SecuritiesBalanceCustodyReportV09

semt.002.001.09

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
%% SecuritiesBalanceCustodyReportV09 recursion level 0 with max 0
SecuritiesBalanceCustodyReportV09 *-- "1..1" Pagination : Pagination
SecuritiesBalanceCustodyReportV09 *-- "1..1" Statement45 : StatementGeneralDetails
SecuritiesBalanceCustodyReportV09 *-- "0..1" PartyIdentification98 : AccountOwner
SecuritiesBalanceCustodyReportV09 *-- "0..1" PartyIdentification100 : AccountServicer
SecuritiesBalanceCustodyReportV09 *-- "1..1" SecuritiesAccount26 : SafekeepingAccount
SecuritiesBalanceCustodyReportV09 *-- "0..10" Intermediary32 : IntermediaryInformation
SecuritiesBalanceCustodyReportV09 *-- "0..1" AggregateBalanceInformation30 : BalanceForAccount
SecuritiesBalanceCustodyReportV09 *-- "0..1" SubAccountIdentification42 : SubAccountDetails
SecuritiesBalanceCustodyReportV09 *-- "0..1" TotalValueInPageAndStatement1 : 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
%% Statement45 recursion level 0 with max 1
class Statement45{
    QueryReference IsoMax35Text
    StatementIdentification IsoMax35Text
    ActivityIndicator IsoYesNoIndicator
    SubAccountIndicator IsoYesNoIndicator
}
Statement45 *-- "0..1" INumber3Choice : ReportNumber
Statement45 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement45 *-- "1..1" IFrequency22Choice : Frequency
Statement45 *-- "1..1" IUpdateType15Choice : UpdateType
Statement45 *-- "1..1" IStatementBasis7Choice : StatementBasis
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency22Choice recursion level 1 with max 1
%% IUpdateType15Choice recursion level 1 with max 1
%% IStatementBasis7Choice recursion level 1 with max 1
  

