Guide


This guide describes how to install, configure, and run AutoClient. It also explains how to send and receive messages
and files with AutoClient. This guide is for those who install and configure AutoClient, and those who send and receive
files with AutoClient.

19 November 2010

AutoClient 2.0.1 for Alliance Lite 2.0

Table of Contents
1

Introduction ....................................................................................................................................................... 4

Installation .......................................................................................................................................................... 6
2.1
2.2
2.3
2.4

Configuring AutoClient .............................................................................................................................. 18


3.1
3.2
3.3

Starting AutoClient .................................................................................................................................. 29


Monitoring the Status of AutoClient ...................................................................................................... 30
Stopping AutoClient ................................................................................................................................ 31

Sending Files .................................................................................................................................................. 33


6.1
6.2
6.3
6.4
6.5
6.6

Emission Directory .................................................................................................................................. 23


Reception Directory ................................................................................................................................ 24
Archive Directory ..................................................................................................................................... 27
Error Directory ......................................................................................................................................... 27
FileAct Delivery Notification ................................................................................................................... 28

Running AutoClient ..................................................................................................................................... 29


5.1
5.2
5.3

Configuring Local Authentication .......................................................................................................... 18


Modifying Configuration Parameters .................................................................................................... 19
List of Configuration Parameters .......................................................................................................... 20

How AutoClient Works ............................................................................................................................... 23


4.1
4.2
4.3
4.4
4.5

System Requirements .............................................................................................................................. 6


Security Recommendations for AutoClient ........................................................................................... 7
Install AutoClient ..................................................................................................................................... 11
Uninstalling AutoClient ........................................................................................................................... 16

FIN Message Files .................................................................................................................................. 33


FileAct Files .............................................................................................................................................. 37
CSV Files .................................................................................................................................................. 39
Local Authentication Files ...................................................................................................................... 43
Local Test Mode Process ...................................................................................................................... 44
Approval of Autoclient Messages and Files ........................................................................................ 44

Receiving Files ............................................................................................................................................... 45


7.1
7.2
7.3

Process for Receiving FIN Messages .................................................................................................. 45


Process for Receiving FileAct Files ...................................................................................................... 46
Process for Receiving CSV Files .......................................................................................................... 47

Monitoring File Transfers .......................................................................................................................... 49

List of Errors ................................................................................................................................................... 50


9.1
9.2
9.3

Errors When Uploading Files to the Alliance Lite Server .................................................................. 50


Pseudo NAK Errors ................................................................................................................................. 51
CSV NAK Codes ..................................................................................................................................... 52

Installation and User Guide

Table of Contents

10

File Examples ................................................................................................................................................. 55


10.1 FIN Message File (RJE Format) ........................................................................................................... 55
10.2 FileAct Companion Parameter File ...................................................................................................... 57
10.3 FileAct Report Files ................................................................................................................................. 60
10.4 CSV File .................................................................................................................................................... 65

.Appendix A Bank Codes and Field Tag Information .................................................................................67


A.1
A.2

Built in Bank Codes ................................................................................................................................. 67


Field Tag Information .............................................................................................................................. 68

.Legal Notices ...............................................................................................................................................................84

19 November 2010

AutoClient 2.0.1 for Alliance Lite 2.0

Introduction
What is AutoClient
AutoClient is an optionally installed part of Alliance Lite, that allows to integrate other software
applications with Alliance Lite. Through AutoClient, your back-office applications can send and
receive messages and files over SWIFTNet, in a fully automated way and with strong security.
This application provides file-based communication to and from FIN and FileAct services. You
can send and receive files containing Standards MT and MX messages, and FileAct files.
SWIFT

Customer
Alliance Lite
Web interface

Internet

SWIFTNet
Alliance
Lite
server

Back-office
application

Bank

D1140001

AutoClient

AutoClient is designed for simplicity and ease of use:


Easy automation: AutoClient automatically checks a specific folder, on the PC where it runs,
at regular intervals (the frequency is configurable). If AutoClient finds a file in that folder, in
one of the supported file formats, it automatically uploads it to the Alliance Lite server. These
files are then converted into standard SWIFT messages, or sent as entire files, over
SWIFTNet. Vice versa, AutoClient regularly checks on the server for messages or files
received from SWIFTNet, and automatically downloads them to a specific reception folder on
the PC where it runs.
Simple file-based integration: Back-office applications simply need to produce files and put
them in a designated AutoClient emission folder to send them on to SWIFTNet. And vice
versa, they can read received files from a designated AutoClient reception folder. The files
can be in one of 3 formats (for examples see chapter 10"File Examples" on page 55) :
FIN files: These are text files, containing messages in standard SWIFT FIN format (MT
format). All MT message types are supported, from MT 101 to MT 999. A FIN file can
contain several messages, to one or more correspondents. The messages in the file are
sent as individual messages on SWIFTNet to your correspondents. The syntax of each
message is verified by SWIFT against the SWIFT standard, providing a guarantee to both
sender and receiver that the message complies to the SWIFTStandards MT format (see
the SWIFT User Handbook, SWIFTStandards MT volumes).
CSV files: These are text files, where each line contains a series of comma-separated
values. Each line is converted by Alliance Lite into a standard SWIFT message (MT or
MX), and that message is sent over SWIFTNet . Only a subset of MT and MX messages
are supported. The CSV file formats are described in the Alliance Lite CSV Upload File
Format Guide. As these file formats are all simple, they can be produced with a text editor

Installation and User Guide

Introduction

or a spreadsheet application like Microsoft Excel. Many applications exist on the market
that can produce or process this formats.
FileAct files: These are files in any proprietary format, for example a domestic file format,
or an agreed format. The file is transferred in its entirety 'as such', and no validation of the
format is performed by SWIFT.
Simple start/stop: To start AutoClient, you need an AutoClient token inserted in a USB port
of the PC where AutoClient is installed, and you need to provide the password of that token.
AutoClient can not run without this token inserted. You do not need to provide the token's
password for every message or file that you send.
Strong security: The AutoClient USB token is a tamper-proof hardware security module,
that digitally signs and authenticates every communication with the Alliance Lite server, using
a strong 2048-bit PKI certificate that resides on the token. By default, messages and files
uploaded through AutoClient require manual approval by one or more authorised persons
that hold their own personal security tokens, as designated by the customer's Alliance Lite
Administrators. Finally, the AutoClient can be configured for 'local authentication' i.e. to
secure files in transit between the back-office application and the AutoClient, with an
additional digital signature that accompanies each file. See "Security Recommendations for
AutoClient" on page 7 section 2.2 for more information on security.
AutoClient offers two types of services:
Live service: This service is used to send and receive real live business messages and files.
This service is also called Production service.
Test service: This service allows users send and receive messages and files for test and
training purposes. Messages and files sent using this Test service will be automatically
marked as "test" or "pilot" towards your correspondents, and thus this Test service provides a
"safe" environment.
Only one security token can be assigned to the AutoClient. Your Alliance Lite Administrators
can configure this token to allow use of the Live service, Test service, or both Live and Test
services.
When AutoClient is used on Test service:
only FIN messages sent to FIN Test and Training are accepted and CSV files containing data
for Funds MX messages are processed for the pilot Funds service.
only files sent to FileAct Test and Training services and Funds MX messages are
accepted(service names ending with !p).

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AutoClient 2.0.1 for Alliance Lite 2.0

Installation

2.1

System Requirements
Overview
This section outlines the system requirements for AutoClient.
The default installation folder is <drive>\Program Files\SWIFT\Alliance Lite\ which is referred
to throughout this document as <installation directories>\.
Only the base directory (by default, C:\Program Files\SWIFT\Alliance Lite\files ) must be made
accessible to the (remote) application for placing and retrieving files. The entire AutoClient
installation directory that includes logs, configs, and so forth (by default, C:\Program Files
\SWIFT\Alliance Lite) must never be made accessible remotely, because it contains the
autoclient.properties file and other sensitive files.
Category

Requirement

Operating system

AutoClient runs on the following operating systems:


Windows XP with Service Pack 2 (SP2) or Service Pack 3 (SP3)
Windows Server 2003 with Service Pack 2 (SP2)
Windows Vista with Service Pack 1 (SP1) or Service Pack 2 (SP2)

Disk space

Note

SWIFT only supports 32-bit versions for these operating


systems.

Note

Non-English versions of Windows are supported.

Minimum 120 MB for the software installation


Minimum 30 MB for the base directory
Minimum 60 MB for the log directory

Connectivity

Standard broadband Internet access, such as ADSL, WiFi, cable, and


other forms. Dial-up connectivity will be insufficient.
AutoClient can connect to the Internet through a firewall or HTTP proxy,
see "Security Considerations" on page 7
AutoClient connects to the Alliance Lite server over SSL/TLS, TCP port
443. AutoClient does not listen on this port, or any other port.

Unlike the Alliance Lite web interface, AutoClient does not need Internet Explorer or a Java
plug-in, and can be run on a PC where Internet Explorer is not used to browse. However, when
installing AutoClient, a system check is performed and this check requires Internet Explorer 6, 7
or 8.
The software can be installed on the system running under VMWare Workstation. Running
Alliance Lite under other virtualisation technology is not supported. Do not use Microsoft
Remote Desktop or VMware server for the installation, de-installation, or monitoring.

Installation and User Guide

Installation

2.2

Security Recommendations for AutoClient


Overview
This section provides recommendations for securing the Alliance Lite AutoClient and additional
information about the security requirement for normal browsing to Alliance Lite.

2.2.1

Security Considerations

Important
It is recommended not to use Alliance Lite from a PC which is used for other applications that
use USB based security devices.
Access to AutoClient
To run AutoClient, the user must plug in a USB token created by the customer's Alliance Lite
administrators, see the Alliance Lite Administration Guide. This USB token contains a certificate
which, together with an associated password, authenticates the files sent from AutoClient to the
Alliance Lite server. The user obtains the USB token from an Alliance Lite administrator.
Firewall between AutoClient and the Internet
It is strongly advised to use a firewall between the workstations used for Alliance Lite (both the
Alliance Lite Web Interface (browser), as well as the AutoClient) and the Internet. For Alliance
Lite to function, the firewall must allow outgoing TCP connections from the Alliance Lite
workstation(s) towards www.swiftalliancelite.com (for Live service) and to
test.swiftalliancelite.com (for Test service) on the standard port for SSL/HTTPS (tcp/443). No
incoming connections are required, and we recommend to block all incoming connections from
the Internet. Note that if you are using a local (host based) firewall on the computer running
AutoClient, it must be configured to accept a local connection between two AutoClient
processes on this computer (localhost port 8000). This TCP connection flow is required for
AutoClient to function normally.
Note

You can use an HTTP proxy between AutoClient and the Internet. The HTTP proxy
must not attempt to inspect (break) the SSL session. Proxy authentication using
login and password is supported by Alliance Lite. See "Configuring AutoClient" on
page 18 for more details.

Security mechanisms between AutoClient and the Alliance Lite server


Use of PKI:
X.509 certificates, issued by SWIFT and stored on the USB token
identities are issued at BIC level
Authentication and encryption:
SSL 3.0/ TLS 1.0 using 2-way authentication
encryption algorithm: AES-256

19 November 2010

AutoClient 2.0.1 for Alliance Lite 2.0

Electronic signature:
Hash: SHA-256
The RSA 2048 bit Private Key (used for signing) remains on the USB token. The USB
token is password-protected. The key pair generation (USB token) is performed locally at
the customer's site. The RSA signature operation is performed internally on the USB
token.
digital signature of the message exchanges (X.509 V 3.0. PKCS #7 standard)
Security between AutoClient and the back-office application
It is the user's responsibility to implement the necessary security and access mechanisms
between the AutoClient directories and the back-office application.
Permissions on directories
The Windows user that starts AutoClient with a token, see "Starting AutoClient" on page 29,
does not require read or write permissions on the AutoClient file directories. This allows a
segregation of duties, for example, the person that can put a file in the AutoClient's emission
directory, can be different from the person that can instruct AutoClient to start sending.
The AutoClient file directories (emission, reception, archive, and error), located by default
under the base directory <installation directories>\files, must have read and write permission
for "SWIFT AutoClient Service". This is a Windows service that typically always runs in the
background on the PC where AutoClient is installed , whether or not AutoClient has been
started with a token, or not. This Windows service is by default started when the PC that hosts
AutoClient is started, with no user logged on yet. Therefore by default the user that started this
service is the "Local System account", and thus it is this user that must have read and write
permission on the AutoClient file directories. These permissions are set automatically by the
AutoClient installation. If you require other users or applications to read or write files in those
folders, you (a user with Windows Administrator privileges) might need to set these folders'
permissions accordingly. Do not give access to these folders to large groups of users, such as
Users or Everyone.
The logging directory by default is <installation directories>\logs and must have read and
write permission for the "Local System account". For more information about permissions and
protection, see "Protection of the System" on page 9.
Local Authentication
The AutoClient can be configured to require local authentication between the back-office
application and the AutoClient, to protect files in transit between the application and AutoClient.
This is strongly recommended. When local authentication is enabled, the back-office application
digitally signs each file that it submits to AutoClient, and AutoClient verifies this signature. If the
file has been altered between the back-office application and the AutoClient, then the signature
verification will fail and the AutoClient will refuse to send the file. Correspondingly, when local
authentication is enabled, the AutoClient will digitally sign every received file when putting it in
its reception folder. This allows the back-office application to verify this signature. The signature
is calculated with HMAC-SHA-256, a well-known secure hash algorithm with strong key length.
This algorithm requires a secret key to be shared between the back-office application and the
AutoClient. See "Configuring AutoClient" on page 18 for an explanation on how to configure
AutoClient for local authentication.

Installation and User Guide

Installation

Automatic prompting for file download for Reports


The reports function uses the "automatic prompting for file downloads" when requesting files.
Therefore in the Windows Security Settings, the "automatic prompting for file downloads"
option should be set to "enabled".

2.2.2

Protection of the System

Overview
The customer must protect the systems used for Alliance Lite AutoClient in line with industry
security practices, such as:
Harden all operating systems involved in the AutoClient flow with industry best practices
Protect the Alliance Lite AutoClient system from unauthorised network access. Install and
manage firewalls to shield that system from incoming Internet traffic, and from unauthorised
access over the customer's internal network
The firewall solution must be:
a physical one to protect incoming traffic from and outgoing traffic to Internet and internal
networks. Ideally, no Internet incoming traffic must be accepted that is not required by the
AutoClient
a PC-local one to ensure that only authorised programmes communicate with the outside.
Restrict outgoing traffic from the system to business-critical sites, and to legitimate sites
required for software updates.
Ideally, do not browse or access the Internet from the PC where you access Alliance Lite
AutoClient and dedicate the system for AutoClient only.
Use up-to-date virus scanners and malware scanners to protect the Alliance Lite system from
malware such as viruses, worms, keyboard loggers, trojans, and rootkits.
Scan for viruses any file sent to or received from the AutoClient.
Ensure the system used for hosting the AutoClient is only physically and logically accessible
by persons entitled to access this system.
Ensure that only authorised and required software products are installed on the system used
to access Alliance Lite. Ideally, dedicate the system for AutoClient only.
Ensure that all software applications that run on the Alliance Lite system are regularly
updated and patched. This includes:
Windows patches
critical Java runtime patches
patches for other applications running on the system like the Internet Explorer browser
additional features of the browser, called plug-ins like Shockwave, QuickTime, Realplayer,
and any others.
Ensure that all critical internal flows to or from the system hosting the AutoClient are
protected against disclosure or malicious changes, especially, if the AutoClient emission and
receiving files are transferred through the network.

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AutoClient 2.0.1 for Alliance Lite 2.0

Ideally, use strong authentication controls and cryptography means, like flow encryption and
authentication, in line with Customer Policy.
Note

2.2.3

Local Authentication between a back-office application and AutoClient is


recommended by SWIFT. See "Security Considerations" on page 7 for further
details.

Protection of the AutoClient USB Token

USB Token Protection


Users must take the utmost care to protect the AutoClient token from unauthorised borrowing,
loss, and theft. They must also take all necessary measures to prevent any unauthorised
disclosure of the AutoClient token's password.
Ensure only authorised and identified individuals use the AutoClient token
Ensure each active AutoClient token is safe-stored when not used
Revoke any unused or lost token. The customer's Alliance Lite administrator can do this, see
the Alliance Lite Administration Guide.
The users must never:
lend the AutoClient token to others
leave the token inserted in the PC, unless the PC is in a secured area, protected from
physical and logical (network) access by unauthorised persons or applications
write down any password or communicate a password to unauthorised people
use a password that can be deduced easily
allow anybody to watch over its shoulder when the token's password is entered

2.2.4

Local Protection of the AutoClient System

Local protection
The customer must implement the following management principles to mitigate the risks to its
system:
Establish user management practices to ensure that only authorised users are created and
remain on the system
Because users change roles or leave the company, ensure that the administrator maintains
an accurate and up-to-date list of authorised users aligned with the actual access to the
system.
Establish entitlement management practices to ensure that users are granted access to
Alliance Lite functions only on a need to know or need to have basis. Specially, protect the
AutoClient software, files, and hosting directories against unauthorised local and domain
access by setting up strict permissions and remove any default access like Users and
Everyone permissions. Take into consideration any local and remote access (like RDP and
Windows File Sharing/CIFS).
Implement Segregation of Duty principles to separate tasks like administration of the system,
security administration tasks, and users of the AutoClient.

