Connectivity

AutoClient 2.1
For Alliance Lite 2.1

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.

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AutoClient 2.1 for Alliance Lite 2.1

Table of Contents

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

2 Installation .......................................................................................................................................................... 6
2.1 System Requirements .............................................................................................................................. 6
2.2 Security Recommendations for AutoClient ........................................................................................... 7
2.3 Install AutoClient ..................................................................................................................................... 11
2.4 Uninstall AutoClient ................................................................................................................................. 18

3 Configuring AutoClient .............................................................................................................................. 20

3.1 Configuring Local Authentication .......................................................................................................... 20
3.2 Modifying Configuration Parameters .................................................................................................... 21
3.3 List of Configuration Parameters .......................................................................................................... 22

4 How AutoClient Works ............................................................................................................................... 25

4.1 Emission Directory .................................................................................................................................. 25
4.2 Reception Directory ................................................................................................................................ 26
4.3 Archive Directory ..................................................................................................................................... 29
4.4 Error Directory ......................................................................................................................................... 29
4.5 FileAct Delivery Notification ................................................................................................................... 30

5 Running AutoClient ..................................................................................................................................... 31

5.1 Starting AutoClient .................................................................................................................................. 31
5.2 Monitoring the Status of AutoClient ...................................................................................................... 32
5.3 Stopping AutoClient ................................................................................................................................ 33

6 Sending Files .................................................................................................................................................. 35

6.1 FIN Message Files .................................................................................................................................. 35
6.2 FileAct Files .............................................................................................................................................. 39
6.3 CSV Files .................................................................................................................................................. 41
6.4 Local Authentication Files ...................................................................................................................... 45
6.5 Local Test Mode Process ...................................................................................................................... 46
6.6 Approval of Autoclient Messages and Files ........................................................................................ 46

7 Receiving Files ............................................................................................................................................... 47

7.1 Process for Receiving FIN Messages .................................................................................................. 47
7.2 Process for Receiving FileAct Files ...................................................................................................... 48
7.3 Process for Receiving CSV Files .......................................................................................................... 49

8 Monitoring File Transfers .......................................................................................................................... 51

9 List of Errors ................................................................................................................................................... 52

9.1 Errors When Uploading Files to the Alliance Lite Server .................................................................. 52
9.2 Pseudo NAK Errors ................................................................................................................................. 53
9.3 CSV NAK Codes ..................................................................................................................................... 54

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10 File Examples ................................................................................................................................................. 57

10.1 FIN Message File .................................................................................................................................... 57
10.2 FileAct Companion Parameter File ...................................................................................................... 62
10.3 FileAct Report Files ................................................................................................................................. 65
10.4 CSV File .................................................................................................................................................... 70
.Appendix A Bank Codes and Field Tag Information .................................................................................72
A.1 Built in Bank Codes ................................................................................................................................. 72
A.2 Field Tag Information .............................................................................................................................. 73
.Legal Notices ...............................................................................................................................................................90

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AutoClient 2.1 for Alliance Lite 2.1

1 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.

Customer SWIFT

Alliance Lite
Web interface

AutoClient Internet SWIFTNet

Alliance
Lite Bank
server
Back-office

D1140001
application

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 three formats (for examples see chapter 10"File Examples" on page 57) :

– 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 Standards MT format (see the User
Handbook, Standards 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

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 Introduction

or a spreadsheet application like Microsoft Excel. Many applications exist on the market
that can produce or process these 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 cannot 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, AutoClient can be configured for 'local authentication', that is, 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 about 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 2.1 for Alliance Lite 2.1

2 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) (32-bit)

• Windows Server 2003 with Service Pack 2 (SP2) (32-bit)

• Windows Vista with Service Pack 1 (SP1) or Service Pack 2 (SP2) (32-
bit)

• Windows 7 (32-bit, 64-bit)

• Windows Server 2008 R2 (64-bit)

Note Non-English versions of Windows are supported.

Disk space • 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 AutoClient software can be installed and operated on a system running under virtualisation
technologies that properly support USB ports, such as VMWare Workstation. A notable
counterexample is the (free) version of VMWare server, which can not be used due to lack of
proper support for USB ports.

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AutoClient can be remotely monitored and operated using technologies that do not create
conflicts with USB ports, such an SSH or the VNC protocol (for example, RealVNC). A noteable
counterexample is Windows Remote Desktop (formerly called Windows Terminal Services) ,
which can not be used due to conflicts with the SafeNet driver for the USB ports.

Important SWIFT can not test against all virtualisation technologies available on the market. It
is the user's own responsibility to verify the suitability of the virtualisation
technology of his choice.

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 not advisable to use Alliance Lite from a PC that 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 20 for more details.

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AutoClient 2.1 for Alliance Lite 2.1

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

• 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 31)
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.

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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 20 for an explanation on how to configure
AutoClient for local authentication.

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.

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AutoClient 2.1 for Alliance Lite 2.1

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

Note Local Authentication between a back-office application and AutoClient is

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

2.2.3 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

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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.

• 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
There are two ways of installing AutoClient: installation in attended mode and silent installation
in unattended mode. This section provides the details of how to install the AutoClient Software
in these two modes.

Note Do not use Microsoft Remote Desktop or VMware server for installation or de-
installation. Running Alliance Lite under other virtualisation technology is not
supported.
You must remove your USB token when you install or upgrade AutoClient.

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AutoClient 2.1 for Alliance Lite 2.1

What you need to install AutoClient

• the CD labelled Alliance Lite 2.1.0, which contains the AutoClient software, or the Alliance
Lite 2.1.0 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 on 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 any previously installed version of AutoClient.
If you have been using a previous version of Alliance Lite, then SWIFT
recommends using the same folders when you install Alliance Lite 2.1.0. The
software is upgraded, and the content of AutoClient file directories (emission,
reception, archive, and error) is preserved.
The installation of the driver for the Alliance Lite USB tokens overwrites all
existing SafeNet software on your PC.
If you have older SafeNet software and want to preserve it, then install Alliance
Lite on a different system.

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.

2.3.1 Install AutoClient in Attended Mode

To install AutoClient:
1. Insert the CD labelled Alliance Lite 2.1.0 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:

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3. Select Install Alliance Lite AutoClient, and click Next . This also installs the Alliance Lite
USB token driver automatically.
The End-user Licence window appears.

4. Accept the terms, and click Next .

The following window appears.

5. Select a directory where to install Alliance Lite, by doing either of the following:

• To accept the default directory, click Next .

• To select another directory, click Browse... to locate the directory, or type a local directory
of your choice. Then click Next .

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AutoClient 2.1 for Alliance Lite 2.1

Note 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
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

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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.

Note To modify these parameters after installation, see "Configuring AutoClient" on

page 20.

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 Next (this is the SWIFT
recommended method)

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

Note 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.

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

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AutoClient 2.1 for Alliance Lite 2.1

Do either of the following:

• To confirm the installation details, and proceed with the installation, click Install .

Note When you click Install , you cannot roll back the installation.

• To modify the installation details, click Previous and make the necessary changes.

Note 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.

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 want 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 Finish . You must restart your computer
before you start using AutoClient.

2.3.2 Install AutoClient in Unattended Mode: Silent

Installation
To install AutoClient:
1. Issue a command line instruction to start the silent installation.
AllianceLite-install.exe -silent <silent properties file>

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Note The entry of the configuration parameters (see section "List of Configuration
Parameters" on page 22) is replaced by a property file that contains the
values for each parameter.

