SOAP Web-Service - User Manual

SOAP Web-Service - User Manual
Federal Financial
Supervisory Authority
Reporting and Publishing
Platform
(MVP Portal)
SOAP Web Service
30 October 2014
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Supervisory Authority
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Contents
Contents .............................................................................................................. 2
1 SOAP Web Service ........................................................................................... 3
1.1
Requirements ........................................................................................... 3
1.2
Configuration ............................................................................................ 3
2 SOAP Web Service (submitting a notification) ...................................................... 3
2.1
Accessing the Web Service ......................................................................... 3
2.2
Authentication .......................................................................................... 5
2.3
Example of a syntactically correct SOAP message .......................................... 6
2.4
Procedures requiring attachments ............................................................... 7
2.5
Response from the Web Service .................................................................. 8
3 SOAP Web Service (retrieving the protocol) ........................................................11
3.1
Accessing the Web Service ........................................................................11
3.2
Authentication .........................................................................................11
3.3
Web Service request .................................................................................12
3.3.1
Protocol search ..................................................................................12
3.3.2
Retrieving response messages .............................................................14
3.4
Response from the Web Service .................................................................15
3.4.1
Protocol search results ........................................................................15
3.4.2
Results of retrieving the responses .......................................................20
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1 SOAP Web Service
1.1 Requirements
If you would like to submit notifications to the Federal Financial Supervisory Authority
(Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) in automated form or retrieve
the MVP protocol, you will need a SOAP-compatible web service client.
You are required to register normally on the MVP Portal of BaFin. This is done via the web
interface as explained in the general User Manual.
1.2 Configuration
To submit a notification via the SOAP interface or to retrieve the protocol, you must
authenticate yourself to the security gateway. To do this, please provide your username
and password. The data transfer is protected by SSL encryption.
When generating Web Service messages, please use the Web Service security settings as
described in chapter 2.2 (for submitting a notification) and chapter 3.2 (for retrieving the
protocol).
2 SOAP Web Service (submitting a notification)
2.1 Accessing the Web Service
This chapter explains how to access and use the SOAP Web Service interface. Please
make sure to use UTF-8 encoding when transmitting data. To prevent your notification
from being rejected even before SOAP authentication, a valid XML structure must also be
used. Otherwise, you will receive a “Rejected by Policy” error message.
Every procedure offered by BaFin has its own Web Service interface. If the procedure you
are looking for is not included in the following list, please refer to the information sheet
for the respective procedure or contact the support desk to request the endpoint.
At the moment, the following Web Service endpoints are available:
•
Register of net short positions (NLP)
https://portal.mvp.bafin.de:444/services/ws/nlp
•
Employee and complaints register (MBR)
https://portal.mvp.bafin.de:444/services/ws/mbr
•
Filing of Final Terms (EFT)
https://portal.mvp.bafin.de:444/services/ws/eft
•
Register of tied agents (VGV)
https://portal.mvp.bafin.de:444/services/ws/vgv
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•
Transaction reporting pursuant to section 9 WpHG (P9WPHG)
https://portal.mvp.bafin.de:444/services/ws/p9wphg
•
Notifications section 312 KAGB (UCITS) (P312KAGB)
https://portal.mvp.bafin.de:444/services/ws/p312kagb
•
Notifications section 331 KAGB (AIF) (P331KAGB)
https://portal.mvp.bafin.de:444/services/ws/p331kagb
•
Insurance Supervision (VA)
https://portal.mvp.bafin.de:444/services/ws/va
•
Notifications section 38 DerV (P38DERV)
https://portal.mvp.bafin.de:444/services/ws/p38derv
•
Notification of the announcement pursuant to sections 37v-y WpHG (TUG)
https://portal.mvp.bafin.de:444/services/ws/tug
•
KUSTA/DTB (KUSTA_DTB)
https://portal.mvp.bafin.de:444/services/ws/kusta
•
Notifications section 30c WpHG (P30cWPHG)
https://portal.mvp.bafin.de:444/services/ws/p30cwphg
•
Notifications section 30e WpHG (P30eWPHG)