10

Installation and User Guide

Installation

Control and monitor the access and usage of the system administrator and any account
having access to any of the AutoClient files and hosting directories, specially the emission,
and reception directories. For instance, implement 4-eyes procedures to access privileged
accounts in a way that two or more people are required to do administrative tasks. Ideally,
monitor as well the activities of these accounts to detect any malicious action. Establish a
solution to log the access and all activities of the privileged accounts and protect these logs
for forensic purposes as well.
Protect the AutoClient backups against malicious modification and disclosure ideally by
cryptographic means, like strong signature and encryption of the backups, in line with
Customer Policy.
Monitor daily traffic, to detect mismatches between authorised and actual traffic, both, sent or
received.
The user must not delegate all the Alliance Lite administrator roles to a single person that can
then use the two different USB tokens to create its own AutoClient token.

2.3

Install AutoClient
Overview
The following section provides details of how to install the AutoClient Software.
Note

Do not use Microsoft Remote Desktop or VMware server for the installation, or deinstallation. Running Alliance Lite under other virtualisation technology is not
supported.

Note

You must remove your USB token when installing or upgrading your AutoClient.

What you need to install AutoClient


the CD labelled "Alliance Lite 2.0.1", which contains the AutoClient software, or the Alliance
Lite 2.0.1 software downloaded from www.swift.com > Support > Download centre. Only
use one of these two sources, do not use software provided by others.
you must be logged in as a Windows user with Windows Administrator privileges, to install
AutoClient. To start or use AutoClient once it is installed, you do not need Windows
Administrator privileges.
the user who is installing the AutoClient software needs the All Access permission (read and
write) on the installation directories. The installation directory is by default <drive>\Program
Files\SWIFT\Alliance Lite but the user can change this at the start of the installation.
Note

The new installation removes the previously installed AutoClient.


If you have been using a previous version of Alliance Lite, then SWIFT
recommends using the same folders when installing Alliance Lite 2.0.1. The
software is upgraded, and the content of AutoClient file directories (emission,
reception, archive, and error), are preserved.
The installation of the driver for the Alliance Lite USB tokens over-writes all
existing SafeNet software that was already present on your PC.
If you have older SafeNet software and want to preserve it, then install Alliance
Lite on a different system.

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11

AutoClient 2.0.1 for Alliance Lite 2.0

Note

Installing AutoClient through a Remote Desktop can lead to a corrupted SafeNet


driver on the local machine. This can be seen by looking at the SafeNet icon that
identifies a USB token is present but when the certificate details are checked the
pop-up shows the "token removed" text.

installation.log
The installation.log file records events that occur during installation. This file is created under
<installation directories>\logs.
If you encounter a problem during installation, then check the contents of this file.
To install AutoClient:
1.

Insert the CD labelled "Alliance Lite 2.0.1" in the CD drive.

2.

Double-click the AllianceLite-install.exe file.


The installation application unpacks the files in the installer. This may take 2 to 3 minutes.
When the installer files are unpacked, the following window appears:

3.

Select Install Alliance Lite AutoClient, and click


USB token driver automatically.

Next

. This also installs the Alliance Lite

The End-user Licence window appears.


4.

Accept the terms, and click

Next

The following window appears.

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Installation and User Guide

Installation

5.

Select a directory where to install Alliance Lite, by doing either of the following:
To accept the default directory, click
To select another directory, click
of your choice. Then click Next .
Note

Next

Browse...

.
to locate the directory, or type a local directory

The directory must be a local directory if the default directory was not
selected.

The following window appears.

6.

In this window, define the following parameters:


Base Directory: the directory used by AutoClient to store files and exchange files with
customer applications, by default this is <drive>\Program Files\SWIFT\Alliance Lite
\files, that is, a subdirectory of the installation directory. This directory does not have to

19 November 2010

13

AutoClient 2.0.1 for Alliance Lite 2.0

be a subdirectory of the installation directory, and can reside on another disk on the
same computer. For security reasons, do not put this directory on another computer or
on a networked disk.
Note

If you migrate from a previous version of the AutoClient, then the previous
version of the AutoClient is un-installed but the contents of the Base
Directory are left untouched. SWIFT recommends that you specify the same
directory when installing a newer version of the AutoClient.

Emission Timer: the interval (in seconds) with which AutoClient checks for files ready to
be sent to counterparties.
Reception Timer: the interval (in seconds) with which AutoClient checks for files
received from counterparties.
Advanced: if you want AutoClient to connect to the Internet through an HTTP proxy
server, then click Advanced... .
Configuration window

In the configuration window that appears, select the Configure AutoClient to connect
through a proxy checkbox, and specify the following information:
in the Hostname field, type the IP address or hostname of the proxy server through
which to connect to the Internet
in the Port field, type a valid TCP port for the proxy server
Then click OK or optionally if the proxy requires authorisation, then in Username,
type the name of the proxy, and in Password, its password.
To modify these parameters after installation, see "Configuring AutoClient" on
page 18.

Note

7.

Click

Next

after specifying the parameters.

If the base directory that you have selected does not exist, then click

Yes

to create it.

After you click Next or Yes , the Close Applications window may appear if you have other
applications currently running. If not, go to step 9.
8.

Do either of the following:


Close the applications listed in the window, and click
recommended method)

Next

(this is the SWIFT

Select Continue installation without closing the running applications, and click
Next

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Installation and User Guide

Installation

Note

9.

If the previously installed AutoClient is still running, then there might be a slight
delay during which the Next is disabled while the installer shuts down the
running AutoClient.

A window appears to confirm the Alliance Lite installation details that you have entered in
the previous steps.

Do either of the following:


To confirm the installation details, and proceed with the installation, click
Note

When you click

Install

, you cannot roll back the installation.

To modify the installation details, click


Note

Install

Previous

and make the necessary changes.

If there is already SafeNet Drivers installed, you are asked to confirm that
you want to overwrite them.

After you click Install , the AutoClient software and the Alliance Lite USB token driver are
installed. You need to remove the USB token when prompted.

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AutoClient 2.0.1 for Alliance Lite 2.0

10. The Test Firewall Configuration screen appears:

Click the Test Connections button to run the test to ensure that your firewall does not block
communications, or Next to skip the test.
If there are any configuration problems with your firewall, the response received will depend
on the firewall. but normally you will receive a message asking you if you wish to "allow the
connection now and in the future". To configure the firewall accept the request.
When the test is complete click

OK

in the pop-up message that appears.

11. Upon successful installation, the Installation Complete window appears.


Select your preferred restart option, and click
before you start using AutoClient.

2.4

Finish

. You must restart your computer

Uninstalling AutoClient
To remove AutoClient:
1.

Remove the USB token (note that the uninstall may fail if the USB token is still inserted).

2.

Do the following:
Click the Windows

Start

> Settings > Control Panel and use the:

Add or Remove Programs option on Windows XP


Programs and Features option on Windows Vista.
The Alliance Lite Uninstallation window appears.
3.

Click

Next

to proceed, or

Cancel

to terminate the process.

A warning prompts you to confirm the uninstallation.


4.

Click

Yes

to remove the software, or

No

to terminate the process.

After you click Yes , the Close Applications window may appear if you have other
applications currently running.

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Installation

5.

Do either of the following:


Close the applications listed in the window, and click

Next

Select Continue installation without closing the running applications, and click
Next .
After you click Next , the removal of the software starts. When the process is complete, the
Uninstallation Complete window appears to confirm that the software was removed
successfully.
6.

Click

Note

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Finish

The content of AutoClient file directories (emission, reception, archive, and


error), are preserved after installation. It is the responsibility of the user to remove
the contents and the directories.

17

AutoClient 2.0.1 for Alliance Lite 2.0

Configuring AutoClient
Introduction
This section explains how you can configure Local Authentication and modify the AutoClient
configuration parameters that you set during AutoClient installation.

3.1

Configuring Local Authentication


Overview
The Local Authentication (LAU) option can be turned on or off by the user for each of the three
different file types that AutoClient supports. The different file types that AutoClient supports are
FIN, FileAct, and CSV files.
If LAU signature is required for a file type, then AutoClient generates an LAU signature to
accompany a received file of that type. AutoClient also verifies the correctness of LAU
signatures that the back-office application generates to accompany the files to be sent of that
type. LAU signatures are placed in separate files called LAU files with a ".lau" file extension.
These LAU files are always stored alongside the payload file to which they refer to, so that they
may be stored in all the four directories: archive, emission, error, and reception.
Note

Users should note that the autoclient.properties file contains confidential data
(the LAU keys), so only the "files" directory should be made accessible remotely for
placing and retrieving files. In no case should the whole AutoClient directory (that
includes logs, configs, and so forth.) be accessible remotely.

To configure LAU in AutoClient:


1.

Double-click the setPasswords.cmd file located in the Alliance Lite installation directory.
The Set Passwords tool appears.

2.

In the Set Passwords tool, select 2 to set the FIN LAU key, select 3 to set the FileAct LAU
key, or select 4 to set the CSV LAU key. Press ENTER.

3.

Type the 17 to 32 ASCII characters for your key and press ENTER.

4.

Type the 17 to 32 ASCII characters again to confirm the key values entered in the previous
step and press ENTER.
Note

5.

Make a note of the key value, since exactly the same key value needs to be
configured into the back-office application.

If the ASCII characters are


accepted, go to step 6.
rejected, repeat steps 3 and 4.

6.

Select 5 and click ENTER to save the changes and exit the Set Passwords tool. Select 6
and press ENTER to discard the changes and exit.

To remove LAU from AutoClient:


1.

18

Load the autoclient.properties file into an editor from the config subdirectory in the
Alliance Lite installation directory.
Installation and User Guide

Configuring AutoClient

3.2

2.

Locate the line at the end of the file that defines the encrypted key value an delete the line.
For the FIN key, the line will start at FinLauKey.enc. For the FileAct key, the line will start
FileActLauKey.enc. For the CSV key, the line will start CsvLauKey.enc.

3.

Save the file.

Modifying Configuration Parameters


Note
When you modify a configuration parameter, you must restart AutoClient before the new setting
takes effect.
To modify a configuration parameter:
1.

Locate the autoclient.properties file under <installation directories>\config, and doubleclick this file. All lines that start with a # (hash character) are comment lines. The content of
this file resembles the following:
# Parameter Name: BaseDirectory
# Public :
YES
# Possible values: N/A
# Default Value: No default value.
# Description:
Base directory: may not exceed 50 characters. Must be a
# valid local directory with read and write permissions.
# BaseDirectory=C:\\Program Files\\SWIFT\\Alliance Lite\\files
# Parameter Name: AllowRetries
# Public :
YES
# Possible values: TRUE | FALSE
# Default Value: TRUE
# Description:
When set to TRUE, will retry a failed upload up to 3 times
# and each attempt will be separated by 3600 sec.
#
When set to FALSE, the AutoClient will not retry a failed upload.
The
# upload status is immediately set to error.
AllowRetries=TRUE
# Parameter Name: EmissionTimerInMillis
# Public :
YES
# Possible values: min = 5000 msec, max = 600000 msec
# Default Value: 120000 msec
# Description:
The local emission directory polling frequence.
EmissionTimerInMillis=5000
# Parameter Name: ReceptionTimerInMillis
# Public :
YES
# Possible values: min = 60000 msec, max = 600000 msec
# Default Value: 120000 msec
# Description:
The remote server polling frequence.
ReceptionTimerInMillis=60000
# Parameter Name: HttpsProxyEnabled
# Public :
YES
# Possible values: TRUE | FALSE
# Default Value: FALSE
# Description:
Specifies whether this autoclient should connect through a
# Proxy server.
HttpsProxyEnabled=FALSE
# Parameter Name: HttpsProxyHost
# Public :
YES
# Possible values: valid host name or IP address of the proxy server.
# Default Value: No default value.
# Description:
Address of the proxy server through which to connect
# to the Internet. Only taken into account if 'HttpsProxyEnabled' is set
to TRUE.
HttpsProxyHost=localhost
# Parameter Name: HttpsProxyPort

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AutoClient 2.0.1 for Alliance Lite 2.0

# Public :
YES
# Possible values: Valid TCP port for the proxy server.
# Default Value: No default value.
# Description:
Valid TCP port for the proxy server. Only taken
# into account if 'HttpsProxyEnabled' is set to TRUE.
HttpsProxyPort=8080
# Parameter Name: HttpsProxyUser
# Public :
YES
# Possible values: Valid user name for accessing the Internet through the
# proxy server configured by 'HttpsProxyHost' and 'HttpsProxyPort'.
# Default Value: No default value.
# Description: Valid user name as configured within the proxy server. Only
# taken into account if 'HttpsProxyEnabled' is set to TRUE and none of
# the 'HttpsProxyUser' and 'HttpsProxyUser' is left empty.
HttpsProxyUser=
# Parameter Name: HttpsProxyPassword[.enc]
# Public :
YES
# Possible values: Valid password for proxy user defined in
'HttpsProxyUser'.
# Default Value: No default value.
# Description: Valid password as configured within the proxy server for
the
# 'HttpsProxyUser'. Only taken into account if 'HttpsProxyEnabled' is set
to
# TRUE and none of the 'HttpsProxyUser' and 'HttpsProxyUser' is left empty.
HttpsProxyPassword.enc=
# Parameter Name: LocalTestMode
# Public : YES
# Possible values: TRUE | FALSE
# Default Value: FALSE
# Description: When set to TRUE, causes AutoClient to process messages for
# emission up to an including LAU validation but will not send any files.
# This can be used to test interoperability between back-office
applications and AutoClient.
LocalTestMode=FALSE

2.

Edit the parameters manually, as appropriate. To do this, change the value specified in the
last line of the details of a parameter. In the example shown, to modify the current value
(120000) for the ReceptionTimer parameter, the value in the following line must be
changed:
ReceptionTimerInMillis=120000

Note

3.3

For HttpsProxyPassword, FinLauKey, FileActLauKey, and CsvLauKey


parameters, the value must be changed using the setPasswords tool in the
installation directory.

3.

Save and close the file once you have made the required modifications.

4.

Stop and start AutoClient for your changes to take effect.

List of Configuration Parameters


You can modify the following configuration parameters:

20

Parameter

Description

BaseDirectory

The directory used by AutoClient to store and retrieve files.


It must not exceed 50 characters. It must be either a valid local directory
or a valid remote UNC directory with read and write permissions for the
Windows account that started the "SWIFT AutoClient Service" Windows
service (by default, this is the "Local System account").

Installation and User Guide

Configuring AutoClient

Parameter

Description

AllowRetries

Default value: TRUE


When set to TRUE, AutoClient retries a failed upload 3 times, and
each retry is separated by 3600 sec
When set to FALSE, AutoClient does not retry a failed upload. The
upload status is immediately set to error.

EmissionTimerInMillis

The interval (in seconds) with which AutoClient checks for files ready to
be sent to counterparties.
Default value: 120 seconds
The value of this parameter must be between 60 and 5000 seconds.

ReceptionTimerInMillis

The interval (in seconds) with which AutoClient checks for files received
from counterparties.
Default value: 120 seconds
The value of this parameter must be between 60 and 5000 seconds.

HttpsProxyEnabled

Specifies whether AutoClient must connect through a proxy server.


Default value: FALSE

HttpsProxyHost

The IP address (or hostname) of the proxy server through which to


connect to the Internet. Only taken into account if "HttpsProxyEnabled" is
set to TRUE.
Used if the connections to the Internet are made through a proxy, such as
an Apache. In some cases, an administrator wants to authenticate the
users connecting to the proxy. In that case the uname / pwd is used on
top of regular proxy settings.

HttpsProxyPort

A valid TCP port for the proxy server. Only taken into account if
"HttpsProxyEnabled" is set to TRUE.

HttpsProxyUser

The username to authenticate the AutoClient towards its Proxy

HttpsProxyPassword.enc

The password of the ProxyUser. Note that the value of this parameter
must be changed using the setPasswords tool in the installation
directory.

FinLauKey.enc

LAU key for FIN file transfers. Note that the value of this parameter must
be changed using the setPasswords tool in the installation directory..

FileActLauKey.enc

LAU key for FileAct file transfers. Note that the value of this parameter
must be changed using the setPasswords tool in the installation
directory.

CsvLauKey.enc

LAU key for CSV file transfers. Note that the value of this parameter must
be changed using the setPasswords tool in the installation directory.

LocalTestMode

Used to test the flow between the Back-Office and the AutoClient without
actually sending the files to Alliance Lite. The AutoClient checks the LAU
but does not submit or lock the files.