2. The installer retrieves the parameter values from the silent properties file.
The Silent Install parameters are as follows:

• The Lite installation directory (application.installLocation=C:\\Program Files\\SWIFT\

\Alliance Lite)

• The perform install flag. This defines whether AutoClient should be installed
(autoClient.install = true).

• The AutoClient base directory (autoClient.baseDirectory = ?

{application.installLocation}??{/}?files)

• The emission timer value in seconds (autoClient.emissionTimer = 60)

• The reception timer value in seconds (autoClient.receptionTimer = 60)

• The proxy enabled flag (autoClient.proxyEnabled = FALSE)

• The proxy host (autoClient.proxyHost = localhost)

• The proxy port (autoClient.proxyPort = 8080)

3. The installation proceeds as per the attended installation.

Example of properties file:

# NOTE: backslashes '\' must be escaped with a preceeding backslash in paths.
# Override this to change the Lite installation directory
# NOTE: default for 64 bit environment is application.installLocation=C:\
\Program Files (x86)\\SWIFT\\Alliance Lite
application.installLocation=C:\\Program Files\\SWIFT\\Alliance Lite
# Override this define whether or not autoclient should be installed
autoClient.install = true
# Override this to change the location of the AutoClient base directory if
AutoClient is installed
autoClient.baseDirectory = ?{application.installLocation}??{/}?files
# Override this to change the emission timer value in seconds if AutoClient
is installed
autoClient.emissionTimer = 60
# Override this to change the reception timer value in seconds if AutoClient
is installed
autoClient.receptionTimer = 60
# Override this to change whether a proxy should be used and if AutoClient is
installed
autoClient.proxyEnabled = FALSE
# Override this to change the proxy host if a proxy is being used and
AutoClient is installed
autoClient.proxyHost = localhost
# Override this to change the proxy port if a proxy is being used and
AutoClient is installed
autoClient.proxyPort = 8080
# Override this to change the proxy user if a proxy is being used and
AutoClient is installed
autoClient.proxyUser = aladin
# Override this to change the proxy port if a proxy is being used and
AutoClient is installed
autoClient.proxyPassword = sesame

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AutoClient 2.1 for Alliance Lite 2.1

Note The syntax for a silent installation is: AllianceLite-install.exe -silent

silent-install.properties. You must modify the silent property file for your
installation. The proxy password can be obfuscated in the silent properties file
using the obfuscator.exe tool in this directory/Lite CD.

2.4 Uninstall AutoClient

2.4.1 Uninstall AutoClient in Attended Mode
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 or Windows 2003

– 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.

5. Do either of the following:

• Close the applications or services 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 Finish .

Note The content of AutoClient file directories (emission, reception, archive, and
error) are preserved after uninstallation. It is the responsibility of the user to
remove the contents and the directories.

2.4.2 Uninstall AutoClient in Unattended Mode: Silent Mode

To remove AutoClient:
1. issue a command line instruction to start the silent uninstallation.
AllianceLite-uninstall.exe -silent

18 Installation and User Guide

 Installation

2. The installation proceeds as per the attended uninstallation mode.

20 May 2011 19
AutoClient 2.1 for Alliance Lite 2.1

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

5. 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. Load the autoclient.properties file into an editor from the config subdirectory in the
Alliance Lite installation directory.

20 Installation and User Guide

 Configuring AutoClient

2. Locate the line at the end of the file that defines the encrypted key value and 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.

3.2 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 double-
click 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 2.1 for Alliance Lite 2.1

# 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 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.

3.3 List of Configuration Parameters

You can modify the following configuration parameters:

Parameter Description

BaseDirectory The directory used by AutoClient to store and retrieve files.

The directory 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").

22 Installation and User Guide

 Configuring AutoClient

Parameter Description

AllowRetries Default value: TRUE

• When set to TRUE, AutoClient retries a failed upload every

EmissionTimerInMillis for up to the RetryPeriod.

If an upload fails after the RetryPeriod, then the AutoClient puts the file
in error.

• When set to FALSE, AutoClient does not retry a failed upload. The
upload status is immediately set to error.

RetryPeriod The period during which AutoClient retries a failed upload, expressed in
minutes. The default value is 60 minutes, minimum value is 5 minutes,
and maximum value is 1440 minutes.)

EmissionTimerInMillis The interval (in seconds) during which AutoClient checks for files ready to
be sent to counterparties.
Default value: 120 seconds
The value of this parameter must be between 5 and 600 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 600 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.

20 May 2011 23
AutoClient 2.1 for Alliance Lite 2.1

Example with proxy

Parameter Value

HttpsProxyEnabled TRUE

HttpsProxyHost 172.0.1.1

HttpsProxyPort 8080

HttpsProxyUser username

HttpsProxyPassword <xxxxxxxxxx>

Example without proxy

Parameter Value

HttpsProxyEnabled FALSE

HttpsProxyHost localhost

HttpsProxyPort 8080

HttpsProxyUser

HttpsProxyPassword

24 Installation and User Guide

 How AutoClient Works

4 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, the functions of each
directory, and the types of file that are 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 22.
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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AutoClient 2.1 for Alliance Lite 2.1

• 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 29), when the file has been uploaded to the Alliance Lite server.

Note 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.

4.2 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 22.
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.

26 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 47.

• 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 48.

– <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.

20 May 2011 27
AutoClient 2.1 for Alliance Lite 2.1

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.

28 Installation and User Guide

 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 35.

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

20 May 2011 29
AutoClient 2.1 for Alliance Lite 2.1

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

30 Installation and User Guide

 Running AutoClient

5 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 Start button, and select Programs > Alliance Lite > Start
AutoClient.

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

3. 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 32.

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AutoClient 2.1 for Alliance Lite 2.1

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.
If the password or the mode is not provided on the command line, then
AutoClient raises a popup requesting the password and the mode.
If the certificate on the inserted token contains cn=AUTOTEST, then the mode
is set to Test and Training (the prompt that requests the password and the
mode indicates that the mode is set to Test and Training.) Otherwise, the
prompt offers the choice between Live, and Test and Training.
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 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.

Note In case of error CKR_PIN_EXPIRED, use Safenet tools to change the pin at
start time.

• by checking the contents of the current autoclient_logs.log file.

• by running the autoclient.cmd command with the -status option.

32 Installation and User Guide

 Running AutoClient

AutoClient state transition

The following table lists the different states that AutoClient can be in:

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

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.

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AutoClient 2.1 for Alliance Lite 2.1

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.

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.

34 Installation and User Guide

 Sending Files

6 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.

6.1 FIN Message Files

Overview
This section describes the process flow for the transmission of 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 have the following characteristics:

– the end in the extension .fin

– less than 200 characters

– not containing the following invalid characters (The file name can contain dots):

• : (colon)

• ' (single quote)

• \ (back slash)

• the message file must have the following characteristics:

– 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 57.

20 May 2011 35
AutoClient 2.1 for Alliance Lite 2.1

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 moved to
File Upload error directory Waiting
Error File Upload
File moved to archive directory

Alliance Lite

D1140005
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 45 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 35.

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 46.

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 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 47. 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 52.

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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AutoClient 2.1 for Alliance Lite 2.1

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 53.

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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 47.

6.2 FileAct Files

Overview
This section describes the process flow for the transmission of 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 you want to send to your counterparty, embedded in a FileAct file transmission

• a companion parameter file (.par file), which specifies how the file must be sent. For more
information, see "Emission .par File" on page 63.

• a LAU file (if LAU enabled)

Basic file requirements

Each file must conform to the following basic requirements:

• The file name must have the following characteristics:

– less than 200 characters

– not containing the following invalid characters:

• : (colon)

• ' (single quote)

• \ (back slash)

• The file must be less than or equal to 30 MB in size.

