SecuritiesBalanceAccountingReportV09

semt.003.001.09

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
%% SecuritiesBalanceAccountingReportV09 recursion level 0 with max 0
SecuritiesBalanceAccountingReportV09 *-- "1..1" Pagination : Pagination
SecuritiesBalanceAccountingReportV09 *-- "1..1" Statement40 : StatementGeneralDetails
SecuritiesBalanceAccountingReportV09 *-- "0..1" PartyIdentification98 : AccountOwner
SecuritiesBalanceAccountingReportV09 *-- "0..1" PartyIdentification100 : AccountServicer
SecuritiesBalanceAccountingReportV09 *-- "1..1" SecuritiesAccount26 : SafekeepingAccount
SecuritiesBalanceAccountingReportV09 *-- "0..10" Intermediary32 : IntermediaryInformation
SecuritiesBalanceAccountingReportV09 *-- "0..1" AggregateBalanceInformation31 : BalanceForAccount
SecuritiesBalanceAccountingReportV09 *-- "0..1" SubAccountIdentification43 : SubAccountDetails
SecuritiesBalanceAccountingReportV09 *-- "0..1" TotalValueInPageAndStatement2 : AccountBaseCurrencyTotalAmounts
SecuritiesBalanceAccountingReportV09 *-- "0..1" TotalValueInPageAndStatement2 : 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
%% Statement40 recursion level 0 with max 1
class Statement40{
    QueryReference IsoMax35Text
    StatementIdentification IsoMax35Text
    ActivityIndicator IsoYesNoIndicator
    AuditedIndicator IsoYesNoIndicator
    SubAccountIndicator IsoYesNoIndicator
    TaxLotIndicator IsoYesNoIndicator
}
Statement40 *-- "0..1" INumber3Choice : ReportNumber
Statement40 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement40 *-- "1..1" IFrequency25Choice : Frequency
Statement40 *-- "1..1" IUpdateType15Choice : UpdateType
Statement40 *-- "1..1" IStatementBasis7Choice : StatementBasis
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency25Choice recursion level 1 with max 1
%% IUpdateType15Choice recursion level 1 with max 1
%% IStatementBasis7Choice recursion level 1 with max 1
  

Statement40 members

AccountOwner building block

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

classDiagram
   direction tb
%% PartyIdentification98 recursion level 0 with max 1
class PartyIdentification98{
    LEI IsoLEIIdentifier
}
PartyIdentification98 *-- "1..1" IPartyIdentification92Choice : Identification
%% IPartyIdentification92Choice recursion level 1 with max 1
  

PartyIdentification98 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
%% PartyIdentification100 recursion level 0 with max 1
class PartyIdentification100{
    LEI IsoLEIIdentifier
}
PartyIdentification100 *-- "1..1" IPartyIdentification71Choice : Identification
%% IPartyIdentification71Choice recursion level 1 with max 1
  

PartyIdentification100 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
%% SecuritiesAccount26 recursion level 0 with max 1
class SecuritiesAccount26{
    Identification IsoMax35Text
    Name IsoMax70Text
    Designation IsoMax35Text
}
SecuritiesAccount26 *-- "0..1" IPurposeCode7Choice : Type
%% IPurposeCode7Choice recursion level 1 with max 1
  

SecuritiesAccount26 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
%% Intermediary32 recursion level 0 with max 1
Intermediary32 *-- "1..1" PartyIdentification100 : Identification
Intermediary32 *-- "0..1" IRole6Choice : Role
Intermediary32 *-- "0..1" Account18 : Account
%% PartyIdentification100 recursion level 1 with max 1
class PartyIdentification100{
    LEI IsoLEIIdentifier
}
PartyIdentification100 *-- "1..1" IPartyIdentification71Choice : Identification
%% IRole6Choice recursion level 1 with max 1
%% Account18 recursion level 1 with max 1
Account18 *-- "1..1" AccountIdentification26 : Identification
Account18 *-- "0..1" IPartyIdentification71Choice : AccountServicer
  

