IntraPositionMovementConfirmationV03

semt.015.001.03

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. Usage 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
%% IntraPositionMovementConfirmationV03 recursion level 0 with max 0
IntraPositionMovementConfirmationV03 *-- "0..1" AdditionalParameters10 : AdditionalParameters
IntraPositionMovementConfirmationV03 *-- "0..1" IPartyIdentification36Choice : AccountOwner
IntraPositionMovementConfirmationV03 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
IntraPositionMovementConfirmationV03 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
IntraPositionMovementConfirmationV03 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
IntraPositionMovementConfirmationV03 *-- "0..1" FinancialInstrumentAttributes36 : FinancialInstrumentAttributes
IntraPositionMovementConfirmationV03 *-- "1..1" IntraPositionDetails22 : IntraPositionDetails
IntraPositionMovementConfirmationV03 *-- "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
%% AdditionalParameters10 recursion level 0 with max 1
class AdditionalParameters10{
    PartialSettlement PartialSettlement2Code
    PreviousPartialConfirmationIdentification IsoMax35Text
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
}
  

AdditionalParameters10 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
%% FinancialInstrumentAttributes36 recursion level 0 with max 1
class FinancialInstrumentAttributes36{
    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
    YieldToMaturityRate IsoPercentageRate
    NextInterestRate IsoPercentageRate
    IndexRateBasis IsoPercentageRate
    VariableRateIndicator IsoYesNoIndicator
    CallableIndicator IsoYesNoIndicator
    PutableIndicator IsoYesNoIndicator
    FinancialInstrumentAttributeAdditionalDetails IsoMax350Text
}
FinancialInstrumentAttributes36 *-- "0..1" IMarketIdentification3Choice : PlaceOfListing
FinancialInstrumentAttributes36 *-- "0..1" IInterestComputationMethodFormat1Choice : DayCountBasis
FinancialInstrumentAttributes36 *-- "0..1" IFormOfSecurity2Choice : RegistrationForm
FinancialInstrumentAttributes36 *-- "0..1" IFrequency3Choice : PaymentFrequency
FinancialInstrumentAttributes36 *-- "0..1" ISecuritiesPaymentStatus2Choice : PaymentStatus
FinancialInstrumentAttributes36 *-- "0..1" IFrequency3Choice : VariableRateChangeFrequency
FinancialInstrumentAttributes36 *-- "0..1" IClassificationType2Choice : ClassificationType
FinancialInstrumentAttributes36 *-- "0..1" IOptionStyle4Choice : OptionStyle
FinancialInstrumentAttributes36 *-- "0..1" IOptionType2Choice : OptionType
FinancialInstrumentAttributes36 *-- "0..1" INumber2Choice : CouponAttachedNumber
FinancialInstrumentAttributes36 *-- "0..1" GenericIdentification37 : PoolNumber
FinancialInstrumentAttributes36 *-- "0..0" QuantityBreakdown15 : QuantityBreakdown
FinancialInstrumentAttributes36 *-- "0..1" IPriceType1Choice : MarketOrIndicativePrice
FinancialInstrumentAttributes36 *-- "0..1" Price2 : ExercisePrice
FinancialInstrumentAttributes36 *-- "0..1" Price2 : SubscriptionPrice
FinancialInstrumentAttributes36 *-- "0..1" Price2 : ConversionPrice
FinancialInstrumentAttributes36 *-- "0..1" Price2 : StrikePrice
FinancialInstrumentAttributes36 *-- "0..1" IFinancialInstrumentQuantity1Choice : MinimumNominalQuantity
FinancialInstrumentAttributes36 *-- "0..1" IFinancialInstrumentQuantity1Choice : ContractSize
FinancialInstrumentAttributes36 *-- "0..0" SecurityIdentification14 : UnderlyingFinancialInstrumentIdentification
%% IMarketIdentification3Choice recursion level 1 with max 1
%% 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
%% IFrequency3Choice 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
%% GenericIdentification37 recursion level 1 with max 1
class GenericIdentification37{
    Identification IsoMax35Text
    Issuer IsoMax35Text
}
%% QuantityBreakdown15 recursion level 1 with max 1
QuantityBreakdown15 *-- "1..1" GenericIdentification37 : LotNumber
QuantityBreakdown15 *-- "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
  

