SecuritiesTransactionPendingReportV07

semt.018.001.07

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.

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
%% SecuritiesTransactionPendingReportV07 recursion level 0 with max 0
SecuritiesTransactionPendingReportV07 *-- "1..1" Pagination : Pagination
SecuritiesTransactionPendingReportV07 *-- "1..1" Statement41 : StatementGeneralDetails
SecuritiesTransactionPendingReportV07 *-- "0..1" PartyIdentification98 : AccountOwner
SecuritiesTransactionPendingReportV07 *-- "1..1" SecuritiesAccount24 : SafekeepingAccount
SecuritiesTransactionPendingReportV07 *-- "0..1" StatusAndReason27 : Status
SecuritiesTransactionPendingReportV07 *-- "0..1" Transaction47 : 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
%% Statement41 recursion level 0 with max 1
class Statement41{
    QueryReference IsoMax35Text
    StatementIdentification IsoMax35Text
    StatementStructure StatementStructure1Code
    ActivityIndicator IsoYesNoIndicator
}
Statement41 *-- "0..1" INumber3Choice : ReportNumber
Statement41 *-- "1..1" IDateAndDateTimeChoice : StatementDateTime
Statement41 *-- "0..1" IFrequency25Choice : Frequency
Statement41 *-- "0..1" IUpdateType15Choice : UpdateType
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTimeChoice recursion level 1 with max 1
%% IFrequency25Choice recursion level 1 with max 1
%% IUpdateType15Choice recursion level 1 with max 1
  

Statement41 members

AccountOwner building block

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

classDiagram
   direction tb
%% PartyIdentification98 recursion level 0 with max 1
class PartyIdentification98{
    LEI IsoLEIIdentifier
}
PartyIdentification98 *-- "1..1" IPartyIdentification92Choice : Identification
%% IPartyIdentification92Choice recursion level 1 with max 1
  

PartyIdentification98 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
%% SecuritiesAccount24 recursion level 0 with max 1
class SecuritiesAccount24{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount24 *-- "0..1" GenericIdentification30 : Type
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}
  

SecuritiesAccount24 members

Status building block

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

classDiagram
   direction tb
%% StatusAndReason27 recursion level 0 with max 1
StatusAndReason27 *-- "1..1" IStatus18Choice : StatusAndReason
StatusAndReason27 *-- "0..0" Transaction45 : Transaction
%% IStatus18Choice recursion level 1 with max 1
%% Transaction45 recursion level 1 with max 1
class Transaction45{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyCollateralInstructionIdentification IsoMax35Text
}
Transaction45 *-- "0..1" TransactionDetails75 : TransactionDetails
  

StatusAndReason27 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
%% Transaction47 recursion level 0 with max 1
class Transaction47{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyCollateralInstructionIdentification IsoMax35Text
}
Transaction47 *-- "0..1" TransactionDetails75 : TransactionDetails
Transaction47 *-- "0..0" IStatus18Choice : StatusAndReason
%% TransactionDetails75 recursion level 1 with max 1
class TransactionDetails75{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
    TransactionAdditionalDetails IsoMax350Text
}
TransactionDetails75 *-- "1..1" ITransactionActivity3Choice : TransactionActivity
TransactionDetails75 *-- "0..1" ISettlementOrCorporateActionEvent14Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails75 *-- "0..1" SettlementDetails92 : SettlementParameters
TransactionDetails75 *-- "0..1" PlaceOfTradeIdentification1 : PlaceOfTrade
TransactionDetails75 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
TransactionDetails75 *-- "0..1" PlaceOfClearingIdentification1 : PlaceOfClearing
TransactionDetails75 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
TransactionDetails75 *-- "1..1" IQuantity6Choice : PostingQuantity
TransactionDetails75 *-- "0..1" AmountAndDirection51 : PostingAmount
TransactionDetails75 *-- "0..1" ITradeDate5Choice : TradeDate
TransactionDetails75 *-- "0..1" IDateAndDateTimeChoice : ExpectedSettlementDate
TransactionDetails75 *-- "1..1" ISettlementDate10Choice : SettlementDate
TransactionDetails75 *-- "0..1" IDateAndDateTimeChoice : LateDeliveryDate
TransactionDetails75 *-- "0..1" IDateAndDateTimeChoice : ExpectedValueDate
TransactionDetails75 *-- "0..1" SettlementParties40 : DeliveringSettlementParties
TransactionDetails75 *-- "0..1" SettlementParties40 : ReceivingSettlementParties
TransactionDetails75 *-- "0..0" SupplementaryData1 : SupplementaryData
%% IStatus18Choice recursion level 1 with max 1
  