Intermediary32 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
%% AggregateBalanceInformation31 recursion level 0 with max 1
class AggregateBalanceInformation31{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoMax350Text
}
AggregateBalanceInformation31 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
AggregateBalanceInformation31 *-- "0..1" FinancialInstrumentAttributes64 : FinancialInstrumentAttributes
AggregateBalanceInformation31 *-- "0..1" FinancialInstrument21 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation31 *-- "0..1" DerivativeBasicAttributes1 : AdditionalDerivativeAttributes
AggregateBalanceInformation31 *-- "1..1" Balance6 : AggregateBalance
AggregateBalanceInformation31 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
AggregateBalanceInformation31 *-- "1..0" PriceInformation12 : PriceDetails
AggregateBalanceInformation31 *-- "0..0" ForeignExchangeTerms22 : ForeignExchangeDetails
AggregateBalanceInformation31 *-- "1..1" BalanceAmounts1 : AccountBaseCurrencyAmounts
AggregateBalanceInformation31 *-- "0..1" BalanceAmounts1 : InstrumentCurrencyAmounts
AggregateBalanceInformation31 *-- "0..1" BalanceAmounts1 : AlternateReportingCurrencyAmounts
AggregateBalanceInformation31 *-- "0..0" QuantityBreakdown28 : QuantityBreakdown
AggregateBalanceInformation31 *-- "0..0" SubBalanceInformation14 : BalanceBreakdown
AggregateBalanceInformation31 *-- "0..0" AdditionalBalanceInformation14 : AdditionalBalanceBreakdown
AggregateBalanceInformation31 *-- "0..0" AggregateBalancePerSafekeepingPlace29 : BalanceAtSafekeepingPlace
AggregateBalanceInformation31 *-- "0..0" SupplementaryData1 : SupplementaryData
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
    ISIN IsoISINOct2015Identifier
    Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% FinancialInstrumentAttributes64 recursion level 1 with max 1
class FinancialInstrumentAttributes64{
    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
}
FinancialInstrumentAttributes64 *-- "0..1" IMarketIdentification3Choice : PlaceOfListing
FinancialInstrumentAttributes64 *-- "0..1" IInterestComputationMethodFormat4Choice : DayCountBasis
FinancialInstrumentAttributes64 *-- "0..1" IFormOfSecurity6Choice : RegistrationForm
FinancialInstrumentAttributes64 *-- "0..1" IFrequency23Choice : PaymentFrequency
FinancialInstrumentAttributes64 *-- "0..1" ISecuritiesPaymentStatus5Choice : PaymentStatus
FinancialInstrumentAttributes64 *-- "0..1" IFrequency23Choice : VariableRateChangeFrequency
FinancialInstrumentAttributes64 *-- "0..1" IClassificationType32Choice : ClassificationType
FinancialInstrumentAttributes64 *-- "0..1" IOptionStyle8Choice : OptionStyle
FinancialInstrumentAttributes64 *-- "0..1" IOptionType6Choice : OptionType
FinancialInstrumentAttributes64 *-- "0..1" INumber22Choice : CouponAttachedNumber
FinancialInstrumentAttributes64 *-- "0..1" GenericIdentification37 : PoolNumber
FinancialInstrumentAttributes64 *-- "0..1" IPriceType1Choice : MarketOrIndicativePrice
FinancialInstrumentAttributes64 *-- "0..1" Price2 : ExercisePrice
FinancialInstrumentAttributes64 *-- "0..1" Price2 : SubscriptionPrice
FinancialInstrumentAttributes64 *-- "0..1" Price2 : ConversionPrice
FinancialInstrumentAttributes64 *-- "0..1" Price2 : StrikePrice
FinancialInstrumentAttributes64 *-- "0..1" IFinancialInstrumentQuantity1Choice : MinimumNominalQuantity
FinancialInstrumentAttributes64 *-- "0..1" IFinancialInstrumentQuantity1Choice : ContractSize
FinancialInstrumentAttributes64 *-- "0..0" SecurityIdentification19 : UnderlyingFinancialInstrumentIdentification
%% FinancialInstrument21 recursion level 1 with max 1
class FinancialInstrument21{
    ClassType IsoMax35Text
    SecuritiesForm FormOfSecurity1Code
    DistributionPolicy DistributionPolicy1Code
    ProductGroup IsoMax140Text
    UmbrellaName IsoMax35Text
    BaseCurrency ActiveCurrencyCode
    DenominationCurrency ActiveCurrencyCode
    RequestedNAVCurrency ActiveOrHistoricCurrencyCode
    DualFundIndicator IsoYesNoIndicator
    CountryOfDomicile CountryCode
    RegisteredDistributionCountry CountryCode
}
%% DerivativeBasicAttributes1 recursion level 1 with max 1
class DerivativeBasicAttributes1{
    NotionalCurrencyAndAmount IsoActiveOrHistoricCurrencyAndAmount
    InterestIncludedInPrice IsoYesNoIndicator
}
%% Balance6 recursion level 1 with max 1
class Balance6{
    ShortLongIndicator ShortLong1Code
}
Balance6 *-- "1..1" IBalanceQuantity9Choice : Quantity
%% SafeKeepingPlace1 recursion level 1 with max 1
class SafeKeepingPlace1{
    LEI IsoLEIIdentifier
}
SafeKeepingPlace1 *-- "0..1" ISafekeepingPlaceFormat10Choice : SafekeepingPlaceFormat
