Iso20022

IntraPositionMovementPostingReportV03

semt.016.001.03

Scope An account servicer sends an IntraPositionMovementPostingReport to an account owner to provide the details of increases and decreases in securities with a given status within a holding, ie, intra-position transfers, which occurred during a specified period, for all or selected securities in a specified safekeeping account which the account servicer holds for the account owner. The account servicer/owner relationship may be:

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
%% IntraPositionMovementPostingReportV03 recursion level 0 with max 0
IntraPositionMovementPostingReportV03 *-- "1..1" Pagination : Pagination
IntraPositionMovementPostingReportV03 *-- "1..1" Statement15 : StatementGeneralDetails
IntraPositionMovementPostingReportV03 *-- "0..1" IPartyIdentification36Choice : AccountOwner
IntraPositionMovementPostingReportV03 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
IntraPositionMovementPostingReportV03 *-- "0..1" FinancialInstrumentDetails10 : FinancialInstrument

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
%% Pagination recursion level 0 with max 1
class Pagination{
    PageNumber IsoMax5NumericText
    LastPageIndicator IsoYesNoIndicator
}

Pagination 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 information related to report. Characteristics of the statement. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement15 recursion level 0 with max 1
class Statement15{
    QueryReference IsoMax35Text
    StatementIdentification IsoMax35Text
    ActivityIndicator IsoYesNoIndicator
}
Statement15 *-- "0..1" INumber3Choice : ReportNumber
Statement15 *-- "1..1" IPeriod2Choice : StatementPeriod
Statement15 *-- "0..1" IFrequency4Choice : Frequency
Statement15 *-- "0..1" IUpdateType2Choice : UpdateType
%% INumber3Choice recursion level 1 with max 1
%% IPeriod2Choice recursion level 1 with max 1
%% IFrequency4Choice recursion level 1 with max 1
%% IUpdateType2Choice recursion level 1 with max 1

Statement15 members

Member name Description Data Type / Multiplicity
ReportNumber Sequential number of the report. INumber3Choice - Optional 0..1
QueryReference Identification of the SecuritiesStatementQuery message sent to request this statement. IsoMax35Text - Optional 0..1
StatementIdentification Reference common to all pages of a statement. IsoMax35Text - Optional 0..1
StatementPeriod Period for the statement. IPeriod2Choice - Required 1..1
Frequency Frequency of the statement. IFrequency4Choice - Optional 0..1
UpdateType Indicates whether the statement is complete or contains changes only. IUpdateType2Choice - Optional 0..1
ActivityIndicator Indicates whether there is activity or information update reported in the statement. IsoYesNoIndicator - Required 1..1

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

Member name Description Data Type / Multiplicity

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

Member name Description Data Type / Multiplicity
Identification Unambiguous identification for the account between the account owner and the account servicer.”. IsoMax35Text - Required 1..1
Type Specifies the type of securities account. GenericIdentification20 - Optional 0..1
Name Description of the account. IsoMax70Text - Optional 0..1

FinancialInstrument building block

Reporting per financial instrument. Reporting per financial instrument. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% FinancialInstrumentDetails10 recursion level 0 with max 1
FinancialInstrumentDetails10 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
FinancialInstrumentDetails10 *-- "0..1" FinancialInstrumentAttributes36 : FinancialInstrumentAttributes
FinancialInstrumentDetails10 *-- "1..0" IntraPositionDetails20 : SubBalance
%% SecurityIdentification14 recursion level 1 with max 1
class SecurityIdentification14{
    ISIN IsoISINIdentifier
    Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification
%% FinancialInstrumentAttributes36 recursion level 1 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
%% IntraPositionDetails20 recursion level 1 with max 1
IntraPositionDetails20 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
IntraPositionDetails20 *-- "1..1" ISecuritiesBalanceType3Choice : BalanceFrom
IntraPositionDetails20 *-- "1..0" IntraPositionMovementDetails7 : IntraPositionMovement

FinancialInstrumentDetails10 members

Member name Description Data Type / Multiplicity
FinancialInstrumentIdentification Financial instruments representing a sum of rights of the investor vis-a-vis the issuer. SecurityIdentification14 - Required 1..1
FinancialInstrumentAttributes Elements characterising a financial instrument. FinancialInstrumentAttributes36 - Optional 0..1
SubBalance Identification of the sub-balance. IntraPositionDetails20 - Unknown 1..0

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the IntraPositionMovementPostingReportV03 implementation follows a specific implementaiton pattern. First of all, IntraPositionMovementPostingReportV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, IntraPositionMovementPostingReportV03Document implements IOuterDocument. Because IntraPositionMovementPostingReportV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type IntraPositionMovementPostingReportV03.

classDiagram
    class IOuterRecord
    IntraPositionMovementPostingReportV03 --|> IOuterRecord : Implements
    IntraPositionMovementPostingReportV03Document --|> IOuterDocument~IntraPositionMovementPostingReportV03~ : Implements
    class IOuterDocument~IntraPositionMovementPostingReportV03~ {
        IntraPositionMovementPostingReportV03 Message
     }

Document wrapper for serialization

The only real purpose IntraPositionMovementPostingReportV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.016.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using IntraPositionMovementPostingReportV03.ToDocument() method. The returned IntraPositionMovementPostingReportV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    IntraPositionMovementPostingReportV03Document *-- IntraPositionMovementPostingReportV03 : 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.016.001.03">
    <IntraPosMvmntPstngRpt>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <StmtGnlDtls>
            <!-- StatementGeneralDetails inner content -->
        </StmtGnlDtls>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <FinInstrm>
            <!-- FinancialInstrument inner content -->
        </FinInstrm>
    </IntraPosMvmntPstngRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_zZSI0fveEeCBQp5TnX1XKQ"
  nextVersions="_Cd7CwQz5EeKQ59QxwROclQ"
  previousVersion="_jJLzUdtYEd-RF5yaMAVhAw"
  name="IntraPositionMovementPostingReportV03"
  definition="Scope&#xD;&#xA;An account servicer sends an IntraPositionMovementPostingReport to an account owner to provide the details of increases and decreases in securities with a given status within a holding, ie, intra-position transfers, which occurred during a specified period, for all or selected securities in a specified safekeeping account which the account servicer holds for the account owner.&#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="IntraPosMvmntPstngRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_zZSI1fveEeCBQp5TnX1XKQ"
    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="_zZSI2fveEeCBQp5TnX1XKQ"
    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="_zZSI3fveEeCBQp5TnX1XKQ"
    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="_Q65gBdp-Ed-ak6NoX_4Aeg_-21330104" />
  <messageBuildingBlock
    xmi:id="_zZSI4fveEeCBQp5TnX1XKQ"
    name="StatementGeneralDetails"
    definition="General information related to report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_QrP6d9p-Ed-ak6NoX_4Aeg_-1047406353" />
  <messageBuildingBlock
    xmi:id="_zZSI5fveEeCBQp5TnX1XKQ"
    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="_zZSI6fveEeCBQp5TnX1XKQ"
    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="_zZSI7fveEeCBQp5TnX1XKQ"
    name="FinancialInstrument"
    definition="Reporting per financial instrument."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="FinInstrm"
    complexType="_mKkkMf7xEeCvPoRGOxRobQ" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="016"
    flavour="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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