https://portal.mvp.bafin.de:444/services/ws/p30ewphg
•
Notifications section 15 WpHG (P15WPHG)
https://portal.mvp.bafin.de:444/services/ws/p15wphg
•
Submission Prospectuses (WpPG / VermAnlG) (VP)
https://portal.mvp.bafin.de:444/services/ws/vp
•
Outstanding transactions under Article 15 (2) Regulation (EU) No. 149/2013
(EMIR15)
https://portal.mvp.bafin.de:444/services/ws/emir15
Every procedure offered by BaFin has its own test procedure. You can use these test
procedures to submit test notifications. Such test notifications are intended to identify
possible sources of errors ahead of time, so that errors can be remedied before the
actual notifications are submitted. The test procedures also have their own Web Service
interfaces, which can be recognised by the prefix “t_” (see example for NLP below):
https://portal.mvp.bafin.de:444/services/ws/t_nlp
To download interface descriptions and the associated XSD files, add “?wsdl” to the URLs
listed above, e.g.:
https://portal.mvp.bafin.de:444/services/ws/nlp?wsdl
Please make sure to use the relevant XSDs, which can be downloaded here (the example
given below is for NLP; the respective XSDs are linked in the WSDL file):
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https://portal.mvp.bafin.de:444/services/ws/nlp.xsd1.xsd
https://portal.mvp.bafin.de:444/services/ws/nlp.xsd2.xsd
https://portal.mvp.bafin.de:444/services/ws/nlp.xsd3.xsd
2.2 Authentication
Users are required to provide authentication by using a WS-Security header (in line with
OASIS Standard 200401, WSS UsernameToken Profile 1.0 specifications):
•
wsse:Security
o wsse:UsernameToken
wsse:Username
User name for registration on the MVP Portal, followed by “#” and
ID of the guarantor (entity subject to the notification requirement)
wsse:Password
Password for registration on the MVP Portal
The following example shows a valid header:
<wsse:Security soap:mustUnderstand="1" xmlns:wsse="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-secext-1.0.xsd">
<wsse:UsernameToken wsu:Id="UsernameToken-1" xmlns:wsu="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-utility-1.0.xsd">
<wsse:Username>karl.meier1234#hg_05_1234567890</wsse:Username>
<wsse:Password Type="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wssusername-token-profile-1.0#PasswordText">Wev0sX6YsB</wsse:Password>
</wsse:UsernameToken>
</wsse:Security>
For successful authentication, three values must be entered (highlighted in red in the box
above):
• User name for the MVP Portal
• ID of the guarantor (entity subject to the notification requirement)
• Password for the MVP Portal
The username and ID of the guarantor must be entered in the UsernameToken field,
separated by a hash symbol (#).
The ID of the guarantor serves to identify the company on behalf which the notification is
being submitted. You can request this ID on the MVP Portal by logging onto the Portal,
choosing the menu item “Submit notification” and selecting the guarantor from the dropdown menu displayed next to the notification procedure. On the right hand side, a blue
information box containing the ID (highlighted in red) will appear:
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2.3 Example of a syntactically correct SOAP message
A syntactically correct message for the notification procedure “Register of net short
positions” (NLP) is shown below:
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:net="http://www.bafin.de/mvp/nettoleerverkauf"
xmlns:nlp="http://www.bafin.de/mvp/nlp/">
<soapenv:Header>
<wsse:Security soapenv:mustUnderstand="1" xmlns:wsse="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-secext-1.0.xsd">
<wsse:UsernameToken wsu:Id="UsernameToken-1"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<wsse:Username>karl.meier1234#hg_05_1234567890</wsse:Username>
<wsse:Password Type="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-username-token-profile1.0#PasswordText">Wev0sX6YsB</wsse:Password>
</wsse:UsernameToken>
</wsse:Security>
</soapenv:Header>
<soapenv:Body>
<net:sendeMeldungEU>
<nlpMeldung>
<!--1 to 2000 repetitions:-->
<nlp:nlpAkt>
<nlp:meldedatum>2012-11-21</nlp:meldedatum>
<nlp:isin>DE0005557508</nlp:isin>
<nlp:emittent>Deutsche Telekom AG</nlp:emittent>
<nlp:positionsdatum>2012-11-20</nlp:positionsdatum>
<nlp:anzahlAktien>123456789</nlp:anzahlAktien>
<nlp:gehalteneNlp>2.3</nlp:gehalteneNlp>
<!--Optional:-->
<nlp:vorherigeMeldungDatum>2012-1115</nlp:vorherigeMeldungDatum>
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<!--Optional:-->
<nlp:anmerkung/>
</nlp:nlpAkt>
<nlp:nlpAkt>
<nlp:meldedatum>2012-11-21</nlp:meldedatum>
<nlp:isin>DE0007100000</nlp:isin>
<nlp:emittent>Daimler AG</nlp:emittent>
<nlp:positionsdatum>2012-11-20</nlp:positionsdatum>
<nlp:anzahlAktien>345678912</nlp:anzahlAktien>
<nlp:gehalteneNlp>1.2</nlp:gehalteneNlp>
<!--Optional:-->
<nlp:vorherigeMeldungDatum>2012-1113</nlp:vorherigeMeldungDatum>
<!--Optional:-->
<nlp:anmerkung/>
</nlp:nlpAkt>
</nlpMeldung>
</net:sendeMeldungEU>
</soapenv:Body>
</soapenv:Envelope>
2.4 Procedures requiring attachments
Some procedures require submission of attachments, mostly as PDF, ZIP or GZIP files.
These binary data are included in the respective interface tag in the form of BASE64encoded character strings.
