Iso20022

CorporateActionInstructionStatusAdviceV11

seev.034.001.11

Scope The CorporateActionInstructionStatusAdvice message is sent by an account servicer 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
%% CorporateActionInstructionStatusAdviceV11 recursion level 0 with max 0
CorporateActionInstructionStatusAdviceV11 *-- "0..1" DocumentIdentification9 : InstructionIdentification
CorporateActionInstructionStatusAdviceV11 *-- "0..1" DocumentIdentification33 : OtherDocumentIdentification
CorporateActionInstructionStatusAdviceV11 *-- "1..1" CorporateActionGeneralInformation137 : CorporateActionGeneralInformation
CorporateActionInstructionStatusAdviceV11 *-- "1..1" IInstructionProcessingStatus38Choice : InstructionProcessingStatus
CorporateActionInstructionStatusAdviceV11 *-- "0..1" CorporateActionOption167 : CorporateActionInstruction
CorporateActionInstructionStatusAdviceV11 *-- "0..1" ProtectInstruction2 : ProtectInstruction
CorporateActionInstructionStatusAdviceV11 *-- "0..1" CorporateActionNarrative10 : AdditionalInformation
CorporateActionInstructionStatusAdviceV11 *-- "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
%% DocumentIdentification33 recursion level 0 with max 1
DocumentIdentification33 *-- "1..1" IDocumentIdentification3Choice : Identification
DocumentIdentification33 *-- "0..1" IDocumentNumber5Choice : DocumentNumber
%% IDocumentIdentification3Choice recursion level 1 with max 1
%% IDocumentNumber5Choice recursion level 1 with max 1

DocumentIdentification33 members

Member name Description Data Type / Multiplicity
Identification Unique identifier of the document (message) assigned either by the account servicer or the account owner. IDocumentIdentification3Choice - Required 1..1
DocumentNumber Identification of the type of document. IDocumentNumber5Choice - 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
%% CorporateActionGeneralInformation137 recursion level 0 with max 1
class CorporateActionGeneralInformation137{
    CorporateActionEventIdentification IsoMax35Text
    OfficialCorporateActionEventIdentification IsoMax35Text
    ClassActionNumber IsoMax35Text
}
CorporateActionGeneralInformation137 *-- "1..1" ICorporateActionEventType85Choice : EventType
%% ICorporateActionEventType85Choice recursion level 1 with max 1

CorporateActionGeneralInformation137 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. ICorporateActionEventType85Choice - 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
%% IInstructionProcessingStatus38Choice recursion level 0 with max 1

InstructionProcessingStatus38Choice 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
%% CorporateActionOption167 recursion level 0 with max 1
class CorporateActionOption167{
    SafekeepingAccount IsoMax35Text
    StatusCashAmount IsoActiveCurrencyAndAmount
}
CorporateActionOption167 *-- "1..1" IOptionNumber1Choice : OptionNumber
CorporateActionOption167 *-- "1..1" ICorporateActionOption32Choice : OptionType
CorporateActionOption167 *-- "0..1" IOptionFeaturesFormat25Choice : OptionFeatures
CorporateActionOption167 *-- "0..1" IPartyIdentification127Choice : AccountOwner
CorporateActionOption167 *-- "0..1" ICashAccountIdentification5Choice : CashAccount
CorporateActionOption167 *-- "0..1" ISafekeepingPlaceFormat28Choice : SafekeepingPlace
CorporateActionOption167 *-- "0..1" SecurityIdentification19 : FinancialInstrumentIdentification
CorporateActionOption167 *-- "0..1" SignedQuantityFormat7 : TotalEligibleBalance
CorporateActionOption167 *-- "0..1" SignedQuantityFormat7 : InstructedBalance
CorporateActionOption167 *-- "0..1" SignedQuantityFormat7 : UninstructedBalance
CorporateActionOption167 *-- "0..1" IQuantity6Choice : StatusQuantity
%% IOptionNumber1Choice recursion level 1 with max 1
%% ICorporateActionOption32Choice recursion level 1 with max 1
%% IOptionFeaturesFormat25Choice recursion level 1 with max 1
%% IPartyIdentification127Choice recursion level 1 with max 1
%% ICashAccountIdentification5Choice recursion level 1 with max 1
%% ISafekeepingPlaceFormat28Choice recursion level 1 with max 1
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
    ISIN IsoISINOct2015Identifier
    Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% SignedQuantityFormat7 recursion level 1 with max 1
class SignedQuantityFormat7{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat7 *-- "1..1" IQuantity19Choice : QuantityChoice
%% SignedQuantityFormat7 recursion level 1 with max 1
class SignedQuantityFormat7{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat7 *-- "1..1" IQuantity19Choice : QuantityChoice
%% SignedQuantityFormat7 recursion level 1 with max 1
class SignedQuantityFormat7{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat7 *-- "1..1" IQuantity19Choice : QuantityChoice
%% IQuantity6Choice recursion level 1 with max 1

