SecuritiesBalanceAccountingReport002V09

semt.003.002.09

Scope An account servicer sends a SecuritiesBalanceAccountingReport to an account owner to provide, at a moment in time, valuations of the portfolio together with details of each financial instrument holding. The account servicer/owner relationship may be:

• an accounting agent acting on behalf of an account owner, or
• a transfer agent acting on behalf of a fund manager or an account owner’s designated agent.

Usage The message should be sent at a frequency agreed bi-laterally between the account servicer and the account owner. The message can be sent either audited or un-audited and may be provided on a trade date, contractual or settlement date basis. This message can only be used to list the holdings of a single (master) account. However, it is possible to break down these holdings into one or several sub-accounts. Therefore, the message can be used to either specify holdings at

• the main account level, or,
• the sub-account level. This message can be used to report where the financial instruments are safe-kept, physically or notionally. If a security is held in more than one safekeeping place, this can also be indicated. The SecuritiesBalanceAccountingReport message should not be used for trading purposes. There may be one or more intermediary parties, for example, an intermediary or a concentrator between the account owner and account servicer. 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
%% SecuritiesBalanceAccountingReport002V09 recursion level 0 with max 0
SecuritiesBalanceAccountingReport002V09 *-- "1..1" Pagination : Pagination
SecuritiesBalanceAccountingReport002V09 *-- "1..1" Statement51 : StatementGeneralDetails
SecuritiesBalanceAccountingReport002V09 *-- "0..1" PartyIdentification109 : AccountOwner
SecuritiesBalanceAccountingReport002V09 *-- "0..1" PartyIdentification111 : AccountServicer
SecuritiesBalanceAccountingReport002V09 *-- "1..1" SecuritiesAccount33 : SafekeepingAccount
SecuritiesBalanceAccountingReport002V09 *-- "0..10" Intermediary37 : IntermediaryInformation
SecuritiesBalanceAccountingReport002V09 *-- "0..1" AggregateBalanceInformation32 : BalanceForAccount
SecuritiesBalanceAccountingReport002V09 *-- "0..1" SubAccountIdentification45 : SubAccountDetails
SecuritiesBalanceAccountingReport002V09 *-- "0..1" TotalValueInPageAndStatement4 : AccountBaseCurrencyTotalAmounts
SecuritiesBalanceAccountingReport002V09 *-- "0..1" TotalValueInPageAndStatement4 : AlternateReportingCurrencyTotalAmounts
  

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

StatementGeneralDetails building block

Provides general information on the report. Characteristics of the statement. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement51 recursion level 0 with max 1
class Statement51{
    QueryReference IsoRestrictedFINXMax16Text
    StatementIdentification IsoRestrictedFINXMax16Text
    ActivityIndicator IsoYesNoIndicator
    AuditedIndicator IsoYesNoIndicator
    SubAccountIndicator IsoYesNoIndicator
    TaxLotIndicator IsoYesNoIndicator
}
Statement51 *-- "0..1" INumber3Choice : ReportNumber
Statement51 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement51 *-- "1..1" IFrequency26Choice : Frequency
Statement51 *-- "1..1" IUpdateType16Choice : UpdateType
Statement51 *-- "1..1" IStatementBasis9Choice : StatementBasis
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency26Choice recursion level 1 with max 1
%% IUpdateType16Choice recursion level 1 with max 1
%% IStatementBasis9Choice recursion level 1 with max 1
  

Statement51 members

AccountOwner building block

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

classDiagram
   direction tb
%% PartyIdentification109 recursion level 0 with max 1
class PartyIdentification109{
    LEI IsoLEIIdentifier
}
PartyIdentification109 *-- "1..1" IPartyIdentification114Choice : Identification
%% IPartyIdentification114Choice recursion level 1 with max 1
  

PartyIdentification109 members

AccountServicer building block

Party that manages the account on behalf of the account owner, that is manages the registration and booking of entries on the account, calculates balances on the account and provides information about the account. Identification of the party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% PartyIdentification111 recursion level 0 with max 1
class PartyIdentification111{
    LEI IsoLEIIdentifier
}
PartyIdentification111 *-- "1..1" IPartyIdentification104Choice : Identification
%% IPartyIdentification104Choice recursion level 1 with max 1
  

