ShareholdersIdentificationDisclosureResponseV02

seev.047.001.02

The ShareholdersIdentificationDisclosureResponse message is sent in response to a shareholder identification disclosure request message by any intermediaries to the recipient designated by the issuer (such as an issuer’s agent) in the disclosure request message in order to provide the requested information on the identity of the shareholders and their accounts holdings serviced by the intermediary for the requested financial instrument.

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
%% ShareholdersIdentificationDisclosureResponseV02 recursion level 0 with max 0
class ShareholdersIdentificationDisclosureResponseV02{
    DisclosureResponseIdentification IsoMax35Text
}
ShareholdersIdentificationDisclosureResponseV02 *-- "0..1" Pagination1 : Pagination
ShareholdersIdentificationDisclosureResponseV02 *-- "1..1" DisclosureRequestIdentification1 : IssuerDisclosureRequestReference
ShareholdersIdentificationDisclosureResponseV02 *-- "1..1" PartyIdentification219 : RespondingIntermediary
ShareholdersIdentificationDisclosureResponseV02 *-- "1..1" IDisclosure2Choice : DisclosureInformation
ShareholdersIdentificationDisclosureResponseV02 *-- "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 and continuation indicator to indicate that the identification disclosure response, when split in several parts (messages), is to continue or that the message is the last page of the multi-part identification disclosure response. 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

IssuerDisclosureRequestReference building block

Official and unique identification assigned to a shareholders identification disclosure request process by the issuer or third party nominated by it and for which a response is sent. Information identifying the disclosure request for shareholders identification published by the issuer or third party nominated by the issuer in order to receive the disclosure responses from intermediaries in the custody chain. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DisclosureRequestIdentification1 recursion level 0 with max 1
class DisclosureRequestIdentification1{
    IssuerDisclosureRequestIdentification IsoMax35Text
}
DisclosureRequestIdentification1 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
DisclosureRequestIdentification1 *-- "1..1" IDateFormat46Choice : ShareholdersDisclosureRecordDate
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
    ISIN IsoISINOct2015Identifier
    Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% IDateFormat46Choice recursion level 1 with max 1
  

DisclosureRequestIdentification1 members

DisclosureResponseIdentification building block

Unique identification of the disclosure response. The same disclosure response identification number is to be used when the response is split in multiple (paginated) messages. Specifies a character string with a maximum length of 35 characters. For comparison, see the ISO20022 official specification This message is declared as Max35Text in the ISO specification. In our implementation, it is represented in source code as IsoMax35Text. Due to global using directives, it is treated as a System.String by the compiler and runtime.

RespondingIntermediary building block

Unique identification of the intermediary party responding to the shareholders identification disclosure request. Identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% PartyIdentification219 recursion level 0 with max 1
PartyIdentification219 *-- "1..1" PersonName2 : NameAndAddress
PartyIdentification219 *-- "1..1" IPartyIdentification195Choice : Identification
PartyIdentification219 *-- "0..1" ContactIdentification2 : ContactPerson
%% PersonName2 recursion level 1 with max 1
class PersonName2{
    Name IsoMax350Text
}
PersonName2 *-- "0..1" PostalAddress26 : Address
%% IPartyIdentification195Choice recursion level 1 with max 1
%% ContactIdentification2 recursion level 1 with max 1
class ContactIdentification2{
    NamePrefix NamePrefix1Code
    GivenName IsoMax35Text
    Name IsoMax35Text
    PhoneNumber IsoPhoneNumber
    MobileNumber IsoPhoneNumber
    FaxNumber IsoPhoneNumber
    EmailAddress IsoMax256Text
}
  

PartyIdentification219 members

DisclosureInformation building block

Specifies detailed shareholding disclosure information or specifies that disclosure information is not provided. Choice between an indication of no disclosure and the provision of shareholding disclosure information. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IDisclosure2Choice recursion level 0 with max 1
  

Disclosure2Choice members

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

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the ShareholdersIdentificationDisclosureResponseV02 implementation follows a specific implementaiton pattern. First of all, ShareholdersIdentificationDisclosureResponseV02 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, ShareholdersIdentificationDisclosureResponseV02Document implements IOuterDocument. Because ShareholdersIdentificationDisclosureResponseV02 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type ShareholdersIdentificationDisclosureResponseV02.

