Iso20022

SecuritiesTransactionPendingReportV03

semt.018.001.03

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
%% SecuritiesTransactionPendingReportV03 recursion level 0 with max 0
SecuritiesTransactionPendingReportV03 *-- "1..1" Pagination : Pagination
SecuritiesTransactionPendingReportV03 *-- "1..1" Statement14 : StatementGeneralDetails
SecuritiesTransactionPendingReportV03 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesTransactionPendingReportV03 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesTransactionPendingReportV03 *-- "0..1" StatusAndReason9 : Status
SecuritiesTransactionPendingReportV03 *-- "0..1" Transaction19 : 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
%% 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
%% 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

Status building block

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

classDiagram
   direction tb
%% StatusAndReason9 recursion level 0 with max 1
StatusAndReason9 *-- "1..1" IStatus9Choice : StatusAndReason
StatusAndReason9 *-- "0..0" Transaction20 : Transaction
%% IStatus9Choice recursion level 1 with max 1
%% Transaction20 recursion level 1 with max 1
class Transaction20{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
}
Transaction20 *-- "0..1" TransactionDetails39 : TransactionDetails

StatusAndReason9 members

Member name Description Data Type / Multiplicity
StatusAndReason Status and reason for the transaction. IStatus9Choice - Required 1..1
Transaction Details of the transactions reported. Transaction20 - 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
%% Transaction19 recursion level 0 with max 1
class Transaction19{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
}
Transaction19 *-- "0..1" TransactionDetails39 : TransactionDetails
Transaction19 *-- "0..0" IStatus9Choice : StatusAndReason
%% TransactionDetails39 recursion level 1 with max 1
class TransactionDetails39{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
    PlaceOfClearing IsoAnyBICIdentifier
    TransactionAdditionalDetails IsoMax350Text
}
TransactionDetails39 *-- "1..1" ITransactionActivity1Choice : TransactionActivity
TransactionDetails39 *-- "0..1" ISettlementOrCorporateActionEvent6Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails39 *-- "0..1" SettlementDetails47 : SettlementParameters
TransactionDetails39 *-- "0..1" MarketIdentification4 : PlaceOfTrade
TransactionDetails39 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
TransactionDetails39 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
TransactionDetails39 *-- "1..1" IQuantity6Choice : PostingQuantity
TransactionDetails39 *-- "0..1" AmountAndDirection8 : PostingAmount
TransactionDetails39 *-- "0..1" ITradeDate1Choice : TradeDate
TransactionDetails39 *-- "0..1" IDateAndDateTimeChoice : ExpectedSettlementDate
TransactionDetails39 *-- "1..1" ISettlementDate2Choice : SettlementDate
TransactionDetails39 *-- "0..1" IDateAndDateTimeChoice : LateDeliveryDate
TransactionDetails39 *-- "0..1" IDateAndDateTimeChoice : ExpectedValueDate
TransactionDetails39 *-- "0..1" SettlementParties13 : DeliveringSettlementParties
TransactionDetails39 *-- "0..1" SettlementParties13 : ReceivingSettlementParties
TransactionDetails39 *-- "0..0" SupplementaryData1 : SupplementaryData
%% IStatus9Choice recursion level 1 with max 1

Transaction19 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
ProcessorTransactionIdentification Identification of the transaction assigned by the processor of the instruction other than the account owner the account servicer and the market infrastructure. 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. TransactionDetails39 - Optional 0..1
StatusAndReason Status and reason for the transaction. IStatus9Choice - Unknown 0..0

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReportV03 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReportV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReportV03Document implements IOuterDocument. Because SecuritiesTransactionPendingReportV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReportV03.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPendingReportV03 --|> IOuterRecord : Implements
    SecuritiesTransactionPendingReportV03Document --|> IOuterDocument~SecuritiesTransactionPendingReportV03~ : Implements
    class IOuterDocument~SecuritiesTransactionPendingReportV03~ {
        SecuritiesTransactionPendingReportV03 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesTransactionPendingReportV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReportV03.ToDocument() method. The returned SecuritiesTransactionPendingReportV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPendingReportV03Document *-- SecuritiesTransactionPendingReportV03 : 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.018.001.03">
    <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="_Z2HLMfvLEeCBQp5TnX1XKQ"
  nextVersions="_-XWQYQxzEeKMmbvHOtE4SA"
  previousVersion="_s3nAcdtYEd-RF5yaMAVhAw"
  name="SecuritiesTransactionPendingReportV03"
  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,&#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.&#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">
  <constraint
    xmi:id="_Z2HLNfvLEeCBQp5TnX1XKQ"
    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="_Z2HLOfvLEeCBQp5TnX1XKQ"
    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="_Z2HLPfvLEeCBQp5TnX1XKQ"
    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="_Z2HLQfvLEeCBQp5TnX1XKQ"
    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="_Z2HLRfvLEeCBQp5TnX1XKQ"
    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="_Z2HLSfvLEeCBQp5TnX1XKQ"
    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="_Z2HLTfvLEeCBQp5TnX1XKQ"
    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="_Z2HLUfvLEeCBQp5TnX1XKQ"
    name="Status"
    definition="Status information."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Sts"
    complexType="_fw8YN_vmEeCBQp5TnX1XKQ" />
  <messageBuildingBlock
    xmi:id="_Z2HLVfvLEeCBQp5TnX1XKQ"
    name="Transactions"
    definition="Details of the transactions reported."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Txs"
    complexType="_fw8WofvmEeCBQp5TnX1XKQ" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="018"
    flavour="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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