SecuritiesBalanceCustodyReport002V09

semt.002.002.09

Scope An account servicer sends a SecuritiesBalanceCustodyReport to an account owner to provide, at a moment in time, the quantity and identification of the financial instruments that the account servicer holds for the account owner.

The account servicer/owner relationship may be:

• a central securities depository or another settlement market infrastructure acting on behalf of their participants, or
• 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, or
• a transfer agent acting on behalf of a fund manager or an account owner’s designated agent.

Usage The message can also include availability and the location of holdings to facilitate trading and minimise settlement issues. The message reports all information per financial instrument, that is, when a financial instrument is held at multiple places of safekeeping, the total holdings for all locations can be provided. The message should be sent at a frequency agreed bi-laterally between the account servicer and the account owner. The message may be provided on a trade date, contractual or settlement date basis. 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
%% SecuritiesBalanceCustodyReport002V09 recursion level 0 with max 0
SecuritiesBalanceCustodyReport002V09 *-- "1..1" Pagination : Pagination
SecuritiesBalanceCustodyReport002V09 *-- "1..1" Statement52 : StatementGeneralDetails
SecuritiesBalanceCustodyReport002V09 *-- "0..1" PartyIdentification109 : AccountOwner
SecuritiesBalanceCustodyReport002V09 *-- "0..1" PartyIdentification111 : AccountServicer
SecuritiesBalanceCustodyReport002V09 *-- "1..1" SecuritiesAccount33 : SafekeepingAccount
SecuritiesBalanceCustodyReport002V09 *-- "0..10" Intermediary37 : IntermediaryInformation
SecuritiesBalanceCustodyReport002V09 *-- "0..1" AggregateBalanceInformation33 : BalanceForAccount
SecuritiesBalanceCustodyReport002V09 *-- "0..1" SubAccountIdentification46 : SubAccountDetails
SecuritiesBalanceCustodyReport002V09 *-- "0..1" TotalValueInPageAndStatement3 : AccountBaseCurrencyTotalAmounts
  

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
%% Statement52 recursion level 0 with max 1
class Statement52{
    QueryReference IsoRestrictedFINXMax16Text
    StatementIdentification IsoRestrictedFINXMax16Text
    ActivityIndicator IsoYesNoIndicator
    SubAccountIndicator IsoYesNoIndicator
}
Statement52 *-- "0..1" INumber3Choice : ReportNumber
Statement52 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement52 *-- "1..1" IFrequency34Choice : Frequency
Statement52 *-- "1..1" IUpdateType16Choice : UpdateType
Statement52 *-- "1..1" IStatementBasis9Choice : StatementBasis
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency34Choice recursion level 1 with max 1
%% IUpdateType16Choice recursion level 1 with max 1
%% IStatementBasis9Choice recursion level 1 with max 1
  