Statement45 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
%% AggregateBalanceInformation30 recursion level 0 with max 1
class AggregateBalanceInformation30{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoMax350Text
}
AggregateBalanceInformation30 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
AggregateBalanceInformation30 *-- "0..1" FinancialInstrumentAttributes64 : FinancialInstrumentAttributes
AggregateBalanceInformation30 *-- "0..1" FinancialInstrument21 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation30 *-- "0..1" BasicCollateralValuation1Details : ValuationHaircutDetails
AggregateBalanceInformation30 *-- "1..1" Balance6 : AggregateBalance
AggregateBalanceInformation30 *-- "0..1" Balance8 : AvailableBalance
AggregateBalanceInformation30 *-- "0..1" IBalanceQuantity8Choice : NotAvailableBalance
AggregateBalanceInformation30 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
AggregateBalanceInformation30 *-- "0..0" PriceInformation12 : PriceDetails
AggregateBalanceInformation30 *-- "0..0" ForeignExchangeTerms22 : ForeignExchangeDetails
AggregateBalanceInformation30 *-- "0..1" BalanceAmounts3 : AccountBaseCurrencyAmounts
AggregateBalanceInformation30 *-- "0..1" BalanceAmounts3 : InstrumentCurrencyAmounts
AggregateBalanceInformation30 *-- "0..0" QuantityBreakdown27 : QuantityBreakdown
AggregateBalanceInformation30 *-- "0..0" SubBalanceInformation15 : BalanceBreakdown
AggregateBalanceInformation30 *-- "0..0" AdditionalBalanceInformation15 : AdditionalBalanceBreakdown
AggregateBalanceInformation30 *-- "0..0" AggregateBalancePerSafekeepingPlace28 : BalanceAtSafekeepingPlace
AggregateBalanceInformation30 *-- "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
}
%% BasicCollateralValuation1Details recursion level 1 with max 1
class BasicCollateralValuation1Details{
    ValuationHaircut IsoPercentageRate
}
BasicCollateralValuation1Details *-- "0..1" PartyIdentification15 : HaircutSource
%% Balance6 recursion level 1 with max 1
class Balance6{
    ShortLongIndicator ShortLong1Code
}
Balance6 *-- "1..1" IBalanceQuantity9Choice : Quantity
%% Balance8 recursion level 1 with max 1
class Balance8{
    ShortLongIndicator ShortLong1Code
}
Balance8 *-- "1..1" IBalanceQuantity8Choice : Quantity
%% IBalanceQuantity8Choice recursion level 1 with max 1
%% 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
%% BalanceAmounts3 recursion level 1 with max 1
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : HoldingValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : PreviousHoldingValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : BookValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : EligibleCollateralValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : AccruedInterestAmount
%% BalanceAmounts3 recursion level 1 with max 1
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : HoldingValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : PreviousHoldingValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : BookValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : EligibleCollateralValue
BalanceAmounts3 *-- "0..1" AmountAndDirection6 : AccruedInterestAmount
%% QuantityBreakdown27 recursion level 1 with max 1
QuantityBreakdown27 *-- "0..1" GenericIdentification37 : LotNumber
QuantityBreakdown27 *-- "0..1" Balance7 : LotQuantity
QuantityBreakdown27 *-- "0..1" IDateAndDateTimeChoice : LotDateTime
QuantityBreakdown27 *-- "0..1" Price2 : LotPrice
QuantityBreakdown27 *-- "0..1" ITypeOfPrice29Choice : TypeOfPrice
%% SubBalanceInformation15 recursion level 1 with max 1
class SubBalanceInformation15{
    SubBalanceAdditionalDetails IsoMax140Text
}
SubBalanceInformation15 *-- "1..1" ISubBalanceType11Choice : SubBalanceType
SubBalanceInformation15 *-- "1..1" Balance9 : Quantity
SubBalanceInformation15 *-- "0..0" QuantityBreakdown27 : QuantityBreakdown
SubBalanceInformation15 *-- "0..0" AdditionalBalanceInformation15 : AdditionalBalanceBreakdownDetails
%% AdditionalBalanceInformation15 recursion level 1 with max 1
class AdditionalBalanceInformation15{
    SubBalanceAdditionalDetails IsoMax140Text
}
AdditionalBalanceInformation15 *-- "1..1" ISubBalanceType12Choice : SubBalanceType
AdditionalBalanceInformation15 *-- "1..1" Balance9 : Quantity
AdditionalBalanceInformation15 *-- "0..0" QuantityBreakdown27 : QuantityBreakdown
%% AggregateBalancePerSafekeepingPlace28 recursion level 1 with max 1
class AggregateBalancePerSafekeepingPlace28{
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoMax350Text
}
AggregateBalancePerSafekeepingPlace28 *-- "1..1" SafeKeepingPlace1 : SafekeepingPlace
AggregateBalancePerSafekeepingPlace28 *-- "0..1" IMarketIdentification3Choice : PlaceOfListing
AggregateBalancePerSafekeepingPlace28 *-- "0..1" Pledgee1 : Pledgee
AggregateBalancePerSafekeepingPlace28 *-- "1..1" Balance6 : AggregateBalance
AggregateBalancePerSafekeepingPlace28 *-- "0..1" Balance8 : AvailableBalance
AggregateBalancePerSafekeepingPlace28 *-- "0..1" IBalanceQuantity8Choice : NotAvailableBalance
AggregateBalancePerSafekeepingPlace28 *-- "0..0" PriceInformation12 : PriceDetails
AggregateBalancePerSafekeepingPlace28 *-- "0..0" ForeignExchangeTerms22 : ForeignExchangeDetails
AggregateBalancePerSafekeepingPlace28 *-- "0..1" BalanceAmounts3 : AccountBaseCurrencyAmounts
AggregateBalancePerSafekeepingPlace28 *-- "0..1" BalanceAmounts3 : InstrumentCurrencyAmounts
AggregateBalancePerSafekeepingPlace28 *-- "0..0" QuantityBreakdown27 : QuantityBreakdown
AggregateBalancePerSafekeepingPlace28 *-- "0..1" IExposureType16Choice : ExposureType
AggregateBalancePerSafekeepingPlace28 *-- "0..0" SubBalanceInformation15 : BalanceBreakdown
AggregateBalancePerSafekeepingPlace28 *-- "0..0" AdditionalBalanceInformation15 : AdditionalBalanceBreakdown
%% SupplementaryData1 recursion level 1 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
  