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AutoClient 2.1 for Alliance Lite 2.1

6.2.2 Process Flow

FileAct files sent through AutoClient

During file upload to Alliance Lite server

Start
File moved to emission directory
File moved to
File Upload error directory Waiting FileAct
Error File Upload
File moved to archive directory

After sucessful file upload to Alliance Lite server

Waiting Transfer

.err file in reception directory .ok file in reception directory

FileAct Error FileAct ok

.dlv file in reception directory

D1140002
FileAct Delivered

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 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 45 for
details of how to setup and LAU file.

3. 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 39.

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, which contains an error code with a description of the
error. If LAU is enabled, then 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 52.

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

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AutoClient 2.1 for Alliance Lite 2.1

(MT or MX), and send them as properly formatted MT or MX messages over SWIFTNet. No file
size limit is set to CSV files.
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 moved to
File Upload error directory Waiting
Error File Upload
File moved to archive directory

Alliance Lite
D1140005
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

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

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 Sending Files

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

Note If LAU is configured, then the upload will not start until the .lau file is also
found. See "Local Authentication Files" on page 45 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 49. 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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AutoClient 2.1 for Alliance Lite 2.1

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 52.

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
contain 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 54.
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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AutoClient 2.1 for Alliance Lite 2.1

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

6.6 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.

46 Installation and User Guide

 Receiving Files

7 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 Additional information
sent

FIN ACK FIN was successfully sent (accepted by A FIN ACK contains:
acknowledgement SWIFTNet)
• 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 was rejected by SWIFTNet. An error A FIN NAK contains a message user
acknowledgement code indicates the reason for the reference or a transaction reference
rejection. number to identify the original message in
the back-office application

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AutoClient 2.1 for Alliance Lite 2.1

Message Description Means that the message that you Additional information
sent

MT 010 Non-Delivery warning was being monitored in case of non-

delivery, 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 for which FINCopy was requested,

notification was authorised for release by the
FINCopy service's central institution,
and has been forwarded to the
receiver.
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 pseudo negative resulted in an error before being Pseudo NAK can be identified with an
NAK acknowledgement transmitted onto SWIFTNet by the Error Code beginning with "I" or "AUT"
Alliance Lite server. (see "Pseudo NAK Errors" on page 53).

7.2 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 2.1 for Alliance Lite 2.1

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.

50 Installation and User Guide

 Monitoring File Transfers

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

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AutoClient 2.1 for Alliance Lite 2.1

9 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.

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 (: or ' or \)

AC_ERR_3 File [<filename>] size [<size>] is bigger than 30 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 [<filename>] 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_13 The currently inserted token AUTOTEST can only be used on the Test & Training
system.
The currently inserted token AUTOTEST can only be used on the Live system.

AC_ERR_14 The currently inserted token {0} is not an AutoClient user (Where {0} is the value of
the cn part of the signing certificate DN).
The AutoClient user {0} is not approved (Where {0} is the user name of the
requesting AutoClient).

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.

52 Installation and User Guide

 List of Errors

Error code Error message or action to be taken

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.

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.

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.

9.2 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

109 The length of the FIN message is bigger than 10 KB.

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.

20 May 2011 53
AutoClient 2.1 for Alliance Lite 2.1

Error code Error information (text not visible to the user)

I13 The FIN message contains leading or trailing space(s) in optional header block 3.

I15 The FIN message is incorrectly formatted in FIN blocks or contains incorrect
characters.

AUT No RMA relation exists with the counterparty.

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

Invalid Switch Order/Conf (Based on Bank Code/DN and Order Ref match in both
CSVNAK_005 legs)

CSVNAK_006 Invalid Character

Criteria to psueod nak Order CSV > 53 postions Status CSV> 11 Positions
CSVNAK_007 Confirmation CSV > 91 postions

CSV Loader

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

54 Installation and User Guide

 List of Errors

Code Description

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

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

Reference format Validation: Reference(s) must not start or end with a slash '/' and
CSVNAK_129 must not contain two consecutive slashes '//')

20 May 2011 55
AutoClient 2.1 for Alliance Lite 2.1

Code Description

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.

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

CSVNAK_130 3 = NEWM).

CSVNAK_131 Missing/ Invalid place of safekeeping options

CSVNAK_132 Missing/Invalid Place of Settlement options

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 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

Fore Deliver Free (DF) or Receive Free (RF): When position 77 (Stamp Duty Indicator)
CSVNAK_146 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

56 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

10.1.1 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 (carriage return & linefeed, ASCII hexadecimal codes '0D' and '0A').
These are the standard end-of-line characters on Windows. If you construct the message with a
standard text editor such as Notepad, these characters are put at the end of each line
automatically. Multiple FIN messages within such files are delimited by a "$" (dollar) sign. All
messages must be in 8-bit ASCII (which is the standard on Windows). The last character in an
RJE file must be the last character of the last FIN message in the file, which is the "}" closing
curly bracket (ASCII hexadecimal code '7D'). There must be no new line or dollar sign or other
extra characters after this last closing curly bracket. If it is not the case, the file gets rejected.
FIN messages are constructed of blocks as follows:

• header block 1 starting with {1:

• header block 2 starting with {2:

• optionally header block 3 starting with {3:

• block 4 with the main body of the message, starting with {4:

• (for received messages) trailer block 5 starting with {5:

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

20 May 2011 57
AutoClient 2.1 for Alliance Lite 2.1

– 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, one to yourself, and the
other to BANKDEFF123.
{1:F01LITEBEBBAXXX0001000001}{2:I999LITEBEBBXXXXN}{4:
:20:TESTREF1
:79:This is text line 1
-}${1:F01LITEBEBBAXXX0001000004}{2:I999BANKDEFFX123U3}{4:
:20:TESTREF2
:79:Another example line 1
Example line 2
-}

To use this example, read the explanation below and then follow the instructions in section
"Send Your First Messages on AutoClient" on page 60.

• Sender - In block 1 of both messages, the (fictitious) BIC11 of the sending Alliance Lite
customer is LITEBEBBXXX. To use this example, replace LITEBEBB by your own BIC8 in
both messages. Insert "A" as the 9th character to make LITEBEBBAXXX as sending Logical
Terminal in header block 1.

• Receiver - In block 2, 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), which follow the sender BIC
in header block 1, must be present but can have 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 {2:I the message type number is given. In this example, '999'
indicates the MT 999. The syntax of block 4 depends on the message type. You can fine the
description of the allowed syntax per message type in the documentation in the Standards
MT section of the User Handbook.

• 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, and no delivery notification is requested.

– N2 - Message is sent with normal priority, and 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.

– U1 - Message is sent with urgent priority, and overdue delivery warning is requested.

– U3 - Message is sent with urgent priority, delivery notification is requested (return an MT

011 delivery notification, which is the same as for N2), and overdue delivery warning is
requested. This means that SWIFTNet returns an MT 010 overdue delivery warning if
SWIFTNet cannot deliver the message to the receiver within 15 minutes of sending
because the receiver was offline.