Transaction47 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReportV07 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReportV07 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReportV07Document implements IOuterDocument. Because SecuritiesTransactionPendingReportV07 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReportV07.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPendingReportV07 --|> IOuterRecord : Implements
    SecuritiesTransactionPendingReportV07Document --|> IOuterDocument~SecuritiesTransactionPendingReportV07~ : Implements
    class IOuterDocument~SecuritiesTransactionPendingReportV07~ {
        SecuritiesTransactionPendingReportV07 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesTransactionPendingReportV07Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.001.07’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReportV07.ToDocument() method. The returned SecuritiesTransactionPendingReportV07Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPendingReportV07Document *-- SecuritiesTransactionPendingReportV07 : 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.018.001.07">
    <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="_YSWIlQCTEeW_3KiG8SEjHA"
  nextVersions="_aIIhgW6VEeat2-NFbXd1Pw"
  previousVersion="_1tvwEU3NEeS1yPC0JC-FvQ"
  name="SecuritiesTransactionPendingReportV07"
  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;&#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."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="SctiesTxPdgRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_YSWImwCTEeW_3KiG8SEjHA"
    nextVersions="_aIIhg26VEeat2-NFbXd1Pw"
    previousVersion="_1tvwF03NEeS1yPC0JC-FvQ"
    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="_YSWInQCTEeW_3KiG8SEjHA"
    nextVersions="_aIIhhW6VEeat2-NFbXd1Pw"
    previousVersion="_1tvwGU3NEeS1yPC0JC-FvQ"
    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="_YSWInwCTEeW_3KiG8SEjHA"
    nextVersions="_aIIhh26VEeat2-NFbXd1Pw"
    previousVersion="_1tvwG03NEeS1yPC0JC-FvQ"
    name="StatementGeneralDetails"
    definition="Provides general information on the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_comtpTeNEeWm5uvLSn0jEw" />
  <messageBuildingBlock
    xmi:id="_YSWIoQCTEeW_3KiG8SEjHA"
    nextVersions="_aIIhiW6VEeat2-NFbXd1Pw"
    previousVersion="_1tvwHU3NEeS1yPC0JC-FvQ"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_lwSA1GwBEeWLq_lbZ2Mhyw" />
  <messageBuildingBlock
    xmi:id="_YSWIowCTEeW_3KiG8SEjHA"
    nextVersions="_aIIhi26VEeat2-NFbXd1Pw"
    previousVersion="_1tvwH03NEeS1yPC0JC-FvQ"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_hHJqfR5hEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_YSWIpQCTEeW_3KiG8SEjHA"
    nextVersions="_aIIhjW6VEeat2-NFbXd1Pw"
    previousVersion="_1tvwIU3NEeS1yPC0JC-FvQ"
    name="Status"
    definition="Status information."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Sts"
    complexType="_jGqETx5hEeWE3PufGMdJ3w" />
  <messageBuildingBlock
    xmi:id="_YSWIpwCTEeW_3KiG8SEjHA"
    nextVersions="_aIIhj26VEeat2-NFbXd1Pw"
    previousVersion="_1tvwI03NEeS1yPC0JC-FvQ"
    name="Transactions"
    definition="Details of the transactions reported."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Txs"
    complexType="_sEp5_R5hEeWE3PufGMdJ3w" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="018"
    flavour="001"
    version="07" />
</messageDefinition>

ISO Building Blocks

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