%% PriceInformation12 recursion level 1 with max 1
PriceInformation12 *-- "1..1" ITypeOfPrice28Choice : Type
PriceInformation12 *-- "1..1" IPriceRateOrAmountOrUnknownChoice : Value
PriceInformation12 *-- "1..1" IYieldedOrValueType1Choice : ValueType
PriceInformation12 *-- "0..1" MarketIdentification89 : SourceOfPrice
PriceInformation12 *-- "0..1" IDateAndDateTimeChoice : QuotationDate
%% ForeignExchangeTerms22 recursion level 1 with max 1
class ForeignExchangeTerms22{
    UnitCurrency ActiveOrHistoricCurrencyCode
    QuotedCurrency ActiveOrHistoricCurrencyCode
    ExchangeRate IsoBaseOneRate
    QuotationDate IsoISODateTime
}
ForeignExchangeTerms22 *-- "0..1" IPartyIdentification71Choice : QuotingInstitution
%% BalanceAmounts1 recursion level 1 with max 1
BalanceAmounts1 *-- "1..1" AmountAndDirection6 : HoldingValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : PreviousHoldingValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : BookValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : UnrealisedGainLoss
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : AccruedInterestAmount
%% BalanceAmounts1 recursion level 1 with max 1
BalanceAmounts1 *-- "1..1" AmountAndDirection6 : HoldingValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : PreviousHoldingValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : BookValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : UnrealisedGainLoss
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : AccruedInterestAmount
%% BalanceAmounts1 recursion level 1 with max 1
BalanceAmounts1 *-- "1..1" AmountAndDirection6 : HoldingValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : PreviousHoldingValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : BookValue
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : UnrealisedGainLoss
BalanceAmounts1 *-- "0..1" AmountAndDirection6 : AccruedInterestAmount
%% QuantityBreakdown28 recursion level 1 with max 1
QuantityBreakdown28 *-- "0..1" GenericIdentification37 : LotNumber
QuantityBreakdown28 *-- "0..1" Balance7 : LotQuantity
QuantityBreakdown28 *-- "0..1" IDateAndDateTimeChoice : LotDateTime
QuantityBreakdown28 *-- "0..1" Price2 : LotPrice
QuantityBreakdown28 *-- "0..1" ITypeOfPrice29Choice : TypeOfPrice
QuantityBreakdown28 *-- "0..1" BalanceAmounts2 : AccountBaseCurrencyAmounts
QuantityBreakdown28 *-- "0..1" BalanceAmounts2 : InstrumentCurrencyAmounts
QuantityBreakdown28 *-- "0..1" BalanceAmounts2 : AlternateReportingCurrencyAmounts
%% SubBalanceInformation14 recursion level 1 with max 1
class SubBalanceInformation14{
    SubBalanceAdditionalDetails IsoMax140Text
}
SubBalanceInformation14 *-- "1..1" ISubBalanceType11Choice : SubBalanceType
SubBalanceInformation14 *-- "1..1" ISubBalanceQuantity6Choice : Quantity
SubBalanceInformation14 *-- "0..0" AdditionalBalanceInformation14 : AdditionalBalanceBreakdownDetails
%% AdditionalBalanceInformation14 recursion level 1 with max 1
class AdditionalBalanceInformation14{
    SubBalanceAdditionalDetails IsoMax140Text
}
AdditionalBalanceInformation14 *-- "1..1" ISubBalanceType12Choice : SubBalanceType
AdditionalBalanceInformation14 *-- "1..1" ISubBalanceQuantity6Choice : Quantity
%% AggregateBalancePerSafekeepingPlace29 recursion level 1 with max 1
class AggregateBalancePerSafekeepingPlace29{
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoMax350Text
}
AggregateBalancePerSafekeepingPlace29 *-- "1..1" SafeKeepingPlace1 : SafekeepingPlace
AggregateBalancePerSafekeepingPlace29 *-- "0..1" IMarketIdentification3Choice : PlaceOfListing
AggregateBalancePerSafekeepingPlace29 *-- "0..1" Pledgee1 : Pledgee
AggregateBalancePerSafekeepingPlace29 *-- "1..1" Balance6 : AggregateBalance
AggregateBalancePerSafekeepingPlace29 *-- "1..0" PriceInformation12 : PriceDetails
AggregateBalancePerSafekeepingPlace29 *-- "0..0" ForeignExchangeTerms22 : ForeignExchangeDetails
AggregateBalancePerSafekeepingPlace29 *-- "1..1" BalanceAmounts1 : AccountBaseCurrencyAmounts
AggregateBalancePerSafekeepingPlace29 *-- "0..1" BalanceAmounts1 : InstrumentCurrencyAmounts
AggregateBalancePerSafekeepingPlace29 *-- "0..1" BalanceAmounts1 : AlternateReportingCurrencyAmounts
AggregateBalancePerSafekeepingPlace29 *-- "0..0" QuantityBreakdown28 : QuantityBreakdown
AggregateBalancePerSafekeepingPlace29 *-- "0..1" IExposureType16Choice : ExposureType
AggregateBalancePerSafekeepingPlace29 *-- "0..0" SubBalanceInformation14 : BalanceBreakdown
AggregateBalancePerSafekeepingPlace29 *-- "0..0" AdditionalBalanceInformation14 : AdditionalBalanceBreakdown
%% SupplementaryData1 recursion level 1 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
  

