IntraPositionMovementConfirmationV02

semt.015.001.02

Scope An account servicer sends a IntraPositionMovementConfirmation to an account owner to confirm the movement of securities within its holding from one sub-balance to another, for example, blocking of securities. The account servicer/owner relationship may be:

• a central securities depository or another settlement market infrastructure acting on behalf of their participants
• an agent (sub-custodian) acting on behalf of their global custodian customer, or
• a custodian acting on behalf of an investment management institution or a broker/dealer. The message may also be used to:
• re-send a message previously sent,
• provide a third party with a copy of a message for information,
• re-send to a third party a copy of a message for information. using the relevant elements in the Business Application Header. ISO 15022 - 20022 Coexistence 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”.

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
%% IntraPositionMovementConfirmationV02 recursion level 0 with max 0
IntraPositionMovementConfirmationV02 *-- "0..1" AdditionalParameters8 : AdditionalParameters
IntraPositionMovementConfirmationV02 *-- "0..1" IPartyIdentification36Choice : AccountOwner
IntraPositionMovementConfirmationV02 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
IntraPositionMovementConfirmationV02 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
IntraPositionMovementConfirmationV02 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
IntraPositionMovementConfirmationV02 *-- "0..1" FinancialInstrumentAttributes21 : FinancialInstrumentAttributes
IntraPositionMovementConfirmationV02 *-- "1..1" IntraPositionDetails12 : IntraPositionDetails
IntraPositionMovementConfirmationV02 *-- "0..1" SupplementaryData1 : SupplementaryData
  

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

AdditionalParameters building block

Additional parameters to the transaction. Specifies additional parameters to the message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalParameters8 recursion level 0 with max 1
class AdditionalParameters8{
    PartialSettlement PartialSettlement1Code
    PreviousPartialConfirmationIdentification IsoMax35Text
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
}
  

AdditionalParameters8 members

AccountOwner building block

Party that legally owns the account. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification36Choice recursion level 0 with max 1
  

PartyIdentification36Choice members

SafekeepingAccount building block

Account to or from which a securities entry is made. Account to or from which a securities entry is made. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SecuritiesAccount13 recursion level 0 with max 1
class SecuritiesAccount13{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount13 *-- "0..1" GenericIdentification20 : Type
%% GenericIdentification20 recursion level 1 with max 1
class GenericIdentification20{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}
  

SecuritiesAccount13 members

SafekeepingPlace building block

Place where the securities are safe-kept, physically or notionally. This place can be, for example, a local custodian, a Central Securities Depository (CSD) or an International Central Securities Depository (ICSD). Choice between formats for the place of safekeeping. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% ISafekeepingPlaceFormat3Choice recursion level 0 with max 1
  

SafekeepingPlaceFormat3Choice members

FinancialInstrumentIdentification building block

Financial instrument representing a sum of rights of the investor vis-a-vis the issuer. Identification of a security. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SecurityIdentification14 recursion level 0 with max 1
class SecurityIdentification14{
    ISIN IsoISINIdentifier
    Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification
%% OtherIdentification1 recursion level 1 with max 1
class OtherIdentification1{
    Identification IsoMax35Text
    Suffix IsoMax16Text
}
OtherIdentification1 *-- "1..1" IIdentificationSource3Choice : Type
  

