Iso20022

SecuritiesTransactionPendingReportV01

semt.018.001.01

Scope An account servicer sends a SecuritiesTransactionPendingReport 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:

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
%% SecuritiesTransactionPendingReportV01 recursion level 0 with max 0
SecuritiesTransactionPendingReportV01 *-- "1..1" DocumentIdentification11 : Identification
SecuritiesTransactionPendingReportV01 *-- "1..1" Pagination : Pagination
SecuritiesTransactionPendingReportV01 *-- "1..1" Statement14 : StatementGeneralDetails
SecuritiesTransactionPendingReportV01 *-- "0..1" IPartyIdentification13Choice : AccountOwner
SecuritiesTransactionPendingReportV01 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesTransactionPendingReportV01 *-- "0..1" StatusAndReason1 : Status
SecuritiesTransactionPendingReportV01 *-- "0..1" Transaction8 : Transactions
SecuritiesTransactionPendingReportV01 *-- "0..1" IPartyIdentification10Choice : MessageOriginator
SecuritiesTransactionPendingReportV01 *-- "0..1" IPartyIdentification10Choice : MessageRecipient

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

Identification building block

Information that uniquely identifies the SecuritiesTransactionPendingReport message as known by the account servicer. When the report has multiple pages, one message equals one page. Therefore, Identification uniquely identifies the page. Identification and creation date of a document. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentIdentification11 recursion level 0 with max 1
class DocumentIdentification11{
    Identification IsoMax35Text
    CopyDuplicate CopyDuplicate1Code
}
DocumentIdentification11 *-- "0..1" IDateAndDateTimeChoice : CreationDateTime
%% IDateAndDateTimeChoice recursion level 1 with max 1

DocumentIdentification11 members

Member name Description Data Type / Multiplicity
Identification Unique identifier of the document (message) assigned by the sender of the document. IsoMax35Text - Required 1..1
CreationDateTime Date and time at which the document (message) was created by the sender. IDateAndDateTimeChoice - Optional 0..1
CopyDuplicate Specifies if this document is a copy, a duplicate, or a duplicate of a copy. CopyDuplicate1Code - Optional 0..1

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

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 on the report. Characteristics of the statement. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement14 recursion level 0 with max 1
class Statement14{
    QueryReference IsoMax35Text
    StatementIdentification IsoMax35Text
    StatementStructure StatementStructure1Code
    ActivityIndicator IsoYesNoIndicator
}
Statement14 *-- "0..1" INumber3Choice : ReportNumber
Statement14 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement14 *-- "0..1" IFrequency4Choice : Frequency
Statement14 *-- "0..1" IUpdateType2Choice : UpdateType
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency4Choice recursion level 1 with max 1
%% IUpdateType2Choice recursion level 1 with max 1

Statement14 members

Member name Description Data Type / Multiplicity
ReportNumber Sequential number of the report. INumber3Choice - Optional 0..1
QueryReference Identification of the SecuritiesStatementQuery message sent to request this statement. IsoMax35Text - Optional 0..1
StatementIdentification Reference common to all pages of a statement. IsoMax35Text - Optional 0..1
StatementDateTime Date and time of the statement. IDateAndDateTimeChoice - Required 1..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
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. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification13Choice recursion level 0 with max 1

PartyIdentification13Choice 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

Status building block

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

classDiagram
   direction tb
%% StatusAndReason1 recursion level 0 with max 1
StatusAndReason1 *-- "1..1" IStatus2Choice : StatusAndReason
StatusAndReason1 *-- "0..0" Transaction7 : Transaction
%% IStatus2Choice recursion level 1 with max 1
%% Transaction7 recursion level 1 with max 1
class Transaction7{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
}
Transaction7 *-- "0..1" TransactionDetails7 : TransactionDetails

StatusAndReason1 members

Member name Description Data Type / Multiplicity
StatusAndReason Status and reason for the transaction. IStatus2Choice - Required 1..1
Transaction Details of the transactions reported. Transaction7 - Unknown 0..0