AggregateBalanceInformation31 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
%% SubAccountIdentification43 recursion level 0 with max 1
class SubAccountIdentification43{
    ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification43 *-- "0..1" PartyIdentification98 : AccountOwner
SubAccountIdentification43 *-- "1..1" SecuritiesAccount25 : SafekeepingAccount
SubAccountIdentification43 *-- "0..0" AggregateBalanceInformation31 : BalanceForSubAccount
%% PartyIdentification98 recursion level 1 with max 1
class PartyIdentification98{
    LEI IsoLEIIdentifier
}
PartyIdentification98 *-- "1..1" IPartyIdentification92Choice : Identification
%% SecuritiesAccount25 recursion level 1 with max 1
class SecuritiesAccount25{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount25 *-- "0..1" IPurposeCode7Choice : Type
%% AggregateBalanceInformation31 recursion level 1 with max 1
class AggregateBalanceInformation31{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoMax350Text
}
AggregateBalanceInformation31 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
AggregateBalanceInformation31 *-- "0..1" FinancialInstrumentAttributes64 : FinancialInstrumentAttributes
AggregateBalanceInformation31 *-- "0..1" FinancialInstrument21 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation31 *-- "0..1" DerivativeBasicAttributes1 : AdditionalDerivativeAttributes
AggregateBalanceInformation31 *-- "1..1" Balance6 : AggregateBalance
AggregateBalanceInformation31 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
AggregateBalanceInformation31 *-- "1..0" PriceInformation12 : PriceDetails
AggregateBalanceInformation31 *-- "0..0" ForeignExchangeTerms22 : ForeignExchangeDetails
AggregateBalanceInformation31 *-- "1..1" BalanceAmounts1 : AccountBaseCurrencyAmounts
AggregateBalanceInformation31 *-- "0..1" BalanceAmounts1 : InstrumentCurrencyAmounts
AggregateBalanceInformation31 *-- "0..1" BalanceAmounts1 : AlternateReportingCurrencyAmounts
AggregateBalanceInformation31 *-- "0..0" QuantityBreakdown28 : QuantityBreakdown
AggregateBalanceInformation31 *-- "0..0" SubBalanceInformation14 : BalanceBreakdown
AggregateBalanceInformation31 *-- "0..0" AdditionalBalanceInformation14 : AdditionalBalanceBreakdown
AggregateBalanceInformation31 *-- "0..0" AggregateBalancePerSafekeepingPlace29 : BalanceAtSafekeepingPlace
AggregateBalanceInformation31 *-- "0..0" SupplementaryData1 : SupplementaryData
  