AggregateBalanceInformation30 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
%% SubAccountIdentification42 recursion level 0 with max 1
class SubAccountIdentification42{
    ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification42 *-- "0..1" PartyIdentification98 : AccountOwner
SubAccountIdentification42 *-- "1..1" SecuritiesAccount25 : SafekeepingAccount
SubAccountIdentification42 *-- "0..0" AggregateBalanceInformation30 : 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
%% AggregateBalanceInformation30 recursion level 1 with max 1
class AggregateBalanceInformation30{
    CorporateActionOptionType CorporateActionOption5Code
    DaysAccrued IsoNumber
    HoldingAdditionalDetails IsoMax350Text
}
AggregateBalanceInformation30 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
AggregateBalanceInformation30 *-- "0..1" FinancialInstrumentAttributes64 : FinancialInstrumentAttributes
AggregateBalanceInformation30 *-- "0..1" FinancialInstrument21 : InvestmentFundsFinancialInstrumentAttributes
AggregateBalanceInformation30 *-- "0..1" BasicCollateralValuation1Details : ValuationHaircutDetails
AggregateBalanceInformation30 *-- "1..1" Balance6 : AggregateBalance
AggregateBalanceInformation30 *-- "0..1" Balance8 : AvailableBalance
AggregateBalanceInformation30 *-- "0..1" IBalanceQuantity8Choice : NotAvailableBalance
AggregateBalanceInformation30 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
AggregateBalanceInformation30 *-- "0..0" PriceInformation12 : PriceDetails
AggregateBalanceInformation30 *-- "0..0" ForeignExchangeTerms22 : ForeignExchangeDetails
AggregateBalanceInformation30 *-- "0..1" BalanceAmounts3 : AccountBaseCurrencyAmounts
AggregateBalanceInformation30 *-- "0..1" BalanceAmounts3 : InstrumentCurrencyAmounts
AggregateBalanceInformation30 *-- "0..0" QuantityBreakdown27 : QuantityBreakdown
AggregateBalanceInformation30 *-- "0..0" SubBalanceInformation15 : BalanceBreakdown
AggregateBalanceInformation30 *-- "0..0" AdditionalBalanceInformation15 : AdditionalBalanceBreakdown
AggregateBalanceInformation30 *-- "0..0" AggregateBalancePerSafekeepingPlace28 : BalanceAtSafekeepingPlace
AggregateBalanceInformation30 *-- "0..0" SupplementaryData1 : SupplementaryData
  

SubAccountIdentification42 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
%% TotalValueInPageAndStatement1 recursion level 0 with max 1
TotalValueInPageAndStatement1 *-- "0..1" AmountAndDirection6 : TotalHoldingsValueOfPage
TotalValueInPageAndStatement1 *-- "1..1" AmountAndDirection6 : TotalHoldingsValueOfStatement
TotalValueInPageAndStatement1 *-- "0..1" AmountAndDirection6 : TotalBookValueOfStatement
TotalValueInPageAndStatement1 *-- "0..1" AmountAndDirection6 : TotalEligibleCollateralValue
%% 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
}
%% AmountAndDirection6 recursion level 1 with max 1
class AmountAndDirection6{
    Amount IsoActiveOrHistoricCurrencyAndAmount
    Sign IsoPlusOrMinusIndicator
}
  