Statement52 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
%% AggregateBalanceInformation33 recursion level 0 with max 1
class AggregateBalanceInformation33{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoRestrictedFINXMax350Text
}
AggregateBalanceInformation33 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
AggregateBalanceInformation33 *-- "0..1" FinancialInstrumentAttributes78 : FinancialInstrumentAttributes
AggregateBalanceInformation33 *-- "0..1" FinancialInstrument22 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation33 *-- "0..1" BasicCollateralValuation1Details : ValuationHaircutDetails
AggregateBalanceInformation33 *-- "1..1" Balance10 : AggregateBalance
AggregateBalanceInformation33 *-- "0..1" Balance12 : AvailableBalance
AggregateBalanceInformation33 *-- "0..1" IBalanceQuantity12Choice : NotAvailableBalance
AggregateBalanceInformation33 *-- "0..1" SafeKeepingPlace2 : SafekeepingPlace
AggregateBalanceInformation33 *-- "0..0" PriceInformation14 : PriceDetails
AggregateBalanceInformation33 *-- "0..0" ForeignExchangeTerms31 : ForeignExchangeDetails
AggregateBalanceInformation33 *-- "0..1" BalanceAmounts4 : AccountBaseCurrencyAmounts
AggregateBalanceInformation33 *-- "0..1" BalanceAmounts4 : InstrumentCurrencyAmounts
AggregateBalanceInformation33 *-- "0..0" QuantityBreakdown40 : QuantityBreakdown
AggregateBalanceInformation33 *-- "0..0" SubBalanceInformation17 : BalanceBreakdown
AggregateBalanceInformation33 *-- "0..0" AdditionalBalanceInformation17 : AdditionalBalanceBreakdown
AggregateBalanceInformation33 *-- "0..0" AggregateBalancePerSafekeepingPlace31 : BalanceAtSafekeepingPlace
AggregateBalanceInformation33 *-- "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
}
%% BasicCollateralValuation1Details recursion level 1 with max 1
class BasicCollateralValuation1Details{
    ValuationHaircut IsoPercentageRate
}
BasicCollateralValuation1Details *-- "0..1" PartyIdentification15 : HaircutSource
%% Balance10 recursion level 1 with max 1
class Balance10{
    ShortLongIndicator ShortLong1Code
}
Balance10 *-- "1..1" IBalanceQuantity10Choice : Quantity
%% Balance12 recursion level 1 with max 1
class Balance12{
    ShortLongIndicator ShortLong1Code
}
Balance12 *-- "1..1" IBalanceQuantity12Choice : Quantity
%% IBalanceQuantity12Choice recursion level 1 with max 1
%% 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
%% BalanceAmounts4 recursion level 1 with max 1
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : HoldingValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : PreviousHoldingValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : BookValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : EligibleCollateralValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : AccruedInterestAmount
%% BalanceAmounts4 recursion level 1 with max 1
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : HoldingValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : PreviousHoldingValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : BookValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : EligibleCollateralValue
BalanceAmounts4 *-- "0..1" AmountAndDirection14 : AccruedInterestAmount
%% QuantityBreakdown40 recursion level 1 with max 1
QuantityBreakdown40 *-- "0..1" GenericIdentification39 : LotNumber
QuantityBreakdown40 *-- "0..1" Balance11 : LotQuantity
QuantityBreakdown40 *-- "0..1" IDateAndDateTimeChoice : LotDateTime
QuantityBreakdown40 *-- "0..1" Price3 : LotPrice
QuantityBreakdown40 *-- "0..1" ITypeOfPrice32Choice : TypeOfPrice
%% SubBalanceInformation17 recursion level 1 with max 1
class SubBalanceInformation17{
    SubBalanceAdditionalDetails IsoRestrictedFINXMax140Text
}
SubBalanceInformation17 *-- "1..1" ISubBalanceType13Choice : SubBalanceType
SubBalanceInformation17 *-- "1..1" Balance13 : Quantity
SubBalanceInformation17 *-- "0..0" QuantityBreakdown40 : QuantityBreakdown
SubBalanceInformation17 *-- "0..0" AdditionalBalanceInformation17 : AdditionalBalanceBreakdownDetails
%% AdditionalBalanceInformation17 recursion level 1 with max 1
class AdditionalBalanceInformation17{
    SubBalanceAdditionalDetails IsoRestrictedFINXMax140Text
}
AdditionalBalanceInformation17 *-- "1..1" ISubBalanceType14Choice : SubBalanceType
AdditionalBalanceInformation17 *-- "1..1" Balance13 : Quantity
AdditionalBalanceInformation17 *-- "0..0" QuantityBreakdown40 : QuantityBreakdown
%% AggregateBalancePerSafekeepingPlace31 recursion level 1 with max 1
class AggregateBalancePerSafekeepingPlace31{
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoRestrictedFINXMax350Text
}
AggregateBalancePerSafekeepingPlace31 *-- "1..1" SafeKeepingPlace2 : SafekeepingPlace
AggregateBalancePerSafekeepingPlace31 *-- "0..1" IMarketIdentification4Choice : PlaceOfListing
AggregateBalancePerSafekeepingPlace31 *-- "0..1" Pledgee2 : Pledgee
AggregateBalancePerSafekeepingPlace31 *-- "1..1" Balance10 : AggregateBalance
AggregateBalancePerSafekeepingPlace31 *-- "0..1" Balance12 : AvailableBalance
AggregateBalancePerSafekeepingPlace31 *-- "0..1" IBalanceQuantity12Choice : NotAvailableBalance
AggregateBalancePerSafekeepingPlace31 *-- "0..0" PriceInformation14 : PriceDetails
AggregateBalancePerSafekeepingPlace31 *-- "0..0" ForeignExchangeTerms31 : ForeignExchangeDetails
AggregateBalancePerSafekeepingPlace31 *-- "0..1" BalanceAmounts4 : AccountBaseCurrencyAmounts
AggregateBalancePerSafekeepingPlace31 *-- "0..1" BalanceAmounts4 : InstrumentCurrencyAmounts
AggregateBalancePerSafekeepingPlace31 *-- "0..0" QuantityBreakdown40 : QuantityBreakdown
AggregateBalancePerSafekeepingPlace31 *-- "0..1" IExposureType17Choice : ExposureType
AggregateBalancePerSafekeepingPlace31 *-- "0..0" SubBalanceInformation17 : BalanceBreakdown
AggregateBalancePerSafekeepingPlace31 *-- "0..0" AdditionalBalanceInformation17 : AdditionalBalanceBreakdown
%% SupplementaryData1 recursion level 1 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
  

