Iso20022

CorporateActionInstructionStatusAdviceV03

seev.034.001.03

Scope An account servicer sends the CorporateActionInstructionStatusAdvice message to an account owner or its designated agent, to report status of a received corporate action election instruction. This message is used to advise the status, or a change in status, of a corporate action-related transaction previously instructed by, or executed on behalf of, the account owner. This will include the acknowledgement/rejection of a corporate action instruction. 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
%% CorporateActionInstructionStatusAdviceV03 recursion level 0 with max 0
CorporateActionInstructionStatusAdviceV03 *-- "0..1" DocumentIdentification9 : InstructionIdentification
CorporateActionInstructionStatusAdviceV03 *-- "0..1" DocumentIdentification14 : OtherDocumentIdentification
CorporateActionInstructionStatusAdviceV03 *-- "1..1" CorporateActionGeneralInformation34 : CorporateActionGeneralInformation
CorporateActionInstructionStatusAdviceV03 *-- "1..1" IInstructionProcessingStatus7Choice : InstructionProcessingStatus
CorporateActionInstructionStatusAdviceV03 *-- "0..1" CorporateActionOption41 : CorporateActionInstruction
CorporateActionInstructionStatusAdviceV03 *-- "0..1" CorporateActionNarrative10 : AdditionalInformation
CorporateActionInstructionStatusAdviceV03 *-- "0..1" SupplementaryData1 : SupplementaryData

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

InstructionIdentification building block

Identification of a related instruction document. Identifies a document by a unique identification. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentIdentification9 recursion level 0 with max 1
class DocumentIdentification9{
    Identification IsoMax35Text
}

DocumentIdentification9 members

Member name Description Data Type / Multiplicity
Identification Identifies the document. IsoMax35Text - Required 1..1

OtherDocumentIdentification building block

Identification of other documents as well as the document number. Identification of a document as well as the document number. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentIdentification14 recursion level 0 with max 1
DocumentIdentification14 *-- "1..1" IDocumentIdentification1Choice : Identification
DocumentIdentification14 *-- "0..1" IDocumentNumber1Choice : DocumentNumber
%% IDocumentIdentification1Choice recursion level 1 with max 1
%% IDocumentNumber1Choice recursion level 1 with max 1

DocumentIdentification14 members

Member name Description Data Type / Multiplicity
Identification Unique identifier of the document (message) assigned either by the account servicer or the account owner. IDocumentIdentification1Choice - Required 1..1
DocumentNumber Identification of the type of document. IDocumentNumber1Choice - Optional 0..1

CorporateActionGeneralInformation building block

General information about the corporate action event. General information about the corporate action event. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionGeneralInformation34 recursion level 0 with max 1
class CorporateActionGeneralInformation34{
    CorporateActionEventIdentification IsoMax35Text
    OfficialCorporateActionEventIdentification IsoMax35Text
    ClassActionNumber IsoMax35Text
}
CorporateActionGeneralInformation34 *-- "1..1" ICorporateActionEventType7Choice : EventType
%% ICorporateActionEventType7Choice recursion level 1 with max 1

CorporateActionGeneralInformation34 members

Member name Description Data Type / Multiplicity
CorporateActionEventIdentification Reference assigned by the account servicer to unambiguously identify a corporate action event. IsoMax35Text - Required 1..1
OfficialCorporateActionEventIdentification Official and unique reference assigned by the official central body/entity within each market at the beginning of a corporate action event. IsoMax35Text - Optional 0..1
ClassActionNumber Reference assigned by a court to a class action. IsoMax35Text - Optional 0..1
EventType Type of corporate action event. ICorporateActionEventType7Choice - Required 1..1

InstructionProcessingStatus building block

Provides information about the processing status of the instruction. Choice between different instruction processing statuses. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IInstructionProcessingStatus7Choice recursion level 0 with max 1

