Iso20022

CorporateActionInstructionStatementReportV01

seev.042.001.01

Scope An account servicer sends the CorporateActionInstructionStatementReport message to an account owner or its designated agent to report balances at the safekeeping account level for one or more corporate action events or at the corporate action event level for one or more safekeeping accounts. Usage The message may also be used to:

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
%% CorporateActionInstructionStatementReportV01 recursion level 0 with max 0
CorporateActionInstructionStatementReportV01 *-- "1..1" DocumentIdentification11 : Identification
CorporateActionInstructionStatementReportV01 *-- "1..1" Pagination : Pagination
CorporateActionInstructionStatementReportV01 *-- "1..1" Statement12 : StatementGeneralDetails
CorporateActionInstructionStatementReportV01 *-- "1..1" AccountIdentification6 : AccountAndStatementDetails
CorporateActionInstructionStatementReportV01 *-- "0..1" IPartyIdentification10Choice : MessageOriginator
CorporateActionInstructionStatementReportV01 *-- "0..1" IPartyIdentification10Choice : MessageRecipient
CorporateActionInstructionStatementReportV01 *-- "0..1" Extension2 : Extension

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

Identification building block

Information that unambiguously identifies a CorporateActionInstructionStatementReport message as know by the account servicer. When the report has multiple pages, one message equals one page. Therefore, Identification uniquely identifies the page. Identification and creation date of a document. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentIdentification11 recursion level 0 with max 1
class DocumentIdentification11{
    Identification IsoMax35Text
    CopyDuplicate CopyDuplicate1Code
}
DocumentIdentification11 *-- "0..1" IDateAndDateTimeChoice : CreationDateTime
%% IDateAndDateTimeChoice recursion level 1 with max 1

DocumentIdentification11 members

Member name Description Data Type / Multiplicity
Identification Unique identifier of the document (message) assigned by the sender of the document. IsoMax35Text - Required 1..1
CreationDateTime Date and time at which the document (message) was created by the sender. IDateAndDateTimeChoice - Optional 0..1
CopyDuplicate Specifies if this document is a copy, a duplicate, or a duplicate of a copy. CopyDuplicate1Code - Optional 0..1

Pagination building block

Page number of the message (within a statement) and continuation indicator to indicate that the statement is to continue or that the message is the last page of the statement. Number used to sequence pages when it is not possible for data to be conveyed in a single message and the data has to be split across several pages (messages). For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Pagination recursion level 0 with max 1
class Pagination{
    PageNumber IsoMax5NumericText
    LastPageIndicator IsoYesNoIndicator
}

Pagination members

Member name Description Data Type / Multiplicity
PageNumber Page number. IsoMax5NumericText - Required 1..1
LastPageIndicator Indicates the last page. IsoYesNoIndicator - Required 1..1

StatementGeneralDetails building block

General characteristics related to a statement which reports information. General characteristics related to a statement which reports information. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement12 recursion level 0 with max 1
class Statement12{
    StatementType CorporateActionStatementType1Code
    ReportingType CorporateActionStatementReportingType1Code
    StatementIdentification IsoMax35Text
    ReportNumber IsoMax5NumericText
    ActivityIndicator IsoYesNoIndicator
}
Statement12 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement12 *-- "1..1" IFrequency4Choice : Frequency
Statement12 *-- "1..1" IUpdateType2Choice : UpdateType
Statement12 *-- "0..1" IDateOrDateTimePeriodChoice : NotificationDeadlinePeriod
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency4Choice recursion level 1 with max 1
%% IUpdateType2Choice recursion level 1 with max 1
%% IDateOrDateTimePeriodChoice recursion level 1 with max 1

Statement12 members

Member name Description Data Type / Multiplicity
StatementType Indicates whether the statement contains missing instructions only or all instructions. CorporateActionStatementType1Code - Required 1..1
ReportingType Indicates whether the statement report on account holdings for corporate action events is for single account/multiple events or multiple accounts/single event. CorporateActionStatementReportingType1Code - Required 1..1
StatementIdentification Reference of the statement. IsoMax35Text - Required 1..1
ReportNumber Sequential number of the statement. IsoMax5NumericText - Optional 0..1
StatementDateTime Date of the statement. IDateAndDateTimeChoice - Required 1..1
Frequency Frequency of the statement. IFrequency4Choice - Required 1..1
UpdateType Indicates whether the report is complete or contains changes only. IUpdateType2Choice - Required 1..1
ActivityIndicator Indicates whether there is activity or information update reported in the statement. IsoYesNoIndicator - Required 1..1
NotificationDeadlinePeriod Period during which identification deadline has been set. IDateOrDateTimePeriodChoice - Optional 0..1

