Iso20022

CorporateActionInstructionStatementReport002V11

seev.042.002.11

Scope The CorporateActionInstructionStatementReport message is sent by an account servicer 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
%% CorporateActionInstructionStatementReport002V11 recursion level 0 with max 0
CorporateActionInstructionStatementReport002V11 *-- "1..1" Pagination1 : Pagination
CorporateActionInstructionStatementReport002V11 *-- "1..1" Statement75 : StatementGeneralDetails
CorporateActionInstructionStatementReport002V11 *-- "1..1" AccountIdentification63 : AccountAndStatementDetails
CorporateActionInstructionStatementReport002V11 *-- "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
%% Pagination1 recursion level 0 with max 1
class Pagination1{
    PageNumber IsoMax5NumericText
    LastPageIndicator IsoYesNoIndicator
}

Pagination1 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
%% Statement75 recursion level 0 with max 1
class Statement75{
    StatementType CorporateActionStatementType2Code
    ReportingType CorporateActionStatementReportingType1Code
    StatementIdentification IsoRestrictedFINXMax16Text
    ReportNumber IsoMax5NumericText
    ActivityIndicator IsoYesNoIndicator
}
Statement75 *-- "0..1" DatePeriod2 : InstructionAggregationPeriod
Statement75 *-- "1..1" IDateAndDateTime2Choice : StatementDateTime
Statement75 *-- "1..1" IFrequency26Choice : Frequency
Statement75 *-- "1..1" IUpdateType16Choice : UpdateType
Statement75 *-- "0..1" IDateOrDateTimePeriod1Choice : NotificationDeadlinePeriod
%% DatePeriod2 recursion level 1 with max 1
class DatePeriod2{
    FromDate IsoISODate
    ToDate IsoISODate
}
%% IDateAndDateTime2Choice recursion level 1 with max 1
%% IFrequency26Choice recursion level 1 with max 1
%% IUpdateType16Choice recursion level 1 with max 1
%% IDateOrDateTimePeriod1Choice recursion level 1 with max 1

Statement75 members

Member name Description Data Type / Multiplicity
StatementType Indicates whether the statement is a balance only notification or if it includes missing instructions only or all instructions. CorporateActionStatementType2Code - 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. IsoRestrictedFINXMax16Text - Required 1..1
InstructionAggregationPeriod Indicates the period of instruction details within the statement. DatePeriod2 - Optional 0..1
ReportNumber Sequential number of the statement. IsoMax5NumericText - Optional 0..1
StatementDateTime Date of the statement. IDateAndDateTime2Choice - Required 1..1
Frequency Frequency of the statement. IFrequency26Choice - Required 1..1
UpdateType Indicates whether the report is complete or contains changes only. IUpdateType16Choice - 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. IDateOrDateTimePeriod1Choice - 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
%% AccountIdentification63 recursion level 0 with max 1
class AccountIdentification63{
    SafekeepingAccount IsoRestrictedFINXMax35Text
    BlockChainAddressOrWallet IsoRestrictedFINXMax140Text
}
AccountIdentification63 *-- "0..1" IPartyIdentification136Choice : AccountOwner
AccountIdentification63 *-- "0..1" ISafekeepingPlaceFormat32Choice : SafekeepingPlace
AccountIdentification63 *-- "0..0" CorporateActionEventAndBalance23 : CorporateActionEventAndBalance
%% IPartyIdentification136Choice recursion level 1 with max 1
%% ISafekeepingPlaceFormat32Choice recursion level 1 with max 1
%% CorporateActionEventAndBalance23 recursion level 1 with max 1
CorporateActionEventAndBalance23 *-- "1..1" EventInformation16 : GeneralInformation
CorporateActionEventAndBalance23 *-- "1..1" SecurityIdentification20 : UnderlyingSecurity
CorporateActionEventAndBalance23 *-- "0..1" CorporateActionBalance47 : Balance
CorporateActionEventAndBalance23 *-- "0..0" SupplementaryData1 : SupplementaryData

AccountIdentification63 members

Member name Description Data Type / Multiplicity
SafekeepingAccount Account where financial instruments are maintained. IsoRestrictedFINXMax35Text - Optional 0..1
BlockChainAddressOrWallet Blockchain address or wallet where digital assets are maintained. This is the equivalent of safekeeping account for digital assets. IsoRestrictedFINXMax140Text - Optional 0..1
AccountOwner Party that legally owns the account. IPartyIdentification136Choice - Optional 0..1
SafekeepingPlace Location where the financial instruments are/will be safekept. ISafekeepingPlaceFormat32Choice - Optional 0..1
CorporateActionEventAndBalance Detailed account holdings information report for a corporate action event. CorporateActionEventAndBalance23 - 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 CorporateActionInstructionStatementReport002V11 implementation follows a specific implementaiton pattern. First of all, CorporateActionInstructionStatementReport002V11 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, CorporateActionInstructionStatementReport002V11Document implements IOuterDocument. Because CorporateActionInstructionStatementReport002V11 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type CorporateActionInstructionStatementReport002V11.

classDiagram
    class IOuterRecord
    CorporateActionInstructionStatementReport002V11 --|> IOuterRecord : Implements
    CorporateActionInstructionStatementReport002V11Document --|> IOuterDocument~CorporateActionInstructionStatementReport002V11~ : Implements
    class IOuterDocument~CorporateActionInstructionStatementReport002V11~ {
        CorporateActionInstructionStatementReport002V11 Message
     }

Document wrapper for serialization

The only real purpose CorporateActionInstructionStatementReport002V11Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:seev.042.002.11’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using CorporateActionInstructionStatementReport002V11.ToDocument() method. The returned CorporateActionInstructionStatementReport002V11Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    CorporateActionInstructionStatementReport002V11Document *-- CorporateActionInstructionStatementReport002V11 : 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.042.002.11">
    <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="_pfxU4zi7Eeydid5dcNPKvg"
  previousVersion="_pUCVUx9QEeuFz_FaCzCLgQ"
  name="CorporateActionInstructionStatementReport002V11"
  definition="Scope&#xD;&#xA;The CorporateActionInstructionStatementReport message is sent by an account servicer 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), using the relevant elements in the business application header (BAH)."
  registrationStatus="Registered"
  messageSet="_kXAaIKS_EeWiN6v48CBCXg"
  xmlTag="CorpActnInstrStmtRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_pfxU5Ti7Eeydid5dcNPKvg"
    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="_pfxU5zi7Eeydid5dcNPKvg"
    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="_pfxU6zi7Eeydid5dcNPKvg"
    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="_xhMHQa6XEees_ufOy2ci-g" />
  <messageBuildingBlock
    xmi:id="_pfxU7Ti7Eeydid5dcNPKvg"
    name="StatementGeneralDetails"
    definition="General characteristics related to a statement which reports information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_D3ShFffQEeiNZp_PtLohLw" />
  <messageBuildingBlock
    xmi:id="_pfxU7zi7Eeydid5dcNPKvg"
    name="AccountAndStatementDetails"
    definition="Account information and detailed account holdings information report for corporate action events."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="AcctAndStmtDtls"
    complexType="_pfx79Ti7Eeydid5dcNPKvg" />
  <messageBuildingBlock
    xmi:id="_pfxU8Ti7Eeydid5dcNPKvg"
    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="002"
    version="11" />
</messageDefinition>

ISO Building Blocks

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