58 Installation and User Guide

 File Examples

Example 2
{1:F01SAAJBEBBAXXX0000000001}{2:I103SAAJBEBBXXXXN2}{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
:72:/AAAAAAAA/25x
/A/32x
//33x
/A/x
//x
//x
:77B:35x
2X35x
-}${1:F01SAAJBEBBAXXX0000000002}{2:I199SAAJBEBBXXXXN}{108:ACK MT199 0198}}
{4:
:20:TEST000002
:21:x
:79:ZZZZZZZZZZZZZZZZZZZZ
-}${1:F01SAAJBEBBAXXX0000000003}{2:I206SAAJBEBBXXXXN}{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}{4:
:15A:
:20:TEST000004
:22A:SETT
:22C:XXXXXX1234XXXXXX
:23D:FIXEDFLOAT
:82A:SALABEBB
:87A:SALABEBB
:15B:

20 May 2011 59
AutoClient 2.1 for Alliance Lite 2.1

:30T:20000101
:32B:ZAI666,2
:30F:20030314
:30P:20000101
:37M:N1,3456789012
:15C:
:37R:N12345678901,
:34E:NUSD123456789012,45
:57A:SALABEBB
-}${1:F01SAAJBEBBAXXX0000000005}{2:I410SAAJBEBBXXXXN}{4:
:20:TEST000005
:21:X
:32A:940930USD1,12
:72:/AAAA1234/
-}

10.1.2 Send Your First Messages on AutoClient

To send your first FIN (MT) messages on AutoClient:
1. Copy and paste Example 1 in section "FIN Message File (RJE Format)" on page 57 into
Notepad.

2. Change LITEBEBB to your own BIC8 in all places.

Tip If you don't know your own BIC8 anymore, then log on to Alliance Lite as a
user that can create messages. For example, go to Payments > Instructions
> Enter > Free Text Message (MT 999). In the entry window, you'll see the
Sender field with your BIC (the first 8 characters are your BIC8).

Tip To send a test FIN message with the AutoClient running in Test & Training
mode, you must use a zero as the 8th character of the sender BIC and the
receiver BIC. For example, LITEBEB0XXXX. This zero as the 8th character is
a convention to indicate that this is a test message.
As a protection against accidentally sending test messages on live (or vice
versa), the AutoClient running in live mode will refuse to send messages with a
zero as the 8th character in sender or receiver BIC. Vice versa, the AutoClient
running in test mode will refuse to send messages that have no zero as the
8th character in the sender or receiver BIC.

3. In the second message, change BANKDEFFX123 to your own BIC or to an existing BIC of a
bank.

Tip It's best to use your own BIC as receive BIC for a first test. Don't forget to
insert the extra 'X' as the 9th character.

4. Save the file with a filename ending in .fin (for example, example1.fin).

5. Copy the file into the emission folder of AutoClient..

6. Start AutoClient, and wait until the file is gone from the emission folder (this takes at least
2 minutes by default).

7. Check the archive folder to see if your file has been moved there (with a timestamp added
to the filename), which indicates successful upload.

60 Installation and User Guide

 File Examples

Note If you don't see the file in the archive folder, then check the error folder of
AutoClient. Your file will be moved into this error folder if it could not be
uploaded (in this case there will also be a .err file, which explains the error).

If the file is successfully uploaded, then the messages will arrive in the reception folder of
AutoClient in a .fin file a few minutes later. This .fin file contains the received messages
that you have sent to your own BIC. It also contains the acknowledgements and other system
messages that were returned by SWIFT for the messages that you have sent earlier.

10.1.3 Receiving your first FIN messages on AutoClient

Received messages
When AutoClient is running, it checks on the Alliance Lite server to see if there are FIN
messages received. AutoClient performs the check every 2 minutes by default. If there are
received messages, AutoClient downloads them. The received messages are in .fin files that
arrive in the reception folder of AutoClient. These .fin files contain the received messages.
They also contain the acknowledgements and the system messages that are returned by
SWIFT for the messages that you have sent. All the received messages, acknowledgements
and system messages are separated by a "$" dollar sign.

Checking reception folder

Even if you only send messages with AutoClient, it is important that you check the received
messages in AutoClient's reception folder and the acknowledgements and system messages
that are returned by SWIFT in the same folder. When a sent message contains an error that
causes it to be rejected by SWIFT, the file that contains the sent message may still be uploaded
successfully (without .err file). The other messages that have no errors contained in the same
file will be sent and positive acknowledgements (ACK) will be returned by SWIFT for those
messages. For the message in error, a negative acknowledgement (NAK) will be returned by
SWIFT. These positive or negative acknowledgements arrive in .fin files in the reception
folder.
The .fin file contains the following types of messages:

• received message : start with {1:F01

• ACK positive acknowledgements: start with {1:F21, and contain a field {451:0. Block 4: of the
ACK is followed by a copy of the sent message, where in block 1: the dummy
session&sequence number is replaced by the session and sequence number allocated by
SWIFT.

• NAK negative acknowledgements: start with {1:F21, contain a field {451:1 and a field {405:
with the error code and optionally a line number of the line in block 4 of the original sent
message. Block 4: of the NAK is followed by a copy of the sent message, where in block 1:
the dummy session&sequence number is replaced by the session and sequence number
allocated by SWIFT.
For information about NAK error codes that start with 'I' (for example, I05), see chapter "List of
Errors" on page 52. For information about other NAK error codes, see the FIN Error Codes
document in the Standards MT section on www.swift.com.> Support > Documentation
(User Handbook).
If you start to program on AutoClient, we recommend you take a training course from SWIFT for
this purpose.

20 May 2011 61
AutoClient 2.1 for Alliance Lite 2.1

Example of received messages

The following example shows 2 ACKs, 2 received messages and one MT 011 (delivery
notification), which are received in response to sending example 1 (where the receiving BIC
'BANKDEFFX123' of the second message was replaced by our own BIC 'LITEBEBBXXXX'. See
section "Send Your First Messages on AutoClient" on page 60). The MT 011 is returned
because the second message was sent with 'U3' priority.
{1:F21LITEBEBBAXXX0066000079}{4:{177:1104180901}{451:0}}
{1:F01LITEBEBBAXXX0066000079}{2:I999LITEBEBBXXXXN}{4:
:20:TESTREF1
:79:This is text line 1
-}{5:{CHK:7602B010CF31}{TNG:}}${1:F01LITEBEBBAXXX0066000775}
{2:O9990901110418LITEBEBBAXXX00660000801104180901U}{4:
:20:TESTREF2
:79:Another example line 1
Example line 2
-}{5:{CHK:947965D415CF}{TNG:}}{S:{COP:P}}${1:F21LITEBEBBAXXX0066000080}{4:
{177:1104180901}{451:0}}{1:F01LITEBEBBAXXX0066000080}{2:I999LITEBEBBXXXXU3}{4:
:20:TESTREF2
:79:Another example line 1
Example line 2
-}{5:{CHK:947965D415CF}{TNG:}}${1:F01LITEBEBBAXXX0066000777}
{2:O0110701110418DZMNXXXXHXXX00060378791104180901S}{4:{175:0901}
{106:110418LITEBEBBAXXX0066000080}{108:TESTREF2}{175:0901}
{107:110418LITEBEBBAXXX0066000775}}{5:{CHK:F9D7E1A33CA4}{SYS:}{TNG:}}{S:
{COP:P}}
${1:F01LITEBEBBAXXX0066000776}
{2:O9990901110418LITEBEBBAXXX00660000791104180901N}{4:
:20:TESTREF1
:79:This is text line 1
-}{5:{CHK:7602B010CF31}{TNG:}}{S:{COP:P}}

Example of NAK message

The following is an example of a NAK message. It returns error code T33, for line 002 of the
sent message. Note that line 001 is the first line of block 4: of the sent message .
{1:F21LITEBEB0AXXX0066000081}{4:{177:1104180927}{451:1}{405:T33002}}
{1:F01LITEBEB0AXXX0066000081}{2:I999LITEBEB0XXXXN}{4:
:20:TESTNAK2
:79:This is text line 1 but this line is too long only 35 characters are
allowed thus there will be negative acknowledgement NAK returned
-}{5:{CHK:207206D57711}{TNG:}}

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.