TotalValueInPageAndStatement1 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesBalanceCustodyReportV09 implementation follows a specific implementaiton pattern. First of all, SecuritiesBalanceCustodyReportV09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesBalanceCustodyReportV09Document implements IOuterDocument. Because SecuritiesBalanceCustodyReportV09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesBalanceCustodyReportV09.

classDiagram
    class IOuterRecord
    SecuritiesBalanceCustodyReportV09 --|> IOuterRecord : Implements
    SecuritiesBalanceCustodyReportV09Document --|> IOuterDocument~SecuritiesBalanceCustodyReportV09~ : Implements
    class IOuterDocument~SecuritiesBalanceCustodyReportV09~ {
        SecuritiesBalanceCustodyReportV09 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesBalanceCustodyReportV09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.002.001.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesBalanceCustodyReportV09.ToDocument() method. The returned SecuritiesBalanceCustodyReportV09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesBalanceCustodyReportV09Document *-- SecuritiesBalanceCustodyReportV09 : 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.002.001.09">
    <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="_YSMWRQCTEeW_3KiG8SEjHA"
  nextVersions="_cO51odB_EeiO-eodGv5iKQ"
  previousVersion="_FYQ9oU3NEeS1yPC0JC-FvQ"
  name="SecuritiesBalanceCustodyReportV09"
  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="_YSMWRwCTEeW_3KiG8SEjHA"
    nextVersions="_cO51o9B_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9o03NEeS1yPC0JC-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="_YSMWSQCTEeW_3KiG8SEjHA"
    nextVersions="_cO51pdB_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9pU3NEeS1yPC0JC-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="_YSMWTwCTEeW_3KiG8SEjHA"
    nextVersions="_cO51p9B_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9q03NEeS1yPC0JC-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="_YSMWUQCTEeW_3KiG8SEjHA"
    nextVersions="_cO51qdB_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9rU3NEeS1yPC0JC-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="_YSMWUwCTEeW_3KiG8SEjHA"
    nextVersions="_cO51q9B_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9r03NEeS1yPC0JC-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="_YSMWVQCTEeW_3KiG8SEjHA"
    nextVersions="_cO51rdB_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9sU3NEeS1yPC0JC-FvQ"
    name="StatementGeneralDetails"
    definition="Provides general information on the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_Xt8p1zeQEeWm5uvLSn0jEw" />
  <messageBuildingBlock
    xmi:id="_YSMWVwCTEeW_3KiG8SEjHA"
    nextVersions="_cO51r9B_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9s03NEeS1yPC0JC-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="_YSMWWQCTEeW_3KiG8SEjHA"
    nextVersions="_cO51sdB_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9tU3NEeS1yPC0JC-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.&#xA;."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctSvcr"
    complexType="_QgqFw2wfEeWLq_lbZ2Mhyw" />
  <messageBuildingBlock
    xmi:id="_YSMWWwCTEeW_3KiG8SEjHA"
    nextVersions="_cO51s9B_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9t03NEeS1yPC0JC-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="_YSMWXQCTEeW_3KiG8SEjHA"
    nextVersions="_cO51tdB_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9uU3NEeS1yPC0JC-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="_YSMWXwCTEeW_3KiG8SEjHA"
    nextVersions="_cO51t9B_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9u03NEeS1yPC0JC-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="_EEcGGR5dEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_YSMWYQCTEeW_3KiG8SEjHA"
    nextVersions="_cO51udB_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9vU3NEeS1yPC0JC-FvQ"
    name="SubAccountDetails"
    definition="Sub-account of the safekeeping or investment account."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SubAcctDtls"
    complexType="_DlfgOR5dEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_YSMWYwCTEeW_3KiG8SEjHA"
    nextVersions="_cO51u9B_EeiO-eodGv5iKQ"
    previousVersion="_FYQ9v03NEeS1yPC0JC-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="_ReNoe9p-Ed-ak6NoX_4Aeg_939590328" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="002"
    flavour="001"
    version="09" />
</messageDefinition>

ISO Building Blocks

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