Example with proxy


Parameter

Value

HttpsProxyEnabled

TRUE

HttpsProxyHost

172.0.1.1

HttpsProxyPort

8080

HttpsProxyUser

username

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Parameter

Value

HttpsProxyPassword

<xxxxxxxxxx>

Example without proxy


Parameter

Value

HttpsProxyEnabled

FALSE

HttpsProxyHost

localhost

HttpsProxyPort

8080

HttpsProxyUser
HttpsProxyPassword

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Installation and User Guide

How AutoClient Works

How AutoClient Works


Overview
AutoClient uses a directory structure on the local host to interface with your back-office
application. This section describes the AutoClient directory structure, what are the functions of
each directory, and the types of file contained in each directory.
It is the user's responsibility to determine the way the back-office application communicates with
AutoClient.
The AutoClient directory structure
When you install AutoClient, you must specify a location for the installation directory (by default,
C:\Program Files\SWIFT\Alliance Lite ) and a location for the base directory (by default, C:
\Program Files\SWIFT\Alliance Lite\files ) on the AutoClient host. The base directory contains
four subdirectories: emission, reception, archive, and error.
Other technical directories also exist and are located in the installation directory, such as:
logs: contains the AutoClient log files and installation log files
config: contains the AutoClient configuration file called autoclient.properties

The previous diagram shows the default directory structure under Program Files. The 'files'
directory is the base directory, and can be placed elsewhere at installation time.

4.1

Emission Directory
Emission
The back-office application uses the emission directory to request upload of files by AutoClient
to SWIFTNet. AutoClient regularly scans the emission directory for new files to be uploaded.
The EmissionTimerInMillis polling timer determines how often the emission directory is
scanned, see "List of Configuration Parameters" on page 20.
The back-office application can submit FIN (RJE) files, FileAct files, and CSV files, with or
without LAU files with the following conventions:

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For FIN:
<filename>.fin (data file)
<filename>.fin.lau ( LAU file)
For FileAct,:
<filename>[.pde] (data file)
<filename>[.pde].par (a companion parameter file). The file transfer only starts if
the .par file is present.
[.pde]: the back-office application may add a .pde (Possible Duplicate Emission)
extension to the file name. This .pde extension is then carried up to the destination.
The .pde extension can be added to the file name to indicate that this file may have been
sent already. This extension forces the file transfer to be marked as possible duplicate on
the reception side (<filename>.<TransferRef>S[_pdr]). The .pde extension is not
applicable to FIN files.
<filename>[.pde].par.lau (LAU file)
for CSV,
<filename>.csv (data file)
<filename>.csv.lau ( LAU file)
The emission directory does not require any maintenance because the AutoClient
automatically moves a file from its emission directory to its archive directory (see "Archive
Directory" on page 27), when the file has been uploaded to the Alliance Lite server.
Note

4.2

However, the back-office application must monitor the emission directory. Should a
file stay in the emission directory for more than 30 minutes, the back office
application must raise an alarm. The AutoClient Operator must investigate the
issue.

Reception Directory
Reception
The reception directory contains the files that your organisation receives from counterparties. It
also contains the status of the messages that your organisation sent previously through
AutoClient.
AutoClient regularly polls the Alliance Lite server for new files ready for download. Files appear
in the server when they are completely downloaded and ready for the back-office application to
process. The ReceptionTimerInMillis timer determines how often AutoClient checks the
reception directory for files received from counterparties, see "List of Configuration
Parameters" on page 20.
The reception directory can contain the following types of file:
FIN (Standards MT) files:
identified by extension .fin and if LAU is enabled, LAU files are identified by extension
fin.lau
containing the business MTs addressed to your organisation.

24

Installation and User Guide

How AutoClient Works

with the status of messages that you have sent through AutoClient (ACK, NAK, MT 010,
MT 011, MT 012, MT 019, or pseudo NAK).
Conforming to the following conventions:
<filename>.fin (data file)
<filename>.fin.lau ( LAU file)
For more information, see "Process for Receiving FIN Messages" on page 45.
FileAct files (any format):
files received
transfer status of files sent previously
LAU file in reception directory (if LAU is enabled)
Conforming to the following conventions
<filename>.<TransferRef>S[_pdr]
<filename>.<TransferRef>S[_pdr].par
<filename>.<TransferRef>S[_pdr].ok
<filename>.<TransferRef>S[_pdr].err
If LAU is enabled:
<filename>.<TransferRef>S[_pdr].par[.lau]
<filename>.<TransferRef>S[_pdr].ok[.lau]
<filename>.<TransferRef>S[_pdr].err[.lau]
For the transfer status of files sent previously
<filename>.<TransferRef>C.ok
<filename>.<TransferRef>C.dlv
<filename>.<TransferRef>C.err
<filename>.<timestamp>.err
If LAU is enabled:
<filename>.<TransferRef>C.ok.lau
<filename>.<TransferRef>C.dlv.lau
<filename>.<TransferRef>C.err.lau
<filename>.<timestamp>.err.lau
For more information, see "Process for Receiving FileAct Files" on page 46.
<TransferRef>: SWIFT generates a unique string of characters called TransferRef. The
TransferRef contains a timestamp assigned by SWIFTNet, and is the same at the sender
and at the receiver side, except for the last character.

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The last character is:

C for files sent by AutoClient

S for files received by AutoClient

[_pdr]: in some cases (for example, after retries during the FileAct transfer), the FileAct
protocol adds a _pdr extension (Possible Duplicate Reception) to the received data file,
companion parameter, or report file names. This additional extension is carried unaltered
to the reception directory.
.lau for the LAU of files sent previously
CSV Application Files
identified by an extension .csv, or .csv.lau if LAU is activated
contain the statuses of messages previously sent within a CSV file. Received CSV files do
not contain business messages.
Conforming to the following conventions
<filename>.csv (data file)
<filename>.csv.lau ( LAU file)
The <filename> structure consists of : <Instruction>_<Status>_<timestamp>.csv[.lau]
where the structure elements can contain the following:
Instructions: Subscription, Redemption, SwitchSLeg, SwitchRLeg, ConfSubscription,
ConfRedemption, ConfSwitchSLeg, ConfSwitchRLeg, Status, StatusSwitch.
Status: can be ACK, DLV, NAK, ABD, DELNAK and OVRDUE
Note

The instruction type is the message business name as defined in the CSV layout
definition document. It is the keyword used in the incoming CSV to identify the
message type.

Example: Subscription_ACK_20090609100143592.csv
The following is the format of a CSV file:
<status> <error code> <error text> <status time stamp> <original filename><position in original file>
<copy of first line from original message in CSV>
[,,,,,<copy of line 2 from original message in CSV>] will be present for switch orders, may be
present for semt*
[,,,,,<copy of line 3 from original message in CSV>] may be present for semt*
[,,,,,<copy of line 4 from original message in CSV>] may be present for semt*
It is the user's responsibility to maintain the reception directory - AutoClient does not
automatically move files from the reception directory. SWIFT recommends that you perform
regular archives of the files contained in this directory.

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How AutoClient Works

4.3

Archive Directory
Archive
FIN and FileAct files that have been successfully uploaded to the Alliance Lite server are moved
from the emission directory to the archive directory.
Note

The presence of a file in the archive directory does not mean that the file has been
sent on SWIFTNet, or delivered to the receiver - that is indicated through other
means, see "Sending Files" on page 33.

The archive directory can contain the following types of file:


for a FIN file:
<filename>.<timestamp>.fin (original)
<filename>.<timestamp>.fin.lau (original) if LAU enabled
for a FileAct file, two files are present:
<filename>[.pde].<timestamp> (original)
<filename>[.pde].<timestamp>.par
<filename>[.pde].<timestamp>.par.lau (copy of original) if LAU enabled
for a CSV file:
<filename>.<timestamp>.csv (original)
<filename>.<timestamp>.csv.lau (copy of original) if LAU enabled
It is the user's responsibility to maintain the archive directory. SWIFT recommends that you
perform regular archives of the files contained in this directory.

4.4

Error Directory
Error
The error directory contains copies of the files that resulted in an error before or during upload,
together with an error file (with extension .err) containing a description of the error.
The error directory can contain the following types of file:
for a FIN file, two files are present:
<filename>.<timestamp>.fin (original)
<filename>.<timestamp>.fin.err
<filename>.<timestamp>.fin.lau if LAU enabled
<filename>.<timestamp>.fin.err.lau if LAU enabled
for a FileAct file, three files are present:
<filename>[.pde].<timestamp>
<filename>[.pde].<timestamp>.par

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<filename>.<timestamp>.err
<filename>[.pde].<timestamp>.par.lau if LAU enabled
<filename>[.pde].<timestamp>.err.lau ) if LAU enabled
for a CSV file, two files are present:
<filename>.<timestamp>.csv
<filename>.<timestamp>.csv.err
<filename>[.pde].<timestamp>.csv.lau if LAU enabled
<filename>[.pde].<timestamp>.csv.err.lau if LAU enabled
It is the user's responsibility to maintain the error directory. SWIFT recommends that you
perform regular archives of the files contained in this directory.

4.5

FileAct Delivery Notification


Sending a notification
Should a FileAct transfer require a Delivery Notification, Alliance Lite creates this Delivery
Notification Automatically for the receiver. Alliance Lite creates the Delivery Notification once the
Receiver's AutoClient has successfully downloaded the file.
The FileAct delivery notification is stored in the reception directory.
Receiving a notification

28

When you send a FileAct Transfer, you receive the Delivery Notification in the Reception
directory of your AutoClient as a .dlv file.

Installation and User Guide

Running AutoClient

Running AutoClient
Overview
This section explains how to start and stop AutoClient, and how to monitor the status of
AutoClient.
To run AutoClient, you must have a USB token created by an Alliance Lite Administrator
specifically for AutoClient. You also need the password associated with this USB token. For
more information, see the Alliance Lite Administration Guide.

5.1

Starting AutoClient
To start AutoClient:
The "SWIFT AutoClient Service" runs automatically as a Windows Service under a system
account:
1.

Insert the AutoClient USB token in a USB port.

2.

Do one of the following:


Click the Windows
AutoClient.

Start

button, and select Programs > Alliance Lite > Start

Or, right-click the AutoClient icon in the Windows Tray and click Start AutoClient from
the shortcut menu
In the Alliance Lite installation path use one of the command line utility: autoclient start.
Note

3.

You can start AutoClient by connecting either to the Live service or to the
Test service.

Type the password of the AutoClient USB token and select Live if you want to connect
Autoclient to the Live service. Select Test&Training if you want to connect the AutoClient
to the Test service.

Do one of the following:


If AutoClient starts successfully, then the AutoClient Monitor icon (in the Windows
Tray) turns green. AutoClient polls the Alliance Lite server for files ready for download,
and the emission directory for files ready to be sent.
If AutoClient fails to start, then the AutoClient Monitor icon turns yellow or red, and an
error message appears. For more information, see "Monitoring the Status of AutoClient"
on page 30.

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AutoClient 2.0.1 for Alliance Lite 2.0

Note

To start AutoClient from an application program, the autoclient -start


command can be used. It is possible to provide the password of the token as a
parameter of this command for example, autoclient -start -password
xxxxx, where "xxxxx" is the value of the token's password. You can provide
the mode as the command parameter to indicate whether AutoClient must be
started on the Live service or Test service. For example, to start AutoClient on
the Test service, use the autoclient -start -mode TT command and to
start AutoClient on the Live service, use the autoclient -start -mode
LIVE command.
WARNING: for security reasons, SWIFT does not recommend providing the
password as a parameter to the autoclient -start command. If you do,
then make sure that the password is not visible to unauthorised people, for
example, do not store the password in clear in a file, or script , or in log files.
The password of the AutoClient token is very important for the protection, and
secure operation of AutoClient.

After three consecutive invalid logon attempts, the AutoClient Monitor icon (in the Windows
Tray) turns red. You must stop and start the "SWIFT AutoClient Service" and start the
AutoClient again. If you then fail two extra times, your USB token becomes disabled. In this
case, contact your Alliance Lite Administrator to generate a new USB token.
If the user that started AutoClient logs off from Windows then the AutoClient remains running.

5.2

Monitoring the Status of AutoClient


You can monitor the status of AutoClient
You can check the status of AutoClient in three ways:
by looking at the colour of the AutoClient Monitor icon in the Windows Tray.
green: indicates that AutoClient is running properly
yellow: indicates that the AutoClient is not started or that a network problem occurred
red: indicates that the "SWIFT AutoClient Service" is not started or that a major issue
occurred.
by checking the contents of the current autoclient_logs.log file.
by running the AutoClient -status command.
AutoClient state transition
The following table lists the different states that AutoClient can be in:

30

State

Description

Stopping

AutoClient stop was requested

Stopped

AutoClient is stopped

Starting

AutoClient start was requested

Started

AutoClient has started

Unavailable

The "SWIFT AutoClient Service" is not started or a major issue occurred

Installation and User Guide

Running AutoClient

State

Description

Network

Network problem

Certificate expiry warning


The Certificate on the USB token can be in one of the following states:
Not yet valid
Will expire in (a number of) days
Expires today
Expired
Valid
In the first four cases, a balloon pop-up will appear to warn you in terms of Certificate expiry
when you start AutoClient with a token. You must then contact your Alliance Lite Administrator
to renew it.
This warning is also logged in the autoclient_logs.log file.

5.3

Stopping AutoClient
Overview
This section describes the procedure for stopping AutoClient.
Note

AutoClient must not be stopped while files are being transferred. Wait until the
transfer is completed: that is until the emission directory is empty.

To stop AutoClient:
1.

If you want to stop AutoClient, then do one of the following:


Click the Windows Start button, and select Programs > Alliance Lite > Stop
AutoClient
Right-click the AutoClient Monitor icon in the Windows taskbar, and select Stop
AutoClient from the shortcut menu
Navigate to the Alliance Lite installation directory, and run the command: autoclient
-stop

2.

The system prompts the user to confirm the action in a Stop AutoClient window.

3.

Type the AutoClient token's password and click

OK

When you select Stop AutoClient, the following occurs:


the last entry in the log file contains an indication that the user stopped the system
AutoClient stops checking its emission and reception directories for new files
any ongoing file transfers are aborted
a notification pop-up is displayed from the Windows taskbar.

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Note

To stop AutoClient from an application programme, the autoclient -stop


command can be used. It is possible to provide the password of the token as a
parameter of this command, for example, autoclient -stop -password
xxxxx where "xxxx" is the value of the tokens password.
WARNING: for security reasons, SWIFT does not recommend providing the
password as a parameter to the autoclient -stop command. If you do, then
make sure that the password is not visible to unauthorised people, for example, do
not store the password in the clear in a file, script , or in log files. The password of
the AutoClient token is very important for the protection, and secure operation of
AutoClient.

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Installation and User Guide

Sending Files

Sending Files
Introduction
This section explains the process by which AutoClient handles files to be sent, from the
emission directory up to the Alliance Lite server. It briefly talks about the preparation of the
files. It also describes the possible scenarios that can occur when you send files through
AutoClient.

FIN Message Files

6.1

Overview
This section describes the process flow when sending FIN message files.

6.1.1

Message File Preparation

Preparation
Before sending a message file, the back-office application must prepare it.
Basic file requirements
Each file must conform to the following basic requirements:
the message file name must:
end in the extension .fin
be less than 200 characters
not contain the ":" (colon) character. The file name can contain dots.
the message file must:
be less than 85 KB in size
have the read attribute enabled
File structure and format requirements
The file format must be RJE. An RJE file contains a number of MT messages, separated by a
"$" (dollar) sign. The MT messages in the file must conform to the Standards MT syntax, as
specified in the Standards MT documentation.
For an example, see "FIN Message File (RJE Format)" on page 55.

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AutoClient 2.0.1 for Alliance Lite 2.0

6.1.2

Process Flow

FIN message files sent through AutoClient


During file upload to Alliance Lite server
Start
File moved to emission directory

File Upload
Error

File moved to
error directory

Waiting
File Upload
File moved to archive directory

D1140005

Alliance Lite
server

6.1.2.1 Successful Upload


Overview
This section describes the process flow of messages successfully uploaded by AutoClient to the
Alliance Lite server.
Process flow
1.

A file prepared on your back-office application is ready to be sent.

2.

The back-office application places the file in the emission directory, with the filename
ending in the extension .fin.

3.

AutoClient scans the emission directory, finds the file, and starts processing it.
Note

If LAU is enabled for FIN messages, AutoClient will wait until the .lau file is
found. See "Local Authentication Files" on page 43 for details of how to set
up a LAU file.

4.

AutoClient checks whether the file meets the basic requirements listed in "Message File
Preparation" on page 33.

5.

On successful validation, AutoClient uploads the file to the Alliance Lite server.

6.

During upload, the file remains in the emission directory.

7.

On successful completion of the file upload:


AutoClient moves the file to the archive directory (if LAU enabled the LAU files are also
moved)
the messages are submitted for transmission to FIN.

At this stage, you can view and monitor the messages and their status from the Alliance Lite
Web interface. Messages can also be approved manually from the interface. For more
information, see "Approval of Autoclient Messages and Files" on page 44.

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Installation and User Guide

Sending Files

FIN ACK
1.

For every message that is successfully sent on the FIN network, an ACK
(Acknowledgement) message is returned. There can also be messages returned that
indicate error, or successful delivery to the receiver. The ACK messages are put in a .fin
file generated by the Alliance Lite server.

2.

The .fin file is downloaded into the reception directory by AutoClient. The back-office
application can then process these ACK messages, see "Process for Receiving FIN
Messages" on page 45. If LAU is enabled, the LAU file is provided as well.