SecurityIdentification14 members

FinancialInstrumentAttributes building block

Elements characterising a financial instrument. Elements characterising a financial instrument. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% FinancialInstrumentAttributes21 recursion level 0 with max 1
class FinancialInstrumentAttributes21{
    DenominationCurrency ActiveOrHistoricCurrencyCode
    CouponDate IsoISODate
    ExpiryDate IsoISODate
    FloatingRateFixingDate IsoISODate
    MaturityDate IsoISODate
    IssueDate IsoISODate
    NextCallableDate IsoISODate
    PutableDate IsoISODate
    DatedDate IsoISODate
    FirstPaymentDate IsoISODate
    PreviousFactor IsoBaseOneRate
    CurrentFactor IsoBaseOneRate
    NextFactor IsoBaseOneRate
    InterestRate IsoPercentageRate
    NextInterestRate IsoPercentageRate
    IndexRateBasis IsoPercentageRate
    VariableRateIndicator IsoYesNoIndicator
    CallableIndicator IsoYesNoIndicator
    PutableIndicator IsoYesNoIndicator
    FinancialInstrumentAttributeAdditionalDetails IsoMax350Text
}
FinancialInstrumentAttributes21 *-- "0..1" MarketIdentification5 : PlaceOfListing
FinancialInstrumentAttributes21 *-- "0..1" IInterestComputationMethodFormat1Choice : DayCountBasis
FinancialInstrumentAttributes21 *-- "0..1" IFormOfSecurity2Choice : RegistrationForm
FinancialInstrumentAttributes21 *-- "0..1" IFrequency3Choice : PaymentFrequency
FinancialInstrumentAttributes21 *-- "0..1" ISecuritiesPaymentStatus2Choice : PaymentStatus
FinancialInstrumentAttributes21 *-- "0..1" IPaymentDirection2Choice : PaymentDirection
FinancialInstrumentAttributes21 *-- "0..1" IFrequency3Choice : VariableRateChangeFrequency
FinancialInstrumentAttributes21 *-- "0..1" IPreferenceToIncome2Choice : PreferenceToIncome
FinancialInstrumentAttributes21 *-- "0..1" IClassificationType2Choice : ClassificationType
FinancialInstrumentAttributes21 *-- "0..1" IOptionStyle4Choice : OptionStyle
FinancialInstrumentAttributes21 *-- "0..1" IOptionType2Choice : OptionType
FinancialInstrumentAttributes21 *-- "0..1" INumber2Choice : CouponAttachedNumber
FinancialInstrumentAttributes21 *-- "0..1" INumber2Choice : PoolNumber
FinancialInstrumentAttributes21 *-- "0..0" QuantityBreakdown5 : QuantityBreakdown
FinancialInstrumentAttributes21 *-- "0..1" IPriceType1Choice : MarketOrIndicativePrice
FinancialInstrumentAttributes21 *-- "0..1" Price2 : ExercisePrice
FinancialInstrumentAttributes21 *-- "0..1" Price2 : SubscriptionPrice
FinancialInstrumentAttributes21 *-- "0..1" Price2 : ConversionPrice
FinancialInstrumentAttributes21 *-- "0..1" Price2 : StrikePrice
FinancialInstrumentAttributes21 *-- "0..1" IFinancialInstrumentQuantity1Choice : MinimumNominalQuantity
FinancialInstrumentAttributes21 *-- "0..1" IFinancialInstrumentQuantity1Choice : ContractSize
FinancialInstrumentAttributes21 *-- "0..0" SecurityIdentification14 : UnderlyingFinancialInstrumentIdentification
%% MarketIdentification5 recursion level 1 with max 1
MarketIdentification5 *-- "0..1" IMarketIdentification1Choice : Identification
MarketIdentification5 *-- "1..1" IMarketType2Choice : Type
%% IInterestComputationMethodFormat1Choice recursion level 1 with max 1
%% IFormOfSecurity2Choice recursion level 1 with max 1
%% IFrequency3Choice recursion level 1 with max 1
%% ISecuritiesPaymentStatus2Choice recursion level 1 with max 1
%% IPaymentDirection2Choice recursion level 1 with max 1
%% IFrequency3Choice recursion level 1 with max 1
%% IPreferenceToIncome2Choice recursion level 1 with max 1
%% IClassificationType2Choice recursion level 1 with max 1
%% IOptionStyle4Choice recursion level 1 with max 1
%% IOptionType2Choice recursion level 1 with max 1
%% INumber2Choice recursion level 1 with max 1
%% INumber2Choice recursion level 1 with max 1
%% QuantityBreakdown5 recursion level 1 with max 1
QuantityBreakdown5 *-- "1..1" INumber2Choice : LotNumber
QuantityBreakdown5 *-- "0..1" IFinancialInstrumentQuantity1Choice : LotQuantity
%% IPriceType1Choice recursion level 1 with max 1
%% Price2 recursion level 1 with max 1
Price2 *-- "1..1" IYieldedOrValueType1Choice : Type
Price2 *-- "1..1" IPriceRateOrAmountChoice : Value
%% Price2 recursion level 1 with max 1
Price2 *-- "1..1" IYieldedOrValueType1Choice : Type
Price2 *-- "1..1" IPriceRateOrAmountChoice : Value
%% Price2 recursion level 1 with max 1
Price2 *-- "1..1" IYieldedOrValueType1Choice : Type
Price2 *-- "1..1" IPriceRateOrAmountChoice : Value
%% Price2 recursion level 1 with max 1
Price2 *-- "1..1" IYieldedOrValueType1Choice : Type
Price2 *-- "1..1" IPriceRateOrAmountChoice : Value
%% IFinancialInstrumentQuantity1Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity1Choice recursion level 1 with max 1
%% SecurityIdentification14 recursion level 1 with max 1
class SecurityIdentification14{
    ISIN IsoISINIdentifier
    Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification
  

