Iso20022

SecuritiesStatementQueryV03

semt.021.001.03

Scope An account owner sends a SecuritiesStatementQuery to an account servicer to request any existing securities statement. The account owner/servicer relationship may be:

Usage The message may also be used to:

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
%% SecuritiesStatementQueryV03 recursion level 0 with max 0
SecuritiesStatementQueryV03 *-- "1..1" DocumentNumber1 : StatementRequested
SecuritiesStatementQueryV03 *-- "0..1" Statement16 : StatementGeneralDetails
SecuritiesStatementQueryV03 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesStatementQueryV03 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesStatementQueryV03 *-- "0..1" AdditionalQueryParameters5 : AdditionalQueryParameters
SecuritiesStatementQueryV03 *-- "0..1" SupplementaryData1 : SupplementaryData

Now, we will zero-in one-by-one on each of these building blocks.

StatementRequested building block

Description of the statement requested. Identification of a document. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentNumber1 recursion level 0 with max 1
DocumentNumber1 *-- "1..1" IDocumentNumber1Choice : Number
%% IDocumentNumber1Choice recursion level 1 with max 1

DocumentNumber1 members

Member name Description Data Type / Multiplicity
Number Number used to identify a message or document. IDocumentNumber1Choice - Required 1..1

StatementGeneralDetails building block

General information related to report. Characteristics of the statement. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement16 recursion level 0 with max 1
Statement16 *-- "0..1" IDateAndPeriod1Choice : StatementDateOrPeriod
Statement16 *-- "0..1" IFrequency4Choice : Frequency
Statement16 *-- "0..1" IUpdateType2Choice : UpdateType
Statement16 *-- "0..1" IStatementBasis3Choice : StatementBasis
Statement16 *-- "0..1" IStatementType2Choice : StatementType
%% IDateAndPeriod1Choice recursion level 1 with max 1
%% IFrequency4Choice recursion level 1 with max 1
%% IUpdateType2Choice recursion level 1 with max 1
%% IStatementBasis3Choice recursion level 1 with max 1
%% IStatementType2Choice recursion level 1 with max 1

Statement16 members

Member name Description Data Type / Multiplicity
StatementDateOrPeriod Date or period of the statement. IDateAndPeriod1Choice - Optional 0..1
Frequency Frequency of the statement. IFrequency4Choice - Optional 0..1
UpdateType Indicates whether the statement is complete or contains changes only. IUpdateType2Choice - Optional 0..1
StatementBasis Type of balance on which the statement is prepared. IStatementBasis3Choice - Optional 0..1
StatementType Type of balance on which the statement is prepared. IStatementType2Choice - Optional 0..1

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

Member name Description Data Type / Multiplicity

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

Member name Description Data Type / Multiplicity
Identification Unambiguous identification for the account between the account owner and the account servicer.”. IsoMax35Text - Required 1..1
Type Specifies the type of securities account. GenericIdentification20 - Optional 0..1
Name Description of the account. IsoMax70Text - Optional 0..1

AdditionalQueryParameters building block

Additional specific query criteria. Additional specific query criteria. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalQueryParameters5 recursion level 0 with max 1
AdditionalQueryParameters5 *-- "0..1" IStatus8Choice : Status
AdditionalQueryParameters5 *-- "0..0" IReason7Choice : Reason
AdditionalQueryParameters5 *-- "0..0" SecurityIdentification14 : FinancialInstrumentIdentification
%% IStatus8Choice recursion level 1 with max 1
%% IReason7Choice recursion level 1 with max 1
%% SecurityIdentification14 recursion level 1 with max 1
class SecurityIdentification14{
    ISIN IsoISINIdentifier
    Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification

AdditionalQueryParameters5 members

Member name Description Data Type / Multiplicity
Status Request to obtain a Securities Transaction Pending Report for transactions with the specified status. IStatus8Choice - Optional 0..1
Reason Request to obtain a Securities Transaction Pending Report for transactions with the specified status reason. IReason7Choice - Unknown 0..0
FinancialInstrumentIdentification Financial instruments representing a sum of rights of the investor vis-a-vis the issuer. SecurityIdentification14 - Unknown 0..0

SupplementaryData building block

Additional information that cannot be captured in the structured elements and/or any other specific block. Additional information that can not be captured in the structured fields and/or any other specific block. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SupplementaryData1 recursion level 0 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
%% IsoSupplementaryDataEnvelope1 recursion level 1 with max 1