PartyIdentification111 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
%% SecuritiesAccount33 recursion level 0 with max 1
class SecuritiesAccount33{
    Identification IsoRestrictedFINXMax35Text
    Name IsoMax70Text
    Designation IsoMax35Text
}
SecuritiesAccount33 *-- "0..1" IPurposeCode8Choice : Type
%% IPurposeCode8Choice recursion level 1 with max 1
  

SecuritiesAccount33 members

IntermediaryInformation building block

Information about the party that provides services relating to financial products to investors, for example, advice on products and placement of orders for the investment fund. Party that provides services to investors relating to financial products (Investment Funds). For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Intermediary37 recursion level 0 with max 1
Intermediary37 *-- "1..1" PartyIdentification111 : Identification
Intermediary37 *-- "0..1" IRole7Choice : Role
Intermediary37 *-- "0..1" Account21 : Account
%% PartyIdentification111 recursion level 1 with max 1
class PartyIdentification111{
    LEI IsoLEIIdentifier
}
PartyIdentification111 *-- "1..1" IPartyIdentification104Choice : Identification
%% IRole7Choice recursion level 1 with max 1
%% Account21 recursion level 1 with max 1
Account21 *-- "1..1" AccountIdentification4 : Identification
Account21 *-- "0..1" IPartyIdentification104Choice : AccountServicer
  

