SecuritiesTransactionPendingReportV05

semt.018.001.05

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:

• a central securities depository or another settlement market infrastructure acting on behalf of their participants
• an agent (sub-custodian) acting on behalf of their global custodian customer, or
• a custodian acting on behalf of an investment management institution or a broker/dealer.

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:

• re-send a message previously sent,
• provide a third party with a copy of a message for information,
• re-send to a third party a copy of a message 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
%% SecuritiesTransactionPendingReportV05 recursion level 0 with max 0
SecuritiesTransactionPendingReportV05 *-- "1..1" Pagination : Pagination
SecuritiesTransactionPendingReportV05 *-- "1..1" Statement14 : StatementGeneralDetails
SecuritiesTransactionPendingReportV05 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesTransactionPendingReportV05 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesTransactionPendingReportV05 *-- "0..1" StatusAndReason18 : Status
SecuritiesTransactionPendingReportV05 *-- "0..1" Transaction34 : 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

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

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

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

Status building block

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

classDiagram
   direction tb
%% StatusAndReason18 recursion level 0 with max 1
StatusAndReason18 *-- "1..1" IStatus15Choice : StatusAndReason
StatusAndReason18 *-- "0..0" Transaction35 : Transaction
%% IStatus15Choice recursion level 1 with max 1
%% Transaction35 recursion level 1 with max 1
class Transaction35{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyCollateralInstructionIdentification IsoMax35Text
}
Transaction35 *-- "0..1" TransactionDetails62 : TransactionDetails
  

StatusAndReason18 members

Transactions building block

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

classDiagram
   direction tb
%% Transaction34 recursion level 0 with max 1
class Transaction34{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyCollateralInstructionIdentification IsoMax35Text
}
Transaction34 *-- "0..1" TransactionDetails62 : TransactionDetails
Transaction34 *-- "0..0" IStatus15Choice : StatusAndReason
%% TransactionDetails62 recursion level 1 with max 1
class TransactionDetails62{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
    PlaceOfClearing IsoAnyBICIdentifier
    TransactionAdditionalDetails IsoMax350Text
}
TransactionDetails62 *-- "1..1" ITransactionActivity1Choice : TransactionActivity
TransactionDetails62 *-- "0..1" ISettlementOrCorporateActionEvent10Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails62 *-- "0..1" SettlementDetails74 : SettlementParameters
TransactionDetails62 *-- "0..1" MarketIdentification78 : PlaceOfTrade
TransactionDetails62 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
TransactionDetails62 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
TransactionDetails62 *-- "1..1" IQuantity6Choice : PostingQuantity
TransactionDetails62 *-- "0..1" AmountAndDirection8 : PostingAmount
TransactionDetails62 *-- "0..1" ITradeDate1Choice : TradeDate
TransactionDetails62 *-- "0..1" IDateAndDateTimeChoice : ExpectedSettlementDate
TransactionDetails62 *-- "1..1" ISettlementDate2Choice : SettlementDate
TransactionDetails62 *-- "0..1" IDateAndDateTimeChoice : LateDeliveryDate
TransactionDetails62 *-- "0..1" IDateAndDateTimeChoice : ExpectedValueDate
TransactionDetails62 *-- "0..1" SettlementParties13 : DeliveringSettlementParties
TransactionDetails62 *-- "0..1" SettlementParties13 : ReceivingSettlementParties
TransactionDetails62 *-- "0..0" SupplementaryData1 : SupplementaryData
%% IStatus15Choice recursion level 1 with max 1
  

Transaction34 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReportV05 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReportV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReportV05Document implements IOuterDocument. Because SecuritiesTransactionPendingReportV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReportV05.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPendingReportV05 --|> IOuterRecord : Implements
    SecuritiesTransactionPendingReportV05Document --|> IOuterDocument~SecuritiesTransactionPendingReportV05~ : Implements
    class IOuterDocument~SecuritiesTransactionPendingReportV05~ {
        SecuritiesTransactionPendingReportV05 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesTransactionPendingReportV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReportV05.ToDocument() method. The returned SecuritiesTransactionPendingReportV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPendingReportV05Document *-- SecuritiesTransactionPendingReportV05 : 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.018.001.05">
    <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="_EB1YwSRMEeON6sEIseGaUg"
  nextVersions="_1tvwEU3NEeS1yPC0JC-FvQ"
  previousVersion="_-XWQYQxzEeKMmbvHOtE4SA"
  name="SecuritiesTransactionPendingReportV05"
  definition="Scope&#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. &#xA;The account servicer/owner relationship may be:&#xA;- a central securities depository or another settlement market infrastructure acting on behalf of their participants&#xA;- an agent (sub-custodian) acting on behalf of their global custodian customer, or &#xA;- a custodian acting on behalf of an investment management institution or a broker/dealer.&#xA;&#xA;Usage&#xA;The statement may also include future settlement or forward transactions which have become binding on the account owner.&#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="SctiesTxPdgRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_EB1YwyRMEeON6sEIseGaUg"
    nextVersions="_1tvwE03NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQYwxzEeKMmbvHOtE4SA"
    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="_EB1YxSRMEeON6sEIseGaUg"
    nextVersions="_1tvwFU3NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQZwxzEeKMmbvHOtE4SA"
    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="_EB1YxyRMEeON6sEIseGaUg"
    nextVersions="_1tvwF03NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQawxzEeKMmbvHOtE4SA"
    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="_EB1YySRMEeON6sEIseGaUg"
    nextVersions="_1tvwGU3NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQbwxzEeKMmbvHOtE4SA"
    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="_EB1YyyRMEeON6sEIseGaUg"
    nextVersions="_1tvwG03NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQcwxzEeKMmbvHOtE4SA"
    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="_EB1YzSRMEeON6sEIseGaUg"
    nextVersions="_1tvwHU3NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQdwxzEeKMmbvHOtE4SA"
    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="_EB1YzyRMEeON6sEIseGaUg"
    nextVersions="_1tvwH03NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQewxzEeKMmbvHOtE4SA"
    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="_EB1Y0SRMEeON6sEIseGaUg"
    nextVersions="_1tvwIU3NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQfwxzEeKMmbvHOtE4SA"
    name="Status"
    definition="Status information."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Sts"
    complexType="_Dl-9wSRhEeO8sskhVI3IDA" />
  <messageBuildingBlock
    xmi:id="_EB1Y0yRMEeON6sEIseGaUg"
    nextVersions="_1tvwI03NEeS1yPC0JC-FvQ"
    previousVersion="_-XWQgwxzEeKMmbvHOtE4SA"
    name="Transactions"
    definition="Details of the transactions reported."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Txs"
    complexType="_gsRh8SRiEeOCueHDQ36sww" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="018"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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