6.1.2.2 Unsuccessful Upload


Errors can occur at various stages
When files are sent to the Alliance Lite server, errors can occur at the following stages:
1. when the file is validated by the sending AutoClient
2. when the files are validated by the Alliance Lite server
3. when the Alliance Lite server validates the messages after successful extraction
4. when the Alliance Lite server sends the message on SWIFTNet
5. during transmission over SWIFTNet, for example, after SWIFTNet accepted the message
but before the message was delivered successfully to the receiver.
Errors at stage 1, 2, or 3
If a file results in an error at one of these stages, then the entire file is rejected, and AutoClient
moves the file to the error directory. AutoClient adds a timestamp extension to the original file
name (<filename>.fin). In addition, a text file is generated in the error directory. This file
contains an error code with a description of the error.
The format of these files is as follows:
<filename>.<timestamp>.fin - when occurring at stage 1
<filename>.<timestamp>.fin.err - when occurring at stage 1, 2, and 3
where <timestamp> is the current system date and time (in YYYYMMDDhhmmss format) on
the AutoClient host
For a list of the possible errors, see "Errors When Uploading Files to the Alliance Lite Server" on
page 50.
Errors at stage 4, or 5: NAK and pseudo-NAK
At this stage, the file is accepted by the Alliance Lite server, and messages from the file are
processed one by one. If a message results in an error at this stage, then only that message is
rejected, while other messages in the file may be processed successfully. The error is typically a
NAK (Negative Acknowledgement). A FIN NAK is a message returned by the SWIFT network to
indicate that the sent message was rejected by the SWIFT network, and could not be forwarded
to the receiver.
A pseudo-NAK is a message that is returned by the Alliance Lite server, to indicate that the sent
message could not be forwarded to SWIFTNet. An error at stage 4 or 5 that indicates rejection
of a message is put in a .fin file generated by the Alliance Lite server. This file is then
downloaded by AutoClient into the reception directory.

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The FIN NAK or pseudo NAK message contains a copy of the original message which it rejects.
The back-office application can then process these NAK messages, and determine which
message was rejected.
If a message must be repaired, then it must be created again on the back-office application.
FIN NAK
The FIN network may reject a message, and then return a NAK. Such a NAK is a message with
a particular structure.
The following is an example of a NAK message:
{1:F21BANKBEBBAXXX0001000002}
{4:{177:0803051517}
{451:1}
{405:M50}}
{1:F01.......}

In this example, the error code is "M50", which means "message length exceeded". A list of
possible NAK error codes returned by the FIN network is documented in the User Handbook,
Standards MT, and FIN Error Codes Guide.
In the AutoClient's .fin files, a NAK is followed by a copy of the original message to which the
NAK refers. The copy of the original message is appended to the NAK, and starts with {1:F01.
Note

The syntax of NAK messages is explained in the User Handbook, Standards MT,
and FIN System Messages Guide. In summary, a NAK starts with {1:F21 and
contains a line with {451:1} to indicate rejection and {405:xxx}, where "xxx" is
the error code.

Pseudo NAK
The Alliance Lite server may return a pseudo NAK, containing a specific error code and its
description. A pseudo NAK is a NAK generated by Alliance Lite, not by the SWIFT network. A
pseudo-NAK looks like a normal NAK, except that the error code starts with "I", or "AUT". But
the pseudo-NAK does not contain field 108 (Message User Reference) in block 3 (User
Header).
A pseudo NAK is generated in the following cases:
no RMA relation "SEND_TO" exists with your counterparty, with the receiver BIC of the
message
An RMA relation is a relation that you establish with a counterparty that agrees to receive
SWIFT messages from you.
the sender BIC8 inside the header of the message is not the BIC owned by the Alliance Lite
user
message is incorrectly formatted in the FIN blocks or contains incorrect characters
a message is rejected by the approver (in case of manual approval).
The following example shows a pseudo NAK due to the absence of RMA relation:
{1:F21VNDZBET2BXXX0000000000}
{4:{177:0803051517}
{451:1}
{405:AUT}}
{1:F01.......}

A pseudo NAK is always followed by a copy of the original message. For the list of pseudo NAK
errors, see "Pseudo NAK Errors" on page 51.
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Sending Files

MT 019 abort notification


A message that was successfully sent on FIN (for which an ACK was returned by SWIFTNet),
can in exceptional cases be aborted before it is successfully received. There are two reasons
for this:
the receiver never receives the message, for example, the receiver never logs on to FIN to
receive messages that are waiting for them
in case of a FINCopy message, the central institution does not authorise the message.
In both cases, SWIFTNet returns an MT 019 Abort Notification message to the sender of the
message. AutoClient puts these MT 019 messages in .fin files in its reception directory. For
more information, see "Process for Receiving FIN Messages" on page 45.

6.2

FileAct Files
Overview
This section describes the process flow when sending FileAct files.

6.2.1

Data File Preparation

Preparation
Before sending a FileAct file, the back-office application must prepare the following files:
a data file, that must be sent to your counterparty, embedded in a FileAct file transmission
a companion parameter file (.par file), that specifies how the file must be sent. For more
information, see "Emission .par File" on page 58.
a LAU file (if LAU enabled)
Basic file requirements
Each file must conform to the following basic requirements:
the file name must:
be less than 200 characters
not contain colon characters (:)
the file must be less than 20 MB in size

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6.2.2

Process Flow

FileAct files sent through AutoClient


During file upload to Alliance Lite server
Start
File moved to emission directory

File Upload
Error

File moved to
error directory

Waiting FileAct
File Upload
File moved to archive directory

After sucessful file upload to Alliance Lite server

Waiting Transfer
.err file in reception directory

FileAct Error

.ok file in reception directory

FileAct ok

FileAct Delivered

D1140002

.dlv file in reception directory

6.2.2.1 Successful Upload


Overview
This section describes the process flow of data files that are successfully uploaded by
AutoClient to the Alliance Lite server.
Process flow
1.

A data file and its companion .par file, prepared on your back-office application, are ready
to be sent.

2.

The back-office application places both files in the emission directory, in the following
order:
1. data file
2. companion .par file
Note

3.

38

The presence of the .par file in the emission directory triggers the file
upload. If no .par file is present in the emission directory, then the data file
upload does not start. If LAU is configured, then the upload will not start until
the .lau file is also found. See "Local Authentication Files" on page 43 for
details of how to setup and LAU file.

AutoClient scans the emission directory, finds both a data file and a .par file, and starts
processing the files.

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Sending Files

4.

AutoClient checks whether the files meet the basic requirements listed in "Data File
Preparation" on page 37.

5.

On successful validation, AutoClient uploads the files to the Alliance Lite server.

6.

During upload, the files remain in the emission directory.

7.

On successful completion of the file upload:


AutoClient moves the data file and the .par file to the archive directory.
the data file is submitted to FileAct following the routing information contained in the
companion .par file.
the LAU file (if LAU enabled) is moved to the archive directory.

At this stage, the status of the FileAct file transfer can be monitored from:
the Alliance Lite Web interface. See the Inbox/Outox section of the Alliance Lite User Guide
for more information.
report files (with extensions .ok, .err, and .dlv) that are moved to the reception directory.

6.2.2.2 Unsuccessful Upload


Errors during basic validation checks and file upload
If the file upload fails, then AutoClient moves the data file and the companion .par file to the
error directory. AutoClient adds a timestamp extension to the original file names. In the error
directory, a text file is also generated, containing an error code with a description of the error. If
LAU enabled the LAU file is moved as well.
The format of these files is as follows:
<filename>[.pde].<timestamp>
<filename>[.pde].<timestamp>.par
<filename>[.pde].<timestamp>.err
<filename>.<timestamp>.lau
where <timestamp> is the current system date and time (in YYYYMMDDhhmmss format) on
the AutoClient host
For a list of the possible errors, see "Errors When Uploading Files to the Alliance Lite Server" on
page 50.
Errors during validation by the Alliance Lite server
FileAct errors are put in an .err file. AutoClient then downloads this file into the reception
directory.

6.3

CSV Files
Overview
To send certain types of MT or MX messages, you can upload CSV (comma separated values)
files with Alliance Lite, and Alliance Lite will transform the lines in these CSV files into messages
(MT or MX), and send them as properly formatted MT or MX messages over SWIFTNet.

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The following message types can be uploaded in CSV format :


For Funds Distributors
Funds Orders Subscription MX (setr.010)
Funds Orders Redemption MX (setr.004)
Funds Orders Switch MX (setr.013)
For Funds Transfer Agents or Funds Administrators
Funds Statuses MX (setr.016)
Funds Confirmations MX (setr.006, setr.012, setr.015)
Funds Statements of Holdings MX (semt.002, semt.003)
For Investment Managers, Broker, or Dealers
Securities Settlement Instructions MT (MT 540, MT 541, MT 542, MT 543)
For more information about uploading CSV files, refer to the Alliance Lite CSV File Upload
Guide.

6.3.1

Process Flow

CSV files sent through AutoClient


During file upload to Alliance Lite server
Start
File moved to emission directory

File Upload
Error

File moved to
error directory

Waiting
File Upload
File moved to archive directory

D1140005

Alliance Lite
server

6.3.1.1 Successful Upload


Overview
This section describes the process flow of CSV files successfully uploaded by AutoClient to the
Alliance Lite server.
Process flow

40

1.

The CSV file is dropped in the emission folder of the AutoClient. The file name ends with
the extension .csv.

2.

AutoClient scans the emission folder regularly, and if it finds a file, it automatically uploads
the file and starts processing it.

Installation and User Guide

Sending Files

Note

If LAU is configured, then the upload will not start until the .lau file is also
found. See "Local Authentication Files" on page 43 for details of how to
setup and LAU file.

3.

On successful validation, AutoClient uploads the file to the Alliance Lite server.

4.

The lines of the CSV file are transformed by Alliance Lite into MT or MX messages.

5.

During upload, the file remains in the emission directory.

6.

On successful completion of the file upload:


AutoClient moves the file to the archive directory (if LAU is enabled the LAU files are
also moved)
the messages are submitted for transmission to SWIFTNet.

Note

The messages uploaded from the CSV files are visible in the Alliance Lite user
interface with the Outbox feature. The messages are displayed in a summary grid
with the most important elements of the message. For more information, see
chapter Inbox Outbox of the Alliance Lite User Guide.

CSV ACK
1.

For every message that is successfully sent on the network, an ACK (Acknowledgement)
message is returned. There can also be messages returned that indicate error, or
successful delivery to the receiver. The ACK messages are put in a .csv file generated by
the Alliance Lite server.

2.

The .csv file is downloaded into the reception directory by AutoClient. The back-office
application can then process these ACK messages, see "Process for Receiving CSV Files"
on page 47. If LAU is enabled, the LAU file is provided as well.

6.3.1.2 Unsuccessful Upload


Errors can occur at various stages
When files are sent to the Alliance Lite server, errors can occur at the following stages:
1. when the file is validated by the sending AutoClient
2. when the files are validated by the Alliance Lite server
3. when the Alliance Lite server validates the messages after successful extraction
4. when the Alliance Lite server sends the message on SWIFTNet
5. during transmission over SWIFTNet, for example, after SWIFTNet accepted the message
but before the message was delivered successfully to the receiver.

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Errors at stage 1, or 2
If a file results in an error at one of these stages, then the entire file is rejected, and AutoClient
moves the file to the error directory. AutoClient adds a timestamp extension to the original file
name (<filename>.csv). In addition, a text file is generated in the error directory. This file
contains an error code with a description of the error.
The format of the filenames of these files is as follows:
<filename>.<timestamp>.csv - when occurring at stage 1
<filename>.<timestamp>.csv.err - when occurring at stage 1, 2, and 3
where <timestamp> is the current system date and time (in YYYYMMDDhhmmss format) on
the AutoClient host
For a list of the possible errors, see "Errors When Uploading Files to the Alliance Lite Server" on
page 50.
Errors at stage 3, 4, or 5: NAK
At this stage, the file is accepted by the Alliance Lite server, and messages from the file are
processed one by one. If a message results in an error at this stage, then only that message is
rejected, while other messages in the file may be processed successfully.
A NAK is a message returned by the network to indicate that the sent message was rejected by
the SWIFT network, and could not be forwarded to the receiver.
A NAK can also be returned by the Alliance Lite server, to indicate that the sent message could
not be forwarded to SWIFTNet. An error at stage 4 or 5 that indicates rejection of a message is
put in a .csv file generated by the Alliance Lite server. This file is then downloaded by
AutoClient into the reception directory. The NAK message contains a copy of the original
message which it rejects. The back-office application can then process these NAK messages,
and determine which message was rejected.
If a message must be repaired, then it must be created again.
CSV NAK
NAK reporting on CSV files is achieved by using the Status CSV file. The Status CSV file is
returned to AutoClient with the NAK status and contains the NAk'd message. The file can
contains the status of one message or more.
The filename of the Status CSV file is as follows:
<instruction type>_<status>_ <timestamp>.csv
Where: the <instruction type> is the message business name, the <status> is NAK, and the
<timestamp> is the current system date and time (in YYYYMMDDhhmmss format) on the
AutoClient host.
The following is the format of a CSV file:
<status> <error code> <error text> <status time stamp> <original filename><position in original file>
<copy of first line from original message in CSV>
[,,,,,<copy of line 2 from original message in CSV>] will be present for switch orders, may be
present for semt*
[,,,,,<copy of line 3 from original message in CSV>] may be present for semt*
[,,,,,<copy of line 4 from original message in CSV>] may be present for semt*

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Sending Files

The status for these messages is NAK and the error codes and text are described in "CSV NAK
Codes" on page 52.
An example of Status CSV filename is as follows: DeliverFree_NAK_20100318154345644.csv
An example of the contents of this Status CSV status file is as follows:
NAK,CSVNAK_113,in Position 3,543_003.csv,
3,DeliverFree,SWBPBEHA,ABCD,ABCD,Invest Account at HA,,
EGS673T1C012,5000,UNIT,,,TRAD,
20100102,20100101,CEDELULL,SWBPBEHA,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

6.4

Local Authentication Files


Introduction
This section describes the process flow for Local Authentication (LAU) with files.
Process flow
1.

The back-office application is configured with the same key value as the characters of the
key value(s) for the defined file types (CSV, FIN, or FileAct). The management of the keys
is application specific and must be secure.

2.

The back-office application creates a 256-bit array and fills the array with byte values
corresponding to the LAU key ASCII characters. If the LAU key is less than 32 characters
(256 bits), then the application will right-pad the remainder of the keys with 0 bits.

3.

The back-office application calculates the HMAC-SHA256 signature over the entire byte
stream of the payload file using the 256-bit array created in step 2 as the algorithm's
symmetric key. This generates a 256-bit (32-byte) binary signature value.

4.

The back-office application encodes the binary signature value in Base-64 encoding. For
FIN and CSV files, the Base-64 encoded value of the signature is put in a separate file with
the .lau extension. For FileAct files, the signature is put as a parameter in the .par file, and
an additional signature is calculated on that .par file and put in a .par.lau file.

5.

The remainder of the process flow depends on the file type (CSV, FIN, or FileAct).
For FIN and CSV payload files:
The back-office application writes the base-64 encoded signature value to a file
alongside the payload file in the AutoClient emission directory using the same name as
the payload file name but appended with .lau extension. This .lau file contains no other
characters except the signature.
The AutoClient initiates a transfer when it finds both the payload file and the .lau file in
the emission directory.
For binary payload files to be transported using FileAct:
The back-office application writes a property called 'Algorithm' to the payload's .par file
with the 'HMAC_SHA256' as the property value. For example,
Algorithm=HMAC_SHA256
The back-office application writes a property called 'Value' to the .par file with the
base-64 encoded signature value as the property value. For example,
Value=OXD9/6TwIHqROLr6ZXi8Y3cD03pV+wk6IGtoi4gQqrQ\=

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The back-office application writes the updated .par file to disk.


The back-office application calculates a second HMAC-SHA256 signature over the entire
byte stream of the .par file using the symmetric key created in step 2. This generates a
second 32-byte, binary signature value.
The back-office application encodes the binary signature value as base-64.
The back-office application writes the base-64 encoded signature value to a file
alongside the payload file in the AutoClient emission directory using the same name as
the payload file name but appended with .par.lau extension. This par.lau file contains no
other characters except the signature.
The AutoClient initiates a transfer when it finds the payload file, the .par file and
the .par.lau file in the emission directory.

6.5

Local Test Mode Process


Introduction
When setting up a system, if an operator would like to test the flow between the back-office
application and the AutoClient without actually sending the file to Alliance Lite. This section
describes the process flow for Local Test Mode.
Process Flow
1.

In the back-office application, the operator creates a file for each type (FIN, CSV, FileAct).

2.

The back-office application creates the LAU files and stores the files in the emission
directory.

3.

The AutoClient retrieves the files and validates the LAU signatures (logging the results in
the log file), but does not send the files.

4.

After validation, the operator deletes the files after stopping AutoClient.
Note

6.6

In case of failure, the operator configures the keys again and validates the
LAU signatures.

Approval of Autoclient Messages and Files


Overview
AutoClient allows you to manually approve any outgoing AutoClient message or FileAct file.
Using Inbox/Outbox you can see all files/messages sent with AutoClient. From the Outbox you
can approve these files or messages. The Outbox module lists all messages and FileAct files
that require approval. You can approve each message or file, if the message or file was
uploaded from AutoClient and if the auto-approval option is not enabled in AutoClient.
You can also use Automatic Approval for messages in AutoClient. For information about
approval of outbox instructions, see chapter Inbox Outbox of the Alliance Lite User Guide.

