Authorities - Latest version - master

AUTH Attributes

Attribute Value
Abbreviation for this business area auth
Registration Status Registered

Data from ISO specification

This is the technical data from the specification document.

<topLevelCatalogueEntry
  p1:type="iso20022:BusinessArea"
  p2:id="_UyZuAMG-EeGE64q4lXx5Mw"
  name="Authorities - Latest version - master"
  definition="Messages that support the provision of miscellaneous financial information to authorities, such as Regulators, Police, Customs, Tax authorities, Enforcement authorities, Ministries, etc."
  registrationStatus="Registered"
  code="auth"
  xmlns:p2="http://www.omg.org/XMI"
  xmlns:p1="http://www.w3.org/2001/XMLSchema-instance" />

CCPAccountPositionReportV01

The CCPAccountPositionReport message is sent from the central counterparty to the national competent authority.

CCPBackTestingResultReportV01

The CCPBackTestingResultReport message is sent from the central counterparty to the national competent authority.

CCPClearedProductReportV01

The CCPClearedProductReport message is sent from the central counterparty to the national competent authority.

CCPClearingMemberReportV01

The CCPClearingMemberReport message is sent from the central counterparty to the national competent authority.

CCPCollateralReportV01

The CCPCollateralReport message is sent from the central counterparty to the national competent authority.

CCPDailyCashFlowsReportV01

The CCPDailyCashFlowsReport message is sent from the central counterparty to the national competent authority.

CCPInvestmentsReportV01

The CCPInvestmentsReport message is sent from the central counterparty to the national competent authority.

ContractRegistrationAmendmentRequestV03

The ContractRegistrationAmendmentRequest message is sent by the reporting party to the registration agent to amend the registered contract subject to currency control.

ContractRegistrationClosureRequestV03

The ContractRegistrationClosureRequest message is sent by the reporting party to the registration agent to close the registered contract subject to currency control.

ContractRegistrationConfirmationV03

The ContractRegistrationConfirmation message is sent by the registration agent to the reporting party to register the contract subject to currency control.

ContractRegistrationRequestV03

The ContractRegistrationRequest message is sent by the reporting party to the registration agent to initiate the registration of a new contract subject to currency control.

ContractRegistrationStatementRequestV03

The ContractRegistrationStatementRequest message is sent by the reporting party to the registration agent to request for a statement of the operations related to the registered contract subject to currency control.

ContractRegistrationStatementV03

The ContractRegistrationStatement message is sent by the registration agent to the reporting party, in response to a request or at a pre-agreed date, to send a statement of the operations related to the registered contract subject to currency control.

CurrencyControlRequestOrLetterV03

The CurrencyControlRequestOrLetter message is sent by the reporting party (respectively the registration agent) to the registration agent (respectively the reporting party) to send a currency control related letter or to request for supporting documents.

CurrencyControlStatusAdviceV03

The CurrencyControlStatusAdvice message is sent by either the reporting party (respectively the registration agent) or the registration agent (respectively the reporting party) to provide a status advice on a previously sent currency control message.

CurrencyControlSupportingDocumentDeliveryV03

The CurrencyControlSupportingDocumentDelivery message is sent by either the reporting party (respectively the registration agent) or the registration agent (respectively the reporting party) in response to the supporting document request.

DerivativesTradeMarginDataReportV01

The DerivativesTradeMarginDataReport message is sent by the report submitting entity to the trade repository (TR) to report the margins exchanged in relation to the derivative transactions or sent by the trade repository (TR) to the authority or made available by the trade repository (TR) to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable.

DerivativesTradeMarginDataTransactionStateReportV01

The DerivativesTradeMarginDataTransactionStateReport message is sent by the trade repository (TR) to the competent authority or made available to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, containing latest state of the margins exchanged in relation to the derivatives transactions.

DerivativesTradePositionSetReportV01

The DerivativesTradePositionSetReport message is sent by the trade repositories to the supervisory authority system, to report aggregated exposures between a pair of counterparties that comprise positions sets, collateral position sets, currency positions sets and currency collateral position sets.

DerivativesTradeReconciliationStatisticalReportV02

The DerivativesTradeReportReconciliationStatisticalReport message is sent by the trade repositories to the reporting counterparty, to report cumulative information within the reference period for the reconciliation status of the reported and outstanding derivatives.

DerivativesTradeRejectionStatisticalReportV03

The DerivativesTradeRejectionStatisticalReport message is sent by the trade repository (TR) to the report submitting entity, identifying the transactions rejected and the reasons for a rejection.

