Iso20022

SecuritiesTransactionPendingReport002V11

semt.018.002.11

Scope SecuritiesTransactionPendingReport is sent by an account servicer to an account owner to provide, as at a specified time, the details of pending increases and decreases of holdings, for all or selected securities in a specified safekeeping account, for all or selected reasons why the transaction is pending. The account servicer/owner relationship may be:

Usage The statement may also include future settlement or forward transactions which have become binding on the account owner. The message may also be used to:

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
%% SecuritiesTransactionPendingReport002V11 recursion level 0 with max 0
SecuritiesTransactionPendingReport002V11 *-- "1..1" Pagination1 : Pagination
SecuritiesTransactionPendingReport002V11 *-- "1..1" Statement70 : StatementGeneralDetails
SecuritiesTransactionPendingReport002V11 *-- "0..1" PartyIdentification156 : AccountOwner
SecuritiesTransactionPendingReport002V11 *-- "1..1" SecuritiesAccount30 : SafekeepingAccount
SecuritiesTransactionPendingReport002V11 *-- "0..1" StatusAndReason41 : Status
SecuritiesTransactionPendingReport002V11 *-- "0..1" Transaction112 : Transactions

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
%% Pagination1 recursion level 0 with max 1
class Pagination1{
    PageNumber IsoMax5NumericText
    LastPageIndicator IsoYesNoIndicator
}

Pagination1 members

Member name Description Data Type / Multiplicity
PageNumber Page number. IsoMax5NumericText - Required 1..1
LastPageIndicator Indicates the last page. IsoYesNoIndicator - Required 1..1

StatementGeneralDetails building block

Provides general information to the report. Characteristics of the statement. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement70 recursion level 0 with max 1
class Statement70{
    QueryReference IsoRestrictedFINXMax16Text
    StatementIdentification IsoRestrictedFINXMax16Text
    StatementStructure StatementStructure1Code
    ActivityIndicator IsoYesNoIndicator
}
Statement70 *-- "0..1" INumber3Choice : ReportNumber
Statement70 *-- "1..1" IDateAndDateTime2Choice : StatementDateTime
Statement70 *-- "0..1" IFrequency26Choice : Frequency
Statement70 *-- "0..1" IUpdateType16Choice : UpdateType
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTime2Choice recursion level 1 with max 1
%% IFrequency26Choice recursion level 1 with max 1
%% IUpdateType16Choice recursion level 1 with max 1

Statement70 members

Member name Description Data Type / Multiplicity
ReportNumber Sequential number of the report. INumber3Choice - Optional 0..1
QueryReference Identification of the statement query message sent to request this statement. IsoRestrictedFINXMax16Text - Optional 0..1
StatementIdentification Reference common to all pages of a statement. IsoRestrictedFINXMax16Text - Optional 0..1
StatementDateTime Date and time of the statement. IDateAndDateTime2Choice - Required 1..1
Frequency Frequency of the statement. IFrequency26Choice - Optional 0..1
UpdateType Indicates whether the statement is complete or contains changes only. IUpdateType16Choice - Optional 0..1
StatementStructure Specifies whether the statement is sorted by status or transaction. StatementStructure1Code - Required 1..1
ActivityIndicator Indicates whether there is activity or information update reported in the statement. IsoYesNoIndicator - Required 1..1

AccountOwner building block

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

classDiagram
   direction tb
%% PartyIdentification156 recursion level 0 with max 1
class PartyIdentification156{
    LEI IsoLEIIdentifier
}
PartyIdentification156 *-- "1..1" IPartyIdentification136Choice : Identification
%% IPartyIdentification136Choice recursion level 1 with max 1

PartyIdentification156 members

Member name Description Data Type / Multiplicity
Identification Unique identification of the party. IPartyIdentification136Choice - Required 1..1
LEI Legal entity identification as an alternate identification for a party. IsoLEIIdentifier - Optional 0..1

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
%% SecuritiesAccount30 recursion level 0 with max 1
class SecuritiesAccount30{
    Identification IsoRestrictedFINXMax35Text
    Name IsoMax70Text
}
SecuritiesAccount30 *-- "0..1" GenericIdentification47 : Type
%% GenericIdentification47 recursion level 1 with max 1
class GenericIdentification47{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax4AlphaNumericText
    SchemeName IsoMax4AlphaNumericText
}

SecuritiesAccount30 members

Member name Description Data Type / Multiplicity
Identification Unambiguous identification for the account between the account owner and the account servicer. IsoRestrictedFINXMax35Text - Required 1..1
Type Specifies the type of securities account. GenericIdentification47 - Optional 0..1
Name Description of the account. IsoMax70Text - Optional 0..1