InstructionProcessingStatus7Choice members

Member name Description Data Type / Multiplicity

CorporateActionInstruction building block

Information about the corporate action instruction. Provides information about the corporate action option. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionOption41 recursion level 0 with max 1
class CorporateActionOption41{
    SafekeepingAccount IsoMax35Text
}
CorporateActionOption41 *-- "1..1" IOptionNumber1Choice : OptionNumber
CorporateActionOption41 *-- "1..1" ICorporateActionOption13Choice : OptionType
CorporateActionOption41 *-- "0..1" IPartyIdentification36Choice : AccountOwner
CorporateActionOption41 *-- "0..1" ICashAccountIdentification5Choice : CashAccount
CorporateActionOption41 *-- "0..1" ISafekeepingPlaceFormat2Choice : SafekeepingPlace
CorporateActionOption41 *-- "0..1" SecurityIdentification14 : FinancialInstrumentIdentification
CorporateActionOption41 *-- "0..1" SignedQuantityFormat1 : TotalEligibleBalance
CorporateActionOption41 *-- "0..1" SignedQuantityFormat1 : InstructedBalance
CorporateActionOption41 *-- "0..1" SignedQuantityFormat1 : UninstructedBalance
CorporateActionOption41 *-- "0..1" IStatusOrQuantityToReceive1Choice : StatusQuantityOrQuantityToReceive
%% IOptionNumber1Choice recursion level 1 with max 1
%% ICorporateActionOption13Choice recursion level 1 with max 1
%% IPartyIdentification36Choice recursion level 1 with max 1
%% ICashAccountIdentification5Choice recursion level 1 with max 1
%% ISafekeepingPlaceFormat2Choice recursion level 1 with max 1
%% SecurityIdentification14 recursion level 1 with max 1
class SecurityIdentification14{
    ISIN IsoISINIdentifier
    Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification
%% SignedQuantityFormat1 recursion level 1 with max 1
class SignedQuantityFormat1{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat1 *-- "1..1" IQuantity2Choice : QuantityChoice
%% SignedQuantityFormat1 recursion level 1 with max 1
class SignedQuantityFormat1{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat1 *-- "1..1" IQuantity2Choice : QuantityChoice
%% SignedQuantityFormat1 recursion level 1 with max 1
class SignedQuantityFormat1{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat1 *-- "1..1" IQuantity2Choice : QuantityChoice
%% IStatusOrQuantityToReceive1Choice recursion level 1 with max 1

CorporateActionOption41 members

Member name Description Data Type / Multiplicity
OptionNumber Number identifying the available corporate action options. IOptionNumber1Choice - Required 1..1
OptionType Specifies the corporate action options available to the account owner. ICorporateActionOption13Choice - Required 1..1
AccountOwner Party that owns the account. IPartyIdentification36Choice - Optional 0..1
SafekeepingAccount Account where financial instruments are maintained. IsoMax35Text - Optional 0..1
CashAccount Account on which a securities entry is made. ICashAccountIdentification5Choice - Optional 0..1
SafekeepingPlace Location where the financial instruments are/will be safekept. ISafekeepingPlaceFormat2Choice - Optional 0..1
FinancialInstrumentIdentification Identifies the financial instrument. SecurityIdentification14 - Optional 0..1
TotalEligibleBalance Total balance of securities eligible for this corporate action event. The entitlement calculation is based on this balance. SignedQuantityFormat1 - Optional 0..1
InstructedBalance Balance of instructed position. SignedQuantityFormat1 - Optional 0..1
UninstructedBalance Balance of uninstructed position. SignedQuantityFormat1 - Optional 0..1
StatusQuantityOrQuantityToReceive Specifies whether the quantity of financial instrument is a status quantity or a quantity to receive. IStatusOrQuantityToReceive1Choice - Optional 0..1

AdditionalInformation building block

Provides additional information. Provides additional information such as the information conditions. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionNarrative10 recursion level 0 with max 1
class CorporateActionNarrative10{
    AdditionalText IsoMax350Text
    PartyContactNarrative IsoMax350Text
}

CorporateActionNarrative10 members

Member name Description Data Type / Multiplicity
AdditionalText Provides additional information or specifies in more detail the content of a message. This field may only be used when the information to be transmitted, cannot be coded. IsoMax350Text - Unknown 0..0
PartyContactNarrative Provides additional information regarding the party, for example, the contact unit or person responsible for the transaction identified in the message. IsoMax350Text - 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 CorporateActionInstructionStatusAdviceV03 implementation follows a specific implementaiton pattern. First of all, CorporateActionInstructionStatusAdviceV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, CorporateActionInstructionStatusAdviceV03Document implements IOuterDocument. Because CorporateActionInstructionStatusAdviceV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type CorporateActionInstructionStatusAdviceV03.