Example “Transaction reporting pursuant to section 9 WpHG (P9WPHG)”:
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:p9w="http://www.bafin.de/mvp/p9wphg/">
<soapenv:Header>
<wsse:Security soapenv:mustUnderstand="1" xmlns:wsse="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-secext-1.0.xsd"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<wsse:UsernameToken wsu:Id="UsernameToken-1">
<wsse:Username>karl.meier1234#hg_05_1234567890</wsse:Username>
<wsse:Password Type="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-username-token-profile-1.0#PasswordText">Wev0sX6YsB</wsse:Password>
</wsse:UsernameToken>
</wsse:Security>
</soapenv:Header>
<soapenv:Body>
<p9w:submit>
<p9wphgMeldung>
<p9w:dateiname>P9WPHG_3214_dateiname.gz</p9w:dateiname>
</p9wphgMeldung>
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<datei>UEsDBBQAAgAIAPSLc0KmblpZrwYAAEMN […] </datei>
</p9w:submit>
</soapenv:Body>
</soapenv:Envelope>
2.5 Response from the Web Service
A positive response from the Web Service transmits the message ID:
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:net="http://www.bafin.de/mvp/nettoleerverkauf"
xmlns:nlp="http://www.bafin.de/mvp/nlp/">
<soapenv:Header/>
<soapenv:Body>
<net:sendeMeldungResponse>
<meldungsId>103707</meldungsId>
</net:sendeMeldungResponse>
</soapenv:Body>
</soapenv:Envelope>
Some procedures support messages containing a customer reference (reference provided
by the notifying party to facilitate identification of the message by the client). In these
procedures, a positive response from the Web Service transmits not only the message ID
but also the time of submission and the customer reference (if stated in the SOAP
message). For reasons of compatibility, this extended response is used only if the
customer reference is stated in the SOAP message. Irrespective of whether a customer
reference is transmitted, the Web Service response in these procedures is signed digitally
by means of the valid server certificate (WS Security Header pursuant to OASIS Standard
200401, WSS X.509 Certificate Token Profile 1.0).
Example “Filing of Final Terms” (EFT):
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:eft="http://www.bafin.de/mvp/eft/">
<soap:Header xmlns:soap="http://schemas.xmlsoap.org/soap/envelope/">
<wsse:Security xmlns:wsse="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-wssecurity-secext-1.0.xsd">
<wsu:Timestamp wsu:Id="Timestamp-a13c16e5-4213-43e7-b04d-008316dd4c50"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<wsu:Created>2014-09-12T14:42:42Z</wsu:Created>
<wsu:Expires>2014-09-12T14:47:42Z</wsu:Expires>
</wsu:Timestamp>
<wsse:BinarySecurityToken wsu:Id="SecurityToken-52da2d20-382f-4b8a-8e0ed4a070d8e7e1" EncodingType="http://docs.oasis-open.org/wss/2004/01/oasis-200401wss-soap-message-security-1.0#Base64Binary" ValueType="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-x509-token-profile-1.0#X509v3"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-
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1.0.xsd">MIIEZDCCA0ygAwIBAgIEMxvUDDANBgkqhkiG9w0BAQUFADB9MQswCQYDVQQGEwJERTEP […]
</wsse:BinarySecurityToken>
<Signature xmlns="http://www.w3.org/2000/09/xmldsig#">
<SignedInfo>
<CanonicalizationMethod Algorithm="http://www.w3.org/2001/10/xmlexc-c14n#"/>
<SignatureMethod Algorithm="http://www.w3.org/2000/09/xmldsig#rsasha1"/>
<Reference URI="#Timestamp-a13c16e5-4213-43e7-b04d-008316dd4c50">
<Transforms>
<Transform Algorithm="http://www.w3.org/2001/10/xml-excc14n#"/>
</Transforms>
<DigestMethod
Algorithm="http://www.w3.org/2000/09/xmldsig#sha1"/>
<DigestValue>u+eJFAlMkFuf8iDrP72cpdZa5AM=</DigestValue>
</Reference>
<Reference URI="#Body-24bb6db5-f863-45e2-85c9-cb75f92952fe">
<Transforms>
<Transform Algorithm="http://www.w3.org/2001/10/xml-excc14n#"/>
</Transforms>
<DigestMethod
Algorithm="http://www.w3.org/2000/09/xmldsig#sha1"/>
<DigestValue>8y6za/A2w1T/n61HCZyozmTL9xs=</DigestValue>
</Reference>
</SignedInfo>
<SignatureValue>w3du99YENznhPYfQ7hO9W9xkQCWRAxS9lFqY99QkkbEY+RT57PbrmExAgTTtF […]
</SignatureValue>
<KeyInfo>
<wsse:SecurityTokenReference xmlns="">
<wsse:Reference URI="#SecurityToken-52da2d20-382f-4b8a-8e0ed4a070d8e7e1" ValueType="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wssx509-token-profile-1.0#X509v3"/>
</wsse:SecurityTokenReference>
</KeyInfo>
</Signature>
</wsse:Security>
</soap:Header>
<soapenv:Body wsu:Id="Body-24bb6db5-f863-45e2-85c9-cb75f92952fe"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<eft:submitResponse>
<meldungsId>103707</meldungsId>
<meldezeitpunkt>2014-09-12T14:42:42.270Z</meldezeitpunkt>
<kundenreferenz>RE_A23_0156</kundenreferenz>
</eft:submitResponse>
</soapenv:Body>
</soapenv:Envelope>
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Please note:
In the future, the procedures will feature the customer reference and digital signature in
the Web Service response from the beginning. All existing procedures will be adapted
step by step to include the customer reference and digital signature. These
enhancements have not been scheduled yet, but the notifying parties will be informed in
advance of when they are due to take place.