Transactions building block

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

classDiagram
   direction tb
%% Transaction8 recursion level 0 with max 1
class Transaction8{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
}
Transaction8 *-- "0..1" TransactionDetails8 : TransactionDetails
Transaction8 *-- "0..0" StatusAndReason2 : StatusAndReason
%% TransactionDetails8 recursion level 1 with max 1
class TransactionDetails8{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
    TransactionAdditionalDetails IsoMax350Text
}
TransactionDetails8 *-- "1..1" ITransactionActivity1Choice : TransactionActivity
TransactionDetails8 *-- "0..1" ISettlementOrCorporateActionEvent2Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails8 *-- "0..1" SettlementDetails7 : SettlementParameters
TransactionDetails8 *-- "0..1" MarketIdentification4 : PlaceOfTrade
TransactionDetails8 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
TransactionDetails8 *-- "1..1" SecurityIdentification11 : FinancialInstrumentIdentification
TransactionDetails8 *-- "1..1" IQuantity6Choice : PostingQuantity
TransactionDetails8 *-- "1..1" AmountAndDirection8 : PostingAmount
TransactionDetails8 *-- "0..1" ITradeDate1Choice : TradeDate
TransactionDetails8 *-- "0..1" IDateAndDateTimeChoice : ExpectedSettlementDate
TransactionDetails8 *-- "1..1" ISettlementDate2Choice : SettlementDate
TransactionDetails8 *-- "0..1" IDateAndDateTimeChoice : LateDeliveryDate
TransactionDetails8 *-- "0..1" IDateAndDateTimeChoice : ExpectedValueDate
TransactionDetails8 *-- "0..1" SettlementParties2 : DeliveringSettlementParties
TransactionDetails8 *-- "0..1" SettlementParties2 : ReceivingSettlementParties
TransactionDetails8 *-- "0..0" Extension2 : Extension
%% StatusAndReason2 recursion level 1 with max 1
StatusAndReason2 *-- "1..1" IStatus2Choice : StatusAndReason

Transaction8 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). IsoMax35Text - Required 1..1
AccountServicerTransactionIdentification Unambiguous identification of the transaction as known by the account servicer. IsoMax35Text - Optional 0..1
MarketInfrastructureTransactionIdentification Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. IsoMax35Text - 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. IsoMax35Text - Unknown 0..0
PoolIdentification Collective reference identifying a set of messages. IsoMax35Text - Optional 0..1
CommonIdentification Unique reference agreed upon by the two trade counterparties to identify the trade. IsoMax35Text - Optional 0..1
CorporateActionEventIdentification Identification assigned by the account servicer to unambiguously identify a corporate action event. IsoMax35Text - Optional 0..1
TripartyAgentCollateralTransactionIdentification Unique reference identifying the triparty collateral management transaction from the triparty agent’s point of view. IsoMax35Text - Optional 0..1
ClientTripartyCollateralTransactionIdentification Unique reference identifying the triparty collateral management transaction from the client’s point of view. IsoMax35Text - Optional 0..1
TransactionDetails Identifies the details of the transaction. TransactionDetails8 - Optional 0..1
StatusAndReason Status and reason for the transaction. StatusAndReason2 - Unknown 0..0

MessageOriginator building block

Party that originated the message, if other than the sender. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification10Choice recursion level 0 with max 1

PartyIdentification10Choice members

Member name Description Data Type / Multiplicity

MessageRecipient building block

Party that is the final destination of the message, if other than the receiver. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification10Choice recursion level 0 with max 1