Status building block

Status information. Status and reason of an instructed order. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% StatusAndReason41 recursion level 0 with max 1
StatusAndReason41 *-- "1..1" IStatus30Choice : StatusAndReason
StatusAndReason41 *-- "0..0" Transaction111 : Transaction
%% IStatus30Choice recursion level 1 with max 1
%% Transaction111 recursion level 1 with max 1
class Transaction111{
    AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
    AccountServicerTransactionIdentification IsoRestrictedFINXMax16Text
    MarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
    ProcessorTransactionIdentification IsoRestrictedFINXMax16Text
    TradeIdentification IsoRestrictedFINXMax52Text
    PoolIdentification IsoRestrictedFINXMax16Text
    CommonIdentification IsoRestrictedFINXMax16Text
    CorporateActionEventIdentification IsoRestrictedFINXMax16Text
    TripartyAgentServiceProviderCollateralTransactionIdentification IsoRestrictedFINXMax16Text
    ClientTripartyCollateralTransactionIdentification IsoRestrictedFINXMax16Text
    ClientCollateralInstructionIdentification IsoRestrictedFINXMax16Text
    TripartyAgentServiceProviderCollateralInstructionIdentification IsoRestrictedFINXMax16Text
}
Transaction111 *-- "0..1" TransactionDetails130 : TransactionDetails

StatusAndReason41 members

Member name Description Data Type / Multiplicity
StatusAndReason Status and reason for the transaction. IStatus30Choice - Required 1..1
Transaction Details of the transactions reported. Transaction111 - Unknown 0..0

Transactions building block

Details of the transactions reported. Specifies the details of the transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Transaction112 recursion level 0 with max 1
class Transaction112{
    AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
    AccountServicerTransactionIdentification IsoRestrictedFINXMax16Text
    MarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
    ProcessorTransactionIdentification IsoRestrictedFINXMax16Text
    TradeIdentification IsoRestrictedFINXMax52Text
    PoolIdentification IsoRestrictedFINXMax16Text
    CommonIdentification IsoRestrictedFINXMax16Text
    CorporateActionEventIdentification IsoRestrictedFINXMax16Text
    TripartyAgentServiceProviderCollateralTransactionIdentification IsoRestrictedFINXMax16Text
    ClientTripartyCollateralTransactionIdentification IsoRestrictedFINXMax16Text
    ClientCollateralInstructionIdentification IsoRestrictedFINXMax16Text
    TripartyAgentServiceProviderCollateralInstructionIdentification IsoRestrictedFINXMax16Text
}
Transaction112 *-- "0..1" TransactionDetails130 : TransactionDetails
Transaction112 *-- "0..0" IStatus30Choice : StatusAndReason
%% TransactionDetails130 recursion level 1 with max 1
class TransactionDetails130{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
    AcknowledgedStatusTimeStamp IsoISODateTime
    MatchedStatusTimeStamp IsoISODateTime
    TransactionAdditionalDetails IsoRestrictedFINXMax350Text
}
TransactionDetails130 *-- "1..1" ITransactionActivity4Choice : TransactionActivity
TransactionDetails130 *-- "0..1" ISettlementOrCorporateActionEvent32Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails130 *-- "0..1" SettlementDetails161 : SettlementParameters
TransactionDetails130 *-- "0..1" PlaceOfTradeIdentification2 : PlaceOfTrade
TransactionDetails130 *-- "0..1" SafeKeepingPlace4 : SafekeepingPlace
TransactionDetails130 *-- "0..1" PlaceOfClearingIdentification2 : PlaceOfClearing
TransactionDetails130 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
TransactionDetails130 *-- "1..1" IQuantity10Choice : PostingQuantity
TransactionDetails130 *-- "0..1" AmountAndDirection67 : PostingAmount
TransactionDetails130 *-- "0..1" ITradeDate9Choice : TradeDate
TransactionDetails130 *-- "0..1" IDateAndDateTime2Choice : ExpectedSettlementDate
TransactionDetails130 *-- "1..1" ISettlementDate32Choice : SettlementDate
TransactionDetails130 *-- "0..1" IDateAndDateTime2Choice : LateDeliveryDate
TransactionDetails130 *-- "0..1" IDateAndDateTime2Choice : ExpectedValueDate
TransactionDetails130 *-- "0..1" SettlementParties90 : DeliveringSettlementParties
TransactionDetails130 *-- "0..1" SettlementParties90 : ReceivingSettlementParties
TransactionDetails130 *-- "0..0" SupplementaryData1 : SupplementaryData
%% IStatus30Choice recursion level 1 with max 1

