SecuritiesSettlementTransactionAuditTrailReportV01

semt.022.001.01

Scope

This message is sent by the Market Infrastructure to the CSD to advise of the history of all the statuses, modifications, replacement and cancellation of a specific transaction during its whole life cycle when the instructing party is a direct participant to the Settlement Infrastructure.

Usage

The message may also be used to:

• re-send a message sent by the market infrastructure to the direct participant,

• provide a third party with a copy of a message being sent by the market infrastructure for information,

• re-send to a third party a copy of a message being sent by the market infrastructure for information using the relevant elements in the Business Application Header.

ISO 15022 - 20022 Coexistence This ISO 20022 message is reversed engineered from ISO 15022. Both standards will coexist for a certain number of years. Until this coexistence period ends, the usage of certain data types is restricted to ensure interoperability between ISO 15022 and 20022 users. Compliance to these rules is mandatory in a coexistence environment. The coexistence restrictions are described in a Textual Rule linked to the Message Items they concern. These coexistence textual rules are clearly identified as follows: “CoexistenceXxxxRule”.

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
%% SecuritiesSettlementTransactionAuditTrailReportV01 recursion level 0 with max 0
SecuritiesSettlementTransactionAuditTrailReportV01 *-- "1..1" Pagination : Pagination
SecuritiesSettlementTransactionAuditTrailReportV01 *-- "0..1" Identification1 : QueryReference
SecuritiesSettlementTransactionAuditTrailReportV01 *-- "0..1" TransactionIdentifications15 : TransactionIdentification
SecuritiesSettlementTransactionAuditTrailReportV01 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesSettlementTransactionAuditTrailReportV01 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesSettlementTransactionAuditTrailReportV01 *-- "0..1" StatusTrail2 : StatusTrail
  

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

QueryReference building block

Identification of the SecuritiesStatusQuery message sent to request this report. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Identification1 recursion level 0 with max 1
class Identification1{
    Identification IsoMax35Text
}
  

Identification1 members

TransactionIdentification building block

Provides unambiguous transaction identification information. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionIdentifications15 recursion level 0 with max 1
class TransactionIdentifications15{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
}
  

TransactionIdentifications15 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
%% SecuritiesAccount13 recursion level 0 with max 1
class SecuritiesAccount13{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount13 *-- "0..1" GenericIdentification20 : Type
%% GenericIdentification20 recursion level 1 with max 1
class GenericIdentification20{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}
  

SecuritiesAccount13 members

AccountOwner building block

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

classDiagram
   direction tb
%% IPartyIdentification36Choice recursion level 0 with max 1
  

PartyIdentification36Choice members

StatusTrail building block

Provides the history of status and reasons for a pending, posted or cancelled transaction. Provides the history of status and reasons for a pending, posted or cancelled transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% StatusTrail2 recursion level 0 with max 1
class StatusTrail2{
    StatusDate IsoISODateTime
    UserIdentification IsoMax35Text
}
StatusTrail2 *-- "0..1" OrganisationIdentification7 : SendingOrganisationIdentification
StatusTrail2 *-- "0..1" IProcessingStatus19Choice : ProcessingStatus
StatusTrail2 *-- "0..1" IMatchingStatus7Choice : InferredMatchingStatus
StatusTrail2 *-- "0..1" IMatchingStatus7Choice : MatchingStatus
StatusTrail2 *-- "0..1" ISettlementStatus7Choice : SettlementStatus
StatusTrail2 *-- "0..1" IModificationProcessingStatus2Choice : ModificationProcessingStatus
StatusTrail2 *-- "0..1" IProcessingStatus20Choice : CancellationStatus
StatusTrail2 *-- "0..1" ProprietaryReason1 : Settled
StatusTrail2 *-- "0..0" SupplementaryData1 : SupplementaryData
%% OrganisationIdentification7 recursion level 1 with max 1
class OrganisationIdentification7{
    AnyBIC IsoAnyBICIdentifier
}
OrganisationIdentification7 *-- "0..0" GenericOrganisationIdentification1 : Other
%% IProcessingStatus19Choice recursion level 1 with max 1
%% IMatchingStatus7Choice recursion level 1 with max 1
%% IMatchingStatus7Choice recursion level 1 with max 1
%% ISettlementStatus7Choice recursion level 1 with max 1
%% IModificationProcessingStatus2Choice recursion level 1 with max 1
%% IProcessingStatus20Choice recursion level 1 with max 1
%% ProprietaryReason1 recursion level 1 with max 1
class ProprietaryReason1{
    AdditionalReasonInformation IsoMax210Text
}
ProprietaryReason1 *-- "0..1" GenericIdentification20 : Reason
%% SupplementaryData1 recursion level 1 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
  

StatusTrail2 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesSettlementTransactionAuditTrailReportV01 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionAuditTrailReportV01 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionAuditTrailReportV01Document implements IOuterDocument. Because SecuritiesSettlementTransactionAuditTrailReportV01 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionAuditTrailReportV01.