PartyIdentification10Choice members

Member name Description Data Type / Multiplicity

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReportV01 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReportV01 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReportV01Document implements IOuterDocument. Because SecuritiesTransactionPendingReportV01 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReportV01.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPendingReportV01 --|> IOuterRecord : Implements
    SecuritiesTransactionPendingReportV01Document --|> IOuterDocument~SecuritiesTransactionPendingReportV01~ : Implements
    class IOuterDocument~SecuritiesTransactionPendingReportV01~ {
        SecuritiesTransactionPendingReportV01 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesTransactionPendingReportV01Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.001.01’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReportV01.ToDocument() method. The returned SecuritiesTransactionPendingReportV01Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPendingReportV01Document *-- SecuritiesTransactionPendingReportV01 : 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.018.001.01">
    <SctiesTxPdgRpt>
        <Id>
            <!-- Identification inner content -->
        </Id>
        <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>
        <MsgOrgtr>
            <!-- MessageOriginator inner content -->
        </MsgOrgtr>
        <MsgRcpt>
            <!-- MessageRecipient inner content -->
        </MsgRcpt>
    </SctiesTxPdgRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_MgKeBdFSEd-BzquC8wXy7w_-1641865304"
  nextVersions="_s3nAcdtYEd-RF5yaMAVhAw"
  name="SecuritiesTransactionPendingReportV01"
  definition="Scope&#xD;&#xA;An account servicer sends a SecuritiesTransactionPendingReport 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 their participants&#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.&#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 (the sub-function of the message is Duplicate),&#xD;&#xA;- provide a third party with a copy of a message for information (the sub-function of the message is Copy),&#xD;&#xA;- re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate).&#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="SctiesTxPdgRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <semanticMarkup
    xmi:id="_dkoYtQ5lEeO42pgjaJ50lw"
    type="Synonym">
    <elements
      xmi:id="_dkoYtg5lEeO42pgjaJ50lw"
      name="context"
      value="ISO 15022" />
    <elements
      xmi:id="_dkoYtw5lEeO42pgjaJ50lw"
      name="value"
      value="MT 537, :23G:NEWM" />
  </semanticMarkup>
  <constraint
    xmi:id="_MgUPBNFSEd-BzquC8wXy7w_-382484714"
    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="_MgUPB9FSEd-BzquC8wXy7w_327576459"
    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" />
  <constraint
    xmi:id="_MgUPCtFSEd-BzquC8wXy7w_1754110358"
    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="_MgKeBtFSEd-BzquC8wXy7w_-1303309824"
    name="Identification"
    definition="Information that uniquely identifies the SecuritiesTransactionPendingReport message as known by the account servicer. When the report has multiple pages, one message equals one page. Therefore, Identification uniquely identifies the page."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="Id"
    complexType="_RBcz8tp-Ed-ak6NoX_4Aeg_-746423515" />
  <messageBuildingBlock
    xmi:id="_MgKeB9FSEd-BzquC8wXy7w_-987465557"
    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="_MgKeCNFSEd-BzquC8wXy7w_2143905831"
    name="StatementGeneralDetails"
    definition="Provides general information on the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_Qq8_gNp-Ed-ak6NoX_4Aeg_-2134324614" />
  <messageBuildingBlock
    xmi:id="_MgKeCdFSEd-BzquC8wXy7w_-1677536211"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_QQIEsNp-Ed-ak6NoX_4Aeg_-1062714307" />
  <messageBuildingBlock
    xmi:id="_MgKeCtFSEd-BzquC8wXy7w_-1604579247"
    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="_MgUPANFSEd-BzquC8wXy7w_2129129525"
    name="Status"
    definition="Status information."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Sts"
    complexType="_UU5hsNp-Ed-ak6NoX_4Aeg_-1534924185" />
  <messageBuildingBlock
    xmi:id="_MgUPAdFSEd-BzquC8wXy7w_-967195252"
    name="Transactions"
    definition="Details of the transactions reported."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Txs"
    complexType="_USOBKNp-Ed-ak6NoX_4Aeg_-124942580" />
  <messageBuildingBlock
    xmi:id="_MgUPAtFSEd-BzquC8wXy7w_1243434024"
    name="MessageOriginator"
    definition="Party that originated the message, if other than the sender."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MsgOrgtr"
    complexType="_QQR1tdp-Ed-ak6NoX_4Aeg_-1244141483" />
  <messageBuildingBlock
    xmi:id="_MgUPA9FSEd-BzquC8wXy7w_1306233855"
    name="MessageRecipient"
    definition="Party that is the final destination of the message, if other than the receiver."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MsgRcpt"
    complexType="_QQR1tdp-Ed-ak6NoX_4Aeg_-1244141483" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="018"
    flavour="001"
    version="01" />
</messageDefinition>

ISO Building Blocks

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