Intermediary37 members

BalanceForAccount building block

Net position of a segregated holding, in a single security, within the overall position held in a securities account. Overall position, in a single security, held in a securities account at a specified place of safekeeping. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AggregateBalanceInformation32 recursion level 0 with max 1
class AggregateBalanceInformation32{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoRestrictedFINXMax350Text
}
AggregateBalanceInformation32 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
AggregateBalanceInformation32 *-- "0..1" FinancialInstrumentAttributes78 : FinancialInstrumentAttributes
AggregateBalanceInformation32 *-- "0..1" FinancialInstrument22 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation32 *-- "0..1" DerivativeBasicAttributes2 : AdditionalDerivativeAttributes
AggregateBalanceInformation32 *-- "1..1" Balance10 : AggregateBalance
AggregateBalanceInformation32 *-- "0..1" SafeKeepingPlace2 : SafekeepingPlace
AggregateBalanceInformation32 *-- "1..0" PriceInformation14 : PriceDetails
AggregateBalanceInformation32 *-- "0..0" ForeignExchangeTerms31 : ForeignExchangeDetails
AggregateBalanceInformation32 *-- "1..1" BalanceAmounts5 : AccountBaseCurrencyAmounts
AggregateBalanceInformation32 *-- "0..1" BalanceAmounts5 : InstrumentCurrencyAmounts
AggregateBalanceInformation32 *-- "0..1" BalanceAmounts5 : AlternateReportingCurrencyAmounts
AggregateBalanceInformation32 *-- "0..0" QuantityBreakdown39 : QuantityBreakdown
AggregateBalanceInformation32 *-- "0..0" SubBalanceInformation16 : BalanceBreakdown
AggregateBalanceInformation32 *-- "0..0" AdditionalBalanceInformation16 : AdditionalBalanceBreakdown
AggregateBalanceInformation32 *-- "0..0" AggregateBalancePerSafekeepingPlace30 : BalanceAtSafekeepingPlace
AggregateBalanceInformation32 *-- "0..0" SupplementaryData1 : SupplementaryData
%% SecurityIdentification20 recursion level 1 with max 1
class SecurityIdentification20{
    ISIN IsoISINOct2015Identifier
    Description IsoRestrictedFINXMax140Text
}
SecurityIdentification20 *-- "0..0" OtherIdentification2 : OtherIdentification
%% FinancialInstrumentAttributes78 recursion level 1 with max 1
class FinancialInstrumentAttributes78{
    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 IsoRestrictedFINXMax350Text
}
FinancialInstrumentAttributes78 *-- "0..1" IMarketIdentification4Choice : PlaceOfListing
FinancialInstrumentAttributes78 *-- "0..1" IInterestComputationMethodFormat5Choice : DayCountBasis
FinancialInstrumentAttributes78 *-- "0..1" IFormOfSecurity7Choice : RegistrationForm
FinancialInstrumentAttributes78 *-- "0..1" IFrequency27Choice : PaymentFrequency
FinancialInstrumentAttributes78 *-- "0..1" ISecuritiesPaymentStatus6Choice : PaymentStatus
FinancialInstrumentAttributes78 *-- "0..1" IFrequency27Choice : VariableRateChangeFrequency
FinancialInstrumentAttributes78 *-- "0..1" IClassificationType33Choice : ClassificationType
FinancialInstrumentAttributes78 *-- "0..1" IOptionStyle9Choice : OptionStyle
FinancialInstrumentAttributes78 *-- "0..1" IOptionType7Choice : OptionType
FinancialInstrumentAttributes78 *-- "0..1" INumber23Choice : CouponAttachedNumber
FinancialInstrumentAttributes78 *-- "0..1" GenericIdentification39 : PoolNumber
FinancialInstrumentAttributes78 *-- "0..1" IPriceType2Choice : MarketOrIndicativePrice
FinancialInstrumentAttributes78 *-- "0..1" Price3 : ExercisePrice
FinancialInstrumentAttributes78 *-- "0..1" Price3 : SubscriptionPrice
FinancialInstrumentAttributes78 *-- "0..1" Price3 : ConversionPrice
FinancialInstrumentAttributes78 *-- "0..1" Price3 : StrikePrice
FinancialInstrumentAttributes78 *-- "0..1" IFinancialInstrumentQuantity15Choice : MinimumNominalQuantity
FinancialInstrumentAttributes78 *-- "0..1" IFinancialInstrumentQuantity15Choice : ContractSize
FinancialInstrumentAttributes78 *-- "0..0" SecurityIdentification20 : UnderlyingFinancialInstrumentIdentification
%% FinancialInstrument22 recursion level 1 with max 1
class FinancialInstrument22{
    ClassType IsoMax35Text
    SecuritiesForm FormOfSecurity1Code
    DistributionPolicy DistributionPolicy1Code
    ProductGroup IsoRestrictedFINXMax140Text
    UmbrellaName IsoMax35Text
    BaseCurrency ActiveCurrencyCode
    DenominationCurrency ActiveCurrencyCode
    RequestedNAVCurrency ActiveOrHistoricCurrencyCode
    DualFundIndicator IsoYesNoIndicator
    CountryOfDomicile CountryCode
    RegisteredDistributionCountry CountryCode
}
%% DerivativeBasicAttributes2 recursion level 1 with max 1
class DerivativeBasicAttributes2{
    NotionalCurrencyAndAmount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    InterestIncludedInPrice IsoYesNoIndicator
}
%% Balance10 recursion level 1 with max 1
class Balance10{
    ShortLongIndicator ShortLong1Code
}
Balance10 *-- "1..1" IBalanceQuantity10Choice : Quantity