FinancialInstrumentAttributes21 members

IntraPositionDetails building block

Intra-position movement transaction details. Details of the intra-position movement. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IntraPositionDetails12 recursion level 0 with max 1
class IntraPositionDetails12{
    InstructionProcessingAdditionalDetails IsoMax350Text
}
IntraPositionDetails12 *-- "1..1" IFinancialInstrumentQuantity1Choice : SettledQuantity
IntraPositionDetails12 *-- "0..1" INumber2Choice : LotNumber
IntraPositionDetails12 *-- "0..1" AmountAndDirection9 : CollateralMonitorAmount
IntraPositionDetails12 *-- "0..1" IFinancialInstrumentQuantity1Choice : PreviouslySettledQuantity
IntraPositionDetails12 *-- "0..1" IFinancialInstrumentQuantity1Choice : RemainingToBeSettledQuantity
IntraPositionDetails12 *-- "1..1" IDateAndDateTimeChoice : SettlementDate
IntraPositionDetails12 *-- "0..1" IDateAndDateTimeChoice : AvailableDate
IntraPositionDetails12 *-- "0..1" ICorporateActionEventType3Choice : CorporateActionEventType
IntraPositionDetails12 *-- "1..1" ISecuritiesBalanceType3Choice : BalanceFrom
IntraPositionDetails12 *-- "1..1" ISecuritiesBalanceType3Choice : BalanceTo
%% IFinancialInstrumentQuantity1Choice recursion level 1 with max 1
%% INumber2Choice recursion level 1 with max 1
%% AmountAndDirection9 recursion level 1 with max 1
class AmountAndDirection9{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    CreditDebitIndicator CreditDebitCode
    OriginalCurrencyAndOrderedAmount IsoActiveOrHistoricCurrencyAndAmount
}
AmountAndDirection9 *-- "0..1" ForeignExchangeTerms11 : ForeignExchangeDetails
%% IFinancialInstrumentQuantity1Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity1Choice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% ICorporateActionEventType3Choice recursion level 1 with max 1
%% ISecuritiesBalanceType3Choice recursion level 1 with max 1
%% ISecuritiesBalanceType3Choice recursion level 1 with max 1
  

IntraPositionDetails12 members

SupplementaryData building block

Additional information that cannot be captured in the structured elements 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 IntraPositionMovementConfirmationV02 implementation follows a specific implementaiton pattern. First of all, IntraPositionMovementConfirmationV02 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, IntraPositionMovementConfirmationV02Document implements IOuterDocument. Because IntraPositionMovementConfirmationV02 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type IntraPositionMovementConfirmationV02.

classDiagram
    class IOuterRecord
    IntraPositionMovementConfirmationV02 --|> IOuterRecord : Implements
    IntraPositionMovementConfirmationV02Document --|> IOuterDocument~IntraPositionMovementConfirmationV02~ : Implements
    class IOuterDocument~IntraPositionMovementConfirmationV02~ {
        IntraPositionMovementConfirmationV02 Message
     }
  