DerivativesTradeReportQueryV03

The DerivativesTradeReportQuery message is sent by the supervisory authority system to the trade repositories, to query data based on the search criteria for the trade transaction as defined by the system user.

DerivativesTradeReportV03

The DerivativesTradeReport message is sent by the report submitting entity to the trade repository (TR) to report on the derivative transactions or sent by the trade repository (TR) to the authority or made available by the trade repository (TR) to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable.

DerivativesTradeStateReportV01

The DerivativesTradeStateReport is sent by the trade repository (TR) to the other trade repository (TR) or the authority or made available to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, containing latest state of the transaction.

DerivativesTradeWarningsReportV01

The DerivativesTradeWarningsReport is sent by the trade repository (TR) to the authority or made available by the trade repository (TR) to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable.

FinancialBenchmarkReportV01

This FinancialBenchmarkReport message is sent by the competent institution to report benchmarks used for the purpose of the local regulation.

FinancialInstrumentReportingInvalidReferenceDataReportV02

The FinancialInstrumentReportingInvalidReferenceDataReport message is sent by the trading venue to the national competent authority to report on all records that have become invalid based on updates that have been received or that have passed the termination date original set for the instrument.

FinancialInstrumentReportingNonEquityTradingActivityReportV01

The FinancialInstrumentReportingNonEquityTradingActivityReport message is sent by the trading venue to the national competent authority to report on non-equity specific trading activity aggregated quantitative data, used for the transparency calculations.

FinancialInstrumentReportingNonEquityTransparencyDataReportV02

The FinancialInstrumentReportingNonEquityTransparencyDataReport message is sent by the trading venue to the national competent authority to submit non equity specific details as part of classifying and applying necessary transparency non equity computations.

FinancialInstrumentReportingReferenceDataDeltaReportV03

The FinancialInstrumentReportingReferenceDataDeltaReport message is sent by the trading venues to the national competent authority to report on changes that have occurred in the base data between reference data file generation.

FinancialInstrumentReportingStatusAdviceV01

The FinancialInstrumentReportingStatusAdvice message is sent by the national competent authority to the reporting agent to provide a status advice for the correctness, issues or errors that arise from the submitted report.

FinancialInstrumentReportingTradingVolumeCapDataReportV01

The FinancialInstrumentReportingTradingVolumeCapDataReport message is sent by the trading venue to the national competent authority to report the total volume of trading and volumes of trading under reference price waiver and negotiated transactions waiver.

FinancialInstrumentReportingTransactionReportV03

The FinancialInstrumentReportingTransactionReport message is sent by the reporting agent to the competent authority to report on the securities transactions or by the competent authority to another competent authority when the transaction needs to be exchanged between the competent authorities.

InformationRequestOpeningV01

This message is sent by the authorities (police, customs, tax authorities, enforcement authorities) to a financial institution to request account and other banking and financial information.

InformationRequestResponseV01

This message is sent by the financial institution to the authorities (police, customs, tax authorities, enforcement authorities) to provide a part or all of the requested information.

InformationRequestStatusChangeNotificationV01

This message is sent by the authorities (police, customs, tax authorities, enforcement authorities) to a financial institution to inform the financial institution that the confidentiality status of the investigation has changed.

InvoiceTaxReportStatusAdviceV01

The InvoiceTaxReportStatusAdvice message is sent by the matching application to the party from which it received a message.

InvoiceTaxReportV01

The InvoiceTaxReport message is sent by tax responsible to tax authority.

MoneyMarketSecuredMarketStatisticalReportV02

The MoneyMarketSecuredMarketStatisticalReport message is sent by the reporting agents to the relevant competent authority, to report all relevant secured money market transactions.

MoneyMarketStatisticalReportStatusAdviceV01

The MoneyMarketStatisticalReportStatusAdvice message is sent by the relevant competent authority to the reporting agents to provide the status on the reported transactions.

MoneyMarketUnsecuredMarketStatisticalReportV02

The MoneyMarketUnsecuredMarketStatisticalReport message is sent by the reporting agents to the relevant competent authority, to report all relevant unsecured money market transactions.

PaymentRegulatoryInformationNotificationV03

The PaymentRegulatoryInformationNotification message is sent by the reporting party to the registration agent to provide details on the transaction, when a payment has to be recorded against the registered currency control contract.

RegulatoryTransactionReportCancellationRequestV02

Scope|A reporting institution, eg, an investment bank, sends the RegulatoryTransactionReportCancellationRequest to a regulator or to an intermediary (eg a reporting agent), to request a cancellation of a previously sent RegulatoryTransactionReport.