%% SafeKeepingPlace2 recursion level 1 with max 1
class SafeKeepingPlace2{
    LEI IsoLEIIdentifier
}
SafeKeepingPlace2 *-- "0..1" ISafekeepingPlaceFormat17Choice : SafekeepingPlaceFormat
%% PriceInformation14 recursion level 1 with max 1
PriceInformation14 *-- "1..1" ITypeOfPrice33Choice : Type
PriceInformation14 *-- "1..1" IPriceRateOrAmountOrUnknown1Choice : Value
PriceInformation14 *-- "1..1" IYieldedOrValueType1Choice : ValueType
PriceInformation14 *-- "0..1" MarketIdentification91 : SourceOfPrice
PriceInformation14 *-- "0..1" IDateAndDateTimeChoice : QuotationDate
%% ForeignExchangeTerms31 recursion level 1 with max 1
class ForeignExchangeTerms31{
    UnitCurrency ActiveOrHistoricCurrencyCode
    QuotedCurrency ActiveOrHistoricCurrencyCode
    ExchangeRate IsoBaseOneRate
    QuotationDate IsoISODateTime
}
ForeignExchangeTerms31 *-- "0..1" IPartyIdentification104Choice : QuotingInstitution
%% BalanceAmounts5 recursion level 1 with max 1
BalanceAmounts5 *-- "1..1" AmountAndDirection14 : HoldingValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : PreviousHoldingValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : BookValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : UnrealisedGainLoss
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : AccruedInterestAmount
%% BalanceAmounts5 recursion level 1 with max 1
BalanceAmounts5 *-- "1..1" AmountAndDirection14 : HoldingValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : PreviousHoldingValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : BookValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : UnrealisedGainLoss
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : AccruedInterestAmount
%% BalanceAmounts5 recursion level 1 with max 1
BalanceAmounts5 *-- "1..1" AmountAndDirection14 : HoldingValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : PreviousHoldingValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : BookValue
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : UnrealisedGainLoss
BalanceAmounts5 *-- "0..1" AmountAndDirection14 : AccruedInterestAmount
%% QuantityBreakdown39 recursion level 1 with max 1
QuantityBreakdown39 *-- "0..1" GenericIdentification39 : LotNumber
QuantityBreakdown39 *-- "0..1" Balance11 : LotQuantity
QuantityBreakdown39 *-- "0..1" IDateAndDateTimeChoice : LotDateTime
QuantityBreakdown39 *-- "0..1" Price3 : LotPrice
QuantityBreakdown39 *-- "0..1" ITypeOfPrice32Choice : TypeOfPrice
QuantityBreakdown39 *-- "0..1" BalanceAmounts6 : AccountBaseCurrencyAmounts
QuantityBreakdown39 *-- "0..1" BalanceAmounts6 : InstrumentCurrencyAmounts
QuantityBreakdown39 *-- "0..1" BalanceAmounts6 : AlternateReportingCurrencyAmounts
%% SubBalanceInformation16 recursion level 1 with max 1
class SubBalanceInformation16{
    SubBalanceAdditionalDetails IsoRestrictedFINXMax140Text
}
SubBalanceInformation16 *-- "1..1" ISubBalanceType13Choice : SubBalanceType
SubBalanceInformation16 *-- "1..1" ISubBalanceQuantity7Choice : Quantity
SubBalanceInformation16 *-- "0..0" AdditionalBalanceInformation16 : AdditionalBalanceBreakdownDetails
%% AdditionalBalanceInformation16 recursion level 1 with max 1
class AdditionalBalanceInformation16{
    SubBalanceAdditionalDetails IsoRestrictedFINXMax140Text
}
AdditionalBalanceInformation16 *-- "1..1" ISubBalanceType14Choice : SubBalanceType
AdditionalBalanceInformation16 *-- "1..1" ISubBalanceQuantity7Choice : Quantity
%% AggregateBalancePerSafekeepingPlace30 recursion level 1 with max 1
class AggregateBalancePerSafekeepingPlace30{
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoRestrictedFINXMax350Text
}
AggregateBalancePerSafekeepingPlace30 *-- "1..1" SafeKeepingPlace2 : SafekeepingPlace
AggregateBalancePerSafekeepingPlace30 *-- "0..1" IMarketIdentification4Choice : PlaceOfListing
AggregateBalancePerSafekeepingPlace30 *-- "0..1" Pledgee2 : Pledgee
AggregateBalancePerSafekeepingPlace30 *-- "1..1" Balance10 : AggregateBalance
AggregateBalancePerSafekeepingPlace30 *-- "1..0" PriceInformation14 : PriceDetails
AggregateBalancePerSafekeepingPlace30 *-- "0..0" ForeignExchangeTerms31 : ForeignExchangeDetails
AggregateBalancePerSafekeepingPlace30 *-- "1..1" BalanceAmounts5 : AccountBaseCurrencyAmounts
AggregateBalancePerSafekeepingPlace30 *-- "0..1" BalanceAmounts5 : InstrumentCurrencyAmounts
AggregateBalancePerSafekeepingPlace30 *-- "0..1" BalanceAmounts5 : AlternateReportingCurrencyAmounts
AggregateBalancePerSafekeepingPlace30 *-- "0..0" QuantityBreakdown39 : QuantityBreakdown
AggregateBalancePerSafekeepingPlace30 *-- "0..1" IExposureType17Choice : ExposureType
AggregateBalancePerSafekeepingPlace30 *-- "0..0" SubBalanceInformation16 : BalanceBreakdown
AggregateBalancePerSafekeepingPlace30 *-- "0..0" AdditionalBalanceInformation16 : AdditionalBalanceBreakdown
%% SupplementaryData1 recursion level 1 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
  