62 Installation and User Guide

 File Examples

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

Algorithm Signature algorithm (fixed Conditional HMAC_SHA256

value) (mandatory when
using LAU, not
allowed if not using
LAU)

Value Value of the computed LAU Conditional 44

signature (mandatory when
using LAU, not
allowed if not using
LAU)

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 No 100

DN

AckRequestType Delivery Notification Request No 30

Type

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

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AutoClient 2.1 for Alliance Lite 2.1

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"

Algorithm String HMAC_SHA256

Value String String length <= 44

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

64 Installation and User Guide

 File Examples

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 Type Description Presence or value indication

.ok .dlv .err

ReportStatus String Report name Value is Value is Value is

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

Requestor UserDN Distinguished Present in all reports

length <= 100 Name of the
requestor (the
initiator) of the file
transfer

Responder UserDN Distinguished Present in all reports

length <= 100 Name of the
organisation to
which the file is
transferred

Service String Name of the Present in all reports

length <= 30 business service
used for the file
transfer

RequestType String A specific function Present in all reports

length <= 30 within the service
being provided

20 May 2011 65
AutoClient 2.1 for Alliance Lite 2.1

Parameter name Type Description Presence or value indication

.ok .dlv .err

Security String Distinguished Present in all reports

length <= 100 Name used to
secure the file
transfer

TransferDescription String Information about Present in all reports

matches any* the file transfer
length <= 256 provided by the
octet sender

TransferInfo String Structured data Present in all reports

matches US that the receiver
ASCII* length <= can use to
256 automate the file
transfer
processing

RequestReference String Additional Present in all reports

length <= 30 reference
information about
the transfer, such
as date, ID
number, or
reference code

PhysicalName String Physical name of Present in all reports

length <= 254 the file (full path)

LogicalName String Logical name of Present in all reports

length <= 254 the file

FileDescription String User information Present in all reports

matches any* about the file (free
length <= 256 text)
octet

FileInfo String Structured data Present in all reports

matches US that the receiver
ASCII* length <= can use to
256 automate the file
processing

Size Integer >= 0 Size of the file Present in all reports

Value String Value of the Present in all reports

length <= 50 digest

Algorithm String Name of the Present in all reports

matches digest algorithm
"SHA-1" |
"SHA-256"

HeaderInfo String Indicates whether Present in all reports. Value is always No.
a request
contained
enhanced header
information

TransferRef TransferRef See "Process for Present in all reports

length <= 30 Receiving FileAct
Files" on page 48

66 Installation and User Guide

 File Examples

Parameter name Type Description Presence or value indication

.ok .dlv .err

MsgId String Unique file Present in all reports

length <= 40 identifier,
automatically
created at the
time of file
transfer

DeliveryMode String File transfer Present in all reports. Value is always

matches delivery mode "RealTime"
"RealTime" |
"SnF"

TransferDirection String Present in all reports. Value is always

matches "Outgoing"
"Incoming" |
"Outgoing"

TransferStatus String File transfer Not present

matches delivery status in .dlv
"Ongoing" | reports
"Completed" |
"Rejected" |
"Aborted" |
"Failed" |
"Unknown"

StartTime DateTime Local date and Present in all reports

length <= 20 time when the file
transfer started

StateTime DateTime Time of last status Present in all reports

length <= 20 change in the file
transfer

StopReason String Details about the Present in all reports

matches US reason why a file
ASCII* length <= transfer failed
256

StopDetails Any String Details about the Present in all reports

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

PossibleDuplicate Boolean Indicates whether Present in all reports

matches the file transfer is
"FALSE" | a possible
"TRUE" duplicate

AckIndicator Boolean Indicates whether Present in all reports

matches the client
"FALSE" | application
"TRUE" requested file
transfer adapter
to send a delivery
notification

Priority String Priority of the file Present in all reports

transfer. Possible

20 May 2011 67
AutoClient 2.1 for Alliance Lite 2.1

Parameter name Type Description Presence or value indication

.ok .dlv .err

matches values are Normal
"Normal" | or Urgent.
"Urgent"

NRIndicator Boolean Indicates whether Present in all reports

matches SWIFT keeps a
"FALSE" | formal record of
"TRUE" the file transfer
event for future
reference

SignIndicator Boolean Indicates whether Present in all reports

matches the file is signed
"FALSE" |
"TRUE"

AckTime DateTime Time when the Not present Only present Not present
length <= 20 acknowledgement in .dlv
to the file transfer reports
was received

Status String Indicates whether Not present Only present Not present
matches the file was in .dlv
"Accepted" | accepted or reports
"Rejected" | rejected. Possible
"Duplicated" values are
Accepted,
Rejected,
Duplicated.

AckDescription String Indicates why the Not present Only present Not present
matches any* application in .dlv
length <= 256 accepted or reports
octet rejected the file
(free text)

AckInfo String Indicates why the Not present Only present Not present
matches US application in .dlv
ASCII* length <= accepted or reports
256 rejected the file.
Structured data
that the server
can analyse.

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

68 Installation and User Guide

 File Examples

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

20 May 2011 69
AutoClient 2.1 for Alliance Lite 2.1

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.

70 Installation and User Guide

 File Examples

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.

20 May 2011 71
AutoClient 2.1 for Alliance Lite 2.1

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 cannot 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 Prefix in SWIFT Code name

(country code) message

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 puts 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:

72 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

• 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 Comment

Field Field name Tab Block Field name

tag (and format)

20 Sender's Required Message Sender's Ref If not entered, then this mandatory field is
Reference tab Identification automatically set to a unique value (TNum).
block If entered, then the entered value overrules
the Tnum.

21R Customer - AutoClient only - this field would typically be

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

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AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)
reference different from the sender's
reference. Multiple payments in same MT
101 can be entered through AutoClient.

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

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

50C Instructing party - AutoClient only - on the screen, 50L can be

(BEI format) entered

50L Instructing party Required Debit Account Instructing This field is only open for input if the
(text format) party checkbox "Debit Party is Instructing party" is
unticked.

50F Ordering - AutoClient only - on the screen, 50H can be

customer entered
(structured
format)

50G Ordering - AutoClient only - on the screen, 50H can be

customer (BIC/ entered
BEI format)

50H Ordering Required Debit Account Account Select the Account Number from the set of
customer Number accounts that your Alliance Lite
(account, administrators have defined. The Name and
name, and Optional (Debit Account (Name & Address of the account's owner, as defined
address format) Details) Address) by the administrator and as they are put in
(display only) 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.

52A Account - AutoClient only - on the screen, the receiver

Servicing of the MT101 is the account servicing
Institution (BIC institution.
format)

52C Account - AutoClient only - on the screen, the receiver

Servicing of the MT 101 is the account servicing
Institution institution
(clearing code
format)

30 Requested Required Amount & Requested

Execution Date Dates Execution
Date

25 Authorisation - AutoClient only

Note 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.

74 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

Mandatory Sequence B - Transaction Details

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

21 Transaction Automatically set to same - Field 21 only must be set differently from
Reference value as field 20. Can be field 20 if there are multiple payments in the
overruled through same MT101. This can be entered through
AutoClient AutoClient.

21F F/X Deal Required Amount & Contract ID Contract ID is only shown when currency of
Reference Dates Credit Amount is changed by the user to be
different from the currency of the selected
Debit Account.

23E Instruction Optional Instructions Processing Max. 4 processing instructions can be

Code Instructions entered through GUI. If more than 4 are
required, then use AutoClient.