SubAccountIdentification43 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
%% TotalValueInPageAndStatement2 recursion level 0 with max 1
TotalValueInPageAndStatement2 *-- "0..1" AmountAndDirection6 : TotalHoldingsValueOfPage
TotalValueInPageAndStatement2 *-- "1..1" AmountAndDirection6 : TotalHoldingsValueOfStatement
TotalValueInPageAndStatement2 *-- "0..1" AmountAndDirection6 : TotalBookValueOfStatement
%% AmountAndDirection6 recursion level 1 with max 1
class AmountAndDirection6{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection6 recursion level 1 with max 1
class AmountAndDirection6{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection6 recursion level 1 with max 1
class AmountAndDirection6{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
  

TotalValueInPageAndStatement2 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
%% TotalValueInPageAndStatement2 recursion level 0 with max 1
TotalValueInPageAndStatement2 *-- "0..1" AmountAndDirection6 : TotalHoldingsValueOfPage
TotalValueInPageAndStatement2 *-- "1..1" AmountAndDirection6 : TotalHoldingsValueOfStatement
TotalValueInPageAndStatement2 *-- "0..1" AmountAndDirection6 : TotalBookValueOfStatement
%% AmountAndDirection6 recursion level 1 with max 1
class AmountAndDirection6{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection6 recursion level 1 with max 1
class AmountAndDirection6{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
%% AmountAndDirection6 recursion level 1 with max 1
class AmountAndDirection6{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
  

TotalValueInPageAndStatement2 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesBalanceAccountingReportV09 implementation follows a specific implementaiton pattern. First of all, SecuritiesBalanceAccountingReportV09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesBalanceAccountingReportV09Document implements IOuterDocument. Because SecuritiesBalanceAccountingReportV09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesBalanceAccountingReportV09.