AggregateBalanceInformation32 members

SubAccountDetails building block

Sub-account of the safekeeping or investment account. Account to or from which a securities entry is made. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SubAccountIdentification45 recursion level 0 with max 1
class SubAccountIdentification45{
    ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification45 *-- "0..1" PartyIdentification109 : AccountOwner
SubAccountIdentification45 *-- "1..1" SecuritiesAccount34 : SafekeepingAccount
SubAccountIdentification45 *-- "0..0" AggregateBalanceInformation32 : BalanceForSubAccount
%% PartyIdentification109 recursion level 1 with max 1
class PartyIdentification109{
    LEI IsoLEIIdentifier
}
PartyIdentification109 *-- "1..1" IPartyIdentification114Choice : Identification
%% SecuritiesAccount34 recursion level 1 with max 1
class SecuritiesAccount34{
    Identification IsoRestrictedFINXMax35Text
    Name IsoMax70Text
}
SecuritiesAccount34 *-- "0..1" IPurposeCode8Choice : Type
%% AggregateBalanceInformation32 recursion level 1 with max 1
class AggregateBalanceInformation32{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoRestrictedFINXMax350Text
}
AggregateBalanceInformation32 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
AggregateBalanceInformation32 *-- "0..1" FinancialInstrumentAttributes78 : FinancialInstrumentAttributes
AggregateBalanceInformation32 *-- "0..1" FinancialInstrument22 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation32 *-- "0..1" DerivativeBasicAttributes2 : AdditionalDerivativeAttributes
AggregateBalanceInformation32 *-- "1..1" Balance10 : AggregateBalance
AggregateBalanceInformation32 *-- "0..1" SafeKeepingPlace2 : SafekeepingPlace
AggregateBalanceInformation32 *-- "1..0" PriceInformation14 : PriceDetails
AggregateBalanceInformation32 *-- "0..0" ForeignExchangeTerms31 : ForeignExchangeDetails
AggregateBalanceInformation32 *-- "1..1" BalanceAmounts5 : AccountBaseCurrencyAmounts
AggregateBalanceInformation32 *-- "0..1" BalanceAmounts5 : InstrumentCurrencyAmounts
AggregateBalanceInformation32 *-- "0..1" BalanceAmounts5 : AlternateReportingCurrencyAmounts
AggregateBalanceInformation32 *-- "0..0" QuantityBreakdown39 : QuantityBreakdown
AggregateBalanceInformation32 *-- "0..0" SubBalanceInformation16 : BalanceBreakdown
AggregateBalanceInformation32 *-- "0..0" AdditionalBalanceInformation16 : AdditionalBalanceBreakdown
AggregateBalanceInformation32 *-- "0..0" AggregateBalancePerSafekeepingPlace30 : BalanceAtSafekeepingPlace
AggregateBalanceInformation32 *-- "0..0" SupplementaryData1 : SupplementaryData
  

SubAccountIdentification45 members

AccountBaseCurrencyTotalAmounts building block

Total valuation amounts provided in the base currency of the account. Totals for the value of the holdings reported in the statement or page. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TotalValueInPageAndStatement4 recursion level 0 with max 1
TotalValueInPageAndStatement4 *-- "0..1" AmountAndDirection14 : TotalHoldingsValueOfPage
TotalValueInPageAndStatement4 *-- "1..1" AmountAndDirection14 : TotalHoldingsValueOfStatement
TotalValueInPageAndStatement4 *-- "0..1" AmountAndDirection14 : TotalBookValueOfStatement
%% AmountAndDirection14 recursion level 1 with max 1
class AmountAndDirection14{
    Amount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection14 recursion level 1 with max 1
class AmountAndDirection14{
    Amount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection14 recursion level 1 with max 1
class AmountAndDirection14{
    Amount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
  

