Skip to main content

Reference for onboarding Publicly Traded Companies

Use this additional guide if you are onboarding clients who are Publicly Traded Companies

A Publicly Traded Company (PTC) is a corporation whose ownership is distributed among general public shareholders through the free trade of its stock on one or more stock exchanges. Examples include companies listed on major exchanges such as the NYSE, NASDAQ, and others.

A subsidiary is a company that is controlled by another company, known as the parent company or holding company. The parent company typically owns more than 50% of the subsidiary's voting stock, giving it the authority to influence or direct the subsidiary's management and operations. Subsidiaries operate as separate legal entities but are often integrated into the parent company's overall business strategy.

Take a look at the following scenarios for how clients can submit the public trading fields and complete KYC requirements.

Onboarding requirements

Requirements for PTC onboarding
Scenario Beneficial owner reporting Account controller or senior manager field requirements
US PTC on NYSE/NASDAQ Not Required - Name
- Address
- Job title
US subsidiary of a PTC on NYSE/NASDAQ Not Required - Name
- Address
- Job title
US PTC on other major exchanges (not NYSE or NASDAQ) Required - Name
- Address
- Job title
- Tax identifier
US subsidiary of a PTC on other major exchanges (not NYSE or NASDAQ) Required - Name
- Address
- Job title
- Tax identifier
PTC not on NYSE, NASDAQ, or other major exchanges Required - Name
- Address
- Job title
- Tax identifier
Subsidiary of a PTC not on NYSE, NASDAQ, or other major exchanges Required - Name
- Address
- Job title
- Tax identifier

Providing public trading fields

When providing a client's organization details for publicly traded companies or subsidiaries of publicly traded companies, both isSubsidiary and publiclyTraded must be present in your request. For all other clients, both must be omitted.

For subsidiaries, you must provide the public trading details of the parent company that is publicly traded and owns 51% or more of the subsidiary.

If your organization is listed on multiple stock exchanges, provide the highest priority listing by order:

  1. XNYS for New York Stock Exchange or XNAS for NASDAQ.
  2. One of the other major exchanges.
  3. Other stock exchanges.

Public trading payload samples

Take a look at these payload samples to understand what information to include in your API requests when onboarding a PTC client. 

Client creation payload for a US publicly traded company on New York Stock Exchange

The following is an example client creation payload. An account controller or senior manager is added as a CONTROLLER and must provide their name, address, and job title.

Json
{
    "parties": [
        {
            "partyType": "ORGANIZATION",
            "roles": ["CLIENT"],
            "organizationDetails": {
                "organizationType": "C_CORPORATION",
                "organizationName": "Princeton Plainsboro Teaching Hospital",
                "addresses": [{
                    "addressType": "BUSINESS_ADDRESS",
                    "addressLines": [
                        "89 Bedford Street"
                    ],
                    "city": "New York",
                    "state": "NY",
                    "postalCode": "10014",
                    "country": "US"
                }],
                "countryOfFormation": "US",
                "organizationIds": [{
                    "idType": "EIN",
                    "value": "841816704",
                    "issuer": "US"
                }],
                "isSubsidiary": false,
                "publiclyTraded": {
                    "stockExchange": "XNAS",
                    "tickerSymbol": "PPTH"
                }
            }
        },
        {
            "partyType": "INDIVIDUAL",
            "roles": [
                "CONTROLLER"
            ],
            "individualDetails": {
                "countryOfResidence": "US",
                "addresses": [{
                    "addressType": "RESIDENTIAL_ADDRESS",
                    "addressLines": [
                        "90 Bedford Street",
                        "Apt 2E"
                    ],
                    "city": "New York",
                    "state": "NY",
                    "postalCode": "10014",
                    "country": "US"
                }],
                "firstName": "Eric",
                "lastName": "Foreman",
                "jobTitle": "CEO"
            }
        }
    ],
    "products": [
        "EMBEDDED_PAYMENTS"
    ]
}