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Receiving Files

Receiving Files

7.1

Process for Receiving FIN Messages


Overview
This section describes the process flow when receiving Standards MT messages.
Process flow
1.

A .fin file containing Standards MT messages is processed by the Alliance Lite server.
AutoClient then downloads the file into the reception directory. The file name is
<filename>.fin.
This .fin file can contain the following types of message:
business messages addressed to your institution
status of messages sent previously
a combination of both
an LAU file (if LAU enabled)

2.

The back-office application checks the reception directory for the presence of .fin files.

3.

The back-office application moves the file from the reception directory to the working
directory of the back-office application.

Note

If LAU is configured, the back-office application should wait until the LAU file is
available in the reception directory before processing the message.

Status of messages sent previously


The back-office application can track the status of all messages sent previously through
AutoClient. The following message states exist:
Message

Description

Means that the message that you


sent

Additional information

FIN ACK

FIN
acknowledgement

was successfully sent (accepted by


SWIFTNet)

A FIN ACK contains:


a message user reference or a
transaction reference number to
identify the original message in the
back-office application
a message input reference to enable
the following MT 019, MT 011, and MT
010, to be reconciled with the original
message

FIN NAK

FIN negative
acknowledgement

19 November 2010

was rejected by SWIFTNet. An error


code indicates the reason for the
rejection.

A FIN NAK contains a message user


reference or a transaction reference
number to identify the original message in
the back-office application

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AutoClient 2.0.1 for Alliance Lite 2.0

Message

Description

Means that the message that you


sent

MT 010

Non-Delivery warning was being monitored in case of nondelivery, and was not delivered
before its obsolescence period
expired
(this is only possible for messages
flagged as Urgent). See User
Handbook FIN System Messages for
details.

MT 011

Delivery notification

is a message being monitored for


delivery and has actually been
delivered.
See User Handbook FIN System
Messages for details.

MT 012

FINCopy release
notification

for which FINCopy was requested,


was authorised for release by the
FINCopy service's central institution,
and has been forwarded to the
receiver.

Additional information

Note: Not all FINCopy services use


this MT 012 feature.
MT 019

delivery abort

was acknowledged, but SWIFTNet


aborted the delivery of the message.
An error code indicates the reason
for the delivery abort.

pseudo
NAK

pseudo negative
acknowledgement

resulted in an error before being


transmitted onto SWIFTNet by the
Alliance Lite server.

7.2

Pseudo NAK can be identified with an


Error Code beginning with "I" or "AUT"
(see "Pseudo NAK Errors" on page 51).

Process for Receiving FileAct Files


Introduction
This section describes the process flow when receiving FileAct files.
Process flow
1.

The Alliance Lite server makes FileAct files available for download. AutoClient then
downloads these files into the reception directory.

2.

The back-office application checks the reception directory for the presence of FileAct files.

3.

The back-office application moves the files from the reception directory to the working
directory of the back-office application.
Note

The back-office application must only move the files that have an
associated .par file.
If LAU is configured, an LAU file is provided as well. Also, the back-office
application must only start processing the file if LAU file is available.

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Receiving Files

Files received from counterparties


When a FileAct file is successfully received from a counterparty, the following files are present
in the reception directory:
<filename>.<TransferRef>S[_pdr][.lau]
<filename>.<TransferRef>S[_pdr].par[.lau]
<filename>.<TransferRef>S[_pdr].ok[.lau]
([.lau] added if LAU enabled)
When the file transfer from a counterparty fails, the following file is present in the reception
directory:
<filename>.<TransferRef>S[_pdr].err[.lau]
<TransferRef> is the FileAct TransferRef of the file sent or received (<filename>). It is a unique
string of characters generated by SWIFT. The TransferRef is the same at the sender and at the
receiver side.
TransferRef example: SNL00112D10045533050123736S
S means that the file is received from a counterparty.
[_pdr] is an optional extension added when retries occurred during the FileAct transfer.
Status of files uploaded previously
The following files indicate the status of FileAct files uploaded previously:
File name

Meaning

<filename>[.pde].<TransferRef>C.ok

the <filename> file was successfully transferred to FileAct

<filename>[.pde].<TransferRef>C.dlv

the <filename> file was successfully delivered to the


receiving destination

<filename>[.pde].<TransferRef>C.err

the <filename> file generated an error during its transfer to


FileAct

<filename>[.pde].<timestamp>.err

the <filename> file generated an error before its transfer to


FileAct

[.pde] is an optional extension added when retries occurred during the FileAct transfer.
<TransferRef> is the FileAct TransferRef of the uploaded file (<filename>).
TransferRef example: SNL00112D10045533050123736C
C indicates a status update on the file sent to the counterparty.
<timestamp> is the current date and time (GMT) when the error file is created on the FileAct
interface.

7.3

Process for Receiving CSV Files


Introduction
This section describes the process flow when receiving CSV files.

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AutoClient 2.0.1 for Alliance Lite 2.0

Process Flow
1.

The Alliance Lite server makes CSV files available for download. AutoClient then
downloads these files into the reception directory.

2.

The back-office application checks the reception directory for the presence of CSV files.

3.

The back-office application moves the files from the reception directory to the working
directory of the back-office application.
Note

The back-office application must only move the files that have an
associated .csv file.
If LAU is configured, an LAU file is provided as well. Also, the back-office
application must only start processing the file if LAU file is available, if LAU is
configured.

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Monitoring File Transfers

Monitoring File Transfers


Overview
You can monitor the status of the files that you send from AutoClient to the Alliance Lite server.
The autoclient_logs.log file
Whenever you start AutoClient, a log file is created under <installation directories>\logs. This
file is called autoclient_logs.log.
The autoclient_logs.log file contains entries for each file that you send and for all the states of
these files, from UPLOAD_READY to UPLOAD_COMPLETED. Each entry has a timestamp
against it.
A backup mechanism limits the maximum size of all log files to 60 MB.
The oldest AutoClient log files present in the log directory are overwritten.
Note

19 November 2010

It is the user's responsibility to archive the log files.

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AutoClient 2.0.1 for Alliance Lite 2.0

List of Errors

9.1

Errors When Uploading Files to the Alliance Lite


Server
Overview
This section lists the errors that can occur during basic file validation and during file upload to
the Alliance Lite server.

50

Error code

Error message or action to be taken

AC_ERR_1

Filename longer than 250 characters

AC_ERR_2

Filename contains an invalid character (:)

AC_ERR_3

File size is bigger or equal to 20 MB

AC_ERR_4

File is empty (0 KB)

AC_ERR_5

File format error, messages could not be extracted from the file

AC_ERR_6

Could not successfully verify signature. USB token is either removed or the sender's
certificate is no longer valid or is incorrect.
Make sure the USB token is correctly inserted. Stop and start the AutoClient with a
valid password.

AC_ERR_7

Maximum number of upload retries reached, the file cannot be uploaded to the
Alliance Lite Central Server

AC_ERR_11

File is duplicate

AC_ERR_12

Could not successfully sign message. USB token removed or no longer valid.

AC_ERR_15

USB token removed.


Insert token and restart AutoClient.

AC_ERR_16

The LAU keys break the complexity rules.


Correct the LAU keys identified in the error message.

AC_ERR_17

LAU validation failed for file.


Check back-office software.

AC_ERR_18

Could not write data to disk

AC_ERR_19

Could not read data from disk

AC_ERR_22

Server Error while writing data for file.


Sent by the server. The system periodically tries to recover the connection.

AC_ERR_23

Server Error while reading data for file


Sent by the server. The system periodically tries to recover the connection.
An error occurred. Please look within the AutoClient logs to detect the root cause of
the problem

AC_ERR_24

Service unavailable due to communication error

AC_ERR_25

Database Error.
Sent by the server. The system periodically tries to recover the connection.

AC_ERR_26

Unsupported file type.


Change file type.
Installation and User Guide

List of Errors

Error code

Error message or action to be taken

AC_ERR_28

Configuration Error.
A configuration error was detected. Look in the log files to see details about the
issue. Correct the configuration. Stop and start AutoClient.

AC_ERR_29

Unexpected local Error.


A fatal system error occurred. System freezes immediately. Look in the AutoClient
log files to detect the root cause of the problem. Stop and start AutoClient when the
problem is solved.

AC_ERR_31

Unexpected server Error.

AC_ERR_41

Invalid companion file.


The companion (.par file) could not be successfully validated for the specific reason
provided.

9.2

AC_ERR_42

Service not allowed.


The service is not allowed on this network.

AC_ERR_43

Digest incorrect.
The digest for file does not match the calculated digest on the received content.

AC_ERR_102

AUTOCLNT user of User Group <BIC8> is not eligible for message transmission.

AC_ERR_103

Non-SWIFT character encountered.

Pseudo NAK Errors


Overview
This section lists the pseudo NAK errors that the Alliance Lite server may return.
Error code

Error information (text not visible to the user)

I01

Missing header 1: block

I02

Missing header 2: block

I03

Missing body 4: block

I04

Invalid Sender's BIC

I05

Invalid Tag 20 (length > 16)

I06

No data in body 4: block

I10

Alliance Lite was unable to load the message. The RJE FIN file format is incorrect or a
mandatory field is missing.

I11

The FIN message was rejected by user with Approver role

I15

The FIN message is incorrectly formatted in FIN blocks or contains incorrect


characters.

AUT

No RMA relation exists with the counterparty

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9.3

CSV NAK Codes


Overview
This section lists the CSV NAK errors that the Alliance Lite server may return.
Funds Management CSV NAK Codes
Code

Description
CSV Dispatcher

CSVNAK_001

Invalid CSV File

CSVNAK_002

Invalid Instruction Type

CSVNAK_003

Invalid Receiver DN/Bankcode

CSVNAK_005

Invalid Switch Order/Conf (Based on Bank Code/DN and Order Ref match in both
legs)

CSVNAK_006

Invalid Character

CSVNAK_007

Criteria to psueod nak Order CSV > 53 postions Status CSV> 11 Positions
Confirmation CSV > 91 postions
CSV Loader

52

CSVNAK_012

Value exceeds maximum allowable length

CSVNAK_013

Settlement Party ID Type provided without ID

CSVNAK_014

Place of Settlement is missing

CSVNAK_015

Value is not allowed

CSVNAK_016

Invalid amount for Charge Amount or Commission Amount

CSVNAK_017

Missing value

CSVNAK_018

Invalid currency

CSVNAK_019

Allowable code value validation failure

CSVNAK_020

Invalid country code

CSVNAK_021

Invalid ISIN

CSVNAK_022

Invalid amount unit

CSVNAK_023

Invalid amount for Gross Amount or Net Amount

CSVNAK_024

Invalid percentage/rate

CSVNAK_025

Invalid amount

CSVNAK_026

Invalid BIC

CSVNAK_027

Invalid date format

CSVNAK_028

Invalid Cum Dividend Indicator

CSVNAK_029

Invalid Distinguished Name

CSVNAK_030

Invalid Usergroup

CSVNAK_031

Invalid Senders BIC

CSVNAK_032

Invalid Place Of Settlement BIC

Installation and User Guide

List of Errors

Securities Instructions CSV NAK codes


Code

Description
CSV Dispatcher

CSVNAK_002

Invalid Instruction Type

CSVNAK_003

Invalid Receiver BIC

CSVNAK_006

Invalid Character
CSV Loader

CSVNAK_110

Field value length is too long

CSVNAK_111

Non-SWIFT character

CSVNAK_112

This BIC is not a Place Of Settlement BIC

CSVNAK_113

MESSAGEFUNCTION doesn't exist in AllowedValueCodes_FIN table

CSVNAK_114

Instruction Type missing

CSVNAK_115

Invalid Instruction Type

CSVNAK_116

Invalid or missing settlement Date

CSVNAK_117

Invalid or missing Trade Date

CSVNAK_118

Invalid Allow Value Code

CSVNAK_119

Invalid Sender Ref

CSVNAK_120

Invalid Quantity

CSVNAK_121

Missing Settlement Type

CSVNAK_122

Missing Safe Account Number

CSVNAK_123

Settlement Amount is Mandatory Applicable only for DVP and RVP instruction types.

CSVNAK_124

Invalid Place of Trade Code or Narrative

CSVNAK_125

Invalid Settlement Amount Currency (missing or invalid)

CSVNAK_126

Invalid or missing Amount field (missing if currency provided)

CSVNAK_127

Invalid or missing Currency field (missing if amount provided)

CSVNAK_128

Missing or Invalid ISIN

CSVNAK_129

Reference format Validation: Reference(s) must not start or end with a slash '/' and
must not contain two consecutive slashes '//')
Invalid/Missing Reference:
1. If Instruction Function is Cancellation Request (position 3 = CANC), then
Previous Reference is mandatory.
2. If Instruction Function is New or Preadvice (Position 3 = NEWM/PREA), then
Previous Reference is not allowed.

CSVNAK_130

3. Preadvice Reference is allowed only If Instruction Function is New (Position


3 = NEWM).

CSVNAK_131

Missing/ Invalid place of safekeeping options

CSVNAK_132

Missing/Invalid Place of Settlement options

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AutoClient 2.0.1 for Alliance Lite 2.0

Code

Description

CSVNAK_133

Missing/ Invalid Receiving Agent options

CSVNAK_134

Missing/ Invalid Delivering Agent options

CSVNAK_135

Missing/ Invalid Buyer options

CSVNAK_136

Missing/ Invalid Seller options

CSVNAK_137

Missing/ Invalid Receiver's Custodian options

CSVNAK_138

Missing/ Invalid Deliverer's Custodian options

CSVNAK_139

Missing/ Invalid Investor options

CSVNAK_140

Missing/ Invalid Beneficiary of Money options

CSVNAK_141

Missing/ Invalid Account With Institution options

CSVNAK_142

Missing/ Invalid Paying Institution options


Deal price conditional validations:
1. If position 54 is present, then either position 55 or 56 should be present.
2. If position 55 is present, then position 57 must be present and position 58 is not
allowed.

CSVNAK_143

54

3. If position 56 is present, then both 57 and 58 must be present.

CSVNAK_144

Stamp Duty Indicator conditional validation

CSVNAK_145

Trade Details - Reporting Indicator conditional validation

CSVNAK_146

Fore Deliver Free (DF) or Receive Free (RF): When position 77 (Stamp Duty Indicator)
is present, Settlement Amount is mandatory.

CSVNAK_147

Invalid BIC

CSVNAK_148

Invalid Place of listing Code or Narrative

CSVNAK_149

Missing/Invalid Debtor options

Installation and User Guide

File Examples

10

File Examples
Introduction
This section provides examples of FIN message files (RJE format) and FileAct files.

10.1

FIN Message File (RJE Format)

RJE format
A FIN message file in RJE format can contain one or more FIN messages. Each line must end
with the CRLF characters (ascii '0D' and '0A'). Multiple FIN messages within such files are
delimited by a "$" (dollar) sign. All messages must be in 8-bit ASCII. The last character in an
RJE file must be the closing bracket (ascii '7D'). If not, the file gets rejected.
For more information about the FIN message syntax, see the SWIFTStandards documentation.
The format for files to be sent and files received is identical, except for the following differences:
messages to be sent - have a header block 2 that start with {2:I, where "I" stands for input (to
SWIFTNet):
do not normally contain a block 5
contain a dummy session and sequence number in block 1
messages received - have a header block 2 that starts with {2:O where "O" stands for output
(from SWIFTNet):
contain datetime stamps and a unique message input reference in block 2
RJE files with received messages contain messages that are:
received from your counterparties
returned by SWIFTNet, or the Alliance Lite server to indicate what happened with previously
sent messages:
FIN ACK
FIN NAK
pseudo-NAK messages
MT010, MT011, MT012, and MT019 messages
Example 1
The following example file contains two MT 999 messages to be sent:
{1:F01LITEBEBBAXXX0000000001}{2:I999LITEBEBBXXXXN}{4:
:20:TESTREF1
:79:This is text line 1
-}${1:F01LITEBEBBAXXX0000000004}{2:I999BANKDEFFX123U3}{4:
:20:TESTREF1
:79:Another example line 1
Example line 2
-}

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Sender - the (fictitious) BIC11 of the sending Alliance Lite customer is LITEBEBBXXX. Insert
"A" as the 9th character, to make LITEBEBBAXXX as sending Logical Terminal in header
block 1.
Receiver - the receiver of the first message is the same Alliance Lite customer (sent to
himself). The receiver of the second message is a fictitious bank with BANKDEFF123 as
BIC11. Always insert "X" as the 9th character, to make LITEBEBBXXXX or BANKDEFFX123
as receiver in header block 2.
The session number (4 digits) and sequence number (6 digits) in header block 1 can use any
dummy value when putting the message in an RJE file. The session and sequence number
are allocated when the message is sent on FIN, and are visible in the copy of the sent
message that is returned in the ACK.
In header block 2, after the receiver BIC, the message delivery options are indicated. Use
one of the following:
N - message is sent with normal priority, no delivery notification is requested
N2 - message is sent with normal priority, delivery notification is requested. This means
that an MT 011 delivery notification message is returned by SWIFTNet, when the message
is delivered successfully to the intended recipient.
U3 - message is sent with urgent priority, delivery notification is requested (see N2), and
overdue delivery warning is requested. This means that SWIFTNet returns an MT 010
overdue delivery warning if SWIFTNet can not deliver the message to the receiver within
15 minutes of sending for example, because the receiver was offline.
Example 2
{1:F01SAAJBEBBAXXX0000000001}{2:I103SAAJBEBBXXXXN2}{3:{108:ACK
{4:
:20:TEST000001
:23B:CRED
:23E:SDVA
:23E:INTC
:23E:CORT
:23E:PHOB
:23E:TELE
:23E:PHOI
:26T:AAA
:32A:001118USD3,34
:33B:DEM3,34
:36:1,3456789012
:50A:/34x
SALABEBB
:52A:/C/34x
SALABEBB
:53D:/D/34x
4X35x
:54B:/C/34x
35x
:55B:/C/34x
35x
:56A:/C/34x
SALABEBB
:57A:/C/34x
SALABEBB
:59:4X35x
:70:35x
3X35x
:71A:OUR
:71G:USD1,34
56

