IntraPositionMovementConfirmationV05

semt.015.001.05

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.

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
%% IntraPositionMovementConfirmationV05 recursion level 0 with max 0
IntraPositionMovementConfirmationV05 *-- "0..1" AdditionalParameters21 : AdditionalParameters
IntraPositionMovementConfirmationV05 *-- "0..1" IPartyIdentification92Choice : AccountOwner
IntraPositionMovementConfirmationV05 *-- "1..1" SecuritiesAccount24 : SafekeepingAccount
IntraPositionMovementConfirmationV05 *-- "0..1" ISafekeepingPlaceFormat10Choice : SafekeepingPlace
IntraPositionMovementConfirmationV05 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
IntraPositionMovementConfirmationV05 *-- "0..1" FinancialInstrumentAttributes63 : FinancialInstrumentAttributes
IntraPositionMovementConfirmationV05 *-- "1..1" IntraPositionDetails34 : IntraPositionDetails
IntraPositionMovementConfirmationV05 *-- "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
%% AdditionalParameters21 recursion level 0 with max 1
class AdditionalParameters21{
    PartialSettlement PartialSettlement2Code
    PreviousPartialConfirmationIdentification IsoMax35Text
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
}
  

AdditionalParameters21 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
%% IPartyIdentification92Choice recursion level 0 with max 1
  

PartyIdentification92Choice 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
%% SecuritiesAccount24 recursion level 0 with max 1
class SecuritiesAccount24{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount24 *-- "0..1" GenericIdentification30 : Type
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}
  

SecuritiesAccount24 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
%% ISafekeepingPlaceFormat10Choice recursion level 0 with max 1
  

SafekeepingPlaceFormat10Choice 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
%% SecurityIdentification19 recursion level 0 with max 1
class SecurityIdentification19{
    ISIN IsoISINOct2015Identifier
    Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% OtherIdentification1 recursion level 1 with max 1
class OtherIdentification1{
    Identification IsoMax35Text
    Suffix IsoMax16Text
}
OtherIdentification1 *-- "1..1" IIdentificationSource3Choice : Type
  

SecurityIdentification19 members

FinancialInstrumentAttributes building block

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

classDiagram
   direction tb
%% FinancialInstrumentAttributes63 recursion level 0 with max 1
class FinancialInstrumentAttributes63{
    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
}
FinancialInstrumentAttributes63 *-- "0..1" IMarketIdentification3Choice : PlaceOfListing
FinancialInstrumentAttributes63 *-- "0..1" IInterestComputationMethodFormat4Choice : DayCountBasis
FinancialInstrumentAttributes63 *-- "0..1" IFormOfSecurity6Choice : RegistrationForm
FinancialInstrumentAttributes63 *-- "0..1" IFrequency23Choice : PaymentFrequency
FinancialInstrumentAttributes63 *-- "0..1" ISecuritiesPaymentStatus5Choice : PaymentStatus
FinancialInstrumentAttributes63 *-- "0..1" IFrequency23Choice : VariableRateChangeFrequency
FinancialInstrumentAttributes63 *-- "0..1" IClassificationType32Choice : ClassificationType
FinancialInstrumentAttributes63 *-- "0..1" IOptionStyle8Choice : OptionStyle
FinancialInstrumentAttributes63 *-- "0..1" IOptionType6Choice : OptionType
FinancialInstrumentAttributes63 *-- "0..1" INumber22Choice : CouponAttachedNumber
FinancialInstrumentAttributes63 *-- "0..1" GenericIdentification37 : PoolNumber
FinancialInstrumentAttributes63 *-- "0..0" QuantityBreakdown31 : QuantityBreakdown
FinancialInstrumentAttributes63 *-- "0..1" IPriceType1Choice : MarketOrIndicativePrice
FinancialInstrumentAttributes63 *-- "0..1" Price2 : ExercisePrice
FinancialInstrumentAttributes63 *-- "0..1" Price2 : SubscriptionPrice
FinancialInstrumentAttributes63 *-- "0..1" Price2 : ConversionPrice
FinancialInstrumentAttributes63 *-- "0..1" Price2 : StrikePrice
FinancialInstrumentAttributes63 *-- "0..1" IFinancialInstrumentQuantity1Choice : MinimumNominalQuantity
FinancialInstrumentAttributes63 *-- "0..1" IFinancialInstrumentQuantity1Choice : ContractSize
FinancialInstrumentAttributes63 *-- "0..0" SecurityIdentification19 : UnderlyingFinancialInstrumentIdentification
%% IMarketIdentification3Choice recursion level 1 with max 1
%% IInterestComputationMethodFormat4Choice recursion level 1 with max 1
%% IFormOfSecurity6Choice recursion level 1 with max 1
%% IFrequency23Choice recursion level 1 with max 1
%% ISecuritiesPaymentStatus5Choice recursion level 1 with max 1
%% IFrequency23Choice recursion level 1 with max 1
%% IClassificationType32Choice recursion level 1 with max 1
%% IOptionStyle8Choice recursion level 1 with max 1
%% IOptionType6Choice recursion level 1 with max 1
%% INumber22Choice recursion level 1 with max 1
%% GenericIdentification37 recursion level 1 with max 1
class GenericIdentification37{
    Identification IsoMax35Text
    Issuer IsoMax35Text
}
%% QuantityBreakdown31 recursion level 1 with max 1
QuantityBreakdown31 *-- "1..1" GenericIdentification37 : LotNumber
QuantityBreakdown31 *-- "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
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
    ISIN IsoISINOct2015Identifier
    Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
  