TotalValueInPageAndStatement4 members

AlternateReportingCurrencyTotalAmounts building block

Total valuation amounts provided in another currency than the base currency of the account. Totals for the value of the holdings reported in the statement or page. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TotalValueInPageAndStatement4 recursion level 0 with max 1
TotalValueInPageAndStatement4 *-- "0..1" AmountAndDirection14 : TotalHoldingsValueOfPage
TotalValueInPageAndStatement4 *-- "1..1" AmountAndDirection14 : TotalHoldingsValueOfStatement
TotalValueInPageAndStatement4 *-- "0..1" AmountAndDirection14 : TotalBookValueOfStatement
%% AmountAndDirection14 recursion level 1 with max 1
class AmountAndDirection14{
    Amount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection14 recursion level 1 with max 1
class AmountAndDirection14{
    Amount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection14 recursion level 1 with max 1
class AmountAndDirection14{
    Amount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
  

TotalValueInPageAndStatement4 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesBalanceAccountingReport002V09 implementation follows a specific implementaiton pattern. First of all, SecuritiesBalanceAccountingReport002V09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesBalanceAccountingReport002V09Document implements IOuterDocument. Because SecuritiesBalanceAccountingReport002V09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesBalanceAccountingReport002V09.

classDiagram
    class IOuterRecord
    SecuritiesBalanceAccountingReport002V09 --|> IOuterRecord : Implements
    SecuritiesBalanceAccountingReport002V09Document --|> IOuterDocument~SecuritiesBalanceAccountingReport002V09~ : Implements
    class IOuterDocument~SecuritiesBalanceAccountingReport002V09~ {
        SecuritiesBalanceAccountingReport002V09 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesBalanceAccountingReport002V09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.003.002.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesBalanceAccountingReport002V09.ToDocument() method. The returned SecuritiesBalanceAccountingReport002V09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesBalanceAccountingReport002V09Document *-- SecuritiesBalanceAccountingReport002V09 : 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.003.002.09">
    <SctiesBalAcctgRpt>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <StmtGnlDtls>
            <!-- StatementGeneralDetails inner content -->
        </StmtGnlDtls>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <AcctSvcr>
            <!-- AccountServicer inner content -->
        </AcctSvcr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <IntrmyInf>
            <!-- IntermediaryInformation inner content -->
        </IntrmyInf>
        <BalForAcct>
            <!-- BalanceForAccount inner content -->
        </BalForAcct>
        <SubAcctDtls>
            <!-- SubAccountDetails inner content -->
        </SubAcctDtls>
        <AcctBaseCcyTtlAmts>
            <!-- AccountBaseCurrencyTotalAmounts inner content -->
        </AcctBaseCcyTtlAmts>
        <AltrnRptgCcyTtlAmts>
            <!-- AlternateReportingCurrencyTotalAmounts inner content -->
        </AltrnRptgCcyTtlAmts>
    </SctiesBalAcctgRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_5WxS45NLEeWGlc8L7oPDIg"
  nextVersions="_Z0x5w_fVEeiNZp_PtLohLw"
  name="SecuritiesBalanceAccountingReport002V09"
  definition="Scope &#xD;&#xA;An account servicer sends a SecuritiesBalanceAccountingReport to an account owner to provide, at a moment in time, valuations of the portfolio together with details of each financial instrument holding.&#xD;&#xA;The account servicer/owner relationship may be:&#xD;&#xA;- an accounting agent acting on behalf of an account owner, or&#xD;&#xA;- a transfer agent acting on behalf of a fund manager or an account owner's designated agent.&#xD;&#xA;&#xD;&#xA;Usage&#xD;&#xA;The message should be sent at a frequency agreed bi-laterally between the account servicer and the account owner.&#xD;&#xA;The message can be sent either audited or un-audited and may be provided on a trade date, contractual or settlement date basis. &#xD;&#xA;This message can only be used to list the holdings of a single (master) account. However, it is possible to break down these holdings into one or several sub-accounts. Therefore, the message can be used to either specify holdings at&#xD;&#xA;- the main account level, or, &#xD;&#xA;- the sub-account level.&#xD;&#xA;This message can be used to report where the financial instruments are safe-kept, physically or notionally. If a security is held in more than one safekeeping place, this can also be indicated. &#xD;&#xA;The SecuritiesBalanceAccountingReport message should not be used for trading purposes.&#xD;&#xA;There may be one or more intermediary parties, for example, an intermediary or a concentrator between the account owner and account servicer.&#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="SctiesBalAcctgRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_5WxS5ZNLEeWGlc8L7oPDIg"
    name="BalanceForAccountOrSubAccountDetailsRule"