MT103 0004}}

Installation and User Guide

File Examples

:72:/AAAAAAAA/25x
/A/32x
//33x
/A/x
//x
//x
:77B:35x
2X35x
-}${1:F01SAAJBEBBAXXX0000000002}{2:I199SAAJBEBBXXXXN}{3:{108:ACK
MT199
0198}}{4:
:20:TEST000002
:21:x
:79:ZZZZZZZZZZZZZZZZZZZZ
-}${1:F01SAAJBEBBAXXX0000000003}{2:I206SAAJBEBBXXXXN}{3:{108:ACK
MT206
0021}}{4:
:20:TEST000003
:28E:12345/MORE
:23E:TRAV
:52A:SALABEBB
:44A:ABCDEFGHIJKLMNOPQRSTUVWXYZ-1234567890abcdefghijklmnopqrstuvwxyz12
:21D:01/456-7890-AB-1234567890
:32J:15,
:58A:SALABEBB
:57A:SALABEBB
:19:15,
-}${1:F01SAAJBEBBAXXX0000000004}{2:I341SAAJBEBBXXXXN}{3:{108:ACK
MT341
0037}}{4:
:15A:
:20:TEST000004
:22A:SETT
:22C:XXXXXX1234XXXXXX
:23D:FIXEDFLOAT
:82A:SALABEBB
:87A:SALABEBB
:15B:
:30T:20000101
:32B:ZAI666,2
:30F:20030314
:30P:20000101
:37M:N1,3456789012
:15C:
:37R:N12345678901,
:34E:NUSD123456789012,45
:57A:SALABEBB
-}${1:F01SAAJBEBBAXXX0000000005}{2:I410SAAJBEBBXXXXN}{3:{108:ACK
MT410
0048}}{4:
:20:TEST000005
:21:X
:32A:940930USD1,12
:72:/AAAA1234/
-}

10.2

FileAct Companion Parameter File

Overview
The companion parameter file contains the FileAct routing information for the associated data
file.
The file name of the parameter file is the file name of the data file followed by the
extension .par. The structure of the parameter file is a JAVA properties file, also called a
"tag=value" text file.

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AutoClient 2.0.1 for Alliance Lite 2.0

10.2.1 Emission .par File


10.2.1.1 Parameters
Parameters available in an emission .par file
Parameter file tag

Description

Mandatory field?

Maximum length or
allowed values

Responder

Responder DN

Yes

100

Service

Service Name

Yes

30

RequestType

RequestType

Yes

30

TransferDescription

Transfer Description

No

256

TransferInfo

Transfer Info

No

256

FileDescription

File Description

No

256

FileInfo

File Info

Yes

256

NonRepudiation

Non-repudiation

No

TRUE or FALSE

Sign

Signed

No

TRUE or FALSE

Priority

Urgent

No

Urgent or Normal

AckIndicator

Request Delivery Notification

No

TRUE or FALSE

AckResponder

Delivery Notification Receiver


DN

No

100

AckRequestType

Delivery Notification Request


Type

No

30

10.2.1.2 Emission .par File Example


Code
Responder=o=bankbebb,o=swift
Service=swift.generic.fa
RequestType=camt.9012.001.001
TransferDescription=file transfer description
TransferInfo=file info
FileDescription=file description
FileInfo=content
NonRepudiation=TRUE
Sign=TRUE
AckIndicator=TRUE
AckResponder=o=bankbeff,o=swift
AckRequestType=ack.9012.001.001
Priority=Urgent

58

Installation and User Guide

File Examples

10.2.2 Reception .par File


10.2.2.1 Parameters
Parameters available in a reception .par file
Parameter name

Type

Length or allowed values

SwiftTime

DateTime

ISO 8601 datetime format

NonRep

Boolean

string matches "FALSE" | "TRUE"

SNLId

String

string length <= 30

SNLEP

String

string length <= 15

DeliveryTime

DateTime

ISO 8601 datetime format

MsgId

String

string length <= 40

Creationtime

DateTime

ISO 8601 datetime format

PDIndication

Boolean

string matches "FALSE" | "TRUE"

Requestor

UserDN

string length <= 100

Responder

UserDN

string length <= 100

Service

String

string length <= 30

RequestType

String

string length <= 30

Priority

String

string matches "Normal" | "Urgent"

RequestRef

String

string length <= 30

TransferRef

TransferRef

string length <= 30

TransferDescription

String

string matches any* length <= 256 octet

TransferInfo

String

string matches US ASCII* length <= 256

PossibleDuplicate

Boolean

string matches "FALSE" | "TRUE"

OrigTransferRef

String

string length <= 30

AckIndicator

Boolean

string matches "FALSE" | "TRUE"

AckResponder

UserDN

string length <= 100

AckRequestType

String

string length <= 30

LogicalName

Sw filename

FileDescription

String

string matches any* length <= 256 octet

FileInfo

String

string matches US ASCII* length <= 256

Size

integer <= 0

DigestAlgorithm

String

string matches "SHA-1" | "SHA-256"

DigestValue

String

string length <= 50

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AutoClient 2.0.1 for Alliance Lite 2.0

10.2.2.2 Reception .par File Example


Code
DigestValue=O3SoajDHlQP2l5pNW2NVZSHAFao=
SNLEP=swhq_epa2
Requestor=o=bankbebb,o=swift
TransferDescription=Transfer description
LogicalName=filename.pdf
Priority=Urgent
FileInfo=File info
MsgId=82cbb3db-8010-416c-84aa-c8f946352f83
AckIndicator=FALSE
TransferInfo=Transfer information
Service=swift.generic.fa
RequestRef=requestref001
SwiftTime=2008-04-10T06:43:00Z
TransferRef=SNL00209D11207810832045314S
Size=1000
PossibleDuplicate=FALSE
RequestType=camt.9012.001.001
FileDescription=File description
Responder=o=bankbeff,o=swift
SNLId=snl12345
DigestAlgorithm=SHA-1

10.3

FileAct Report Files

10.3.1 Parameters
Parameters present in FileAct report files
Parameter name

60

Type

Description

Presence or value indication


.ok

.dlv

.err

Value is
Delivery

Value is
Error

ReportStatus

String
matches
"Success" |
"Delivery" |
"Error"

Report name

Value is
Success

Requestor

UserDN
length <= 100

Distinguished
Name of the
requestor (the
initiator) of the file
transfer

Present in all reports

Responder

UserDN
length <= 100

Distinguished
Name of the
organisation to
which the file is
transferred

Present in all reports

Service

String
length <= 30

Name of the
business service
used for the file
transfer

Present in all reports

RequestType

String
length <= 30

A specific function Present in all reports


within the service
being provided

Installation and User Guide

File Examples

Parameter name

Type

Description

Presence or value indication


.ok

.dlv

.err

Security

String
length <= 100

Distinguished
Name used to
secure the file
transfer

Present in all reports

TransferDescription

String
matches any*
length <= 256
octet

Information about
the file transfer
provided by the
sender

Present in all reports

TransferInfo

String
matches US
ASCII* length <=
256

Structured data
that the receiver
can use to
automate the file
transfer
processing

Present in all reports

RequestReference

String
length <= 30

Additional
reference
information about
the transfer, such
as date, ID
number, or
reference code

Present in all reports

PhysicalName

String
length <= 254

Physical name of
the file (full path)

Present in all reports

LogicalName

String
length <= 254

Logical name of
the file

Present in all reports

FileDescription

String
matches any*
length <= 256
octet

User information
Present in all reports
about the file (free
text)

FileInfo

String
matches US
ASCII* length <=
256

Structured data
that the receiver
can use to
automate the file
processing

Present in all reports

Size

Integer >= 0

Size of the file

Present in all reports

Value

String
length <= 50

Value of the
digest

Present in all reports

Algorithm

String
matches
"SHA-1" |
"SHA-256"

Name of the
digest algorithm

Present in all reports

HeaderInfo

String

Indicates whether
a request
contained
enhanced header
information

Present in all reports. Value is always No.

TransferRef

TransferRef
length <= 30

See "Process for


Receiving FileAct
Files" on page 46

Present in all reports

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Parameter name

Type

Description

Presence or value indication


.ok

62

.dlv

.err

MsgId

String
length <= 40

Unique file
identifier,
automatically
created at the
time of file
transfer

Present in all reports

DeliveryMode

String
matches
"RealTime" |
"SnF"

File transfer
delivery mode

Present in all reports. Value is always


"RealTime"

TransferDirection

String
matches
"Incoming" |
"Outgoing"

TransferStatus

String
matches
"Ongoing" |
"Completed" |
"Rejected" |
"Aborted" |
"Failed" |
"Unknown"

File transfer
delivery status

StartTime

DateTime
length <= 20

Local date and


time when the file
transfer started

StateTime

DateTime
length <= 20

Time of last status Present in all reports


change in the file
transfer

StopReason

String
matches US
ASCII* length <=
256

Details about the


reason why a file
transfer failed

Present in all reports

StopDetails

Any String

Details about the


reason why the
file transfer failed.
This is a dump of
SwGbl:Status
received from snl
(tags are
escaped)

Present in all reports

PossibleDuplicate

Boolean
matches
"FALSE" |
"TRUE"

Indicates whether
the file transfer is
a possible
duplicate

Present in all reports

AckIndicator

Boolean
matches
"FALSE" |
"TRUE"

Indicates whether
the client
application
requested file
transfer adapter
to send a delivery
notification

Present in all reports

Priority

String

Priority of the file


transfer. Possible

Present in all reports

Present in all reports. Value is always


"Outgoing"

Not present
in .dlv
reports

Present in all reports

Installation and User Guide

File Examples

Parameter name

Type

Description

Presence or value indication


.ok

.dlv

.err

matches
"Normal" |
"Urgent"

values are Normal


or Urgent.

NRIndicator

Boolean
matches
"FALSE" |
"TRUE"

Indicates whether
SWIFT keeps a
formal record of
the file transfer
event for future
reference

Present in all reports

SignIndicator

Boolean
matches
"FALSE" |
"TRUE"

Indicates whether
the file is signed

Present in all reports

AckTime

DateTime
length <= 20

Time when the


Not present
acknowledgement
to the file transfer
was received

Only present Not present


in .dlv
reports

Status

String
matches
"Accepted" |
"Rejected" |
"Duplicated"

Indicates whether
the file was
accepted or
rejected. Possible
values are
Accepted,
Rejected,
Duplicated.

Not present

Only present Not present


in .dlv
reports

AckDescription

String
matches any*
length <= 256
octet

Indicates why the


application
accepted or
rejected the file
(free text)

Not present

Only present Not present


in .dlv
reports

AckInfo

String
matches US
ASCII* length <=
256

Indicates why the


application
accepted or
rejected the file.
Structured data
that the server
can analyse.

Not present

Only present Not present


in .dlv
reports

Code

String

Code of the error

Not present

Not present

Only
present
in .err
reports
generated
before
transfer to
FileAct

Reason

String

Error description

Not present

Not present

Only
present
in .err
reports
generated
before
transfer to
FileAct

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10.3.2 .ok File


10.3.2.1 Emission
Example
RequestReference=requestref001
HeaderInfo=No
Security=cn=liteuser,o=bankbebb,o=swift
Requestor=o=bankbebb,o=swift
TransferDescription=Transfer description
StateTime=2009-04-10T09:35:35Z
Priority=Normal
MsgId=e5cf44e9-5e59-4ac7-b59d-5256e48c8c14
NRIndicator=FALSE
AckIndicator=TRUE
TransferInfo=transfer information
Service=swift.generic.fa
StartTime=2009-04-10T09:35:31Z
TransferRef=SNL00209D11207820131339514C
DeliveryMode=RealTime
SignIndicator=FALSE
PossibleDuplicate=FALSE
TransferDirection=Outgoing
RequestType=camt.9012.001.001
TransferStatus=Completed
Responder=o=bankbeff,o=swift

10.3.2.2 Reception
Example
RequestReference=requestref001
HeaderInfo=No
Security=cn=liteuser,o=bankbebb,o=swift
Requestor=o=bankbebb,o=swift
TransferDescription=Transfer description
StateTime=2009-04-10T09:35:35Z
Priority=Normal
MsgId=e5cf44e9-5e59-4ac7-b59d-5256e48c8c14
NRIndicator=FALSE
AckIndicator=TRUE
TransferInfo=transfer information
Service=swift.generic.fa
StartTime=2009-04-10T09:35:31Z
TransferRef=SNL00209D11207820131339514S
DeliveryMode=RealTime
SignIndicator=FALSE
PossibleDuplicate=FALSE
TransferDirection=Incoming
RequestType=camt.9012.001.001
TransferStatus=Completed
Responder=o=bankbeff,o=swift

64

Installation and User Guide

File Examples

10.3.3 .dlv File (Emission)


Example
Status=Accepted
TransferDescription=Transfer description
StateTime=2008-04-10T09:36:03Z
Priority=Normal
NRIndicator=FALSE
TransferInfo=Transfer information
Service=swift.generic.fa
TransferRef=SNL00209D11207820162340877C
AckTime=2009-04-10T09:18:32Z
SignIndicator=FALSE
PossibleDuplicate=FALSE
RequestType=camt.9012.001.001
Responder=o=bankbeff,o=swift
HeaderInfo=No
RequestReference=requestref001
Security=cn=liteuser,o=bankbebb,o=swift
Requestor=o=bankbebb,o=swift
MsgId=2f55098d-f3a3-4fc5-a292-0120118bea64
AckIndicator=TRUE
AckDescription=Delivery Notification message generated by user
StartTime=2009-04-10T09:36:02Z
DeliveryMode=RealTime
TransferDirection=Outgoing

10.3.4 .err File (Emission)


Example
RequestReference=requestref001
Security=cn=liteuser,o=bankbebb,o=swift
Requestor=o=bankbebb,o=swift
TransferDescription=Transfer description
StateTime=2008-04-09T10:56:05Z
Priority=Normal
MsgId=c144a6ca-8bec-4c35-b622-ce13868040cc
NRIndicator=FALSE
AckIndicator=TRUE
TransferInfo=transfer information
Service=swift.generic.fa
StartTime=2008-04-09T10:56:04Z
TransferRef=SNL00209D11207738564663183C
DeliveryMode=RealTime
SignIndicator=TRUE
StopReason=The file cannot be opened for read.
PossibleDuplicate=FALSE
TransferDirection=Outgoing
RequestType=camt.9012.001.001
Responder=o=bankbeff,o=swift
TransferStatus=Failed

10.4

CSV File

Overview
To send certain types of MT or MX messages, you can upload CSV (comma separated values)
files with Alliance Lite, and Alliance Lite will transform the lines in these CSV files into messages
(MT or MX), and send them as properly formatted MT or MX messages over SWIFTNet.

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AutoClient 2.0.1 for Alliance Lite 2.0

10.4.1 Message Types Allowed


Message types
The following message types can be uploaded in CSV format:
For Funds Distributors
Funds Orders Subscription MX (setr.010)
Funds Orders Redemption MX (setr.004)
Funds Orders Switch MX (setr.013)
For Funds Transfer Agents or Funds Administrators
Funds Statuses MX (setr.016)
Funds Confirmations MX (setr.006, setr.012, setr.015)
Funds Statements of Holdings MX (semt.002, semt.003)
For Investment Managers, Broker, or Dealers
Securities Settlement Instructions MT (MT 540, MT 541, MT 542, MT 543)
For more information and examples about uploading CSV files, refer to the Alliance Lite CSV
File Upload Guide.

66

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Appendix A

Bank Codes and Field Tag Information


A.1

Built in Bank Codes


Built in BIC Directory and other bank codes
Alliance Lite has a built-in directory of codes that can be used to identify financial institutions or
corporates on SWIFT. These are the financial institution BICs, non-financial institution BICs,
national and international clearing codes, as published in SWIFT's BICPlusIBAN Directory. For
example, Alliance Lite contains the international CHIPS Universal Identifiers, and national
clearing codes of more than 50 countries, including the US (ABA/ Fedwire) codes, Swiss SIC/
BC codes, German Bankleitzahl codes, United Kingdom Sort codes, and so on.
When entering a Bank Code in Alliance Lite screens, Alliance Lite allows you to select the type
of bank code from a drop-down.
By default, this drop-down is set to SWIFT, to allow entry or selection of a BIC. The user can
then enter a BIC11 manually, or click ... to select a BIC11 from the entire BIC Directory.
If a BIC is entered manually, then it is looked up in the BIC Directory, and if found, its name and
address are shown. Similarly, if a BIC is selected from the built-in directory, its name and
address are shown. This allows a visual check against accidentally typing or selecting the wrong
BIC. Only the BIC, not its name and address, are put in the message, as this is recommended
in SWIFT messages to allow straight-through processing.
Note

An 8-character BIC can not be entered, it must be an 11-character BIC. You can
type in XXX as the branch code, to convert a BIC8 to a BIC11. For example, type
ABXXDEFFXXX instead of ABXXDEFF.