Document wrapper for serialization

The only real purpose IntraPositionMovementConfirmationV02Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.015.001.02’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using IntraPositionMovementConfirmationV02.ToDocument() method. The returned IntraPositionMovementConfirmationV02Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    IntraPositionMovementConfirmationV02Document *-- IntraPositionMovementConfirmationV02 : 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:semt.015.001.02">
    <IntraPosMvmntConf>
        <AddtlParams>
            <!-- AdditionalParameters inner content -->
        </AddtlParams>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <SfkpgPlc>
            <!-- SafekeepingPlace inner content -->
        </SfkpgPlc>
        <FinInstrmId>
            <!-- FinancialInstrumentIdentification inner content -->
        </FinInstrmId>
        <FinInstrmAttrbts>
            <!-- FinancialInstrumentAttributes inner content -->
        </FinInstrmAttrbts>
        <IntraPosDtls>
            <!-- IntraPositionDetails inner content -->
        </IntraPosDtls>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </IntraPosMvmntConf>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_eDJtodtYEd-RF5yaMAVhAw"
  nextVersions="_YiSrgf4_EeClUvPNHKL9Zw"
  previousVersion="_Me-LMtFSEd-BzquC8wXy7w_-1527041912"
  name="IntraPositionMovementConfirmationV02"
  definition="Scope&#xD;&#xA;An account servicer sends a IntraPositionMovementConfirmation to an account owner to confirm the movement of securities within its holding from one sub-balance to another, for example, blocking of securities.&#xD;&#xA;The account servicer/owner relationship may be:&#xD;&#xA;- a central securities depository or another settlement market infrastructure acting on behalf of their participants&#xD;&#xA;- an agent (sub-custodian) acting on behalf of their global custodian customer, or&#xD;&#xA;- a custodian acting on behalf of an investment management institution or a broker/dealer.&#xD;&#xA;The message may also be used to:&#xA;- re-send a message previously sent,&#xA;- provide a third party with a copy of a message for information,&#xA;- re-send to a third party a copy of a message for information.&#xA;using the relevant elements in the Business Application Header.&#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="IntraPosMvmntConf"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_eDJtudtYEd-RF5yaMAVhAw"
    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="_eDJtu9tYEd-RF5yaMAVhAw"
    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="_eDJtpdtYEd-RF5yaMAVhAw"
    name="AdditionalParameters"
    definition="Additional parameters to the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AddtlParams"
    complexType="_kn8rsdzqEd-tnM7aRm4nqg" />
  <messageBuildingBlock
    xmi:id="_eDJtp9tYEd-RF5yaMAVhAw"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_qU9DBeaPEd-q8fx_Zl_34A" />
  <messageBuildingBlock
    xmi:id="_eDJtqdtYEd-RF5yaMAVhAw"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_T_vKAdp-Ed-ak6NoX_4Aeg_-178975462" />
  <messageBuildingBlock
    xmi:id="_eDJtq9tYEd-RF5yaMAVhAw"
    name="SafekeepingPlace"
    definition="Place where the securities are safe-kept, physically or notionally. This place can be, for example, a local custodian, a Central Securities Depository (CSD) or an International Central Securities Depository (ICSD)."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="SfkpgPlc"
    complexType="_SfeRKdp-Ed-ak6NoX_4Aeg_-955186669" />
  <messageBuildingBlock
    xmi:id="_eDJtrdtYEd-RF5yaMAVhAw"
    name="FinancialInstrumentIdentification"
    definition="Financial instrument representing a sum of rights of the investor vis-a-vis the issuer."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="FinInstrmId"
    complexType="_TBAQ7dp-Ed-ak6NoX_4Aeg_896067631" />
  <messageBuildingBlock
    xmi:id="_eDJtr9tYEd-RF5yaMAVhAw"
    name="FinancialInstrumentAttributes"
    definition="Elements characterising a financial instrument."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="FinInstrmAttrbts"
    complexType="_DhRdMeaXEd-q8fx_Zl_34A" />
  <messageBuildingBlock
    xmi:id="_eDJtsdtYEd-RF5yaMAVhAw"
    name="IntraPositionDetails"
    definition="Intra-position movement transaction details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="IntraPosDtls"
    complexType="_2lCC0fFjEd-Vb-3Q5jpLDA" />
  <messageBuildingBlock
    xmi:id="_eDJtt9tYEd-RF5yaMAVhAw"
    name="SupplementaryData"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SplmtryData"
    complexType="_Qn0zC9p-Ed-ak6NoX_4Aeg_468227563" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="015"
    flavour="001"
    version="02" />
</messageDefinition>

ISO Building Blocks

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