Client creation payload for the subsidiary of a publicly traded company on New York Stock Exchange

Json
{
    "parties": [
        {
            "partyType": "ORGANIZATION",
            "roles": ["CLIENT"],
            "organizationDetails": {
                "organizationType": "LIMITED_LIABILITY_PARTNERSHIP",
                "organizationName": "Air Technologies LLC",
                "addresses": [
                    {
                        "addressType": "BUSINESS_ADDRESS",
                        "addressLines": [
                            "3819 38TH AVE S"
                        ],
                        "city": "Strongsville",
                        "state": "OH",
                        "postalCode": "93108",
                        "country": "US"
                    }
                ],
                "countryOfFormation": "US",
                "organizationIds": [
                    {
                        "idType": "EIN",
                        "value": "841816704",
                        "issuer": "US"
                    }
                ],
                "isSubsidiary": true,
                "publiclyTraded": {
                    "stockExchange": "NYSE",
                    "tickerSymbol": "VOD"
                }
            }
        },
        {
            "partyType": "INDIVIDUAL",
            "roles": [
                "CONTROLLER"
            ],
            "individualDetails": {
                "countryOfResidence": "US",
                "addresses": [{
                    "addressType": "RESIDENTIAL_ADDRESS",
                    "addressLines": [
                        "90 Bedford Street",
                        "Apt 2E"
                    ],
                    "city": "New York",
                    "state": "NY",
                    "postalCode": "10014",
                    "country": "US"
                }],
                "firstName": "Monica",
                "lastName": "Gellar",
                "jobTitle": "Other",
                "jobTitleDescription": "Senior Manager"
            }
        }
    ],
    "products": [
        "EMBEDDED_PAYMENTS"
    ]
}

Publicly traded company on NYSE, NASDAQ, or other major exchange

Json
{
    "organizationDetails": {
        "isSubsidiary": false,
        "publiclyTraded": {
            "tickerSymbol": "PPTH",
            "stockExchange": "XNYS",
        }
    }
}

Subsidiary of a publicly traded company on NYSE, NASDAQ, or other major exchange

Provide the ticker symbol and stock exchange of the publicly-traded parent company:

Json
{
    "organizationDetails": {
        "isSubsidiary": true,
        "publiclyTraded": {
            "tickerSymbol": "PPTH",
            "stockExchange": "XNYS"
        }
    }
}

Publicly traded company on an exchange that is not NYSE, NASDAQ, or other major exchange

Json
{
    "organizationDetails": {
        "isSubsidiary": false,
        "publiclyTraded": {
            "tickerSymbol": "TCK",
            "stockExchange": "Other",
            "stockExchangeName": "Dubai Financial Market"
        }         
    }
}

Subsidiary of a publicly traded company on an exchange that is not NYSE, NASDAQ, or other major exchange

Json
{
    "organizationDetails": {
        "isSubsidiary": true,
        "publiclyTraded": {
            "tickerSymbol": "TCK",
            "stockExchange": "Other",
            "stockExchangeName": "Dubai Financial Market"
        }         
    }
}