32B Currency/ Required Amount & Credit The currency of the Credit Amount is
Transaction Dates Amount automatically set to the currency of the
Amount selected Debit Account, but can be changed
to a different currency.

50C Instructing - See Sequence A. Can only be set in

Party Sequence B through AutoClient

50L Instructing - See Sequence A. Can only be set in

Party Sequence B through AutoClient

50F Ordering - See Sequence A. Can only be set in

Customer Sequence B through AutoClient

50G Ordering - See Sequence A. Can only be set in

Customer Sequence B through AutoClient

50H Ordering - See Sequence A. Can only be set in

Customer Sequence B through AutoClient

52A Account - AutoClient only. On the screen, the receiver

Servicing of the MT101 is the account servicing
Institution institution.

52C Account - AutoClient only. On the screen, the receiver

Servicing of the MT 101 is the account servicing
Institution institution.

56A Intermediary Optional Intermediary Bank Code Bank code type drop-down must be set to
(BIC format) Bank 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 Optional Intermediary Bank Code Bank code type drop-down must not be set
(clearing code Bank to SWIFT. A clearing code must be entered
format) or selected from the directory. For known
codes, their Name, Address and Country are
displayed for convenience.

56D Intermediary Optional Intermediary Bank Code If an entered BIC or clearing code is
(name, and Bank Name unknown, then the user must enter at least
address format) Address 1 the bank name and 1 address line, and all
Address 2 this is put in field 56D. This is to make sure
Address 3 that the institution receiving the message
Country can correctly determine the correct bank
when the BIC or clearing code is actually
wrong.

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AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

57A Account with Required Beneficiary Bank Code Bank code type drop-down must be set to
Institution (BIC Bank SWIFT. A BIC must be entered or selected
format) from the BIC Directory. For known BICs,
their Name, Address and Country are
displayed for convenience.

57C Account with Required Beneficiary Bank Code Bank code type drop-down must not be set
Institution (BIC Bank to SWIFT. A clearing code must be entered
format) or selected from the directory. For known
codes, their Name, Address and Country are
displayed for convenience.

57D Account with Required Beneficiary Bank Code If the BIC or clearing code is unknown, then
Institution Bank Name the user must enter at least the bank name
(name, and Address 1 and 1 address line, and all this is put in field
address format) Address 2 56D. This is to make sure that the institution
Address 3 receiving the message can correctly
Country 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 - AutoClient only. On the screen, 59 can be

(BIC format) entered.

70 Remittance Optional Instructions Information

Information for
Beneficiary
(Remittance
Info.)

77B Regulatory Optional Instructions Regulatory

Reporting Reporting

33B Currency/ Required Amount & Debit Amount The Debit Amount field is only shown if the
Original Dates currency of the Credit Amount is changed by
Ordered the user to be different from the currency of
Amount the selected Debit Account, for example, for
a cross-currency payment. The Debit
Amount's currency is always identical to the
Debit Account's currency.

71A Details of Required Amount & Charges

Charges Dates

25A Charges - AutoClient only

Account

36 Exchange Rate Required Amount & Exchange The Exchange Rate field is only shown if the
Dates Rate 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 cross-currency payment.

76 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

A.2.2 Payments - Customer Transfer (MT 103 and 103+)

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

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

20 Sender's Required Message Sender's Ref If not entered, then this field is automatically
Reference Identification set to a unique value (TNum). If entered, the
entered value overrules the TNum.

13C Time Indication Optional Advanced Time Used in TARGET2 or CLS. Starts with a
Fields Indication codeword of maximum of 8 uppercase
characters between slashes, followed by an
HHMM time in the 24h format, followed by
the timezone of this time expressed as an
HHMM offset (+ or -) to UTC time. Consult
TARGET2 or CLS about how to interpret this
time.
Example
/FROTIME/0915+0100
/TOTIME/2315-0330
If more than one field 13C needs to be
specified, then use AutoClient.

23B Bank Operation - Automatically set to: 23B:CRED - not

Code displayed. Other values can be entered
through AutoClient.

23E Instruction Optional Instructions Processing Max. 4 processing instructions can be

Code Instructions entered through GUI. If more than 4 are
required, then use AutoClient.

26T Transaction - AutoClient only.

Type Code

32A Value Date/ Required Amount & Amount or By default, a single Amount field is shown,
Currency/ Dates Interbank and this Amount field is mapped to both
Interbank Settled 32A, and 33B. Only if Sender's or Receiver's
Settled Amount Amount charges are entered, or currency of Amount
(debit) Value is changed by the user to be different from
Date 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.

33B Currency/ Required Amount & Amount or By default, an Amount field is shown, and
Instructed Dates Instructed this Amount field is mapped to both 32A,
Amount Amount and 33B. Only if Sender's or Receiver's
(credit) 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.

20 May 2011 77
AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

36 Exchange Rate Required Amount & Exchange The Exchange Rate field is only shown if the
Dates Rate currency of Amount is changed to be
different from the currency of the selected
Sender's Account. When shown, it is
mandatory, unless user selects "disable
calculation".

50A Ordering - AutoClient only - on the screen, 50K can be

Customer (BIC entered
format)

50F Ordering - AutoClient only - on the screen, 50K can be

Customer entered
(structured
format)

50K Ordering Optional Originator Name If "Account at Receiver" checkbox is ticked

Customer Account/ID in "Sender's Account to be debited", then
(account, Address 1 Originator is auto-prefilled with owner of this
name, and Address 2 account, or left empty. The user can overrule
address format) Address 3 this. The account and owner of this account
Country are defined by the Alliance Lite administrator
in Admin > Setup > Account > Add or
Modify

52A Ordering Optional Originator's Bank Code This field must only be entered, if the
Institution (BIC Bank sending Alliance Lite user is sending or
format) forwarding the MT 103 on behalf of another
institution.

52D Ordering Optional Originator's Bank Code This field only must be entered, if the
Institution Bank Name sending Alliance Lite user is sending or
(name, and Address 1 forwarding the MT 103 on behalf of another
address format) Address 2 institution.
Address 3
Country

53A Sender's Optional Sender's Bank Code Field open for input if "Account at Receiver"
Correspondent Correspondent checkbox is unticked in "Sender's Account to
(BIC format) Bank 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 Required Sender's Account If "Account at Receiver" checkbox is ticked

Correspondent Account to be Number in "Sender's Account to be debited", then the
(account) Debited 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 Optional Sender's Bank Code Field by default not open for input (greyed
Correspondent Correspondent Name out). Open for input if "Account at Receiver"
(name, and Bank Address 1 checkbox is unchecked. If the user selects
address format) Address 2 Other as Bank Code type, then the entered
Address 3 Bank Code (preceded by a single slash),
Country Name, Address, and Country are put in 53D.

54A Receiver's Optional Receiver's Bank Code Field open for input if "Account at Receiver"
Correspondent Correspondent checkbox is unticked in "Sender's Account to
(BIC format) Bank be debited". Bank code type drop-down

78 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)
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.

54B Receiver's - AutoClient only - on the screen, 54A or 54D

Correspondent can be entered.
(account)

54D Receiver's Optional Receiver's Bank Code Field open for input if "Account at Receiver"
Correspondent Correspondent Name checkbox is unticked in "Sender's Account to
(name, and Bank Address 1 be debited". If the user selects Other as
address) Address 2 Bank Code type, then the entered Bank
Address 3 Code (preceded by a single slash), Name,
Country Address, and Country are put in 54D.

55a Third - AutoClient only.