classDiagram
    class IOuterRecord
    SecuritiesSettlementTransactionAuditTrailReportV01 --|> IOuterRecord : Implements
    SecuritiesSettlementTransactionAuditTrailReportV01Document --|> IOuterDocument~SecuritiesSettlementTransactionAuditTrailReportV01~ : Implements
    class IOuterDocument~SecuritiesSettlementTransactionAuditTrailReportV01~ {
        SecuritiesSettlementTransactionAuditTrailReportV01 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesSettlementTransactionAuditTrailReportV01Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.022.001.01’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionAuditTrailReportV01.ToDocument() method. The returned SecuritiesSettlementTransactionAuditTrailReportV01Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementTransactionAuditTrailReportV01Document *-- SecuritiesSettlementTransactionAuditTrailReportV01 : 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.022.001.01">
    <SctiesSttlmTxAudtTrlRpt>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <QryRef>
            <!-- QueryReference inner content -->
        </QryRef>
        <TxId>
            <!-- TransactionIdentification inner content -->
        </TxId>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <StsTrl>
            <!-- StatusTrail inner content -->
        </StsTrl>
    </SctiesSttlmTxAudtTrlRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_0aI3cwlIEeGATtfOBToyew_1127428925"
  nextVersions="_ZpI-IVXWEeSTstivKW60Lg"
  name="SecuritiesSettlementTransactionAuditTrailReportV01"
  definition="Scope&#xA;&#xA;This message is sent by the Market Infrastructure to the CSD to advise of the history of all the statuses, modifications, replacement and cancellation of a specific transaction during its whole life cycle when the instructing party is a direct participant to the Settlement Infrastructure.&#xA;&#xA;&#xA;Usage&#xA;&#xA;The message may also be used to: &#xA;&#xA;- re-send a message sent by the market infrastructure to the direct participant,&#xA;&#xA;- provide a third party with a copy of a message being sent by the market infrastructure for information,&#xA;&#xA;- re-send to a third party a copy of a message being sent by the market infrastructure for information&#xA;using the relevant elements in the Business Application Header.&#xA;&#xA;ISO 15022 - 20022 Coexistence&#xA;This ISO 20022 message is reversed engineered from ISO 15022. Both standards will coexist for a certain number of years. Until this coexistence period ends, the usage of certain data types is restricted to ensure interoperability between ISO 15022 and 20022 users. Compliance to these rules is mandatory in a coexistence environment. The coexistence restrictions are described in a Textual Rule linked to the Message Items they concern. These coexistence textual rules are clearly identified as follows: “CoexistenceXxxxRule”."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="SctiesSttlmTxAudtTrlRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_0abyYAlIEeGATtfOBToyew_76227955"
    nextVersions="_ZpI-I1XWEeSTstivKW60Lg"
    name="CoexistenceCharacterSetXRule"
    definition="During ISO 15022 – 20022 coexistence, characters used in all text fields must correspond to character set X, that is, a-z A-Z / - ? : ( ) . , ‘ + { } CR LF."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_0abyYwlIEeGATtfOBToyew_469932936"
    nextVersions="_ZpI-JVXWEeSTstivKW60Lg"
    name="CoexistenceIdentificationRule"
    definition="During ISO 15022 – 20022 coexistence, all transaction and document identifications or references must be 16 characters or less. The field must not start or end with a slash ‘/’ or contain two consecutive slashes ‘//’."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_0aI3dAlIEeGATtfOBToyew_770277104"
    nextVersions="_ZpI-J1XWEeSTstivKW60Lg"
    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="_0aI3dQlIEeGATtfOBToyew_-104102326"
    nextVersions="_ZpI-KVXWEeSTstivKW60Lg"
    name="QueryReference"
    definition="Identification of the SecuritiesStatusQuery message sent to request this report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="QryRef"
    complexType="_QtVlKtp-Ed-ak6NoX_4Aeg_-28410593" />
  <messageBuildingBlock
    xmi:id="_0aSBYAlIEeGATtfOBToyew_651650250"
    nextVersions="_ZpI-K1XWEeSTstivKW60Lg"
    name="TransactionIdentification"
    definition="Provides unambiguous transaction identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxId"
    complexType="_Jdoeof7xEeCvPoRGOxRobQ" />
  <messageBuildingBlock
    xmi:id="_0aSBYQlIEeGATtfOBToyew_-2138878469"
    nextVersions="_ZpI-LVXWEeSTstivKW60Lg"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_T_vKAdp-Ed-ak6NoX_4Aeg_-178975462" />
  <messageBuildingBlock
    xmi:id="_0aSBYglIEeGATtfOBToyew_1026373226"
    nextVersions="_ZpI-L1XWEeSTstivKW60Lg"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_qU9DBeaPEd-q8fx_Zl_34A" />
  <messageBuildingBlock
    xmi:id="_0aSBYwlIEeGATtfOBToyew_-65818240"
    nextVersions="_ZpI-MVXWEeSTstivKW60Lg"
    name="StatusTrail"
    definition=" Provides the history of status and reasons for a pending, posted or cancelled transaction."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="StsTrl"
    complexType="_0e6CsglIEeGATtfOBToyew_246812455" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="022"
    flavour="001"
    version="01" />
</messageDefinition>

ISO Building Blocks

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