InformationRequestOpeningV01

auth.001.001.01

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. Requested information can relate to accounts, their signatories and beneficiaries and co-owners as well as movements plus positions on these accounts.

Requests are underpinned by specific legal texts.

Message Construction

Every ISO20022 message has at the highest level what we call ‘building blocks’. Because the message is constructed as immutable records, the association is by composition. Below you can see the relationship between the message and its constituent building blocks: For comparison, see the ISO20022 official specification

classDiagram
     direction LR
%% InformationRequestOpeningV01 recursion level 0 with max 0
class InformationRequestOpeningV01{
    InvestigationIdentification IsoMax35Text
    ConfidentialityStatus IsoYesNoIndicator
}
InformationRequestOpeningV01 *-- "1..1" LegalMandate1 : LegalMandateBasis
InformationRequestOpeningV01 *-- "0..1" DueDate1 : DueDate
InformationRequestOpeningV01 *-- "1..1" IDateOrDateTimePeriodChoice : InvestigationPeriod
InformationRequestOpeningV01 *-- "1..1" ISearchCriteria1Choice : SearchCriteria
InformationRequestOpeningV01 *-- "0..1" SupplementaryData1 : SupplementaryData
  

Now, we will zero-in one-by-one on each of these building blocks.

InvestigationIdentification building block

Unique identification for the specific investigation as known by the requesting party. Specifies a character string with a maximum length of 35 characters. For comparison, see the ISO20022 official specification This message is declared as Max35Text in the ISO specification. In our implementation, it is represented in source code as IsoMax35Text. Due to global using directives, it is treated as a System.String by the compiler and runtime.

LegalMandateBasis building block

Provides details on the legal basis of the request. Provides details on the legal basis of the request. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% LegalMandate1 recursion level 0 with max 1
class LegalMandate1{
    Paragraph IsoMax35Text
    Disclaimer IsoMax350Text
}
  

LegalMandate1 members

ConfidentialityStatus building block

Specifies the confidentiality status of the investigation. Indicates a “Yes” or “No” type of answer for an element. For comparison, see the ISO20022 official specification This message is declared as YesNoIndicator in the ISO specification. In our implementation, it is represented in source code as IsoYesNoIndicator. Due to global using directives, it is treated as a System.String by the compiler and runtime.

DueDate building block

Specifies the date by when the financial institutiion needs to provide a response. Specifies the date by when the financial institutiion needs to provide a response. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DueDate1 recursion level 0 with max 1
class DueDate1{
    DueDate IsoISODate
    AdditionalInformation IsoMax140Text
}
  

DueDate1 members

InvestigationPeriod building block

Specifies the dates between which period the authority requests that the financial institution provides a response to the information request. Choice between a date or a date and time format for a period. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IDateOrDateTimePeriodChoice recursion level 0 with max 1
  

DateOrDateTimePeriodChoice members

SearchCriteria building block

Specifies the the search criteria for the financial institution to perform the search on. The search criteria can be an account, a customer identification or a payment instrument type. Choice of search criteria for the financial investigation. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% ISearchCriteria1Choice recursion level 0 with max 1
  

SearchCriteria1Choice members

SupplementaryData building block

Additional information that can not be captured in the structured fields and/or any other specific block. Additional information that can not be captured in the structured fields and/or any other specific block. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SupplementaryData1 recursion level 0 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
%% IsoSupplementaryDataEnvelope1 recursion level 1 with max 1
  

SupplementaryData1 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the InformationRequestOpeningV01 implementation follows a specific implementaiton pattern. First of all, InformationRequestOpeningV01 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, InformationRequestOpeningV01Document implements IOuterDocument. Because InformationRequestOpeningV01 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type InformationRequestOpeningV01.

classDiagram
    class IOuterRecord
    InformationRequestOpeningV01 --|> IOuterRecord : Implements
    InformationRequestOpeningV01Document --|> IOuterDocument~InformationRequestOpeningV01~ : Implements
    class IOuterDocument~InformationRequestOpeningV01~ {
        InformationRequestOpeningV01 Message
     }
  

Document wrapper for serialization

The only real purpose InformationRequestOpeningV01Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:auth.001.001.01’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using InformationRequestOpeningV01.ToDocument() method. The returned InformationRequestOpeningV01Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    InformationRequestOpeningV01Document *-- InformationRequestOpeningV01 : Document
  

Sample of message format

This is an abbreviated version of what the message should look like.