classDiagram
    class IOuterRecord
    ShareholdersIdentificationDisclosureResponseV02 --|> IOuterRecord : Implements
    ShareholdersIdentificationDisclosureResponseV02Document --|> IOuterDocument~ShareholdersIdentificationDisclosureResponseV02~ : Implements
    class IOuterDocument~ShareholdersIdentificationDisclosureResponseV02~ {
        ShareholdersIdentificationDisclosureResponseV02 Message
     }
  

Document wrapper for serialization

The only real purpose ShareholdersIdentificationDisclosureResponseV02Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:seev.047.001.02’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using ShareholdersIdentificationDisclosureResponseV02.ToDocument() method. The returned ShareholdersIdentificationDisclosureResponseV02Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    ShareholdersIdentificationDisclosureResponseV02Document *-- ShareholdersIdentificationDisclosureResponseV02 : 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.047.001.02">
    <ShrhldrsIdDsclsrRspn>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <IssrDsclsrReqRef>
            <!-- IssuerDisclosureRequestReference inner content -->
        </IssrDsclsrReqRef>
        <DsclsrRspnId>
            <!-- DisclosureResponseIdentification inner content -->
        </DsclsrRspnId>
        <RspndgIntrmy>
            <!-- RespondingIntermediary inner content -->
        </RspndgIntrmy>
        <DsclsrInf>
            <!-- DisclosureInformation inner content -->
        </DsclsrInf>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </ShrhldrsIdDsclsrRspn>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_9U3hhfEkEeqRfth943bvEA"
  previousVersion="_KdCxYDnZEemL_ewJY9QP1g"
  name="ShareholdersIdentificationDisclosureResponseV02"
  definition="The ShareholdersIdentificationDisclosureResponse message is sent in response to a shareholder identification disclosure request message by any intermediaries to the recipient designated by the issuer (such as an issuer's agent) in the disclosure request message in order to provide the requested information on the identity of the shareholders and their accounts holdings serviced by the intermediary for the requested financial instrument."
  registrationStatus="Registered"
  messageSet="_zEyuADnXEemL_ewJY9QP1g"
  xmlTag="ShrhldrsIdDsclsrRspn"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_9U3hjfEkEeqRfth943bvEA"
    previousVersion="_73Q8AX09EemTjI54yVVOfw"
    name="Pagination"
    definition="Page number of the message and continuation indicator to indicate that the identification disclosure response, when split in several parts (messages), is to continue or that the message is the last page of the multi-part identification disclosure response."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="Pgntn"
    complexType="_xhMHQa6XEees_ufOy2ci-g" />
  <messageBuildingBlock
    xmi:id="_9U3hj_EkEeqRfth943bvEA"
    previousVersion="_e-t-QDqgEemL_ewJY9QP1g"
    name="IssuerDisclosureRequestReference"
    definition="Official and unique identification assigned to a shareholders identification disclosure request process by the issuer or third party nominated by it and for which a response is sent."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="IssrDsclsrReqRef"
    complexType="_im8pMDqgEemL_ewJY9QP1g" />
  <messageBuildingBlock
    xmi:id="_9U3hkfEkEeqRfth943bvEA"
    previousVersion="_6rRNgH0-EemTjI54yVVOfw"
    name="DisclosureResponseIdentification"
    definition="Unique identification of the disclosure response. The same disclosure response identification number is to be used when the response is split in multiple (paginated) messages."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="DsclsrRspnId"
    simpleType="_YW1tKdp-Ed-ak6NoX_4Aeg_1913463446" />
  <messageBuildingBlock
    xmi:id="_9U3hk_EkEeqRfth943bvEA"
    previousVersion="_HKzZ8DqcEemL_ewJY9QP1g"
    name="RespondingIntermediary"
    definition="Unique identification of the intermediary party responding to the shareholders identification disclosure request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="RspndgIntrmy"
    complexType="_aF_Eo1VCEembSPFgeLJ9eg" />
  <messageBuildingBlock
    xmi:id="_9U3hlfEkEeqRfth943bvEA"
    previousVersion="_spRhQMAMEembi_x1QDJfxw"
    name="DisclosureInformation"
    definition="Specifies detailed shareholding disclosure information or specifies that disclosure information is not provided."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="DsclsrInf"
    complexType="_L3-v4fNyEeqRfth943bvEA" />
  <messageBuildingBlock
    xmi:id="_9U3hl_EkEeqRfth943bvEA"
    previousVersion="_E5VtkTtgEemIf7eyjCwinw"
    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="047"
    flavour="001"
    version="02" />
</messageDefinition>

ISO Building Blocks

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