classDiagram
    class IOuterRecord
    CorporateActionInstructionStatusAdviceV03 --|> IOuterRecord : Implements
    CorporateActionInstructionStatusAdviceV03Document --|> IOuterDocument~CorporateActionInstructionStatusAdviceV03~ : Implements
    class IOuterDocument~CorporateActionInstructionStatusAdviceV03~ {
        CorporateActionInstructionStatusAdviceV03 Message
     }

Document wrapper for serialization

The only real purpose CorporateActionInstructionStatusAdviceV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:seev.034.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using CorporateActionInstructionStatusAdviceV03.ToDocument() method. The returned CorporateActionInstructionStatusAdviceV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    CorporateActionInstructionStatusAdviceV03Document *-- CorporateActionInstructionStatusAdviceV03 : 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.034.001.03">
    <CorpActnInstrStsAdvc>
        <InstrId>
            <!-- InstructionIdentification inner content -->
        </InstrId>
        <OthrDocId>
            <!-- OtherDocumentIdentification inner content -->
        </OthrDocId>
        <CorpActnGnlInf>
            <!-- CorporateActionGeneralInformation inner content -->
        </CorpActnGnlInf>
        <InstrPrcgSts>
            <!-- InstructionProcessingStatus inner content -->
        </InstrPrcgSts>
        <CorpActnInstr>
            <!-- CorporateActionInstruction inner content -->
        </CorpActnInstr>
        <AddtlInf>
            <!-- AdditionalInformation inner content -->
        </AddtlInf>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </CorpActnInstrStsAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_wLGkgfmMEeC_eLZALo-S0A"
  nextVersions="_R1sqAQx1EeKMmbvHOtE4SA"
  previousVersion="_V_mnkd3BEd-KAqAOGQOnnw"
  name="CorporateActionInstructionStatusAdviceV03"
  definition="Scope&#xD;&#xA;An account servicer sends the CorporateActionInstructionStatusAdvice message to an account owner or its designated agent, to report status of a received corporate action election instruction.&#xD;&#xA;This message is used to advise the status, or a change in status, of a corporate action-related transaction previously instructed by, or executed on behalf of, the account owner. This will include the acknowledgement/rejection of a corporate action instruction.&#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="CorpActnInstrStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_wLGkhfmMEeC_eLZALo-S0A"
    name="AdditionalInformationRule"
    definition="All elements in the AdditionalInformation element must not contain information that can be provided in a structured field unless bilaterally agreed."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_wLGkifmMEeC_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="_wLGkjfmMEeC_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="_wLGkkfmMEeC_eLZALo-S0A"
    name="InstructionIdentification"
    definition="Identification of a related instruction document."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="InstrId"
    complexType="_RXpteNp-Ed-ak6NoX_4Aeg_66239534" />
  <messageBuildingBlock
    xmi:id="_wLGklfmMEeC_eLZALo-S0A"
    name="OtherDocumentIdentification"
    definition="Identification of other documents as well as the document number."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="OthrDocId"
    complexType="_ThCb0tp-Ed-ak6NoX_4Aeg_-2018672131" />
  <messageBuildingBlock
    xmi:id="_wLGkmfmMEeC_eLZALo-S0A"
    name="CorporateActionGeneralInformation"
    definition="General information about the corporate action event."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="CorpActnGnlInf"
    complexType="_VhKUwfmQEeC_eLZALo-S0A" />
  <messageBuildingBlock
    xmi:id="_wLGknfmMEeC_eLZALo-S0A"
    name="InstructionProcessingStatus"
    definition="Provides information about the processing status of the instruction."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="InstrPrcgSts"
    complexType="_U3YuAeJxEd-Q6MzBzY5WkA" />
  <messageBuildingBlock
    xmi:id="_wLGkofmMEeC_eLZALo-S0A"
    name="CorporateActionInstruction"
    definition="Information about the corporate action instruction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnInstr"
    complexType="_qcXDgfpREeCLrd06h-p51g" />
  <messageBuildingBlock
    xmi:id="_wLGkpfmMEeC_eLZALo-S0A"
    name="AdditionalInformation"
    definition="Provides additional information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AddtlInf"
    complexType="_ULXLNNp-Ed-ak6NoX_4Aeg_-1951841609" />
  <messageBuildingBlock
    xmi:id="_wLGkqfmMEeC_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="034"
    flavour="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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