Reimbursement
Institution

56A Intermediary Optional Intermediary Bank Code Bank code type drop-down must be set to
Institution (BIC Bank SWIFT. A BIC must be entered in Bank
format) Code, or selected from the BIC Directory.
For known BICs, their Name, Address and
Country are displayed for convenience.

56C Intermediary Optional Intermediary Bank Code Bank code type drop-down must not be set
Institution Bank to SWIFT or Other. A clearing code must be
(clearing code entered or selected from the directory. For
format) known codes, their Name, Address and
Country are displayed for convenience.

56D Intermediary Optional Intermediary Bank Code If the user selects Other as Bank Code type,
Institution Bank Name then the entered Bank Code (preceded by a
(name, and Address 1 single slash), Name, Address, and Country
address format) Address 2 are put in 56D.
Address 3
Country

57A Account With Required Beneficiary Bank Code Bank code type drop-down must be set to
Institution (BIC Bank SWIFT, FW, or RT. A BIC must be entered
format) 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 - AutoClient only - on the screen, 57A, 57C, or

Institution 57D can be entered
(location)

57C Account With Required Beneficiary Bank Code Bank code type drop-down must not be set
Institution Bank to SWIFT or Other. A clearing code must be
(clearing code entered or selected from the directory. For
format) known codes, their Name, Address and
Country are displayed for convenience.

57D Account With Required Beneficiary Bank Code If the user selects Other as Bank Code type,
Institution Bank Name then the entered Bank Code (preceded by a
Address 1

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AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)
(name, and Address 2 single slash), Name, Address, and Country
address format) Address 3 are put in 56D.
Country

59 Beneficiary Required Beneficiary Name

Customer Account
Address 1
Address 2
Address 3
Country

59A Beneficiary - AutoClient only. On the screen, 59 can be

Customer entered.

70 Remittance Optional Instructions Information

Information for
Beneficiary
(Remittance
Info)

71A Details of Required Amount & Charges Select from drop-down BEN, SHA, or OUR.
Charges Dates 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 Required Amount & Sender's only 1 occurrence can be entered
Charges Dates Charges

71G Receiver's Required Amount & Receiver's currency of Receiver's Charges must be
Charges Dates Charges same as currency of Interbank Settled
Amount.

72 Sender to Optional Instructions Bank to Bank Only 4 lines can be entered. If more than 4
Receiver Instructions are required, then use AutoClient.
Information

77B Regulatory Optional Instructions Regulatory

Reporting Reporting

77T Envelope - AutoClient only

Contents

User Header (block 3)

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

103 FINCopy Optional FINCopy FINCopy Choose the 3-character code from the
Service Service Service Code dropdown. For example, TGT = TARGET2.
Identifier Code Information You must be subscribed to the chosen
FINCopy service.

113 Banking Priority Optional Advanced Banking Exactly 4 characters. Used by members of
Fields Priority TARGET2 or with bilateral agreement.
Consult TARGET2 or your counterparty for
how to use this field.

80 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

114 Information Optional FINCopy Central (Read only) Optional text provided by the
from Service Service Institution FINCopy Central Institution, related to this
Administrator Information Information payment, returned in an MT012 when the
for Senderbank Central Institution released or rejected the
payment.

115 Information Optional FINCopy Central (Read only) Optional text provided by the
from Service Service Institution FINCopy Central Institution, related to this
Administrator Information Information payment, added to the header of the
for payment when the Central Institution
Receiverbank released the payment.

119 Validation Flag Optional Advanced Validation Enter STP in this field to send an MT103+.
Fields Flag

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 Comment

Field Field name Tab Block Field name

tag (and format)

20 Transaction Required Message Sender's Ref If not entered, then this field is automatically
Reference Identification set to a unique value (TNum). If entered, the
Number entered value overrules the TNum.

21 Related Required Message Related Ref

Reference Identification

13C Time Indication Optional Advanced Time Used in TARGET2 or CLS. Starts with a
Fields Indication codeword of maximum of 8 uppercase
characters between slashes, followed by an
HHMM time in the 24h format, followed by
the timezone of this time expressed as an
HHMM offset (+ or -) to UTC time. Consult
TARGET2 or CLS about how to interpret this
time.
Example
/FROTIME/0915+0100
/TOTIME/2315-0330
If more than one field 13C needs to be
specified, then use AutoClient.

32A Value Date, Required Amount & Credit Currency is set to the currency of the
Currency Code, Dates Amount selected Debit Account
Amount (Currency)
Value Date

52a Ordering - AutoClient only

Institution

53A Sender's - AutoClient only

Correspondent

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AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

53B Sender's Required Debit Account Account

Correspondent Number

53D Sender's - AutoClient only

Correspondent

54a Receiver's - AutoClient only

Correspondent

56A Intermediary Optional Intermediary Bank Code Bank code type drop-down must be set to
(BIC format) Bank 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 Optional Intermediary Bank Code Bank code type drop-down must not be set
(name, and Bank Name to SWIFT. A clearing code must be entered
address format) Address 1 or selected from the directory. For known
Address 2 codes, their Name, Address and Country are
Address 3 displayed for convenience.
Country

57A Account With Required Account With Account Bank Bank code type drop-down must be set to
Institution (BIC Institution Code SWIFT, FW, or RT. A BIC must be entered
format) 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"

57B Account With - AutoClient only. On the screen, 57A or 57D

Institution can be entered.
(location)

57D Account With Required Account With Account Bank Bank code type drop-down must not be set
Institution Institution Code Name to SWIFT. A clearing code must be entered
(account or Address 1 or selected from the directory. For known
clearing code, Address 2 codes, their Name, Address and Country are
name, and Address 3 displayed for convenience.
address) Country

58A Beneficiary Required Beneficiary Account Bank Bank code type drop-down must be set to
Institution (BIC Institution Code SWIFT. A BIC must be entered in Bank
format) Code, or selected from the BIC Directory.
For known BICs, their Name, Address and
Country are displayed for convenience.
Entering an Account is optional.

58D Beneficiary Required Beneficiary Bank Code Bank code type drop-down must not be set
Institution Institution Name to SWIFT. A clearing code must be entered
(name, and Address 1 or selected from the directory. For known
address) Address 2 codes, their Name, Address and Country are
Address 3 displayed for convenience.
Country

72 Sender to Optional Instructions Sender to

Receiver Receiver
Information instructions

82 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

User Header (block 3)

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

103 FINCopy Optional FINCopy FINCopy Choose the 3-character code from the
Service Service Service Code dropdown. For example, TGT = TARGET2.
Identifier Code Information You must be subscribed to the chosen
FINCopy Service.

113 Banking Priority Optional Advanced Banking Exactly 4 characters. Used by members of
Fields Priority TARGET2 or with bilateral agreement.
Consult TARGET2 or your counterparty for
how to use this field.

114 Information Optional FINCopy Central (Read only) Optional text provided by the
from Service Service Institution FINCopy Central Institution, related to this
Administrator Information Information payment, returned in an MT012 when the
for Senderbank Central Institution released or rejected the
payment.

115 Information Optional FINCopy Central (Read only) Optional text provided by the
from Service Service Institution FINCopy Central Institution, related to this
Administrator Information Information payment, added to the header of the
for payment when the Central Institution
Receiverbank released the payment.

A.2.4 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 Comment

Field Field name Tab Block Field name

tag (and format)

20 Transaction Required Message Sender's Ref If not entered, then this field is automatically
Reference Identification set to a unique value (TNum). If entered, the
Number entered value overrules the TNum.