The built-in national clearing codes are indicated in the drop-down with their country code (for
example, AT for Austria, DE for Germany, CH for Switzerland).
In SWIFT messages, a National Clearing Code is not always prefixed by its country code, the
exceptions are:
Bank code drop-down
(country code)

Country

Prefix in SWIFT
message

Code name

CA

Canada

CC

Canadian Payments
Association Payment Routing
Number

CH

Switzerland

SW

Swiss SIC/BC code

CHIPS

(international)

CH

CHIPS Universal Identifier

DE

Germany

BL

German Bankleitzahl

GB

Great Britain

SC

UK Sort code

US

USA

FW

ABA/Fedwire code

In SWIFT messages, it is always preferred to use a SWIFT code (BIC), if one is available,
instead of a (inter)National Clearing Code. Therefore, Alliance Lite automatically converts the
clearing code to a BIC, and put the BIC in the message, if the user has selected a National
Clearing Code for which a BIC is also known.
In the rare case where a bank code must be entered that is not part of the built-in directory:
19 November 2010

67

AutoClient 2.0.1 for Alliance Lite 2.0

it does not matter which type of bank code is selected in the drop-down
enter the bank code manually, preceded by a single slash / character. After the slash, put the
correct prefix for this type of code as required in SWIFT messages. For example, Russian
codes must be prefixed by RU, Swiss codes must be prefixed by SW, and so on. The
standardised prefixes are documented in the User Handbook, Standards MT, for the relevant
MT and field.
a warning message appears to say that you entered an unknown code (to prevent accidental
typing mistakes).
you must enter a Name and at least one Address line, plus the country. This ensures that the
receiver of the message can understand which bank you intended to specify, even if the bank
code that you entered turns out to be unknown by the receiver.
Example: in Beneficiary's Bank of the MT 103, leave SWIFT as bank code type, and then
type /RU12345 in the code field, and type Test bank in the Name, and Test address in
Address.
In some messages, and fields, the bank code drop-down allows "FW" and "RT" as choices:
FW followed by a BIC means "Pay this BIC by Fedwire". It indicates to the receiver that the
specified bank must be reached over the Fedwire network.
RT followed by a BIC means "Pay this BIC by (domestic) Real Time Gross Settlement
System". This is a binding instruction to the receiver.
In some messages, and fields, the bank code drop-down contains "Other" as a choice. If "Other"
is selected, then the user can enter freely a code, or a name, or an address. "Other" must only
be used in very rare cases. It is always mapped to option "D" of the field. If "Other" is selected,
and nothing is entered in code, name, address, then the field is absent from the message.

A.2

Field Tag Information


Overview
This section provides reference information for the field tags of a message type. It allows you to
map the field descriptions you see on the Alliance Lite Web interface with the tags used in the
FIN Standards MT message format.

A.2.1

Payments - Request for Transfer (MT 101)

How to enter Request for Transfer fields in Alliance Lite screens:


Mandatory sequence A - General Information
Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

20

Sender's
Reference

Required
tab

Message
Identification
block

Sender's
Ref

If not entered, then this mandatory field is


automatically set to a unique value (TNum). If
entered, then the entered value overrules the
Tnum.

21R

Customer
Specified
Reference

AutoClient only - this field would typically be


used in case multiple payments are part of the
same MT 101, to give one overall reference

68

Comment

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Standards MT

Alliance Lite web interface

Comment
different from the sender's reference. Multiple
payments in same MT 101 can be entered
through AutoClient.

28D

Message Index/
Total

Automatically set to: 28D:1/1 - not displayed.


This field is only used in case multiple MT 101
messages are chained together. This can be
done through AutoClient.

50C

Instructing party
(BEI format)

AutoClient only - on the screen, 50L can be


entered

50L

Instructing party Required


(text format)

Instructin
g party

This field is only open for input if the checkbox


"Debit Party is Instructing party" is unticked.

50F

Ordering
customer
(structured
format)

AutoClient only - on the screen, 50H can be


entered

50G

Ordering
customer (BIC/
BEI format)

AutoClient only - on the screen, 50H can be


entered

50H

Ordering
customer
(account,
name, and
address format)

Select the Account Number from the set of


accounts that your Alliance Lite administrators
have defined. The Name and Address of the
account's owner, as defined by the administrator
and as they are put in field 50H, are shown in
the Optional tab, Debit Account Details. The
Account Number, Name, and Address are
defined by the administrator in Admin > Setup >
Account > Add or Modify.

Debit Account

Required

Debit Account

Account
Number

Optional

(Debit Account
Details)

(Name &
Address)
(display
only)

52A

Account
Servicing
Institution (BIC
format)

AutoClient only - on the screen, the receiver of


the MT101 is the account servicing institution.

52C

Account
Servicing
Institution
(clearing code
format)

AutoClient only - on the screen, the receiver of


the MT 101 is the account servicing institution

30

Requested
Execution Date

25

Authorisation

Note

19 November 2010

Required

Amount &
Dates

Requeste
d
Execution
Date
-

AutoClient only

Only one occurrence of Sequence B can be entered on the screen. Multiple


occurrences of Sequence B (multiple payments in same MT 101) can be entered
through AutoClient.

69

AutoClient 2.0.1 for Alliance Lite 2.0

Mandatory Sequence B - Transaction Details


Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

21

Transaction
Reference

Automatically set to same


value as field 20. Can be
overruled through
AutoClient

Field 21 only must be set differently from field 20


if there are multiple payments in the same
MT101. This can be entered through AutoClient.

21F

F/X Deal
Reference

Required

Amount &
Dates

Contract
ID

Contract ID is only shown when currency of


Credit Amount is changed by the user to be
different from the currency of the selected Debit
Account.

23E

Instruction
Code

Optional

Instructions

Processin Max. 4 processing instructions can be entered


g
through GUI. If more than 4 are required, then
Instructio use AutoClient.
ns

32B

Currency/
Transaction
Amount

Required

Amount &
Dates

Credit
Amount

The currency of the Credit Amount is


automatically set to the currency of the selected
Debit Account, but can be changed to a different
currency.

50C

Instructing
Party

See Sequence A. Can only be set in Sequence


B through AutoClient

50L

Instructing
Party

See Sequence A. Can only be set in Sequence


B through AutoClient

50F

Ordering
Customer

See Sequence A. Can only be set in Sequence


B through AutoClient

50G

Ordering
Customer

See Sequence A. Can only be set in Sequence


B through AutoClient

50H

Ordering
Customer

See Sequence A. Can only be set in Sequence


B through AutoClient

52A

Account
Servicing
Institution

AutoClient only. On the screen, the receiver of


the MT101 is the account servicing institution.

52C

Account
Servicing
Institution

AutoClient only. On the screen, the receiver of


the MT 101 is the account servicing institution.

56A

Intermediary
(BIC format)

Optional

Intermediary
Bank

Bank
Code

Bank code type drop-down must be set to


SWIFT. A BIC must be entered or selected from
the BIC Directory. For known BICs, their Name,
Address and Country are displayed for
convenience.

56C

Intermediary
(clearing code
format)

Optional

Intermediary
Bank

Bank
Code

Bank code type drop-down must not be set to


SWIFT. A clearing code must be entered or
selected from the directory. For known codes,
their Name, Address and Country are displayed
for convenience.

56D

Intermediary
(name, and
address format)

Optional

Intermediary
Bank

Bank
Code
Name
Address
1
Address
2

If an entered BIC or clearing code is unknown,


then the user must enter at least the bank name
and 1 address line, and all this is put in field
56D. This is to make sure that the institution
receiving the message can correctly determine
the correct bank when the BIC or clearing code
is actually wrong.

70

Block

Comment
Field
name

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Standards MT

Alliance Lite web interface

Field
tag

Tab

Field name
(and format)

Block

Comment
Field
name
Address
3 Country

57A

Account with
Institution (BIC
format)

Required

Beneficiary
Bank

Bank
Code

Bank code type drop-down must be set to


SWIFT. A BIC must be entered or selected from
the BIC Directory. For known BICs, their Name,
Address and Country are displayed for
convenience.

57C

Account with
Institution (BIC
format)

Required

Beneficiary
Bank

Bank
Code

Bank code type drop-down must not be set to


SWIFT. A clearing code must be entered or
selected from the directory. For known codes,
their Name, Address and Country are displayed
for convenience.

57D

Account with
Institution
(name, and
address format)

Required

Beneficiary
Bank

Bank
Code
Name
Address
1
Address
2
Address
3 Country

If the BIC or clearing code is unknown, then the


user must enter at least the bank name and 1
address line, and all this is put in field 56D. This
is to make ensure that the institution receiving
the message can correctly determine the correct
bank when the BIC or clearing code is actually
wrong.

59

Beneficiary

Required

Beneficiary

Account
Number
Name
Address
1
Address
2
Address
3

59A

Beneficiary
(BIC format)

70

Remittance
Information

Optional

Instructions

Informati
on for
Beneficia
ry
(Remittan
ce Info.)

77B

Regulatory
Reporting

Optional

Instructions

Regulator
y
Reporting

33B

Currency/
Original
Ordered
Amount

Required

Amount &
Dates

Debit
Amount

71A

Details of
Charges

Required

Amount &
Dates

Charges

25A

Charges
Account

19 November 2010

AutoClient only. On the screen, 59 can be


entered.

The Debit Amount field is only shown if the


currency of the Credit Amount is changed by the
user to be different from the currency of the
selected Debit Account, for example, for a crosscurrency payment. The Debit Amount's currency
is always identical to the Debit Account's
currency.

AutoClient only

71

AutoClient 2.0.1 for Alliance Lite 2.0

Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

36

Exchange Rate

Required

Amount &
Dates

Exchang
e Rate

A.2.2

Comment

The Exchange Rate field is only shown if the


currency of the Credit Amount is changed by the
user to be different from the currency of the
selected Debit Account, for example, for a crosscurrency payment.

Payments - Customer Transfer (MT 103)

How to enter Customer Transfer (MT 103) fields in Alliance Lite screens:
Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

20

Sender's
Reference

Required

Message
Identification

Sender's
Ref

If not entered, then this field is automatically set


to a unique value (TNum). If entered, the
entered value overrules the TNum.

13C

Time Indication

AutoClient only.

23B

Bank Operation
Code

Automatically set to: 23B:CRED - not displayed.


Other values can be entered through AutoClient.

23E

Instruction
Code

26T

Transaction
Type Code

32A

Value Date/
Currency/
Interbank
Settled Amount

Required

33B

Currency/
Instructed
Amount

36

Exchange Rate

72

Optional

Instructions

Comment

Processin Max. 4 processing instructions can be entered


g
through GUI. If more than 4 are required, then
Instructio use AutoClient.
ns
-

AutoClient only.

Amount &
Dates

Amount
or
Interbank
Settled
Amount
(debit)
Value
Date

By default, a single Amount field is shown, and


this Amount field is mapped to both 32A, and
33B. Only if Sender's or Receiver's charges are
entered, or currency of Amount is changed by
the user to be different from the currency of the
Sender's Account, then 2 amount fields are
shown: an Instructed Amount (credit) and
Interbank Settled Amount (debit) instead of
Amount.
The Interbank Settled Amount is calculated from
the entered Instructed Amount, taking into
account Exchange Rate and charges, unless
user disables calculation. Calculation is as per
Standards MT, Category 1, MT 103, Usage
Rules for Amount Related Fields.

Required

Amount &
Dates

Amount
or
Instructed
Amount
(credit)

By default, an Amount field is shown, and this


Amount field is mapped to both 32A, and 33B.
Only if Sender's or Receiver's charges are
entered, or currency of Amount is changed to be
different than currency of the Sender's Account,
then show both Instructed Amount (credit) and
Interbank Settled Amount (debit) instead of
Amount.

Required

Amount &
Dates

Exchang
e Rate

The Exchange Rate field is only shown if the


currency of Amount is changed to be different
from the currency of the selected Sender's

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Standards MT

Alliance Lite web interface

Field
tag

Tab

Field name
(and format)

Block

Comment
Field
name
Account. When shown, it is mandatory, unless
user selects "disable calculation".

50A

Ordering
Customer (BIC
format)

AutoClient only - on the screen, 50K can be


entered

50F

Ordering
Customer
(structured
format)

AutoClient only - on the screen, 50K can be


entered

50K

Ordering
Customer
(account,
name, and
address format)

Optional

Originator

Name
Account/
ID
Address
1
Address
2
Address
3 Country

If "Account at Receiver" checkbox is ticked in


"Sender's Account to be debited", then
Originator is auto-prefilled with owner of this
account, or left empty. The user can overrule
this. The account and owner of this account are
defined by the Alliance Lite administrator in
Admin > Setup > Account > Add or Modify

52A

Ordering
Institution (BIC
format)

Optional

Originator's
Bank

Bank
Code

This field must only be entered, if the sending


Alliance Lite user is sending or forwarding the
MT 103 on behalf of another institution.

52D

Ordering
Institution
(name, and
address format)

Optional

Originator's
Bank

Bank
Code
Name
Address
1
Address
2
Address
3 Country

This field only must be entered, if the sending


Alliance Lite user is sending or forwarding the
MT 103 on behalf of another institution.

53A

Sender's
Correspondent
(BIC format)

Optional

Sender's
Correspondent
Bank

Bank
Code

Field open for input if "Account at Receiver"


checkbox is unticked in "Sender's Account to be
debited". Bank code type drop-down must be set
to SWIFT. A BIC must be typed in Bank Code,
or selected from the BIC Directory. For known
BICs, their Name, Address and Country are
displayed for convenience.

53B

Sender's
Correspondent
(account)

Required

Sender's
Account to be
Debited

Account
Number

If "Account at Receiver" checkbox is ticked in


"Sender's Account to be debited", then the
selected Account Number is put in field 53B.
Note: if a branch location name must also be
specified in 53B, then AutoClient must be used.

53D

Sender's
Correspondent
(name, and
address format)

Optional

Sender's
Correspondent
Bank

Bank
Code
Name
Address
1
Address
2
Address
3 Country

Field by default not open for input (greyed out).


Open for input if "Account at Receiver" checkbox
is unchecked. If the user selects Other as Bank
Code type, then the entered Bank Code
(preceded by a single slash), Name, Address,
and Country are put in 53D.

54A

Receiver's
Correspondent
(BIC format)

Optional

Receiver's
Correspondent
Bank

Bank
Code

Field open for input if "Account at Receiver"


checkbox is unticked in "Sender's Account to be
debited". Bank code type drop-down must be set
to SWIFT. A BIC must be entered in Bank Code,

19 November 2010

73

AutoClient 2.0.1 for Alliance Lite 2.0

Standards MT

Alliance Lite web interface

Field
tag

Tab

Field name
(and format)

Block

Comment
Field
name
or selected from the BIC Directory. For known
BICs, their Name, Address and Country are
displayed for convenience.

54B

Receiver's
Correspondent
(account)

AutoClient only - on the screen, 54A or 54D can


be entered.

54D

Receiver's
Correspondent
(name, and
address)

Bank
Code
Name
Address
1
Address
2
Address
3 Country

Field open for input if "Account at Receiver"


checkbox is unticked in "Sender's Account to be
debited". If the user selects Other as Bank Code
type, then the entered Bank Code (preceded by
a single slash), Name, Address, and Country are
put in 54D.

55a

Third
Reimbursement
Institution

AutoClient only.

56A

Intermediary
Institution (BIC
format)

Optional

Intermediary
Bank

Bank
Code

Bank code type drop-down must be set to


SWIFT. A BIC must be entered in Bank Code, or
selected from the BIC Directory. For known
BICs, their Name, Address and Country are
displayed for convenience.

56C

Intermediary
Institution
(clearing code
format)

Optional

Intermediary
Bank

Bank
Code

Bank code type drop-down must not be set to


SWIFT or Other. A clearing code must be
entered or selected from the directory. For
known codes, their Name, Address and Country
are displayed for convenience.

56D

Intermediary
Institution
(name, and
address format)

Optional

Intermediary
Bank

Bank
Code
Name
Address
1
Address
2
Address
3 Country

If the user selects Other as Bank Code type,


then the entered Bank Code (preceded by a
single slash), Name, Address, and Country are
put in 56D.

57A

Account With
Institution (BIC
format)

Required

Beneficiary
Bank

Bank
Code

Bank code type drop-down must be set to


SWIFT, FW, or RT. A BIC must be entered in
Bank Code, or selected from the BIC Directory.
For known BICs, their Name, Address and
Country are displayed for convenience. FW is an
instruction that says "Pay this BIC by Fedwire"
RT is an instruction that says "Pay this BIC by
(domestic) Real Time Gross Settlement System"

57B

Account With
Institution
(location)

AutoClient only - on the screen, 57A, 57C, or


57D can be entered

57C

Account With
Institution
(clearing code
format)

Bank
Code

Bank code type drop-down must not be set to


SWIFT or Other. A clearing code must be
entered or selected from the directory. For
known codes, their Name, Address and Country
are displayed for convenience.