FinancialInstrumentAttributes63 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
%% IntraPositionDetails34 recursion level 0 with max 1
class IntraPositionDetails34{
    InstructionProcessingAdditionalDetails IsoMax350Text
}
IntraPositionDetails34 *-- "1..1" IFinancialInstrumentQuantity1Choice : SettledQuantity
IntraPositionDetails34 *-- "0..1" GenericIdentification37 : SecuritiesSubBalanceIdentification
IntraPositionDetails34 *-- "0..1" AmountAndDirection44 : CollateralMonitorAmount
IntraPositionDetails34 *-- "0..1" IFinancialInstrumentQuantity1Choice : PreviouslySettledQuantity
IntraPositionDetails34 *-- "0..1" IFinancialInstrumentQuantity1Choice : RemainingToBeSettledQuantity
IntraPositionDetails34 *-- "1..1" IDateAndDateTimeChoice : SettlementDate
IntraPositionDetails34 *-- "0..1" IDateAndDateTimeChoice : AvailableDate
IntraPositionDetails34 *-- "0..1" ICorporateActionEventType29Choice : CorporateActionEventType
IntraPositionDetails34 *-- "1..1" SecuritiesSubBalanceTypeAndQuantityBreakdown3 : BalanceFrom
IntraPositionDetails34 *-- "1..1" SecuritiesSubBalanceTypeAndQuantityBreakdown3 : BalanceTo
%% IFinancialInstrumentQuantity1Choice recursion level 1 with max 1
%% GenericIdentification37 recursion level 1 with max 1
class GenericIdentification37{
    Identification IsoMax35Text
    Issuer IsoMax35Text
}
%% AmountAndDirection44 recursion level 1 with max 1
class AmountAndDirection44{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    CreditDebitIndicator CreditDebitCode
    OriginalCurrencyAndOrderedAmount IsoActiveOrHistoricCurrencyAndAmount
}
AmountAndDirection44 *-- "0..1" ForeignExchangeTerms23 : 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
%% ICorporateActionEventType29Choice recursion level 1 with max 1
%% SecuritiesSubBalanceTypeAndQuantityBreakdown3 recursion level 1 with max 1
SecuritiesSubBalanceTypeAndQuantityBreakdown3 *-- "1..1" ISecuritiesBalanceType6Choice : Type
SecuritiesSubBalanceTypeAndQuantityBreakdown3 *-- "0..0" QuantityBreakdown32 : QuantityBreakdown
%% SecuritiesSubBalanceTypeAndQuantityBreakdown3 recursion level 1 with max 1
SecuritiesSubBalanceTypeAndQuantityBreakdown3 *-- "1..1" ISecuritiesBalanceType6Choice : Type
SecuritiesSubBalanceTypeAndQuantityBreakdown3 *-- "0..0" QuantityBreakdown32 : QuantityBreakdown
  