At the time of writing (October 2014), the following procedures feature the customer
reference and digital signature:
•
Employee and complaints register (MBR)
•
Filing of Final Terms (EFT)
•
Insurance Supervision (VA)
If there are content-related errors in the message, the Web Service responds with an
error message. In this example the value for “nlp:art” (Notification of a net short
position/notification after cancellation of a net short position) is set to “neu!” instead of
“neu”:
<env:Envelope xmlns:env="http://schemas.xmlsoap.org/soap/envelope/">
<env:Body>
<env:Fault>
<faultcode>DP:0x00230001</faultcode>
<faultstring>Rejected.</faultstring>
<datapower-details>
<service>LiveWeb_NLP_WSP</service>
<transaction>137859</transaction>
<operation>/services/verfahren/nlp</operation>
<result status="ERROR">
<message>
https://portal.mvp.bafin.de:444/services/ws/t_nlp: cvc-simple-type 1: element {http://www.bafin.de/mvp/nlp/}art value 'neu!' is not a valid instance of
the element type
</message>
</result>
</datapower-details>
</env:Fault>
</env:Body>
</env:Envelope>
If there are structural errors (XML validation fails), the error message will look like the
following example. Here the tag “nlp:nlpName” is given as “nlp:nlpName123”:
<env:Envelope xmlns:env="http://schemas.xmlsoap.org/soap/envelope/">
<env:Body>
<env:Fault>
<faultcode>DP:0x00230001</faultcode>
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<faultstring>Rejected.</faultstring>
<datapower-details>
<service>LiveWeb_NLP_WSP</service>
<transaction>42593</transaction>
<operation>/services/verfahren/t_nlp</operation>
<result status="ERROR">
<message>
https://portal.mvp.bafin.de:444/services/ws/t_nlp: cvc-particle 2.1: in
element {http://www.bafin.de/mvp/nlp/}meldepflichtiger of type
{http://www.bafin.de/mvp/nlp/}nlpMeldepflichtiger, found &lt;nlp:nlpName123> (in
namespace http://www.bafin.de/mvp/nlp/), but next item should be
{http://www.bafin.de/mvp/nlp/}nlpName
</message>
</result>
</datapower-details>
</env:Fault>
</env:Body>
</env:Envelope>
3 SOAP Web Service (retrieving the protocol)
3.1 Accessing the Web Service
This chapter explains how to access and use the SOAP Web Service interface to retrieve
the MVP protocol. Please make sure to use UTF-8 encoding when transmitting data. To
prevent your notification from being rejected even before SOAP authentication, a valid
XML structure must also be used. Otherwise, you will receive a “Rejected by Policy” error
message.
The endpoint of the Web Service interface used to retrieve the protocol is:
https://portal.mvp.bafin.de:444/services/ws/protokoll
To download interface descriptions and the associated XSD files, add “?wsdl” to the URLs
listed above, e.g.:
https://portal.mvp.bafin.de:444/services/ws/nlp?wsdl
Please make sure to use the relevant XSDs, which can be downloaded here (the
respective XSDs are linked in the WSDL file):
https://portal.mvp.bafin.de:444/services/ws/protokoll.xsd1.xsd
https://portal.mvp.bafin.de:444/services/ws/protokoll.xsd2.xsd
3.2 Authentication
Users are required to provide authentication by using a WS-Security header (in line with
OASIS Standard 200401, WSS UsernameToken Profile 1.0 specifications):
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•
wsse:Security
o wsse:UsernameToken
wsse:Username
User name for registration on the MVP Portal
wsse:Password
Password for registration on the MVP Portal
The following example shows a valid header:
<wsse:Security soap:mustUnderstand="1" xmlns:wsse="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-secext-1.0.xsd">
<wsse:UsernameToken wsu:Id="UsernameToken-1" xmlns:wsu="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-utility-1.0.xsd">
<wsse:Username>karl.meier1234</wsse:Username>
<wsse:Password Type="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wssusername-token-profile-1.0#PasswordText">Wev0sX6YsB</wsse:Password>
</wsse:UsernameToken>
</wsse:Security>
For successful authentication, two values must be entered (highlighted in red in the box
above):
• User name for the MVP Portal
• Password for the MVP Portal
Important note:
The protocol only contains messages submitted by the notifying party named in the WS
Security Header.
3.3 Web Service request
3.3.1 Protocol search
You can search the protocol using the parameters listed below. If you do not select any
search parameters for your request, the response will show all data contained in the
messages submitted by the respective notifying party so far.
The following search parameters are accepted:
Criterion
Type
meldungId
int
meldezeitpunktVon dateTime
meldezeitpunktBis
verfahrenId
maxOccurs Wildcard
1000
no
1
no
dateTime
1
string (enum) 100
no
no
Description
Message ID
Time of submission
(from)
Time of submission (to)
Procedure for which the
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haftungsgeberId
string
100
no
einreichungId
string (enum) 100
no
statusId
meldewegId
string (enum) 10
string (enum) 10
no
no
dateiname
string
100
yes
kundenreferenz
string
100
yes
Wildcard characters:
Question mark (?)