AggregateBalanceInformation33 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
%% SubAccountIdentification46 recursion level 0 with max 1
class SubAccountIdentification46{
    ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification46 *-- "0..1" PartyIdentification109 : AccountOwner
SubAccountIdentification46 *-- "1..1" SecuritiesAccount34 : SafekeepingAccount
SubAccountIdentification46 *-- "0..0" AggregateBalanceInformation33 : 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
%% AggregateBalanceInformation33 recursion level 1 with max 1
class AggregateBalanceInformation33{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoRestrictedFINXMax350Text
}
AggregateBalanceInformation33 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
AggregateBalanceInformation33 *-- "0..1" FinancialInstrumentAttributes78 : FinancialInstrumentAttributes
AggregateBalanceInformation33 *-- "0..1" FinancialInstrument22 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation33 *-- "0..1" BasicCollateralValuation1Details : ValuationHaircutDetails
AggregateBalanceInformation33 *-- "1..1" Balance10 : AggregateBalance
AggregateBalanceInformation33 *-- "0..1" Balance12 : AvailableBalance
AggregateBalanceInformation33 *-- "0..1" IBalanceQuantity12Choice : NotAvailableBalance
AggregateBalanceInformation33 *-- "0..1" SafeKeepingPlace2 : SafekeepingPlace
AggregateBalanceInformation33 *-- "0..0" PriceInformation14 : PriceDetails
AggregateBalanceInformation33 *-- "0..0" ForeignExchangeTerms31 : ForeignExchangeDetails
AggregateBalanceInformation33 *-- "0..1" BalanceAmounts4 : AccountBaseCurrencyAmounts
AggregateBalanceInformation33 *-- "0..1" BalanceAmounts4 : InstrumentCurrencyAmounts
AggregateBalanceInformation33 *-- "0..0" QuantityBreakdown40 : QuantityBreakdown
AggregateBalanceInformation33 *-- "0..0" SubBalanceInformation17 : BalanceBreakdown
AggregateBalanceInformation33 *-- "0..0" AdditionalBalanceInformation17 : AdditionalBalanceBreakdown
AggregateBalanceInformation33 *-- "0..0" AggregateBalancePerSafekeepingPlace31 : BalanceAtSafekeepingPlace
AggregateBalanceInformation33 *-- "0..0" SupplementaryData1 : SupplementaryData
  

SubAccountIdentification46 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
%% TotalValueInPageAndStatement3 recursion level 0 with max 1
TotalValueInPageAndStatement3 *-- "0..1" AmountAndDirection14 : TotalHoldingsValueOfPage
TotalValueInPageAndStatement3 *-- "1..1" AmountAndDirection14 : TotalHoldingsValueOfStatement
TotalValueInPageAndStatement3 *-- "0..1" AmountAndDirection14 : TotalBookValueOfStatement
TotalValueInPageAndStatement3 *-- "0..1" AmountAndDirection14 : TotalEligibleCollateralValue
%% 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
}
%% AmountAndDirection14 recursion level 1 with max 1
class AmountAndDirection14{
    Amount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
  