Transaction112 members

Member name Description Data Type / Multiplicity
AccountOwnerTransactionIdentification Unambiguous identification of the transaction as known by the account owner (or the instructing party managing the account). IsoRestrictedFINXMax16Text - Required 1..1
AccountServicerTransactionIdentification Unambiguous identification of the transaction as known by the account servicer. IsoRestrictedFINXMax16Text - Optional 0..1
MarketInfrastructureTransactionIdentification Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. IsoRestrictedFINXMax16Text - Optional 0..1
ProcessorTransactionIdentification Identification of the transaction assigned by the processor of the instruction other than the account owner, the account servicer and the market infrastructure. IsoRestrictedFINXMax16Text - Optional 0..1
TradeIdentification Reference assigned to the trade by the investor or the trading party. This reference will be used throughout the trade life cycle to access/update the trade details. IsoRestrictedFINXMax52Text - Unknown 0..0
PoolIdentification Collective reference identifying a set of messages. IsoRestrictedFINXMax16Text - Optional 0..1
CommonIdentification Unique reference agreed upon by the two trade counterparties to identify the trade. IsoRestrictedFINXMax16Text - Optional 0..1
CorporateActionEventIdentification Identification assigned by the account servicer to unambiguously identify a corporate action event. IsoRestrictedFINXMax16Text - Optional 0..1
TripartyAgentServiceProviderCollateralTransactionIdentification Unique identification identifying the triparty collateral management transaction from the triparty-agent’s/service-provider’s point of view. IsoRestrictedFINXMax16Text - Optional 0..1
ClientTripartyCollateralTransactionIdentification Unique reference identifying the triparty collateral management transaction from the client’s point of view. IsoRestrictedFINXMax16Text - Optional 0..1
ClientCollateralInstructionIdentification Unique identification assigned to the instruction by the client. IsoRestrictedFINXMax16Text - Optional 0..1
TripartyAgentServiceProviderCollateralInstructionIdentification Unique identification assigned to the instruction by the triparty-agent/service-provider. IsoRestrictedFINXMax16Text - Optional 0..1
TransactionDetails Identifies the details of the transaction. TransactionDetails130 - Optional 0..1
StatusAndReason Status and reason for the transaction. IStatus30Choice - Unknown 0..0

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReport002V11 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReport002V11 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReport002V11Document implements IOuterDocument. Because SecuritiesTransactionPendingReport002V11 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReport002V11.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPendingReport002V11 --|> IOuterRecord : Implements
    SecuritiesTransactionPendingReport002V11Document --|> IOuterDocument~SecuritiesTransactionPendingReport002V11~ : Implements
    class IOuterDocument~SecuritiesTransactionPendingReport002V11~ {
        SecuritiesTransactionPendingReport002V11 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesTransactionPendingReport002V11Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.002.11’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReport002V11.ToDocument() method. The returned SecuritiesTransactionPendingReport002V11Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPendingReport002V11Document *-- SecuritiesTransactionPendingReport002V11 : 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.018.002.11">
    <SctiesTxPdgRpt>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <StmtGnlDtls>
            <!-- StatementGeneralDetails inner content -->
        </StmtGnlDtls>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <Sts>
            <!-- Status inner content -->
        </Sts>
        <Txs>
            <!-- Transactions inner content -->
        </Txs>
    </SctiesTxPdgRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_ipRfQwVVEeqjd8n6wD9JVw"
  nextVersions="_waVeAyAeEeuyDZ-ukt4YRg"
  previousVersion="_iE4K4_fZEeiNZp_PtLohLw"
  name="SecuritiesTransactionPendingReport002V11"
  definition="Scope&#xD;&#xA;SecuritiesTransactionPendingReport  is sent by an account servicer to an account owner to provide, as at a specified time, the details of pending increases and decreases of holdings, for all or selected securities in a specified safekeeping account, for all or selected reasons why the transaction is pending. &#xD;&#xA;The account servicer/owner relationship may be:&#xD;&#xA;- a central securities depository or another settlement market infrastructure acting on behalf of its participants&#xD;&#xA;- an agent (sub-custodian) acting on behalf of its global custodian customer, or &#xD;&#xA;- a custodian acting on behalf of an investment management institution or a broker/dealer.&#xD;&#xA;&#xD;&#xA;Usage&#xD;&#xA;The statement may also include future settlement or forward transactions which have become binding on the account owner.&#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 using the relevant elements in the Business Application Header."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="SctiesTxPdgRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_ipRfRQVVEeqjd8n6wD9JVw"
    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" />
  <messageBuildingBlock
    xmi:id="_ipRfSgVVEeqjd8n6wD9JVw"
    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="_xhMHQa6XEees_ufOy2ci-g" />
  <messageBuildingBlock
    xmi:id="_ipRfTAVVEeqjd8n6wD9JVw"
    name="StatementGeneralDetails"
    definition="Provides general information to the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_7k4Jh832Eee5nJBZsW8MFQ" />
  <messageBuildingBlock
    xmi:id="_ipRfTgVVEeqjd8n6wD9JVw"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_Z0x6o_fVEeiNZp_PtLohLw" />
  <messageBuildingBlock
    xmi:id="_ipRfUAVVEeqjd8n6wD9JVw"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_5SG1s5NLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_ipRfUgVVEeqjd8n6wD9JVw"
    name="Status"
    definition="Status information."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Sts"
    complexType="_ipRgQAVVEeqjd8n6wD9JVw" />
  <messageBuildingBlock
    xmi:id="_ipRfVAVVEeqjd8n6wD9JVw"
    name="Transactions"
    definition="Details of the transactions reported."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Txs"
    complexType="_ipRwjAVVEeqjd8n6wD9JVw" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="018"
    flavour="002"
    version="11" />
</messageDefinition>

ISO Building Blocks

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