IntraPositionDetails34 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 IntraPositionMovementConfirmationV05 implementation follows a specific implementaiton pattern. First of all, IntraPositionMovementConfirmationV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, IntraPositionMovementConfirmationV05Document implements IOuterDocument. Because IntraPositionMovementConfirmationV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type IntraPositionMovementConfirmationV05.

classDiagram
    class IOuterRecord
    IntraPositionMovementConfirmationV05 --|> IOuterRecord : Implements
    IntraPositionMovementConfirmationV05Document --|> IOuterDocument~IntraPositionMovementConfirmationV05~ : Implements
    class IOuterDocument~IntraPositionMovementConfirmationV05~ {
        IntraPositionMovementConfirmationV05 Message
     }
  

Document wrapper for serialization

The only real purpose IntraPositionMovementConfirmationV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.015.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using IntraPositionMovementConfirmationV05.ToDocument() method. The returned IntraPositionMovementConfirmationV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    IntraPositionMovementConfirmationV05Document *-- IntraPositionMovementConfirmationV05 : 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.015.001.05">
    <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="_XVkgMQCUEeW_3KiG8SEjHA"
  nextVersions="_-EeS0ZBcEeakHoV5BVecAQ"
  previousVersion="_710tYQz4EeKQ59QxwROclQ"
  name="IntraPositionMovementConfirmationV05"
  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;&#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."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="IntraPosMvmntConf"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_XVkgNwCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS05BcEeakHoV5BVecAQ"
    previousVersion="_710tawz4EeKQ59QxwROclQ"
    name="AdditionalParameters"
    definition="Additional parameters to the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AddtlParams"
    complexType="_PafI8Tp8EeWVrPy0StzzSg" />
  <messageBuildingBlock
    xmi:id="_XVkgOQCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS1ZBcEeakHoV5BVecAQ"
    previousVersion="_710tbwz4EeKQ59QxwROclQ"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_EsujuA9kEeW4bIslN9_VQg" />
  <messageBuildingBlock
    xmi:id="_XVkgOwCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS15BcEeakHoV5BVecAQ"
    previousVersion="_710tcwz4EeKQ59QxwROclQ"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_hHJqfR5hEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_XVkgPQCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS2ZBcEeakHoV5BVecAQ"
    previousVersion="_710tdwz4EeKQ59QxwROclQ"
    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="_43Qi8TnTEeWV5sr121Fc8A" />
  <messageBuildingBlock
    xmi:id="_XVkgPwCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS25BcEeakHoV5BVecAQ"
    previousVersion="_710tewz4EeKQ59QxwROclQ"
    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="_ho6XQYlXEeWPSZi0kAOXhg" />
  <messageBuildingBlock
    xmi:id="_XVkgQQCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS3ZBcEeakHoV5BVecAQ"
    previousVersion="_710tfwz4EeKQ59QxwROclQ"
    name="FinancialInstrumentAttributes"
    definition="Elements characterising a financial instrument."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="FinInstrmAttrbts"
    complexType="_aNwMYTm6EeWV5sr121Fc8A" />
  <messageBuildingBlock
    xmi:id="_XVkgQwCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS35BcEeakHoV5BVecAQ"
    previousVersion="_710tgwz4EeKQ59QxwROclQ"
    name="IntraPositionDetails"
    definition="Intra-position movement transaction details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="IntraPosDtls"
    complexType="_rakyCTnsEeWfSKvvZlhRKg" />
  <messageBuildingBlock
    xmi:id="_XVkgRQCUEeW_3KiG8SEjHA"
    nextVersions="_-EeS4ZBcEeakHoV5BVecAQ"
    previousVersion="_710thwz4EeKQ59QxwROclQ"
    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="05" />
</messageDefinition>

ISO Building Blocks

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