74

Optional

Required

Receiver's
Correspondent
Bank

Beneficiary
Bank

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

57D

Account With
Institution
(name, and
address format)

Required

Beneficiary
Bank

Bank
Code
Name
Address
1
Address
2
Address
3 Country

59

Beneficiary
Customer

Required

Beneficiary

Name
Account
Address
1
Address
2
Address
3 Country

59A

Beneficiary
Customer

70

Remittance
Information

Optional

Instructions

Informati
on for
Beneficia
ry
(Remittan
ce Info)

71A

Details of
Charges

Required

Amount &
Dates

Charges

Select from drop-down BEN, SHA, or OUR.


Default is SHA. If BEN is selected, then
Sender's Charges becomes mandatory (blue). If
OUR is selected, then Sender's Charges is
cleared and greyed out.

71F

Sender's
Charges

Required

Amount &
Dates

Sender's
Charges

only 1 occurrence can be entered

71G

Receiver's
Charges

Required

Amount &
Dates

Receiver'
s
Charges

currency of Receiver's Charges must be same


as currency of Interbank Settled Amount.

72

Sender to
Receiver
Information

Optional

Instructions

Bank to
Bank
Instructio
ns

Only 4 lines can be entered. If more than 4 are


required, then use AutoClient.

77B

Regulatory
Reporting

Optional

Instructions

Regulator
y
Reporting

77T

Envelope
Contents

19 November 2010

Comment

If the user selects Other as Bank Code type,


then the entered Bank Code (preceded by a
single slash), Name, Address, and Country are
put in 56D.

AutoClient only. On the screen, 59 can be


entered.

AutoClient only

75

AutoClient 2.0.1 for Alliance Lite 2.0

A.2.3

Payments - Institutional Transfer (MT 202)

How to enter Institutional Transfer (MT 202) fields in Alliance Lite screens:
Alliance Lite fields
Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

20

Transaction
Reference
Number

Required

Message
Identification

Sender's
Ref

21

Related
Reference

Required

Message
Identification

Related
Ref

13C

Time Indication

32A

Value Date,
Currency Code,
Amount

52a

Ordering
Institution

AutoClient only

53A

Sender's
Correspondent

AutoClient only

53B

Sender's
Correspondent

53D

Sender's
Correspondent

AutoClient only

54a

Receiver's
Correspondent

AutoClient only

56A

Intermediary
(BIC format)

Optional

Intermediary
Bank

Bank
Code

Bank code type drop-down must be set to


SWIFT. A BIC must be typed in Bank Code, or
selected from the BIC Directory. For known
BICs, their Name, Address and Country are
displayed for convenience.

56D

Intermediary
(name, and
address format)

Optional

Intermediary
Bank

Bank
Code
Name
Address
1
Address
2
Address
3 Country

Bank code type drop-down must not be set to


SWIFT. A clearing code must be entered or
selected from the directory. For known codes,
their Name, Address and Country are displayed
for convenience.

57A

Account With
Institution (BIC
format)

Required

Account With
Institution

Account
Bank
Code

Bank code type drop-down must be set to


SWIFT, FW, or RT. A BIC must be entered in
Bank Code, or selected from the BIC Directory.
For known BICs, their Name, Address and
Country are displayed for convenience. Entering
an Account is optional, and only possible if code
type is SWIFT. FW is an instruction that says
"Pay this BIC by Fedwire." RT is an instruction
that says "Pay this BIC by (domestic) Real Time
Gross Settlement System"

76

Comment

Required

Required

Amount &
Dates

Debit Account

If not entered, then this field is automatically set


to a unique value (TNum). If entered, the
entered value overrules the TNum.

AutoClient only

Credit
Currency is set to the currency of the selected
Amount
Debit Account
(Currency
) Value
Date

Account
Number

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

57B

Account With
Institution
(location)

57D

Account With
Institution
(account or
clearing code,
name, and
address)

Required

58A

Beneficiary
Institution (BIC
format)

58D

72

A.2.4

Block

Comment
Field
name
-

AutoClient only. On the screen, 57A or 57D can


be entered.

Account With
Institution

Account
Bank
Code
Name
Address
1
Address
2
Address
3 Country

Bank code type drop-down must not be set to


SWIFT. A clearing code must be entered or
selected from the directory. For known codes,
their Name, Address and Country are displayed
for convenience.

Required

Beneficiary
Institution

Account
Bank
Code

Bank code type drop-down must be set to


SWIFT. A BIC must be entered in Bank Code, or
selected from the BIC Directory. For known
BICs, their Name, Address and Country are
displayed for convenience. Entering an Account
is optional.

Beneficiary
Institution
(name, and
address)

Required

Beneficiary
Institution

Bank
Code
Name
Address
1
Address
2
Address
3 Country

Bank code type drop-down must not be set to


SWIFT. A clearing code must be entered or
selected from the directory. For known codes,
their Name, Address and Country are displayed
for convenience.

Sender to
Receiver
Information

Optional

Instructions

Sender to
Receiver
instructio
ns

Payments - Notice to Receive (MT 210)

How to enter Notice to Receive (MT 210) fields in Alliance Lite screens:
Alliance Lite fields
Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

20

Transaction
Reference
Number

Required

Message
Identification

Sender's
Ref

25

Account
Identification

Required

Credit Account

Account
Number

30

Value Date

Required

Amount & Date

Value
Date

21

Related
Reference

Required

Message
Identification

Related
Ref

19 November 2010

Comment

If not entered, then this field is automatically set


to a unique value (TNum). If entered, the
entered value overrules the TNum.

77

AutoClient 2.0.1 for Alliance Lite 2.0

Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

32B

Currency Code,
Amount

Required

Amount & Date

Credit
The currency is automatically set to the currency
Amount
of the selected Credit Account
(Currency
)

50

Ordering
Customer

Required

Ordering Party

Name
Address
1
Address
2
Address
3 Country

If the user has not ticked the "Ordering Party is a


Financial Institution" check box.

50C

Ordering
Customer

AutoClient only. On the screen, 50 can be


entered

50F

Ordering
Customer

AutoClient only. On the screen, 50 can be


entered

52A

Ordering
Institution

Bank
Code

Bank code type drop-down must be set to


SWIFT. A BIC must be entered in Bank Code, or
selected from the BIC Directory. For known
BICs, their Name, Address and Country are
displayed for convenience.

52D

Ordering
Institution

AutoClient only. On the screen, 52A can be


entered

56A

Intermediary

Optional

Intermediary
Bank

Bank
Code

Bank code type drop-down must be set to


SWIFT. A BIC must be entered in Bank Code, or
selected from the BIC Directory. For known
BICs, their Name, Address and Country are
displayed for convenience.

56D

Intermediary

Optional

Intermediary
Bank

AutoClient only. On the screen, 56A can be


entered

A.2.5

Required

Ordering Party

Comment

Foreign Exchange Confirmation (MT 300)

How to enter Foreign Exchange Confirmation (MT 300) fields in Alliance Lite screens:
Alliance Lite fields
Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

20

Sender's
Reference

Required

General

Customer
Referenc
e

This field specifies the reference number


assigned by the Sender to unambiguously
identify the message. If not entered, then this
field is automatically set to a unique value
(TNum). If entered, the entered value overrules
the TNum.

21

Related
Reference

Optional

General

Related
Referenc
e

This field contains the identification of the


message to which the current message is
related, that is, the sender's reference in field 20
of the previous message which is to be
amended or cancelled by this message.

78

Comment

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Standards MT

Alliance Lite web interface

Comment

Field
tag

Field name
(and format)

Tab

Block

Field
name

22C

Common
Reference

Required

General

Common
Referenc
e

22A

Type of
Operation

Required

General

Type of
This field specifies the function of the message.
Operation Allowed values:

A unique value that contains portions of the


Sender and Receiver BIC codes along with the
last few digits of the Exchange Rate.

New
Cancel
Amend
Duplicate
94A

Scope of
Operation

Optional

General

Scope of This field specifies the role of the Sender and


Operation the Receiver of the message in the execution of
the confirmed trade

Contract Type

Required

General

Contract
Type

Allowed values:
Spot
Forward
NDF
Used to assign a default value date for Spot.

17T

Block Trade
Indicator

Optional

Block
Trade
Indicator

This field specifies whether the confirmed deal is


a block trade and whether an MT 303 Forex/
Currency Option Allocation Instruction, will be
sent by the funds manager.

17U

Split Settlement
Indicator

Optional

Split
Settleme
nt
Indicator

This field specifies whether the amount is to be


settled as a whole or in several parts.

Account
Number

Required

Sender

Account
Number

Internal bank account number.

Account Name

Required

Sender

[Account]
Name

The account name is automatically set to the


selected account number, but can be changed
to a different account name.

Bank

Required

Sender

Bank

The Bank Code is automatically set to the


selected account number, but can be changed
to a different Bank Code.

Routing Code

Required

Sender

Routing
Code

BIC code for banks.

Bank Name

Required

Sender

[Bank]
Name

The Bank Name is automatically set to the


selected Bank Code, but can be changed to a
different Bank Code.

82A

Party A

Required

Sender

Instructin
g Party

The Client BIC Code is automatically set to the


User Group for the access ID and Account, but
can be changed to a different value.

83A

Account
Number

Optional

Account
Number

This field specifies the funds or beneficiary


customer.

19 November 2010

79

AutoClient 2.0.1 for Alliance Lite 2.0

Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

87A

Party B

Required

Receiver

Bank
Code

This field identifies party B.

33B

Currency,
Amount

Required

Receiving
Agent
Instructions:
Currency Sold

Currency
Amount
Sold

This field specifies the currency and amount


sold by party A. Allowed values are Amount and
Currency Code.

32B

Currency,
Amount

Required

Receiving
Agent
Instructions:
Currency
Bought

Currency
Amount
Bought

This field specifies the currency and amount


bought by party A. Allowed values are Amount
and Currency Code.

53A

Delivery Agent

Optional

Bank
Code

This field identifies the financial institution from


which the payer will transfer the amount bought.

57A

Receiving
Agent

Required

Bank
Code

This field identifies the financial institution and


account where the payee will receive the
amount bought.

58A

Beneficiary
Institution

Optional

Bank
Code

This field specifies the institution in favour of


which the payment is made.

36

Exchange Rate

Required

Exchang
e Rate

This field specifies the agreed exchange rate of


the transaction. It is the rate as the deal was
struck.

30T

Trade Date

Required

Trade
Date

This field specifies the date the transaction was


agreed between party A and party B.

30V

Value Date

Required

Value
Date

This field specifies the value date of the


transaction.

56A

Intermediary

Optional

Intermediary
Parties:
Currency Sold

Bank
Code

This field specifies the intermediary institution for


the transfer of the funds.

56A

Intermediary

Optional

Intermediary
Parties:
Currency Sold

Name

This field specifies the intermediary institution for


the transfer of the funds.

56A

Intermediary

Optional

Intermediary
Parties:
Currency
Bought

Bank
Code

This field specifies the intermediary institution for


the transfer of the funds.

56A

Intermediary

Optional

Intermediary
Parties:
Currency
Bought

Name

This field specifies the intermediary institution for


the transfer of the funds.

72

Sender to
Receiver
Information

Optional

Special
Instructions
Sender to
Receiver: TIME
or VENU

Sender to
Receiver
Line

TIME: Time at which the transaction was


concluded.
VENU: Venue where the transaction was
executed.

80

Amounts and
Dates

Comment

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

A.2.6

Fixed Loan or Deposit Confirmation (MT 320)

How to enter Fixed Loan or Deposit Confirmation (MT 320) fields in Alliance Lite screens:
Mandatory sequence A - General Information
Standards MT

Alliance Lite web interface

Comment

Field
tag

Field name
(and format)

Tab

Block

Field
name

20

Sender's
Reference

Required

Message
Identification
block

Sender's
Ref

If not entered, then this mandatory field is


automatically set to a unique value (TNum). If
entered, then the entered value overrules the
Tnum.

21

Related
Reference

Optional

Message
Identification
block

Related
Ref

This field contains the identification of the


message to which the current message is
related.

22A

Type of
Operation

Required

Transaction
Details

Type of
This field specifies the function of the message.
Operation

94A

Scope of
Operation

Optional

Transaction
Details

Scope of This field specifies the role of the Sender and


Operation the Receiver of the message in the conclusion of
the confirmed trade.

22B

Type of Event

Required

Transaction
Details

Type of
Event

This field specifies the event in the life of the


loan/deposit.

22C

Common
Reference

Required

Transaction
Details

Common
Referenc
e

This field contains a reference common to both


the Sender and the Receiver.

82A

Party A

Required

Entity

Bank
Code

This field identifies party A. Name and address


fields populated from BIC code table.

87A

Party B

Required

Counterparty

Bank
Code

This field identifies party B. Name and address


fields populated from BIC code table.

83A

Funds or
Instructing
Party

Optional

Funds or
Instructin
g Party

This field identifies the account information for


party A, the underlying funds or instructing
institution.

Mandatory Sequence B - Transaction Details


Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

17R

Party A's Role

Required

Transaction
Details

Deal
Type

This field specifies whether party A is the


borrower or the lender.

30T

Trade Date

Required

Transaction
Details

Trade
Date

This field specifies the date the original deal or


the rollover was agreed between party A and
party B.

30V

Value Date

Required

Transaction
Details

Value
Date

Date must be a valid date expressed as


YYYYMMDD

30P

Maturity Date

Required

Transaction
Details

Maturity
Date

This field specifies the latest agreed maturity


date, that is, the date on which the principal is to
be returned and the interest due.

19 November 2010

Comment

81

AutoClient 2.0.1 for Alliance Lite 2.0

Standards MT

Alliance Lite web interface

Comment

Field
tag

Field name
(and format)

Tab

Block

Field
name

32B

Principal
Amount/
Currency

Required

Transaction
Details

Principal
Amount

This field specifies the currency and contract


amount, that is, the amount on which the interest
specified in field 34E is calculated. For a new
confirmation (22B=CONF), this amount has to
be settled at value date.

32H

Amount to be
Settled

Optional

Transaction
Details

Amount
to be
Settled

For a rollover confirmation (22B=ROLL), this


field specifies the difference between the
previous and the new principal amount, with
interest included when interest is settled through
the same cash flow.
For a maturity confirmation (22B=MATU), this
field specifies the amount with optional interest
to be paid by the borrower at maturity date.

30X

Next Interest
Due Date

Optional

Transaction
Details

Next
Interest
Due Date

This field specifies the date the next interest is


due.

34E

Currency and
Required
Interest Amount

Transaction
Details

Interest
Amount

This field specifies:


for a new confirmation (22B=CONF), the first
interest amount
for a rollover confirmation (22B=ROLL), the
next interest amount
for a maturity confirmation (22B=MATU), the
final interest amount to be settled at maturity.

37G

Interest Rate

Required

Transaction
Details

Interest
Rate

This field specifies the interest rate.

14D

Day Count
Fraction

Required

Transaction
Details

Day
Count
Fraction

This field specifies the number of days which are


taken into account for the calculation of the
interest.

Mandatory Sequence C - Settlement Instructions for Amounts Payable to Party A


Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

53A

Delivery Agent

Optional

Bank
Code

This field identifies the financial institution from


which party A will transfer the funds.

86A

Intermediary 2

Optional

Bank
Code

This field identifies the second intermediary


institution for the transfer of the funds.

56A

Intermediary
(BIC format)

Optional

EntityIntermediary
Bank

Bank
Code

This field identifies the first intermediary


institution for the transfer of the funds.

57A

Receiving
Agent

Required

EntityReceiving Bank

Bank
Code

This field identifies the financial institution and


account where party B will receive the payment.

58A

Beneficiary
Institution

Optional

Bank
Code

This field specifies the institution in favour of


which the payment is made when different from
Party B.

82

Block

Comment
Field
name

Installation and User Guide

Appendix A - Bank Codes and Field Tag Information

Mandatory Sequence D- Settlement Instructions for Amounts Payable to Party B


Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

53A

Delivery Agent

Optional

Bank
Code

This field identifies the financial institution from


which party B will transfer the funds.

86A

Intermediary 2

Optional

Bank
Code

This field identifies the second intermediary


institution for the transfer of the funds.

56A

Intermediary
(BIC format)

Optional

CounterpartyIntermediary
Bank

Bank
Code

This field identifies the first intermediary


institution for the transfer of the funds.

57A

Receiving
Agent

Required

CounterpartyReceiving Bank

Bank
Code

This field identifies the financial institution and


account where party A will receive the payment.

58A

Beneficiary
Institution

Optional

Bank
Code

This field specifies the institution in favour of


which the payment is made when different from
party A.

Block

Comment
Field
name

Optional Sequence E- Additional Information


Standards MT

Alliance Lite web interface

Field
tag

Field name
(and format)

Tab

Block

Field
name

72

Sender to
Receiver
Information

Optional

Additional
Information

Sender to
Receiver
Informati
on

19 November 2010

Comment

This field specifies additional information for the


Receiver and applies to the whole messages.

83

AutoClient 2.0.1 for Alliance Lite 2.0

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84

Installation and User Guide