Asterisk (*)
notification is submitted
Guarantor (entity
subject to the
notification
requirement) on behalf
of which the notification
is submitted
Report type of
notification, similar to a
form
Message status
Reporting channel, e.g.
Web Service, web form
Name of the file
included in the message
Customer reference
provided by notifying
party
for a single wildcard character
for any sequence of zero or more characters
All of the search parameters are optional (minOccurs equals „0“). The operator OR is
used for queries involving identical search parameters that are used several times; the
operator AND is used for queries involving several different search parameters.
Example:
<prot:meldezeitpunktVon>2014-07-01T00:00:00.0</prot:meldezeitpunktVon>
<prot:verfahrenId>VA</prot:verfahrenId>
<prot:verfahrenId>T_VA</prot:verfahrenId>
The results of this query are the protocols of all messages submitted on or after
01/07/2014 00:00:00.0 and for the specialised procedures VA (insurance supervision) or
T_VA (Test: insurance supervision).
The following example shows a syntactically correct message for protocol searches:
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:prot="http://www.bafin.de/mvp/protokoll/">
<soapenv:Header>
<wsse:Security soapenv:mustUnderstand="1" xmlns:wsse="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-secext-1.0.xsd"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<wsse:UsernameToken wsu:Id="UsernameToken-1">
<wsse:Username>karl.meier1234</wsse:Username>
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<wsse:Password Type="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-username-token-profile-1.0#PasswordText">Wev0sX6YsB</wsse:Password>
<wsse:Nonce EncodingType="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-soap-message-security1.0#Base64Binary">6EHsL+ijzY1hVdlu2ntLOg==</wsse:Nonce>
<wsu:Created>2014-01-31T13:13:23.921Z</wsu:Created>
</wsse:UsernameToken>
</wsse:Security>
<soapenv:Body>
<prot:sucheMvpProtokoll>
<suchkriterien>
<prot:meldezeitpunktVon>2014-07-01T00:00:00.0</prot:meldezeitpunktVon>
<prot:meldezeitpunktBis>2014-07-02T00:00:00.0</prot:meldezeitpunktBis>
<prot:verfahrenId>EFT</prot:verfahrenId>
<prot:verfahrenId>T_EFT</prot:verfahrenId>
</suchkriterien>
</prot:sucheMvpProtokoll>
</soapenv:Body>
</soapenv:Envelope>
This query involves the protocols for all messages for the EFT and T_EFT procedures
submitted between 01/07/2014 00:00:00.0 and 02/07/2014 00:00:00.0.
3.3.2 Retrieving response messages
The MVP protocol also contains response messages created during processing of the
messages submitted. Depending on the procedure, a response message can consist of
text and/or a feedback file. Since capacity is limited, the protocol search result does not
contain the contents but only the text and metadata of the feedback file (name, type and
size of the file).
Below is a more detailed description of the separate Web Service method used to retrieve
the contents of the feedback file.
The query may feature only one or several message IDs as search parameters.
Criterion
meldungId
Type
int
maxOccurs Wildcard
10
no
Description
Message ID
The following example shows a syntactically correct message for retrieving response
messages:
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:prot="http://www.bafin.de/mvp/protokoll/">
<soapenv:Header>
<wsse:Security soapenv:mustUnderstand="1" xmlns:wsse="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-wssecurity-secext-1.0.xsd"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
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<wsse:UsernameToken wsu:Id="UsernameToken-1">
<wsse:Username>karl.meier1234</wsse:Username>
<wsse:Password Type="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-username-token-profile-1.0#PasswordText">Wev0sX6YsB</wsse:Password>
<wsse:Nonce EncodingType="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-soap-message-security1.0#Base64Binary">6EHsL+ijzY1hVdlu2ntLOg==</wsse:Nonce>
<wsu:Created>2014-01-31T13:13:23.921Z</wsu:Created>
</wsse:UsernameToken>
</wsse:Security>
<soapenv:Body>
<prot:sucheMvpRueckmeldung>
<suchkriterien>
<prot:meldungId>12345</prot:meldungId>
<prot:meldungId>12346</prot:meldungId>
</suchkriterien>
</prot:sucheMvpRueckmeldung>
</soapenv:Body>
</soapenv:Envelope>
This query refers to the response messages for the messages with the IDs 12345 and
12346.
3.4 Response from the Web Service
3.4.1 Protocol search results
For each message found, the response (search result) contains metadata and has a
repetitive structure. The messages identified in the search result are arranged by the
time of submission in chronological order (latest submission first).