classDiagram
    class IOuterRecord
    SecuritiesBalanceAccountingReportV09 --|> IOuterRecord : Implements
    SecuritiesBalanceAccountingReportV09Document --|> IOuterDocument~SecuritiesBalanceAccountingReportV09~ : Implements
    class IOuterDocument~SecuritiesBalanceAccountingReportV09~ {
        SecuritiesBalanceAccountingReportV09 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesBalanceAccountingReportV09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.003.001.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesBalanceAccountingReportV09.ToDocument() method. The returned SecuritiesBalanceAccountingReportV09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesBalanceAccountingReportV09Document *-- SecuritiesBalanceAccountingReportV09 : 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.003.001.09">
    <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="_YSMWIwCTEeW_3KiG8SEjHA"
  nextVersions="_j9mmsdB_EeiO-eodGv5iKQ"
  previousVersion="_auBaQU3NEeS1yPC0JC-FvQ"
  name="SecuritiesBalanceAccountingReportV09"
  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="_YSMWJQCTEeW_3KiG8SEjHA"
    nextVersions="_j9mms9B_EeiO-eodGv5iKQ"
    previousVersion="_auBaQ03NEeS1yPC0JC-FvQ"
    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="_YSMWJwCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmtdB_EeiO-eodGv5iKQ"
    previousVersion="_auBaRU3NEeS1yPC0JC-FvQ"
    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="_YSMWLQCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmt9B_EeiO-eodGv5iKQ"
    previousVersion="_auBaS03NEeS1yPC0JC-FvQ"
    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="_YSMWLwCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmudB_EeiO-eodGv5iKQ"
    previousVersion="_auBaTU3NEeS1yPC0JC-FvQ"
    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="_YSMWMQCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmu9B_EeiO-eodGv5iKQ"
    previousVersion="_auBaT03NEeS1yPC0JC-FvQ"
    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="_YSMWMwCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmvdB_EeiO-eodGv5iKQ"
    previousVersion="_auBaUU3NEeS1yPC0JC-FvQ"
    name="StatementGeneralDetails"
    definition="Provides general information on the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_cJERszeNEeWm5uvLSn0jEw" />
  <messageBuildingBlock
    xmi:id="_YSMWNQCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmv9B_EeiO-eodGv5iKQ"
    previousVersion="_auBaU03NEeS1yPC0JC-FvQ"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_lwSA1GwBEeWLq_lbZ2Mhyw" />
  <messageBuildingBlock
    xmi:id="_YSMWNwCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmwdB_EeiO-eodGv5iKQ"
    previousVersion="_auBaVU3NEeS1yPC0JC-FvQ"
    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="_QgqFw2wfEeWLq_lbZ2Mhyw" />
  <messageBuildingBlock
    xmi:id="_YSMWOQCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmw9B_EeiO-eodGv5iKQ"
    previousVersion="_auBaV03NEeS1yPC0JC-FvQ"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_vMYT4TnlEeWV5sr121Fc8A" />
  <messageBuildingBlock
    xmi:id="_YSMWOwCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmxdB_EeiO-eodGv5iKQ"
    previousVersion="_auBaWU3NEeS1yPC0JC-FvQ"
    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="_GiI3gx5dEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_YSMWPQCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmx9B_EeiO-eodGv5iKQ"
    previousVersion="_auBaW03NEeS1yPC0JC-FvQ"
    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="_IBpiiR5dEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_YSMWPwCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmydB_EeiO-eodGv5iKQ"
    previousVersion="_auBaXU3NEeS1yPC0JC-FvQ"
    name="SubAccountDetails"
    definition="Sub-account of the safekeeping or investment account."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SubAcctDtls"
    complexType="_Hh0LzR5dEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_YSMWQQCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmy9B_EeiO-eodGv5iKQ"
    previousVersion="_auBaX03NEeS1yPC0JC-FvQ"
    name="AccountBaseCurrencyTotalAmounts"
    definition="Total valuation amounts provided in the base currency of the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctBaseCcyTtlAmts"
    complexType="_Rctzotp-Ed-ak6NoX_4Aeg_-645016837" />
  <messageBuildingBlock
    xmi:id="_YSMWQwCTEeW_3KiG8SEjHA"
    nextVersions="_j9mmzdB_EeiO-eodGv5iKQ"
    previousVersion="_auBaYU3NEeS1yPC0JC-FvQ"
    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="_Rctzotp-Ed-ak6NoX_4Aeg_-645016837" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="003"
    flavour="001"
    version="09" />
</messageDefinition>

ISO Building Blocks

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