    definition="If StatementGeneralDetails/ActivityIndicator is TRUE (Yes), then either BalanceForAccount or SubAccountDetails must be present. If StatementGeneralDetails/ActivityIndicator is FALSE (No), then BalanceForAccount and SubAccountDetails must be absent."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/SubAccountDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/BalanceForAccount[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/ActivityIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;false&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_5WxS55NLEeWGlc8L7oPDIg"
    name="BalanceForAccountReportingRule"
    definition="If StatementGeneralDetails/ActivityIndicator is TRUE (Yes) and SubAccountIndicator is FALSE (NO), then BalanceForAccount must be present and Sub Account Details must be absent."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/SubAccountDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/BalanceForAccount[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/SubAccountIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;false&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/ActivityIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;true&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_5WxS6ZNLEeWGlc8L7oPDIg"
    name="SecuritiesMarketPracticeGroupGuideline"
    definition="The Securities Market Practice Group (SMPG) has published market practice recommendations on the use of this message.&#xD;&#xA;These market practices are available on www.smpg.info."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_5WxS65NLEeWGlc8L7oPDIg"
    name="SubAccountDetailsBalanceForAccountPresenceRule"
    definition="If StatementGeneralDetails/ActivityIndicator is TRUE (Yes) and SubAccountIndicator is TRUE (YES), then SubAccountDetails must be present and BalanceForAccount must be absent."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/SubAccountDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/BalanceForAccount[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/ActivityIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;true&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/SubAccountIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;true&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <messageBuildingBlock
    xmi:id="_5WxS7ZNLEeWGlc8L7oPDIg"
    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="_5WxS75NLEeWGlc8L7oPDIg"
    name="StatementGeneralDetails"
    definition="Provides general information on the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_5WxTBZNLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5WxS8ZNLEeWGlc8L7oPDIg"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_S1zDAZjTEeW1SPbGMCLIOQ" />
  <messageBuildingBlock
    xmi:id="_5WxS85NLEeWGlc8L7oPDIg"
    name="AccountServicer"
    definition="Party that manages the account on behalf of the account owner, that is manages the registration and booking of entries on the account, calculates balances on the account and provides information about the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctSvcr"
    complexType="_fhqGEZjdEeWn2ur3BXxtdg" />
  <messageBuildingBlock
    xmi:id="_5WxS9ZNLEeWGlc8L7oPDIg"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_5Wx6VpNLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5WxS95NLEeWGlc8L7oPDIg"
    name="IntermediaryInformation"
    definition="Information about the party that provides services relating to financial products to investors, for example, advice on products and placement of orders for the investment fund."
    registrationStatus="Provisionally Registered"
    maxOccurs="10"
    minOccurs="0"
    xmlTag="IntrmyInf"
    complexType="_5Wx6hpNLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5WxS-ZNLEeWGlc8L7oPDIg"
    name="BalanceForAccount"
    definition="Net position of a segregated holding, in a single security, within the overall position held in a securities account."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="BalForAcct"
    complexType="_5WyhV5NLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5WxS-5NLEeWGlc8L7oPDIg"
    name="SubAccountDetails"
    definition="Sub-account of the safekeeping or investment account."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SubAcctDtls"
    complexType="_5XAj1ZNLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5WxS_ZNLEeWGlc8L7oPDIg"
    name="AccountBaseCurrencyTotalAmounts"
    definition="Total valuation amounts provided in the base currency of the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctBaseCcyTtlAmts"
    complexType="_XOasgtp-Ed-ak6NoX_4Aeg_565469517" />
  <messageBuildingBlock
    xmi:id="_5WxS_5NLEeWGlc8L7oPDIg"
    name="AlternateReportingCurrencyTotalAmounts"
    definition="Total valuation amounts provided in another currency than the base currency of the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AltrnRptgCcyTtlAmts"
    complexType="_XOasgtp-Ed-ak6NoX_4Aeg_565469517" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="003"
    flavour="002"
    version="09" />
</messageDefinition>

ISO Building Blocks

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