AccountAndStatementDetails building block

Account information and detailed account holdings information report for corporate action events. Account information and detailed account holdings information report for corporate action events. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AccountIdentification6 recursion level 0 with max 1
class AccountIdentification6{
    SafekeepingAccount IsoMax35Text
}
AccountIdentification6 *-- "0..1" IPartyIdentification13Choice : AccountOwner
AccountIdentification6 *-- "0..1" ISafekeepingPlaceFormat2Choice : SafekeepingPlace
AccountIdentification6 *-- "0..0" CorporateActionEventAndBalance1 : CorporateActionEventAndBalance
%% IPartyIdentification13Choice recursion level 1 with max 1
%% ISafekeepingPlaceFormat2Choice recursion level 1 with max 1
%% CorporateActionEventAndBalance1 recursion level 1 with max 1
CorporateActionEventAndBalance1 *-- "1..1" EventInformation1 : GeneralInformation
CorporateActionEventAndBalance1 *-- "1..1" UnderlyingSecurity1 : UnderlyingSecurity
CorporateActionEventAndBalance1 *-- "0..1" CorporateActionBalanceDetails4 : Balance
CorporateActionEventAndBalance1 *-- "0..0" Extension2 : Extension

AccountIdentification6 members

Member name Description Data Type / Multiplicity
SafekeepingAccount Account where financial instruments are maintained. IsoMax35Text - Required 1..1
AccountOwner Party that legally owns the account. IPartyIdentification13Choice - Optional 0..1
SafekeepingPlace Location where the financial instruments are/will be safekept. ISafekeepingPlaceFormat2Choice - Optional 0..1
CorporateActionEventAndBalance Detailed account holdings information report for a corporate action event. CorporateActionEventAndBalance1 - Unknown 0..0

MessageOriginator building block

Party that originated the message, if other than the sender. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification10Choice recursion level 0 with max 1

PartyIdentification10Choice members

Member name Description Data Type / Multiplicity

MessageRecipient building block

Party that is the final destination of the message, if other than the receiver. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification10Choice recursion level 0 with max 1

PartyIdentification10Choice members

Member name Description Data Type / Multiplicity

Extension 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
%% Extension2 recursion level 0 with max 1
class Extension2{
    PlaceAndName IsoMax350Text
}
Extension2 *-- "1..1" ExtensionEnvelope1 : ExtensionEnvelope
%% ExtensionEnvelope1 recursion level 1 with max 1
ExtensionEnvelope1 *-- "1..1" ExtensionContents1 : ExtensionContents

Extension2 members

Member name Description Data Type / Multiplicity
PlaceAndName Name qualifying the information provided in the Text field, and place where this information should be inserted. IsoMax350Text - Optional 0..1
ExtensionEnvelope Technical element wrapping the extension. ExtensionEnvelope1 - Required 1..1

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the CorporateActionInstructionStatementReportV01 implementation follows a specific implementaiton pattern. First of all, CorporateActionInstructionStatementReportV01 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, CorporateActionInstructionStatementReportV01Document implements IOuterDocument. Because CorporateActionInstructionStatementReportV01 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type CorporateActionInstructionStatementReportV01.

classDiagram
    class IOuterRecord
    CorporateActionInstructionStatementReportV01 --|> IOuterRecord : Implements
    CorporateActionInstructionStatementReportV01Document --|> IOuterDocument~CorporateActionInstructionStatementReportV01~ : Implements
    class IOuterDocument~CorporateActionInstructionStatementReportV01~ {
        CorporateActionInstructionStatementReportV01 Message
     }