<Document xmlns="urn:iso:std:iso:20022:tech:xsd:auth.001.001.01">
    <InfReqOpng>
        <InvstgtnId>
            <!-- InvestigationIdentification inner content -->
        </InvstgtnId>
        <LglMndtBsis>
            <!-- LegalMandateBasis inner content -->
        </LglMndtBsis>
        <CnfdtltySts>
            <!-- ConfidentialityStatus inner content -->
        </CnfdtltySts>
        <DueDt>
            <!-- DueDate inner content -->
        </DueDt>
        <InvstgtnPrd>
            <!-- InvestigationPeriod inner content -->
        </InvstgtnPrd>
        <SchCrit>
            <!-- SearchCriteria inner content -->
        </SchCrit>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </InfReqOpng>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_ixVXwztbEeGg8InIPRjKog"
  name="InformationRequestOpeningV01"
  definition="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. Requested information can relate to accounts, their signatories and beneficiaries and co-owners as well as movements plus positions on these accounts.&#xD;&#xA;&#xD;&#xA;Requests are underpinned by specific legal texts."
  registrationStatus="Registered"
  messageSet="_8zxLQz2SEeGG64_ngBNdUg"
  xmlTag="InfReqOpng"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_MvVY3zteEeGg8InIPRjKog"
    name="InvestigationIdentification"
    definition="Unique identification for the specific investigation as known by the requesting party."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="InvstgtnId"
    simpleType="_YW1tKdp-Ed-ak6NoX_4Aeg_1913463446" />
  <messageBuildingBlock
    xmi:id="_Gh6K-0J9EeGuetKibuqsKw"
    name="LegalMandateBasis"
    definition="Provides details on the legal basis of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="LglMndtBsis"
    complexType="_bhYnwEJ4EeGuetKibuqsKw" />
  <messageBuildingBlock
    xmi:id="_UdsRrz2NEeGG64_ngBNdUg"
    name="ConfidentialityStatus"
    definition="Specifies the confidentiality status of the investigation."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="CnfdtltySts"
    simpleType="_YXbjA9p-Ed-ak6NoX_4Aeg_-2040117978" />
  <messageBuildingBlock
    xmi:id="_6Pv_70cVEeGlWcsEChp7QA"
    name="DueDate"
    definition="Specifies the date by when the financial institutiion needs to provide a response."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="DueDt"
    complexType="_AeNGMEcWEeGlWcsEChp7QA" />
  <messageBuildingBlock
    xmi:id="_VWAzXzwlEeGUCuI3g5RrVg"
    name="InvestigationPeriod"
    definition="Specifies the dates between which period the authority requests that the financial institution provides a response to the information request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="InvstgtnPrd"
    complexType="_T6Em7Np-Ed-ak6NoX_4Aeg_1481614183" />
  <messageBuildingBlock
    xmi:id="_qpVADzthEeGg8InIPRjKog"
    name="SearchCriteria"
    definition="Specifies the the search criteria for the financial institution to perform the search on. The search criteria can be an account, a customer identification or a payment instrument type."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SchCrit"
    complexType="_sxyTUDv7EeGKuZXNQxGH3g" />
  <messageBuildingBlock
    xmi:id="_O_AtrzwoEeGUCuI3g5RrVg"
    name="SupplementaryData"
    definition="Additional information that can not be captured in the structured fields and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SplmtryData"
    complexType="_Qn0zC9p-Ed-ak6NoX_4Aeg_468227563" />
  <messageDefinitionIdentifier
    businessArea="auth"
    messageFunctionality="001"
    flavour="001"
    version="01" />
</messageDefinition>

ISO Building Blocks

The following items are used as building blocks to construct this message.