Documentation for Financial products Markup Language (FpML®)
Definition Type: ComplexType
Name: EndUserExceptionDeclaration
Namespace: http://www.fpml.org/FpML-5/recordkeeping
Containing Schema: fpml-doc-5-10.xsd
Abstract
Documentation:
Records supporting information justifying an end user exception under 17 CFR part 39.
Collapse XSD Schema Diagram:
Drilldown into supervisorRegistration in schema fpml-doc-5-10_xsd3 Drilldown into transactionCharacteristic in schema fpml-doc-5-10_xsd3 Drilldown into organizationCharacteristic in schema fpml-doc-5-10_xsd3 Drilldown into creditDocument in schema fpml-doc-5-10_xsd3XSD Diagram of EndUserExceptionDeclaration in schema fpml-doc-5-10_xsd3 (Financial products Markup Language (FpML®))
Collapse XSD Schema Code: 
<xsd:complexType name="EndUserExceptionDeclaration">
    <xsd:annotation>
        <xsd:documentation xml:lang="en">Records supporting information justifying an end user exception under 17 CFR part 39.</xsd:documentation>
    </xsd:annotation>
    <xsd:sequence>
        <xsd:element name="creditDocument" type="CreditDocument" minOccurs="0" maxOccurs="unbounded">
            <xsd:annotation>
                <xsd:documentation xml:lang="en">What arrangements will be made to provide credit? (e.g. CSA, collateral pledge, guaranty, available resources, financing).</xsd:documentation>
            </xsd:annotation>
        </xsd:element>
        <xsd:element name="organizationCharacteristic" type="OrganizationCharacteristic" minOccurs="0" maxOccurs="unbounded">
            <xsd:annotation>
                <xsd:documentation xml:lang="en">Allows the organization to specify which categories or characteristics apply to it for end-user exception determination. Examples include "FinancialEntity", "CaptiveFinanceUnit", "BoardOfDirectorsApproval".</xsd:documentation>
            </xsd:annotation>
        </xsd:element>
        <xsd:element name="transactionCharacteristic" type="TransactionCharacteristic" minOccurs="0" maxOccurs="unbounded">
            <xsd:annotation>
                <xsd:documentation xml:lang="en">Allows the relevant transaction level categories or characteristics to be recorded for end-user exception determination. Examples include "BoardOfDirectorsApproval", "HedgesCommercialRisk".</xsd:documentation>
            </xsd:annotation>
        </xsd:element>
        <xsd:element name="supervisorRegistration" type="SupervisorRegistration" minOccurs="0" maxOccurs="unbounded">
            <xsd:annotation>
                <xsd:documentation xml:lang="en">Allows the organization to specify which if any relevant regulators it is registered with, and if so their identification number. For example, it could specify that it is SEC registered and provide its Central Index Key.</xsd:documentation>
            </xsd:annotation>
        </xsd:element>
    </xsd:sequence>
</xsd:complexType>
Collapse Child Elements:
Name Type Min Occurs Max Occurs
creditDocument nsD:creditDocument 0 unbounded
organizationCharacteristic nsD:organizationCharacteristic 0 unbounded
transactionCharacteristic nsD:transactionCharacteristic 0 unbounded
supervisorRegistration nsD:supervisorRegistration 0 unbounded
Collapse Derivation Tree:
Collapse References:
nsD:endUserExceptionDeclaration
Documentation for Financial products Markup Language (FpML®)

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