The following information is transmitted in each of the messages identified in the search
result:
Field name
Field type
meldungId
meldezeitpunkt
verfahrenId
int
dateTime
string
Mandatory
field
yes
yes
yes
haftungsgeberId string
yes
einreichungId
string
no
statusId
meldewegId
string
string
no
no
dateiname
string
no
Field description
Message ID
Time of submission
Procedure for which the notification is
submitted
Guarantor (party subject of the
notification requirement) on behalf of
which the notification is submitted
Submission of notification, similar to a
form (type of message)
Message status
Reporting channel, e.g. Web Service,
web form
Name of the file included in the message
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kundenreferenz
string
no
rueckmeldung
complexType no
bezeichnungen
complexType yes
Customer reference provided by notifying
party
Response message created during
processing of the message
Names of the textual ID values in
German and English
The following information is transmitted in the response messages created during
processing of the messages (element “rueckmeldung”):
Field name
Field type
text
string
name
typ
groesse
string
string
int
Mandatory Field description
field
no
Free text (error message in case of an
error)
no
Name of feedback file
no
Type of feedback file (e.g. zip)
no
Size of feedback file (in bytes)
Since capacity is limited, the search result does not contain the contents of the feedback
file. Please refer to chapter 3.3.2 Retrieving response messages for a more detailed
description of the separate Web Service method used to retrieve the contents of the
feedback file.
The following information (metadata of the search) is transmitted in the search result:
Field name
Field type
Mandatory
field
yes
yes
yes
zeitstempel
uid
eingeschraenkt
dateTime
string
boolean
suchkriterien
complexType no
Field description
Time of query
ID of notifying party
Information on completeness of search
result (pls. see note below)
Search parameters used in the query
The response (search result) will contain the search parameters only if they were
included in the query in the first place.
The mandatory fields are always part of the search result. Other fields are only contained
in the search result if the information you are looking for is available for the respective
message.
The Web Service response is signed digitally by means of the valid server certificate (WS
Security Header pursuant to OASIS Standard 200401, WSS X.509 Certificate Token
Profile 1.0).
The information provided in the search result regarding the completeness of the search
result (the attribute “eingeschraenkt” (limited) of the element “suchergebnis” (search
result)) should always be evaluated.
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<suchergebnis eingeschraenkt="true">
The value “true” means that the result set is too large to list all messages in the search
result. Therefore, the search result is incomplete (limited); older messages are left out.
At the moment, the result set limit is at 1,000 messages.
Example Web Services response (search result):
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:out="http://www.bafin.de/mvp/protokoll/">
<soapenv:Header>
<wsse:Security xmlns:wsse="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-wssecurity-secext-1.0.xsd">
<wsu:Timestamp wsu:Id="Timestamp-aecb8c38-c696-44cf-bc29-21b0f67453fc"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<wsu:Created>2014-09-12T13:31:49Z</wsu:Created>
<wsu:Expires>2014-09-12T13:36:49Z</wsu:Expires>
</wsu:Timestamp>
<wsse:BinarySecurityToken wsu:Id="SecurityToken-42c4b1e1-4614-4d0b-90778a357a39156a" EncodingType="http://docs.oasis-open.org/wss/2004/01/oasis-200401wss-soap-message-security-1.0#Base64Binary" ValueType="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-x509-token-profile-1.0#X509v3"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility1.0.xsd">MIIEZDCCA0ygAwIBAgIEMxvUDDANBgkqhkiG9w0BAQUFADB9MQswCQYDVQQGEwJERTEP […]
</wsse:BinarySecurityToken>
<Signature xmlns="http://www.w3.org/2000/09/xmldsig#">
<SignedInfo>
<CanonicalizationMethod Algorithm="http://www.w3.org/2001/10/xmlexc-c14n#"/>
<SignatureMethod Algorithm="http://www.w3.org/2000/09/xmldsig#rsasha1"/>
<Reference URI="#Timestamp-aecb8c38-c696-44cf-bc29-21b0f67453fc">
<Transforms>
<Transform Algorithm="http://www.w3.org/2001/10/xml-excc14n#"/>
</Transforms>
<DigestMethod
Algorithm="http://www.w3.org/2000/09/xmldsig#sha1"/>
<DigestValue>TXno/FvXamVrx/LmamOZ+dwEqBI=</DigestValue>
</Reference>
<Reference URI="#Body-84ceb042-01cc-4d2f-8bba-74a1af2f9fee">
<Transforms>
<Transform Algorithm="http://www.w3.org/2001/10/xml-excc14n#"/>
</Transforms>
<DigestMethod
Algorithm="http://www.w3.org/2000/09/xmldsig#sha1"/>
<DigestValue>9hJ4WEPHclG2AE6aud15/kc6tnE=</DigestValue>
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</Reference>
</SignedInfo>
<SignatureValue>dYPo49LiTC7vfY/Lko5hH3yqzzEQbAcvd0MhViolqfWxSvD/18sCPWkGwlCJc […]
</SignatureValue>
<KeyInfo>
<wsse:SecurityTokenReference xmlns="">
<wsse:Reference URI="#SecurityToken-42c4b1e1-4614-4d0b-90778a357a39156a" ValueType="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wssx509-token-profile-1.0#X509v3"/>
</wsse:SecurityTokenReference>
</KeyInfo>
</Signature>
</wsse:Security>
</soapenv:Header>
<soapenv:Body wsu:Id="Body-84ceb042-01cc-4d2f-8bba-74a1af2f9fee"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<out:sucheMvpProtokollResponse>
<suchergebnis eingeschraenkt="false" uid="karl.meier1234"
zeitstempel="2014-09-12T15:31:49.818+02:00">
<out:suchkriterien>
<out:verfahrenId>EFT</out:verfahrenId>
<out:haftungsgeberId>hg_05_1234567890</out:haftungsgeberId>
<out:haftungsgeberId>hg_03_2345678901</out:haftungsgeberId>
</out:suchkriterien>
<out:meldung meldungId="17745">
<out:meldezeitpunkt>2014-0911T17:32:45.867+02:00</out:meldezeitpunkt>
<out:verfahrenId>EFT</out:verfahrenId>
<out:haftungsgeberId>hg_05_1234567890</out:haftungsgeberId>
<out:einreichungId>EFT</out:einreichungId>
<out:statusId>processing</out:statusId>
<out:meldewegId>ws</out:meldewegId>
<out:dateiname>wsPDF17745.pdf</out:dateiname>
<out:bezeichnungen sprache="de">
<out:verfahren>Hinterlegung endg.