FinancialInstrumentAttributes36 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
%% IntraPositionDetails22 recursion level 0 with max 1
class IntraPositionDetails22{
    InstructionProcessingAdditionalDetails IsoMax350Text
}
IntraPositionDetails22 *-- "1..1" IFinancialInstrumentQuantity1Choice : SettledQuantity
IntraPositionDetails22 *-- "0..1" GenericIdentification37 : SecuritiesSubBalanceIdentification
IntraPositionDetails22 *-- "0..1" AmountAndDirection9 : CollateralMonitorAmount
IntraPositionDetails22 *-- "0..1" IFinancialInstrumentQuantity1Choice : PreviouslySettledQuantity
IntraPositionDetails22 *-- "0..1" IFinancialInstrumentQuantity1Choice : RemainingToBeSettledQuantity
IntraPositionDetails22 *-- "1..1" IDateAndDateTimeChoice : SettlementDate
IntraPositionDetails22 *-- "0..1" IDateAndDateTimeChoice : AvailableDate
IntraPositionDetails22 *-- "0..1" ICorporateActionEventType3Choice : CorporateActionEventType
IntraPositionDetails22 *-- "1..1" SecuritiesSubBalanceTypeAndQuantityBreakdown1 : BalanceFrom
IntraPositionDetails22 *-- "1..1" SecuritiesSubBalanceTypeAndQuantityBreakdown1 : BalanceTo
%% IFinancialInstrumentQuantity1Choice recursion level 1 with max 1
%% GenericIdentification37 recursion level 1 with max 1
class GenericIdentification37{
    Identification IsoMax35Text
    Issuer IsoMax35Text
}
%% 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
%% SecuritiesSubBalanceTypeAndQuantityBreakdown1 recursion level 1 with max 1
SecuritiesSubBalanceTypeAndQuantityBreakdown1 *-- "1..1" ISecuritiesBalanceType3Choice : Type
SecuritiesSubBalanceTypeAndQuantityBreakdown1 *-- "0..0" QuantityBreakdown12 : QuantityBreakdown
%% SecuritiesSubBalanceTypeAndQuantityBreakdown1 recursion level 1 with max 1
SecuritiesSubBalanceTypeAndQuantityBreakdown1 *-- "1..1" ISecuritiesBalanceType3Choice : Type
SecuritiesSubBalanceTypeAndQuantityBreakdown1 *-- "0..0" QuantityBreakdown12 : QuantityBreakdown
  

IntraPositionDetails22 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 IntraPositionMovementConfirmationV03 implementation follows a specific implementaiton pattern. First of all, IntraPositionMovementConfirmationV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, IntraPositionMovementConfirmationV03Document implements IOuterDocument. Because IntraPositionMovementConfirmationV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type IntraPositionMovementConfirmationV03.

classDiagram
    class IOuterRecord
    IntraPositionMovementConfirmationV03 --|> IOuterRecord : Implements
    IntraPositionMovementConfirmationV03Document --|> IOuterDocument~IntraPositionMovementConfirmationV03~ : Implements
    class IOuterDocument~IntraPositionMovementConfirmationV03~ {
        IntraPositionMovementConfirmationV03 Message
     }
  

Document wrapper for serialization

The only real purpose IntraPositionMovementConfirmationV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.015.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using IntraPositionMovementConfirmationV03.ToDocument() method. The returned IntraPositionMovementConfirmationV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    IntraPositionMovementConfirmationV03Document *-- IntraPositionMovementConfirmationV03 : 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.015.001.03">
    <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="_YiSrgf4_EeClUvPNHKL9Zw"
  nextVersions="_710tYQz4EeKQ59QxwROclQ"
  previousVersion="_eDJtodtYEd-RF5yaMAVhAw"
  name="IntraPositionMovementConfirmationV03"
  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;Usage&#xD;&#xA;The message may also be used to:&#xD;&#xA;- re-send a message previously sent,&#xD;&#xA;- provide a third party with a copy of a message for information,&#xD;&#xA;- re-send to a third party a copy of a message for information.&#xD;&#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="_YiSrhf4_EeClUvPNHKL9Zw"
    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="_YiSrif4_EeClUvPNHKL9Zw"
    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="_YiSrjf4_EeClUvPNHKL9Zw"
    name="AdditionalParameters"
    definition="Additional parameters to the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AddtlParams"
    complexType="_PrqHIf7xEeCvPoRGOxRobQ" />
  <messageBuildingBlock
    xmi:id="_YiSrkf4_EeClUvPNHKL9Zw"
    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="_YiSrlf4_EeClUvPNHKL9Zw"
    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="_YiSrmf4_EeClUvPNHKL9Zw"
    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="_YiSrnf4_EeClUvPNHKL9Zw"
    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="_YiSrof4_EeClUvPNHKL9Zw"
    name="FinancialInstrumentAttributes"
    definition="Elements characterising a financial instrument."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="FinInstrmAttrbts"
    complexType="_ilYFof_iEeCcv6nahBzk1w" />
  <messageBuildingBlock
    xmi:id="_YiSrpf4_EeClUvPNHKL9Zw"
    name="IntraPositionDetails"
    definition="Intra-position movement transaction details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="IntraPosDtls"
    complexType="_VhTX8f8JEeCKBMQETXEXKQ" />
  <messageBuildingBlock
    xmi:id="_YiSrqf4_EeClUvPNHKL9Zw"
    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="03" />
</messageDefinition>

ISO Building Blocks

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