SupplementaryData1 members

Member name Description Data Type / Multiplicity
PlaceAndName Unambiguous reference to the location where the supplementary data must be inserted in the message instance. In the case of XML, this is expressed by a valid XPath. IsoMax350Text - Optional 0..1
Envelope Technical element wrapping the supplementary data. IsoSupplementaryDataEnvelope1 - Required 1..1

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesStatementQueryV03 implementation follows a specific implementaiton pattern. First of all, SecuritiesStatementQueryV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesStatementQueryV03Document implements IOuterDocument. Because SecuritiesStatementQueryV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesStatementQueryV03.

classDiagram
    class IOuterRecord
    SecuritiesStatementQueryV03 --|> IOuterRecord : Implements
    SecuritiesStatementQueryV03Document --|> IOuterDocument~SecuritiesStatementQueryV03~ : Implements
    class IOuterDocument~SecuritiesStatementQueryV03~ {
        SecuritiesStatementQueryV03 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesStatementQueryV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.021.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesStatementQueryV03.ToDocument() method. The returned SecuritiesStatementQueryV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesStatementQueryV03Document *-- SecuritiesStatementQueryV03 : 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.021.001.03">
    <SctiesStmtQry>
        <StmtReqd>
            <!-- StatementRequested inner content -->
        </StmtReqd>
        <StmtGnlDtls>
            <!-- StatementGeneralDetails inner content -->
        </StmtGnlDtls>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <AddtlQryParams>
            <!-- AdditionalQueryParameters inner content -->
        </AddtlQryParams>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesStmtQry>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_t8xnYfvfEeCBQp5TnX1XKQ"
  nextVersions="_XeMq0SRMEeON6sEIseGaUg"
  previousVersion="_Cj8xEdtZEd-RF5yaMAVhAw"
  name="SecuritiesStatementQueryV03"
  definition="Scope&#xA;An account owner sends a SecuritiesStatementQuery to an account servicer to request any existing securities statement.&#xA;The account owner/servicer relationship may be:&#xA;- a global custodian which has an account with a local custodian, or&#xA;- an investment management institution which manage a fund account opened at a custodian, or&#xA;- a broker which has an account with a custodian, or&#xA;- a central securities depository participant which has an account with a central securities depository, or&#xA;- a central securities depository which has an account with a custodian, another central securities depository or another settlement market infrastructure, or&#xA;- a central counterparty or a stock exchange or a trade matching utility which need to instruct to a central securities depository or another settlement market infrastructure.&#xA;&#xA;Usage&#xA;The message may also be used to:&#xA;- re-send a message previously sent,&#xA;- provide a third party with a copy of a message for information,&#xA;- re-send to a third party a copy of a message 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="SctiesStmtQry"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_t8xnZfvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq0yRMEeON6sEIseGaUg"
    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="_t8xnafvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq1SRMEeON6sEIseGaUg"
    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="_t8xnbfvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq1yRMEeON6sEIseGaUg"
    name="StatementRequested"
    definition="Description of the statement requested."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtReqd"
    complexType="_Tg5R5dp-Ed-ak6NoX_4Aeg_-1445653769" />
  <messageBuildingBlock
    xmi:id="_t8xncfvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq2SRMEeON6sEIseGaUg"
    name="StatementGeneralDetails"
    definition="General information related to report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="StmtGnlDtls"
    complexType="_QqzOgNp-Ed-ak6NoX_4Aeg_1086698428" />
  <messageBuildingBlock
    xmi:id="_t8xndfvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq2yRMEeON6sEIseGaUg"
    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="_t8xnefvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq3SRMEeON6sEIseGaUg"
    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="_t8xnffvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq3yRMEeON6sEIseGaUg"
    name="AdditionalQueryParameters"
    definition="Additional specific query criteria."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="AddtlQryParams"
    complexType="_E2DtEf4hEeCH9dkaY_DhYw" />
  <messageBuildingBlock
    xmi:id="_t8xngfvfEeCBQp5TnX1XKQ"
    nextVersions="_XeMq4SRMEeON6sEIseGaUg"
    name="SupplementaryData"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SplmtryData"
    complexType="_Qn0zC9p-Ed-ak6NoX_4Aeg_468227563" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="021"
    flavour="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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