RegulatoryTransactionReportCancellationStatusV01

Scope|A regulator or an intermediary sends the RegulatoryTransactionReportCancellationStatus to a reporting institution to provide the status of a RegulatoryTransactionReportCancellationRequest previously sent by the reporting institution.

RegulatoryTransactionReportStatusV01

Scope|A regulator or an intermediary sends the RegulatoryTransactionReportStatus to a reporting institution to provide the status of a RegulatoryTransactionReport previously sent by the reporting institution.

RegulatoryTransactionReportV02

Scope|A reporting institution, eg, an investment bank, sends the RegulatoryTransactionReport to a regulator or an intermediary (eg a reporting agent), to report the transaction details of a trade that has been executed on or off-exchange.

SecuritiesFinancingReportingMarginDataTransactionStateReportV02

The SecuritiesFinancingReportingMarginDataTransactionStateReport message is sent by the trade repository (TR) to the competent authority or made available to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, containing latest state of the margins exchanged in relation to the CCP-cleared securities financing transactions.

SecuritiesFinancingReportingMissingCollateralRequestV02

The SecuritiesFinancingReportingMissingCollateralRequest is made available by the trade repository (TR) to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, with a request to submit collateral information for a given trade.

SecuritiesFinancingReportingPairingRequestV02

The SecuritiesFinancingReportingPairingRequest is sent by the trade repository (TR) to the other trade repositories (TRs) in order to identify the trade repository (TR) holding information on a second leg of a given transaction.

SecuritiesFinancingReportingPositionSetReportV01

The SecuritiesFinancingReportingPositionSetReport message is sent by the trade repositories to the supervisory authority system, to report aggregated exposures between a pair of counterparties (except reuse report).

SecuritiesFinancingReportingReconciliationStatusAdviceV02

The SecuritesFinancingReportingReconciliationStatusAdvice message is sent by the trade repositories (TRs) ) to other TR and to the authority or made available to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, to provide a status advice for reconciliation.

SecuritiesFinancingReportingReusedCollateralDataTransactionStateReportV02

The SecuritiesFinancingReportingReusedCollateralDataTransactionStateReport message is sent by the trade repository (TR) to the authority or made available to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, containing latest state of the collateral reuse.

SecuritiesFinancingReportingTransactionMarginDataReportV02

The SecuritiesFinancingReportingTransactionMarginDataReport message is sent by the report submitting entity to the trade repository (TR) to report the margins exchanged in relation to the CCP-cleared securities financing transactions or sent by the trade repository (TR) to the authority or made available by the trade repository (TR) to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable.

SecuritiesFinancingReportingTransactionQueryV02

The SecuritiesFinancingReportingTransactionQuery message is sent by the authority to the trade repositories, to query data based on the search criteria for the transactions as defined by the system user.

SecuritiesFinancingReportingTransactionReportV02

The SecuritiesFinancingReportingTransactionReport message is sent by the report submitting entity to the trade repository (TR) to report on the securities financing transactions or sent by the trade repository (TR) to the authority or made available by the trade repository (TR) to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable.

SecuritiesFinancingReportingTransactionReusedCollateralDataReportV02

The SecuritiesFinancingReportingTransactionReusedCollateralDataReport message is sent by the report submitting entity to the trade repository (TR) to report the collateral reused/reinvested or sent by the trade repository (TR) to the authority or made available by the trade repository (TR) to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable.

SecuritiesFinancingReportingTransactionStateReportV02

The SecuritiesFinancingReportingTransactionStateReport is sent by the trade repository (TR) to the other trade repository (TR) or the authority or made available to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, containing latest state of the transaction.

SecuritiesFinancingReportingTransactionStatusAdviceV02

The SecuritiesFinancingReportingTransactionStatusAdvice message is sent by the trade repository (TR) to the authority or made available to the report submitting entity and the reporting counterparty as well as the entity responsible for reporting, if applicable, identifying the transactions rejected and the reasons for a rejection.

SettlementFailsAnnualReportV01

The SettlementFailsAnnualReport is sent by a central securities depository or by a central bank operating a securities settlement system to the CSD competent authority to provide annual aggregated data on the number and the nature of settlement instructions which failed to settle on their intended settlement day.

SettlementFailsMonthlyReportV01

The SettlementFailsMonthlyReport is sent by central securities depository or by a central bank operating a securities settlement system to the CSD competent authority in its jurisdiction, to provide monthly and daily aggregated data on the number and the nature of settlement instructions which failed to settle on their intended settlement day.

SettlementInternaliserReportV01

The SettlementInternaliserReport message is sent by the settlement internalisers to the relevant competent authority to report aggregated information on all securities transactions that they settle outside securities settlement systems, on a quarterly basis.