Iso20022

CorporateActionInstructionStatementReportV03

seev.042.001.03

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
%% CorporateActionInstructionStatementReportV03 recursion level 0 with max 0
CorporateActionInstructionStatementReportV03 *-- "1..1" Pagination : Pagination
CorporateActionInstructionStatementReportV03 *-- "1..1" Statement12 : StatementGeneralDetails
CorporateActionInstructionStatementReportV03 *-- "1..1" AccountIdentification23 : AccountAndStatementDetails
CorporateActionInstructionStatementReportV03 *-- "0..1" SupplementaryData1 : SupplementaryData

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

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
%% AccountIdentification23 recursion level 0 with max 1
class AccountIdentification23{
    SafekeepingAccount IsoMax35Text
}
AccountIdentification23 *-- "0..1" IPartyIdentification36Choice : AccountOwner
AccountIdentification23 *-- "0..1" ISafekeepingPlaceFormat2Choice : SafekeepingPlace
AccountIdentification23 *-- "0..0" CorporateActionEventAndBalance5 : CorporateActionEventAndBalance
%% IPartyIdentification36Choice recursion level 1 with max 1
%% ISafekeepingPlaceFormat2Choice recursion level 1 with max 1
%% CorporateActionEventAndBalance5 recursion level 1 with max 1
CorporateActionEventAndBalance5 *-- "1..1" EventInformation3 : GeneralInformation
CorporateActionEventAndBalance5 *-- "1..1" SecurityIdentification14 : UnderlyingSecurity
CorporateActionEventAndBalance5 *-- "0..1" CorporateActionBalanceDetails9 : Balance
CorporateActionEventAndBalance5 *-- "0..0" SupplementaryData1 : SupplementaryData

AccountIdentification23 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. IPartyIdentification36Choice - 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. CorporateActionEventAndBalance5 - Unknown 0..0

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

Member name Description Data Type / Multiplicity
PlaceAndName Unambiguous reference to the location where the supplementary data must be inserted in the message instance. In the case of XML, this is expressed by a valid XPath. IsoMax350Text - Optional 0..1
Envelope Technical element wrapping the supplementary data. IsoSupplementaryDataEnvelope1 - Required 1..1

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the CorporateActionInstructionStatementReportV03 implementation follows a specific implementaiton pattern. First of all, CorporateActionInstructionStatementReportV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, CorporateActionInstructionStatementReportV03Document implements IOuterDocument. Because CorporateActionInstructionStatementReportV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type CorporateActionInstructionStatementReportV03.

classDiagram
    class IOuterRecord
    CorporateActionInstructionStatementReportV03 --|> IOuterRecord : Implements
    CorporateActionInstructionStatementReportV03Document --|> IOuterDocument~CorporateActionInstructionStatementReportV03~ : Implements
    class IOuterDocument~CorporateActionInstructionStatementReportV03~ {
        CorporateActionInstructionStatementReportV03 Message
     }

Document wrapper for serialization

The only real purpose CorporateActionInstructionStatementReportV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:seev.042.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using CorporateActionInstructionStatementReportV03.ToDocument() method. The returned CorporateActionInstructionStatementReportV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    CorporateActionInstructionStatementReportV03Document *-- CorporateActionInstructionStatementReportV03 : 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.042.001.03">
    <CorpActnInstrStmtRpt>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <StmtGnlDtls>
            <!-- StatementGeneralDetails inner content -->
        </StmtGnlDtls>
        <AcctAndStmtDtls>
            <!-- AccountAndStatementDetails inner content -->
        </AcctAndStmtDtls>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </CorpActnInstrStmtRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_aVsskfmOEeC_eLZALo-S0A"
  nextVersions="_XmgyEQx1EeKMmbvHOtE4SA"
  previousVersion="_IN6U0eZ-Ed-q8fx_Zl_34A"
  name="CorporateActionInstructionStatementReportV03"
  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).&#xD;&#xA;using the relevant elements in the business application header (BAH).&#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="_aVsslfmOEeC_eLZALo-S0A"
    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="_aVssmfmOEeC_eLZALo-S0A"
    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="_aVssnfmOEeC_eLZALo-S0A"
    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="_aVssofmOEeC_eLZALo-S0A"
    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="_aVsspfmOEeC_eLZALo-S0A"
    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="_aVssqfmOEeC_eLZALo-S0A"
    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="_aVssrfmOEeC_eLZALo-S0A"
    name="AccountAndStatementDetails"
    definition="Account information and detailed account holdings information report for corporate action events."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="AcctAndStmtDtls"
    complexType="_VhKVdfmQEeC_eLZALo-S0A" />
  <messageBuildingBlock
    xmi:id="_aVsssfmOEeC_eLZALo-S0A"
    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="seev"
    messageFunctionality="042"
    flavour="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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