CorporateActionOption167 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. ICorporateActionOption32Choice - Required 1..1
OptionFeatures Specifies the features that may apply to a corporate action option. IOptionFeaturesFormat25Choice - Optional 0..1
AccountOwner Party that owns the account. IPartyIdentification127Choice - 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. ISafekeepingPlaceFormat28Choice - Optional 0..1
FinancialInstrumentIdentification Identifies the financial instrument. SecurityIdentification19 - Optional 0..1
TotalEligibleBalance Total balance of securities eligible for this corporate action event. The entitlement calculation is based on this balance. SignedQuantityFormat7 - Optional 0..1
InstructedBalance Balance of instructed position. SignedQuantityFormat7 - Optional 0..1
UninstructedBalance Balance of uninstructed position. SignedQuantityFormat7 - Optional 0..1
StatusQuantity Quantity of securities that has been assigned the status indicated. IQuantity6Choice - Optional 0..1
StatusCashAmount Amount of cash subscribed that has been assigned the status indicated. IsoActiveCurrencyAndAmount - Optional 0..1

ProtectInstruction building block

Provides detailed information on protect and cover protect instructions. Provides detailed information on protect and cover protect instructions. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% ProtectInstruction2 recursion level 0 with max 1
class ProtectInstruction2{
    TransactionType ProtectTransactionType2Code
    ProtectTransactionStatus ProtectInstructionStatus3Code
    TransactionIdentification IsoMax15Text
    ProtectSafekeepingAccount IsoMax35Text
    ProtectDate IsoISODate
}
ProtectInstruction2 *-- "0..1" IFinancialInstrumentQuantity18Choice : UncoveredProtectQuantity
%% IFinancialInstrumentQuantity18Choice recursion level 1 with max 1

ProtectInstruction2 members

Member name Description Data Type / Multiplicity
TransactionType Indicates whether the instruction is a protect or a cover protect instruction. ProtectTransactionType2Code - Required 1..1
ProtectTransactionStatus Status of the protect transaction. ProtectInstructionStatus3Code - Optional 0..1
TransactionIdentification Unique reference of the protect transaction assigned by the depository and used for cover protect validation. IsoMax15Text - Optional 0..1
ProtectSafekeepingAccount Account which submitted the original protect instruction used for cover protect instructions whereby one safekeeping account is covering on behalf of another safekeeping account. IsoMax35Text - Optional 0..1
ProtectDate Date at which the protect instruction was created and used for cover protect validation. IsoISODate - Optional 0..1
UncoveredProtectQuantity Remaining quantity of protect instruction which has not been covered. IFinancialInstrumentQuantity18Choice - 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 CorporateActionInstructionStatusAdviceV11 implementation follows a specific implementaiton pattern. First of all, CorporateActionInstructionStatusAdviceV11 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, CorporateActionInstructionStatusAdviceV11Document implements IOuterDocument. Because CorporateActionInstructionStatusAdviceV11 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type CorporateActionInstructionStatusAdviceV11.

classDiagram
    class IOuterRecord
    CorporateActionInstructionStatusAdviceV11 --|> IOuterRecord : Implements
    CorporateActionInstructionStatusAdviceV11Document --|> IOuterDocument~CorporateActionInstructionStatusAdviceV11~ : Implements
    class IOuterDocument~CorporateActionInstructionStatusAdviceV11~ {
        CorporateActionInstructionStatusAdviceV11 Message
     }