Reference NYSE, NASDAQ, and other major exchanges

Reference table of major exchnages globally

Reference of major stock exchanges
Country Industry identifier Stock exchange Stock exchange link
Argentina XBUE Bolsa de Comercio de Buenos Aires http://www.bcba.sba.com.ar/
Australia XASX Australian Securities Exchange http://www.asx.com.au
Austria WBAH Vienna Stock Exchange/Wiener Borse http://en.wienerborse.at
Belgium XBRU Euronext Brussels http://www.euronext.com
Bermuda XBDA Bermuda Stock Exchange http://www.bsx.com
Bolivia XBOL Bolsa Boliviana de Valores (La Paz Stock Exchange) https://www.bbv.com.bo
Brazil BVMF BM&F BOVESPA https://www.b3.com.br/en_us/products-and-services/trading/equities/listed-companies.htm
Bulgaria XBUL Bulgarian Stock Exchange - Sofia http://www.bse-sofia.bg/
Canada XTSE Toronto Stock Exchange (group) http://www.tmx.com
Canada XMOD Montreal Stock Exchange http://www.m-x.ca/accueil_en.php
Canada XCNQ Canadian Securities Exchange (CNSX) http://www.cnsx.ca/CNSX/Home.aspx
Canada XCXD NASDAQ Canada https://www.nasdaq.com/nasdaqcanada
Canada NEOE Aequitas NEO Exchange https://www.aequitasneo.com
Canada XTSX TSX Venture Exchange[2] (Tier 1 and Tier 2) http://www.tmx.com
Chile XSGO Santiago Stock Exchange/Bolsa Comercio de Santiago https://www.bolsadesantiago.com/
China XSHG Shanghai Stock Exchange http://english.sse.com.cn/
China XSHE Shenzhen Stock Exchange http://www.szse.cn/English/index.html
Colombia XBOG Bolsa de Valores De Colombia https://www.bvc.com.co
Croatia XZAG Zagreb Stock Exchange http://zse.hr/default.aspx?id=122
Czech Republic XPRA Prague Stock Exchange http://www.pse.cz/
Denmark XCSE Copenhagen Stock Exchange/NASDAQ OMX Nordic http://www.nasdaqomxnordic.com
Ecuador XGUA Bolsa De Valores de Guayaquil https://www.bolsadevaloresguayaquil.com
Egypt XCAI Egyptian Exchange http://www.egx.com.eg/english/homepage.aspx
Finland XHEL Helsinki Stock Exchange/NASDAQ OMX Nordic http://www.nasdaqomxnordic.com
France XPAR Euronext Paris http://www.euronext.com
Germany TGAT Tradegate Exchange http://www.tradegate.de
Germany XDUS Duesseldorfer Boerse http://www.boerse-duesseldorf.de
Germany FWB Frankfurter Wertpapierboerse http://www.boerse-frankfurt.de
Germany XHAM Hamburger Börse http://www.hamburger-boerse.de
Germany XHAN Börse Hannover http://www.boersenag.de
Germany XMUN Boerse Muenchen http://www.boerse-muenchen.de
Germany XSTU Börse Stuttgart http://www.boerse-stuttgart.de
Greece ASEX Athens Stock Exchange https://www.helex.gr
Guernsey XCIE The International Stock Exchange http://www.tisegroup.com/
Hong Kong HKEX Hong Kong Stock Exchange http://www.hkex.com.hk
Hungary XBUD Budapest Stock Exchange http://bse.hu/
Iceland XICE Iceland Stock Exchange/NASDAQ OMX NORDIC http://www.nasdaqomxnordic.com
India XNSE National Stock Exchange of India https://www.nseindia.com
India XBOM Bombay Stock Exchange https://www.bseindia.com/
Indonesia XIDX Indonesia Stock Exchange http://www.idx.co.id/index-En.html
Ireland XDUB Irish Stock Exchange/ Euronext Dublin http://www.ise.ie%20/%20http://www.euronext.com
Isle Of Man XCIE The International Stock Exchange http://www.tisegroup.com/
Israel XTAE Tel Aviv Stock Exchange http://www.tase.co.il/Eng/Pages/Homepage.aspx
Italy XMIL Borsa Italiana http://www.borsaitaliana.it/homepage/homepage.en.htm