Angebotsbedingungen</out:verfahren>
<out:haftungsgeber>Testbank Aktiengesellschaft,
Düsseldorf</out:haftungsgeber>
<out:einreichung>Hinterlegung endg.
Angebotsbedingungen</out:einreichung>
<out:status>In Verarbeitung</out:status>
<out:meldeweg>Webservice</out:meldeweg>
</out:bezeichnungen>
<out:bezeichnungen sprache="en">
<out:verfahren>Filing of Final Terms</out:verfahren>
<out:haftungsgeber>Testbank Aktiengesellschaft,
Düsseldorf</out:haftungsgeber>
<out:einreichung>Filing of a Final Terms</out:einreichung>
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<out:status>Processing</out:status>
<out:meldeweg>Web service</out:meldeweg>
</out:bezeichnungen>
</out:meldung>
<out:meldung meldungId="17651">
<out:meldezeitpunkt>2014-0716T16:10:55.206+02:00</out:meldezeitpunkt>
<out:verfahrenId>EFT</out:verfahrenId>
<out:haftungsgeberId>hg_03_2345678901</out:haftungsgeberId>
<out:einreichungId>T_EFT</out:einreichungId>
<out:statusId>rejected_content</out:statusId>
<out:meldewegId>fms</out:meldewegId>
<out:dateiname>test1.pdf</out:dateiname>
<out:rueckmeldung>
<out:text>Invalid value. - ; Base Prospectus not found:
12345</out:text>
</out:rueckmeldung>
<out:bezeichnungen sprache="de">
<out:verfahren>Hinterlegung endg.
Angebotsbedingungen</out:verfahren>
<out:haftungsgeber>Testbank, Frankfurt am
Main</out:haftungsgeber>
<out:einreichung>Hinterlegung endg.
Angebotsbedingungen</out:einreichung>
<out:status>Meldung fehlerhaft</out:status>
<out:meldeweg>Webformular</out:meldeweg>
</out:bezeichnungen>
<out:bezeichnungen sprache="en">
<out:verfahren>Filing of Final Terms</out:verfahren>
<out:haftungsgeber>Testbank, Frankfurt am
Main</out:haftungsgeber>
<out:einreichung>Filing of a Final Terms</out:einreichung>
<out:status>Report contains errors</out:status>
<out:meldeweg>Web form</out:meldeweg>
</out:bezeichnungen>
</out:meldung>
<out:meldung meldungId="17310">
<out:meldezeitpunkt>2014-0327T14:02:24.325+01:00</out:meldezeitpunkt>
<out:verfahrenId>EFT</out:verfahrenId>
<out:haftungsgeberId>hg_05_1234567890</out:haftungsgeberId>
<out:einreichungId>EFT</out:einreichungId>
<out:statusId>accepted</out:statusId>
<out:dateiname>wsPDF17310.pdf</out:dateiname>
<out:rueckmeldung>
<out:text>Notification successful processed.</out:text>
</out:rueckmeldung>
<out:bezeichnungen sprache="de">
<out:verfahren>Hinterlegung endg.
Angebotsbedingungen</out:verfahren>
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<out:haftungsgeber>Testbank Aktiengesellschaft,
Düsseldorf</out:haftungsgeber>
<out:einreichung>Hinterlegung endg.
Angebotsbedingungen</out:einreichung>
<out:status>Meldung akzeptiert</out:status>
</out:bezeichnungen>
<out:bezeichnungen sprache="en">
<out:verfahren>Filing of Final Terms</out:verfahren>
<out:haftungsgeber>Testbank Aktiengesellschaft,
Düsseldorf</out:haftungsgeber>
<out:einreichung>Filing of a Final Terms</out:einreichung>
<out:status>Report accepted</out:status>
</out:bezeichnungen>
</out:meldung>
</suchergebnis>
</out:sucheMvpProtokollResponse>
</soapenv:Body>
</soapenv:Envelope>
3.4.2 Results of retrieving the responses
For each of the messages found, the response (search result) contains metadata and has
a repetitive structure. The responses identified in the search result are arranged by the
time of submission in chronological order (responses to the latest messages first).