Document wrapper for serialization

The only real purpose CorporateActionInstructionStatusAdviceV11Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:seev.034.001.11’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using CorporateActionInstructionStatusAdviceV11.ToDocument() method. The returned CorporateActionInstructionStatusAdviceV11Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    CorporateActionInstructionStatusAdviceV11Document *-- CorporateActionInstructionStatusAdviceV11 : 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.034.001.11">
    <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>
        <PrtctInstr>
            <!-- ProtectInstruction inner content -->
        </PrtctInstr>
        <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="_hptDz-XjEemEj48jhmlA0Q"
  nextVersions="_B3MKbe2zEeqc-LCjwLsUVg"
  previousVersion="_BBGsdbT-EeiTob_PrFFUxA"
  name="CorporateActionInstructionStatusAdviceV11"
  definition="Scope&#xD;&#xA;The CorporateActionInstructionStatusAdvice message is sent by an account servicer to an account owner or its designated agent, to report status of a received corporate action election instruction.&#xD;&#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), using the relevant elements in the business application header (BAH)."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="CorpActnInstrStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_hptD0eXjEemEj48jhmlA0Q"
    nextVersions="_B3MKb-2zEeqc-LCjwLsUVg"
    previousVersion="_BBGsd7T-EeiTob_PrFFUxA"
    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" />
  <messageBuildingBlock
    xmi:id="_hptD2eXjEemEj48jhmlA0Q"
    nextVersions="_B3MKd-2zEeqc-LCjwLsUVg"
    previousVersion="_BBGsebT-EeiTob_PrFFUxA"
    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="_hptD2-XjEemEj48jhmlA0Q"
    nextVersions="_B3MKee2zEeqc-LCjwLsUVg"
    previousVersion="_BBGse7T-EeiTob_PrFFUxA"
    name="OtherDocumentIdentification"
    definition="Identification of other documents as well as the document number."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="OthrDocId"
    complexType="_EsxJoTnaEeWLJsP1cO-amg" />
  <messageBuildingBlock
    xmi:id="_hptD3eXjEemEj48jhmlA0Q"
    nextVersions="_B3MKe-2zEeqc-LCjwLsUVg"
    previousVersion="_BBGsfbT-EeiTob_PrFFUxA"
    name="CorporateActionGeneralInformation"
    definition="General information about the corporate action event."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="CorpActnGnlInf"
    complexType="_1hbUkeXmEemEj48jhmlA0Q" />
  <messageBuildingBlock
    xmi:id="_hptD3-XjEemEj48jhmlA0Q"
    nextVersions="_B3MKfe2zEeqc-LCjwLsUVg"
    previousVersion="_BBQdAbT-EeiTob_PrFFUxA"
    name="InstructionProcessingStatus"
    definition="Provides information about the processing status of the instruction."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="InstrPrcgSts"
    complexType="_lbnRIeXyEemEj48jhmlA0Q" />
  <messageBuildingBlock
    xmi:id="_hptD4eXjEemEj48jhmlA0Q"
    nextVersions="_B3MKf-2zEeqc-LCjwLsUVg"
    previousVersion="_BBQdA7T-EeiTob_PrFFUxA"
    name="CorporateActionInstruction"
    definition="Information about the corporate action instruction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnInstr"
    complexType="_Y5jDMeasEemtTOaHuc_63w" />
  <messageBuildingBlock
    xmi:id="_hptD4-XjEemEj48jhmlA0Q"
    nextVersions="_B3MKge2zEeqc-LCjwLsUVg"
    previousVersion="_PT8YsLpSEeilsanBGAzy4A"
    name="ProtectInstruction"
    definition="Provides detailed information on protect and cover protect instructions."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="PrtctInstr"
    complexType="_-0arNrpREeilsanBGAzy4A" />
  <messageBuildingBlock
    xmi:id="_hptD5eXjEemEj48jhmlA0Q"
    nextVersions="_B3MKg-2zEeqc-LCjwLsUVg"
    previousVersion="_BBQdBbT-EeiTob_PrFFUxA"
    name="AdditionalInformation"
    definition="Provides additional information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AddtlInf"
    complexType="_ULXLNNp-Ed-ak6NoX_4Aeg_-1951841609" />
  <messageBuildingBlock
    xmi:id="_hptD5-XjEemEj48jhmlA0Q"
    nextVersions="_B3MKhe2zEeqc-LCjwLsUVg"
    previousVersion="_BBQdB7T-EeiTob_PrFFUxA"
    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="11" />
</messageDefinition>

ISO Building Blocks

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