25 Account Required Credit Account Account

Identification Number

30 Value Date Required Amount & Date Value Date

21 Related Required Message Related Ref

Reference Identification

32B Currency Code, Required Amount & Date Credit The currency is automatically set to the
Amount Amount currency of the selected Credit Account
(Currency)

50 Ordering Required Ordering Party Name If the user has not ticked the "Ordering Party
Customer Address 1 is a Financial Institution" check box.
Address 2
Address 3
Country

50C Ordering - AutoClient only. On the screen, 50 can be

Customer entered

20 May 2011 83
AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

50F Ordering - AutoClient only. On the screen, 50 can be

Customer entered

52A Ordering Required Ordering Party Bank Code Bank code type drop-down must be set to
Institution 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 - AutoClient only. On the screen, 52A can be

Institution entered

56A Intermediary Optional Intermediary Bank Code Bank code type drop-down must be set to
Bank 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 - AutoClient only. On the screen, 56A can be
Bank entered

A.2.5 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 Comment

Field Field name Tab Block Field name

tag (and format)

20 Sender's Required General Customer This field specifies the reference number
Reference Reference 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 Optional General Related This field contains the identification of the
Reference Reference 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.

22C Common Required General Common A unique value that contains portions of the
Reference Reference Sender and Receiver BIC codes along with
the last few digits of the Exchange Rate.

22A Type of Required General Type of This field specifies the function of the
Operation Operation message. Allowed values:

• New

• Cancel

• Amend

• Duplicate

84 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

94A Scope of Optional General Scope of This field specifies the role of the Sender
Operation Operation and the Receiver of the message in the
execution of the confirmed trade

Account Required Sender Account Internal bank account number.

Number Number

Account Name Required Sender [Account] The account name is automatically set to the
Name 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 Instructing The Client BIC Code is automatically set to
Party the User Group for the access ID and
Account, but can be changed to a different
value.

83A Account Optional Account This field specifies the funds or beneficiary
Number Number customer.

87A Party B Required Receiver Bank Code This field identifies party B.

33B Currency, Required Receiving Currency This field specifies the currency and amount
Amount Agent Amount Sold sold by party A. Allowed values are Amount
Instructions: and Currency Code.
Currency Sold

32B Currency, Required Receiving Currency This field specifies the currency and amount
Amount Agent Amount bought by party A. Allowed values are
Instructions: Bought Amount and Currency Code.
Currency
Bought

53A Delivery Agent Optional Bank Code This field identifies the financial institution
from which the payer will transfer the
amount bought.

57A Receiving Required Bank Code This field identifies the financial institution
Agent and account where the payee will receive
the amount bought.

58A Beneficiary Optional Bank Code This field specifies the institution in favour of
Institution which the payment is made.

36 Exchange Rate Required Amounts and Exchange This field specifies the agreed exchange rate
Dates 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.

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AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

56A Intermediary Optional Intermediary Bank Code This field specifies the intermediary
Parties: institution for the transfer of the funds.
Currency Sold

56A Intermediary Optional Intermediary Name This field specifies the intermediary
Parties: institution for the transfer of the funds.
Currency Sold

56A Intermediary Optional Intermediary Bank Code This field specifies the intermediary
Parties: institution for the transfer of the funds.
Currency
Bought

56A Intermediary Optional Intermediary Name This field specifies the intermediary
Parties: institution for the transfer of the funds.
Currency
Bought

72 Sender to Optional Special Sender to TIME: Time at which the transaction was
Receiver Instructions Receiver Line concluded.
Information Sender to VENU: Venue where the transaction was
Receiver: TIME executed.
or VENU

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 Field name Tab Block Field name

tag (and format)

20 Sender's Required Message Sender's Ref If not entered, then this mandatory field is
Reference Identification automatically set to a unique value (TNum).
block If entered, then the entered value overrules
the Tnum.

21 Related Optional Message Related Ref This field contains the identification of the
Reference Identification message to which the current message is
block related.

22A Type of Required Transaction Type of This field specifies the function of the
Operation Details Operation message.

94A Scope of Optional Transaction Scope of This field specifies the role of the Sender
Operation Details Operation and the Receiver of the message in the
conclusion of the confirmed trade.

22B Type of Event Required Transaction Type of Event This field specifies the event in the life of the
Details loan/deposit.

22C Common Required Transaction Common This field contains a reference common to
Reference Details Reference 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.

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 Appendix A - Bank Codes and Field Tag Information

Standards MT Alliance Lite web interface Comment

87A Party B Required Counterparty Bank Code This field identifies party B. Name and
address fields populated from BIC code
table.

83A Funds or Optional Funds or This field identifies the account information
Instructing Instructing for party A, the underlying funds or
Party Party instructing institution.

Mandatory Sequence B - Transaction Details

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

17R Party A's Role Required Transaction Deal Type This field specifies whether party A is the
Details borrower or the lender.

30T Trade Date Required Transaction Trade Date This field specifies the date the original deal
Details or the rollover was agreed between party A
and party B.

30V Value Date Required Transaction Value Date Date must be a valid date expressed as
Details YYYYMMDD

30P Maturity Date Required Transaction Maturity Date This field specifies the latest agreed maturity
Details date, that is, the date on which the principal
is to be returned and the interest due.

32B Principal Required Transaction Principal This field specifies the currency and contract
Amount/ Details Amount amount, that is, the amount on which the
Currency 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 Optional Transaction Amount to be For a rollover confirmation (22B=ROLL), this
Settled Details Settled 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 Optional Transaction Next Interest This field specifies the date the next interest
Due Date Details Due Date is due.

34E Currency and Required Transaction Interest This field specifies:

Interest Amount Details Amount
• 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 Interest Rate This field specifies the interest rate.
Details

20 May 2011 87
AutoClient 2.1 for Alliance Lite 2.1

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

14D Day Count Required Transaction Day Count This field specifies the number of days which
Fraction Details Fraction 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 Comment

Field Field name Tab Block Field name

tag (and format)

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 Optional Entity- Bank Code This field identifies the first intermediary
(BIC format) Intermediary institution for the transfer of the funds.
Bank

57A Receiving Required Entity- Bank Code This field identifies the financial institution
Agent Receiving Bank and account where party B will receive the
payment.

58A Beneficiary Optional Bank Code This field specifies the institution in favour of
Institution which the payment is made when different
from Party B.

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

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

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 Optional Counterparty- Bank Code This field identifies the first intermediary
(BIC format) Intermediary institution for the transfer of the funds.
Bank

57A Receiving Required Counterparty- Bank Code This field identifies the financial institution
Agent Receiving Bank and account where party A will receive the
payment.

58A Beneficiary Optional Bank Code This field specifies the institution in favour of
Institution which the payment is made when different
from party A.

88 Installation and User Guide

 Appendix A - Bank Codes and Field Tag Information

Optional Sequence E- Additional Information

Standards MT Alliance Lite web interface Comment

Field Field name Tab Block Field name

tag (and format)

72 Sender to Optional Additional Sender to This field specifies additional information for
Receiver Information Receiver the Receiver and applies to the whole
Information Information messages.

20 May 2011 89
AutoClient 2.1 for Alliance Lite 2.1

Legal Notices
Copyright
SWIFT © 2011. All rights reserved.
You may copy this publication within your organisation. Any such copy must include these legal notices.

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

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

Translations
The English version of SWIFT documentation is the only official version.

Trademarks
SWIFT is the trade name of S.W.I.F.T. SCRL. The following are registered trademarks of SWIFT: SWIFT,
the SWIFT logo, 3SKey, Innotribe, Sibos, SWIFTNet, SWIFTReady, and Accord. Other product, service, or
company names in this publication are trade names, trademarks, or registered trademarks of their respective
owners.

90 Installation and User Guide