Japan XOSE Osaka Securities Exchange http://www.jpx.co.jp/english/
Japan XNGO Nagoya Stock Exchange http://www.nse.or.jp/e
Japan JPX Japan Exchange Group http://www.jpx.co.jp/english/
Japan XFKA Fukuoka Stock Exchange https://www.fse.or.jp/english/
Japan XTFF Tokyo Financial Exchange List https://www.tfx.co.jp/en/
Japan XTAM Tokyo Stock Exchange http://www.jpx.co.jp/english/
Jersey XCIE The International Stock Exchange http://www.tisegroup.com/
Korea, South XKRX Korea Exchange http://eng.krx.co.kr/
Kuwait XKUW Boursa Kuwait https://www.boursakuwait.com.kw/default.asp
Luxembourg XLUX Bourse de Luxembourg/Luxembourg Stock Exchange http://www.bourse.lu
Malaysia XKLS Bursa Malaysia http://www.bursamalaysia.com/market
Mexico XMEX Mexican Bolsa http://www.bmv.com.mx/
Netherlands XAMS Euronext Amsterdam https://euronext.com/en/markets/amsterdam
New Zealand XNZE NZX Limited http://www.nzx.com
Norway XOSL Oslo Stock Exchange http://www.oslobors.no/ob_eng
Oman XMUS Muscat Securtities Market http://www.msm.gov.om/
Peru XLIM Bolsa de valores de Lima http://www.bvl.com.pe
Poland XWAR Warsaw Stock Exchange http://www.gpw.pl/root_en
Portugal XLIS Euronext Lisbon http://www.euronext.com
Qatar DSMD Qatar Stock Exchange http://www.qe.com.qa/pps/qe/qe%20english%20portal/Pages/Home/
Romania XBSE Bucharest Stock Exchange http://www.bvb.ro/
Saudi Arabia XSAU Tadawul Saudi Stock Exchange https://www.tadawul.com.sa/
Singapore XSES Singapore Exchange http://www.sgx.com
Slovakia XBRA Bratislava Stock Exchange http://www.bsse.sk/bcpben/MainPage/tabid/104/language/en-US/Default.aspx
Slovenia XLJU Ljubjanska Stock Exchange http://www.ljse.si/cgi-bin/jve.cgi?doc=1468&sid=wfTEPAdfiBBYGWRN
Spain XMCE Bolsa y Mercados-Espanoles http://www.bolsasymercados.es/ing/home.htm
Spain XMAD Bolsa de Madrid http://www.bolsamadrid.es/ing/aspx/Portada/Portada.aspx
Spain XBAR Bolsa de Barcelona http://www.borsabcn.es/ing/aspx/Portada/Portada.aspx
Spain XBIL Bolsa de Bilbao http://www.bolsabilbao.es/ing/aspx/Portada/Portada.aspx
Spain XVAL Bolsa de Valencia http://www.bolsavalencia.es/ing/aspx/Portada/Portada.aspx
Sweden XSTO Stockholm Stock Exchange/NASDAQ OMX Nordic http://www.nasdaqomxnordic.com
Switzerland XVTX SIX Swiss Exchange http://www.swx.com
Taiwan XTAI Taiwan Stock Exchange http://www.twse.com.tw/en
Taiwan ROCO Taipei Exchange http://www.tpex.org.tw/web/?l=en-us
Taiwan XTAF Taiwan Futures Exchange http://www.taifex.com.tw/eng/
Thailand XBKK The Stock Exchange of Thailand https://www.set.or.th/en
Turkey XIST Borsa Istanbul http://www.borsaistanbul.com/en/
United Kingdom XLON London Stock Exchange http://www.londonstockexchange.com
Uruguay BVUR Bolsa Electrónica de Valores del Uruguay S.A. https://web.bevsa.com.uy/Default.aspx
USA XNYS New York Stock Exchange http://www.nyse.com
USA XNAS NASDAQ http://www.nasdaq.com
USA XBOS NASDAQ OMX BX https://www.nasdaqtrader.com/trader.aspx?id=nasdaq_bx
USA XBOX Boston Options Exchange http://boxexchange.com
USA XCHI NYSE Chicago http://www.chx.com
USA XCIS NYSE National http://www.nsx.com
USA ARCX NYSE Arca http://www.nyse.com
USA XPHL NASDAQ OMX PHLX http://www.nasdaqtrader.com/micro.aspx?id=phlx
USA XCBO Chicago Board Options Exchange http://www.cboe.com
USA XCBT Chicago Board of Trade http://www.cmegroup.com/company/cbot.html