Document wrapper for serialization

The only real purpose CorporateActionInstructionStatementReportV01Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:seev.042.001.01’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using CorporateActionInstructionStatementReportV01.ToDocument() method. The returned CorporateActionInstructionStatementReportV01Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    CorporateActionInstructionStatementReportV01Document *-- CorporateActionInstructionStatementReportV01 : 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:seev.042.001.01">
    <CorpActnInstrStmtRpt>
        <Id>
            <!-- Identification inner content -->
        </Id>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <StmtGnlDtls>
            <!-- StatementGeneralDetails inner content -->
        </StmtGnlDtls>
        <AcctAndStmtDtls>
            <!-- AccountAndStatementDetails inner content -->
        </AcctAndStmtDtls>
        <MsgOrgtr>
            <!-- MessageOriginator inner content -->
        </MsgOrgtr>
        <MsgRcpt>
            <!-- MessageRecipient inner content -->
        </MsgRcpt>
        <Xtnsn>
            <!-- Extension inner content -->
        </Xtnsn>
    </CorpActnInstrStmtRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_TW16YtEwEd-BzquC8wXy7w_1268238631"
  nextVersions="_IN6U0eZ-Ed-q8fx_Zl_34A"
  name="CorporateActionInstructionStatementReportV01"
  definition="Scope&#xD;&#xA;An account servicer sends the CorporateActionInstructionStatementReport message to an account owner or its designated agent to report balances at the safekeeping account level for one or more corporate action events or at the corporate action event level for one or more safekeeping accounts.&#xD;&#xA;Usage&#xD;&#xA;The message may also be used to:&#xD;&#xA;- re-send a message previously sent (the sub-function of the message is Duplicate),&#xD;&#xA;- provide a third party with a copy of a message for information (the sub-function of the message is Copy),&#xD;&#xA;- re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate).&#xA;ISO 15022 - 20022 COEXISTENCE&#xA;This ISO 20022 message is reversed engineered from ISO 15022. Both standards will coexist for a certain number of years. Until this coexistence period ends, the usage of certain data types is restricted to ensure interoperability between ISO 15022 and 20022 users. Compliance to these rules is mandatory in a coexistence environment. The coexistence restrictions are described in a Textual Rule linked to the Message Items they concern. These coexistence textual rules are clearly identified as follows: “CoexistenceXxxxRule”."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="CorpActnInstrStmtRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_TW_EUdEwEd-BzquC8wXy7w_-244241950"
    name="MultipleAccountAndStatementDetailsRule"
    definition="If StatementGeneralDetails/ReportingType is MASE then AccountAndStatementDetails may be repeated and AccountAndStatementDetails/CorporateActionEventAndBalance must not be repeated in any occurrences of AccountAndStatementDetails.&#xD;&#xA;If StatementGeneralDetails/ReportingType is SAME then AccountAndStatementDetails must not be repeated, and AccountAndStatementDetails/CorporateActionEventAndBalance may be repeated."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_TW_EVNEwEd-BzquC8wXy7w_-1068533764"
    name="CorporateActionEventAndBalanceRule"
    definition="If StatementGeneralDetails/ActivityIndicator is 1 or &quot;true&quot; then at least one occurrence of AccountAndStatementDetails/CorporateActionEventAndBalance must be present.&#xD;&#xA;If StatementGeneralDetails/ActivityIndicator is 0 or &quot;false&quot; then AccountAndStatementDetails/CorporateActionEventAndBalance must not be present in any occurrences of AccountAndStatementDetails."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_TW_EV9EwEd-BzquC8wXy7w_859531101"
    name="CoexistenceCharacterSetXRule"
    definition="During ISO 15022 – 20022 coexistence, characters used in all text fields must correspond to character set X, that is, a-z A-Z / - ? : ( ) . , ‘ + { } CR LF."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_TW_EWtEwEd-BzquC8wXy7w_-579715867"
    name="CoexistenceIdentificationRule"
    definition="During ISO 15022 – 20022 coexistence, all transaction and document identifications or references must be 16 characters or less. The field must not start or end with a slash ‘/’ or contain two consecutive slashes ‘//’."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_TW16Y9EwEd-BzquC8wXy7w_-1204031802"
    name="Identification"
    definition="Information that unambiguously identifies a CorporateActionInstructionStatementReport message as know by the account servicer. When the report has multiple pages, one message equals one page. Therefore, Identification uniquely identifies the page."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="Id"
    complexType="_RBcz8tp-Ed-ak6NoX_4Aeg_-746423515" />
  <messageBuildingBlock
    xmi:id="_TW16ZNEwEd-BzquC8wXy7w_1211303543"
    name="Pagination"
    definition="Page number of the message (within a statement) and continuation indicator to indicate that the statement is to continue or that the message is the last page of the statement."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="Pgntn"
    complexType="_Q65gBdp-Ed-ak6NoX_4Aeg_-21330104" />
  <messageBuildingBlock
    xmi:id="_TW16ZdEwEd-BzquC8wXy7w_436859901"
    name="StatementGeneralDetails"
    definition="General characteristics related to a statement which reports information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_QxgTctp-Ed-ak6NoX_4Aeg_-1743572610" />
  <messageBuildingBlock
    xmi:id="_TW16ZtEwEd-BzquC8wXy7w_-1280073177"
    name="AccountAndStatementDetails"
    definition="Account information and detailed account holdings information report for corporate action events."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="AcctAndStmtDtls"
    complexType="_QSqbXNp-Ed-ak6NoX_4Aeg_-1899226631" />
  <messageBuildingBlock
    xmi:id="_TW16Z9EwEd-BzquC8wXy7w_-570637514"
    name="MessageOriginator"
    definition="Party that originated the message, if other than the sender."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MsgOrgtr"
    complexType="_QQR1tdp-Ed-ak6NoX_4Aeg_-1244141483" />
  <messageBuildingBlock
    xmi:id="_TW16aNEwEd-BzquC8wXy7w_-529079840"
    name="MessageRecipient"
    definition="Party that is the final destination of the message, if other than the receiver."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MsgRcpt"
    complexType="_QQR1tdp-Ed-ak6NoX_4Aeg_-1244141483" />
  <messageBuildingBlock
    xmi:id="_TW_EUNEwEd-BzquC8wXy7w_-884634108"
    name="Extension"
    definition="Additional information that can not be captured in the structured fields and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Xtnsn"
    complexType="_QzJSNdp-Ed-ak6NoX_4Aeg_251191216" />
  <messageDefinitionIdentifier
    businessArea="seev"
    messageFunctionality="042"
    flavour="001"
    version="01" />
</messageDefinition>

ISO Building Blocks

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