CorporateActionInstructionStatementReportV05

seev.042.001.05

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:

re-send a message previously sent (the sub-function of the message is Duplicate),
provide a third party with a copy of a message for information (the sub-function of the message is Copy),
re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

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
%% CorporateActionInstructionStatementReportV05 recursion level 0 with max 0
CorporateActionInstructionStatementReportV05 *-- "1..1" Pagination : Pagination
CorporateActionInstructionStatementReportV05 *-- "1..1" Statement47 : StatementGeneralDetails
CorporateActionInstructionStatementReportV05 *-- "1..1" AccountIdentification33 : AccountAndStatementDetails
CorporateActionInstructionStatementReportV05 *-- "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
%% Statement47 recursion level 0 with max 1
class Statement47{
    StatementType CorporateActionStatementType1Code
    ReportingType CorporateActionStatementReportingType1Code
    StatementIdentification IsoMax35Text
    ReportNumber IsoMax5NumericText
    ActivityIndicator IsoYesNoIndicator
}
Statement47 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement47 *-- "1..1" IFrequency25Choice : Frequency
Statement47 *-- "1..1" IUpdateType15Choice : UpdateType
Statement47 *-- "0..1" IDateOrDateTimePeriodChoice : NotificationDeadlinePeriod
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency25Choice recursion level 1 with max 1
%% IUpdateType15Choice recursion level 1 with max 1
%% IDateOrDateTimePeriodChoice recursion level 1 with max 1

Statement47 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.	IFrequency25Choice - Required 1..1
UpdateType	Indicates whether the report is complete or contains changes only.	IUpdateType15Choice - 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
%% AccountIdentification33 recursion level 0 with max 1
class AccountIdentification33{
    SafekeepingAccount IsoMax35Text
}
AccountIdentification33 *-- "0..1" IPartyIdentification92Choice : AccountOwner
AccountIdentification33 *-- "0..1" ISafekeepingPlaceFormat8Choice : SafekeepingPlace
AccountIdentification33 *-- "0..0" CorporateActionEventAndBalance9 : CorporateActionEventAndBalance
%% IPartyIdentification92Choice recursion level 1 with max 1
%% ISafekeepingPlaceFormat8Choice recursion level 1 with max 1
%% CorporateActionEventAndBalance9 recursion level 1 with max 1
CorporateActionEventAndBalance9 *-- "1..1" EventInformation7 : GeneralInformation
CorporateActionEventAndBalance9 *-- "1..1" SecurityIdentification19 : UnderlyingSecurity
CorporateActionEventAndBalance9 *-- "0..1" CorporateActionBalanceDetails30 : Balance
CorporateActionEventAndBalance9 *-- "0..0" SupplementaryData1 : SupplementaryData

AccountIdentification33 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.	IPartyIdentification92Choice - Optional 0..1
SafekeepingPlace	Location where the financial instruments are/will be safekept.	ISafekeepingPlaceFormat8Choice - Optional 0..1
CorporateActionEventAndBalance	Detailed account holdings information report for a corporate action event.	CorporateActionEventAndBalance9 - 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 CorporateActionInstructionStatementReportV05 implementation follows a specific implementaiton pattern. First of all, CorporateActionInstructionStatementReportV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, CorporateActionInstructionStatementReportV05Document implements IOuterDocument. Because CorporateActionInstructionStatementReportV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type CorporateActionInstructionStatementReportV05.

classDiagram
    class IOuterRecord
    CorporateActionInstructionStatementReportV05 --|> IOuterRecord : Implements
    CorporateActionInstructionStatementReportV05Document --|> IOuterDocument~CorporateActionInstructionStatementReportV05~ : Implements
    class IOuterDocument~CorporateActionInstructionStatementReportV05~ {
        CorporateActionInstructionStatementReportV05 Message
     }

Document wrapper for serialization

The only real purpose CorporateActionInstructionStatementReportV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:seev.042.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using CorporateActionInstructionStatementReportV05.ToDocument() method. The returned CorporateActionInstructionStatementReportV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    CorporateActionInstructionStatementReportV05Document *-- CorporateActionInstructionStatementReportV05 : 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.042.001.05">
    <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="_Rc5qITm_EeWENZE2jGFgGw"
  nextVersions="_ynLu0Yb4Eea9VrPZgV7UBQ"
  previousVersion="_XmgyEQx1EeKMmbvHOtE4SA"
  name="CorporateActionInstructionStatementReportV05"
  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)."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="CorpActnInstrStmtRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_Rc5qIzm_EeWENZE2jGFgGw"
    nextVersions="_ynLu04b4Eea9VrPZgV7UBQ"
    previousVersion="_XmgyEwx1EeKMmbvHOtE4SA"
    name="MultipleAccountAndStatementDetailsRule"
    definition="If StatementGeneralDetails/ReportingType is MASE (Multiple Accounts) then AccountAndStatementDetails may be repeated and AccountAndStatementDetails/CorporateActionEventAndBalance must not be repeated in any occurrences of AccountAndStatementDetails.&#xD;&#xA;If StatementGeneralDetails/ReportingType is SAME (Multiple Events) then AccountAndStatementDetails must not be repeated, and AccountAndStatementDetails/CorporateActionEventAndBalance may be repeated."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_Rc5qJTm_EeWENZE2jGFgGw"
    nextVersions="_ynLu1Yb4Eea9VrPZgV7UBQ"
    previousVersion="_XmgyFwx1EeKMmbvHOtE4SA"
    name="CorporateActionEventAndBalanceRule"
    definition="If StatementGeneralDetails/ActivityIndicator is 'true' or '1' (Yes) then at least one occurrence of AccountAndStatementDetails/CorporateActionEventAndBalance must be present.&#xD;&#xA;If StatementGeneralDetails/ActivityIndicator is 'false' or '0' (No) then AccountAndStatementDetails/CorporateActionEventAndBalance must not be present in any occurrences of AccountAndStatementDetails."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_Rc5qKzm_EeWENZE2jGFgGw"
    nextVersions="_ynLu14b4Eea9VrPZgV7UBQ"
    previousVersion="_XmgyIwx1EeKMmbvHOtE4SA"
    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="_Rc5qLTm_EeWENZE2jGFgGw"
    nextVersions="_ynLu2Yb4Eea9VrPZgV7UBQ"
    previousVersion="_XmgyJwx1EeKMmbvHOtE4SA"
    name="StatementGeneralDetails"
    definition="General characteristics related to a statement which reports information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_wW8KkUKNEeW5mJpUa0D_fg" />
  <messageBuildingBlock
    xmi:id="_Rc5qLzm_EeWENZE2jGFgGw"
    nextVersions="_ynLu24b4Eea9VrPZgV7UBQ"
    previousVersion="_XmgyKwx1EeKMmbvHOtE4SA"
    name="AccountAndStatementDetails"
    definition="Account information and detailed account holdings information report for corporate action events."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="AcctAndStmtDtls"
    complexType="_fJ6PgTndEeWLJsP1cO-amg" />
  <messageBuildingBlock
    xmi:id="_Rc5qMTm_EeWENZE2jGFgGw"
    nextVersions="_ynLu3Yb4Eea9VrPZgV7UBQ"
    previousVersion="_XmgyLwx1EeKMmbvHOtE4SA"
    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="05" />
</messageDefinition>

ISO Building Blocks

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