TotalValueInPageAndStatement3 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesBalanceCustodyReport002V09 implementation follows a specific implementaiton pattern. First of all, SecuritiesBalanceCustodyReport002V09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesBalanceCustodyReport002V09Document implements IOuterDocument. Because SecuritiesBalanceCustodyReport002V09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesBalanceCustodyReport002V09.

classDiagram
    class IOuterRecord
    SecuritiesBalanceCustodyReport002V09 --|> IOuterRecord : Implements
    SecuritiesBalanceCustodyReport002V09Document --|> IOuterDocument~SecuritiesBalanceCustodyReport002V09~ : Implements
    class IOuterDocument~SecuritiesBalanceCustodyReport002V09~ {
        SecuritiesBalanceCustodyReport002V09 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesBalanceCustodyReport002V09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.002.002.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesBalanceCustodyReport002V09.ToDocument() method. The returned SecuritiesBalanceCustodyReport002V09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesBalanceCustodyReport002V09Document *-- SecuritiesBalanceCustodyReport002V09 : 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.002.002.09">
    <SctiesBalCtdyRpt>
        <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>
    </SctiesBalCtdyRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_5ePM05NLEeWGlc8L7oPDIg"
  nextVersions="_uLWKQ_fVEeiNZp_PtLohLw"
  name="SecuritiesBalanceCustodyReport002V09"
  definition="Scope&#xD;&#xA;An account servicer sends a SecuritiesBalanceCustodyReport to an account owner to provide, at a moment in time, the quantity and identification of the financial instruments that the account servicer holds for the account owner.&#xD;&#xA;&#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, or&#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, 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 can also include availability and the location of holdings to facilitate trading and minimise settlement issues. The message reports all information per financial instrument, that is, when a financial instrument is held at multiple places of safekeeping, the total holdings for all locations can be provided. &#xD;&#xA;The message should be sent at a frequency agreed bi-laterally between the account servicer and the account owner. The message may be provided on a trade date, contractual or settlement date basis. &#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;&#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="SctiesBalCtdyRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_5ePM1ZNLEeWGlc8L7oPDIg"
    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="_5ePM15NLEeWGlc8L7oPDIg"
    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="_5ePM2ZNLEeWGlc8L7oPDIg"
    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="_5ePM25NLEeWGlc8L7oPDIg"
    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="_5ePM3ZNLEeWGlc8L7oPDIg"
    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="_5ePM35NLEeWGlc8L7oPDIg"
    name="StatementGeneralDetails"
    definition="Provides general information on the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_5ePM85NLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5ePM4ZNLEeWGlc8L7oPDIg"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_S1zDAZjTEeW1SPbGMCLIOQ" />
  <messageBuildingBlock
    xmi:id="_5ePM45NLEeWGlc8L7oPDIg"
    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.&#xA;."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctSvcr"
    complexType="_fhqGEZjdEeWn2ur3BXxtdg" />
  <messageBuildingBlock
    xmi:id="_5ePM5ZNLEeWGlc8L7oPDIg"
    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="_5ePM55NLEeWGlc8L7oPDIg"
    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="_5ePM6ZNLEeWGlc8L7oPDIg"
    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="_5eQa85NLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5ePM65NLEeWGlc8L7oPDIg"
    name="SubAccountDetails"
    definition="Sub-account of the safekeeping or investment account."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SubAcctDtls"
    complexType="_5enAiZNLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_5ePM7ZNLEeWGlc8L7oPDIg"
    name="AccountBaseCurrencyTotalAmounts"
    definition="Total valuation amounts provided in the base currency of the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctBaseCcyTtlAmts"
    complexType="_XN02o9p-Ed-ak6NoX_4Aeg_1095060082" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="002"
    flavour="002"
    version="09" />
</messageDefinition>

ISO Building Blocks

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