The following information is transmitted in each of the responses identified in the search
result:
Field name
Field type
meldungId
text
int
string
name
typ
groesse
string
string
int
Mandatory Field description
field
yes
Message ID
no
Free text (error message in case of an
error)
no
Name of feedback file
no
Type of feedback file (e.g. zip)
no
Size of feedback file (in bytes)
The following information (metadata of the search) is transmitted in the search result:
Field name
zeitstempel
uid
suchkriterien
Field type
Mandatory
field
dateTime
yes
string
yes
complexType yes
Field description
Time of query
ID of notifying party
Search parameters used in the query
The mandatory fields are always part of the search result. Other fields are only contained
in the search result if the information you are looking for is available for the respective
response.
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The Web Service response is signed digitally by means of the valid server certificate (WSSecurity Header pursuant to OASIS Standard 200401, WSS X.509 Certificate Token
Profile 1.0).
Example Web Service response (search result):
<soapenv:Envelope xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"
xmlns:out="http://www.bafin.de/mvp/protokoll/">
<soapenv:Header>
<wsse:Security xmlns:wsse="http://docs.oasis-open.org/wss/2004/01/oasis200401-wss-wssecurity-secext-1.0.xsd">
<wsu:Timestamp wsu:Id="Timestamp-aecb8c38-c696-44cf-bc29-21b0f67453fc"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<wsu:Created>2014-09-12T13:31:49Z</wsu:Created>
<wsu:Expires>2014-09-12T13:36:49Z</wsu:Expires>
</wsu:Timestamp>
<wsse:BinarySecurityToken wsu:Id="SecurityToken-42c4b1e1-4614-4d0b-90778a357a39156a" EncodingType="http://docs.oasis-open.org/wss/2004/01/oasis-200401wss-soap-message-security-1.0#Base64Binary" ValueType="http://docs.oasisopen.org/wss/2004/01/oasis-200401-wss-x509-token-profile-1.0#X509v3"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility1.0.xsd">MIIEZDCCA0ygAwIBAgIEMxvUDDANBgkqhkiG9w0BAQUFADB9MQswCQYDVQQGEwJERTEP […]
</wsse:BinarySecurityToken>
<Signature xmlns="http://www.w3.org/2000/09/xmldsig#">
<SignedInfo>
<CanonicalizationMethod Algorithm="http://www.w3.org/2001/10/xmlexc-c14n#"/>
<SignatureMethod Algorithm="http://www.w3.org/2000/09/xmldsig#rsasha1"/>
<Reference URI="#Timestamp-aecb8c38-c696-44cf-bc29-21b0f67453fc">
<Transforms>
<Transform Algorithm="http://www.w3.org/2001/10/xml-excc14n#"/>
</Transforms>
<DigestMethod
Algorithm="http://www.w3.org/2000/09/xmldsig#sha1"/>
<DigestValue>TXno/FvXamVrx/LmamOZ+dwEqBI=</DigestValue>
</Reference>
<Reference URI="#Body-84ceb042-01cc-4d2f-8bba-74a1af2f9fee">
<Transforms>
<Transform Algorithm="http://www.w3.org/2001/10/xml-excc14n#"/>
</Transforms>
<DigestMethod
Algorithm="http://www.w3.org/2000/09/xmldsig#sha1"/>
<DigestValue>9hJ4WEPHclG2AE6aud15/kc6tnE=</DigestValue>
</Reference>
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</SignedInfo>
<SignatureValue>dYPo49LiTC7vfY/Lko5hH3yqzzEQbAcvd0MhViolqfWxSvD/18sCPWkGwlCJc […]
</SignatureValue>
<KeyInfo>
<wsse:SecurityTokenReference xmlns="">
<wsse:Reference URI="#SecurityToken-42c4b1e1-4614-4d0b-90778a357a39156a" ValueType="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wssx509-token-profile-1.0#X509v3"/>
</wsse:SecurityTokenReference>
</KeyInfo>
</Signature>
</wsse:Security>
</soapenv:Header>
<soapenv:Body wsu:Id="Body-84ceb042-01cc-4d2f-8bba-74a1af2f9fee"
xmlns:wsu="http://docs.oasis-open.org/wss/2004/01/oasis-200401-wss-wssecurityutility-1.0.xsd">
<out:sucheMvpRueckmeldungResponse>
<suchergebnis uid="karl.meier1234" zeitstempel="2014-0912T15:31:49.818+02:00">
<out:suchkriterien>
<out:meldungId>1003</out:meldungId>
<out:meldungId>1004</out:meldungId>
<out:meldungId>1006</out:meldungId>
<out:meldungId>1024</out:meldungId>
</out:suchkriterien>
<out:rueckmeldung meldungId="1024"/>
<out:rueckmeldung meldungId="1004">
<out:text>Invalid value. - ; Base Prospectus (Prospect-ID) does not
match to the Issuer: hg_05_1234567890</out:text>
<out:datei groesse="550" typ="txt" name="FDB_Test01.txt">
UEsDBBQAAgAIAPSLc0KmblpZrwYAAEMN […] </out:datei>
</out:rueckmeldung>
<out:rueckmeldung meldungId="1003">
<out:text>Notification successful processed.</out:text>
</out:rueckmeldung>
</suchergebnis>
</out:sucheMvpRueckmeldungResponse>
</soapenv:Body>
</soapenv:Envelope>
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