Iso20022

SecuritiesTransactionPendingReportV09

semt.018.001.09

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:

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
%% SecuritiesTransactionPendingReportV09 recursion level 0 with max 0
SecuritiesTransactionPendingReportV09 *-- "1..1" Pagination1 : Pagination
SecuritiesTransactionPendingReportV09 *-- "1..1" Statement64 : StatementGeneralDetails
SecuritiesTransactionPendingReportV09 *-- "0..1" PartyIdentification98 : AccountOwner
SecuritiesTransactionPendingReportV09 *-- "1..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesTransactionPendingReportV09 *-- "0..1" StatusAndReason34 : Status
SecuritiesTransactionPendingReportV09 *-- "0..1" Transaction60 : 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 on the report. Characteristics of the statement. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement64 recursion level 0 with max 1
class Statement64{
    QueryReference IsoMax35Text
    StatementIdentification IsoMax35Text
    StatementStructure StatementStructure1Code
    ActivityIndicator IsoYesNoIndicator
}
Statement64 *-- "0..1" INumber3Choice : ReportNumber
Statement64 *-- "1..1" IDateAndDateTime2Choice : StatementDateTime
Statement64 *-- "0..1" IFrequency25Choice : Frequency
Statement64 *-- "0..1" IUpdateType15Choice : UpdateType
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTime2Choice recursion level 1 with max 1
%% IFrequency25Choice recursion level 1 with max 1
%% IUpdateType15Choice recursion level 1 with max 1

Statement64 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. IsoMax35Text - Optional 0..1
StatementIdentification Reference common to all pages of a statement. IsoMax35Text - Optional 0..1
StatementDateTime Date and time of the statement. IDateAndDateTime2Choice - Required 1..1
Frequency Frequency of the statement. IFrequency25Choice - Optional 0..1
UpdateType Indicates whether the statement is complete or contains changes only. IUpdateType15Choice - 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 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

Member name Description Data Type / Multiplicity
Identification Unique identification of the party. IPartyIdentification92Choice - 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
%% SecuritiesAccount19 recursion level 0 with max 1
class SecuritiesAccount19{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount19 *-- "0..1" GenericIdentification30 : Type
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}

SecuritiesAccount19 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. GenericIdentification30 - 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
%% StatusAndReason34 recursion level 0 with max 1
StatusAndReason34 *-- "1..1" IStatus18Choice : StatusAndReason
StatusAndReason34 *-- "0..0" Transaction61 : Transaction
%% IStatus18Choice recursion level 1 with max 1
%% Transaction61 recursion level 1 with max 1
class Transaction61{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralInstructionIdentification IsoMax35Text
}
Transaction61 *-- "0..1" TransactionDetails104 : TransactionDetails

StatusAndReason34 members

Member name Description Data Type / Multiplicity
StatusAndReason Status and reason for the transaction. IStatus18Choice - Required 1..1
Transaction Details of the transactions reported. Transaction61 - 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
%% Transaction60 recursion level 0 with max 1
class Transaction60{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralInstructionIdentification IsoMax35Text
}
Transaction60 *-- "0..1" TransactionDetails104 : TransactionDetails
Transaction60 *-- "0..0" IStatus18Choice : StatusAndReason
%% TransactionDetails104 recursion level 1 with max 1
class TransactionDetails104{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
    AcknowledgedStatusTimeStamp IsoISODateTime
    MatchedStatusTimeStamp IsoISODateTime
    TransactionAdditionalDetails IsoMax350Text
}
TransactionDetails104 *-- "1..1" ITransactionActivity3Choice : TransactionActivity
TransactionDetails104 *-- "0..1" ISettlementOrCorporateActionEvent23Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails104 *-- "0..1" SettlementDetails149 : SettlementParameters
TransactionDetails104 *-- "0..1" PlaceOfTradeIdentification1 : PlaceOfTrade
TransactionDetails104 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
TransactionDetails104 *-- "0..1" PlaceOfClearingIdentification1 : PlaceOfClearing
TransactionDetails104 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
TransactionDetails104 *-- "1..1" IQuantity6Choice : PostingQuantity
TransactionDetails104 *-- "0..1" AmountAndDirection51 : PostingAmount
TransactionDetails104 *-- "0..1" ITradeDate8Choice : TradeDate
TransactionDetails104 *-- "0..1" IDateAndDateTime2Choice : ExpectedSettlementDate
TransactionDetails104 *-- "1..1" ISettlementDate19Choice : SettlementDate
TransactionDetails104 *-- "0..1" IDateAndDateTime2Choice : LateDeliveryDate
TransactionDetails104 *-- "0..1" IDateAndDateTime2Choice : ExpectedValueDate
TransactionDetails104 *-- "0..1" SettlementParties40 : DeliveringSettlementParties
TransactionDetails104 *-- "0..1" SettlementParties40 : ReceivingSettlementParties
TransactionDetails104 *-- "0..0" SupplementaryData1 : SupplementaryData
%% IStatus18Choice recursion level 1 with max 1

Transaction60 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
TripartyAgentServiceProviderCollateralTransactionIdentification Unique identification identifying the triparty collateral management transaction from the triparty-agent’s/service-provider’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
ClientCollateralInstructionIdentification Unique identification assigned to the instruction by the client. IsoMax35Text - Optional 0..1
TripartyAgentServiceProviderCollateralInstructionIdentification Unique identification assigned to the instruction by the triparty-agent/service-provider. IsoMax35Text - Optional 0..1
TransactionDetails Identifies the details of the transaction. TransactionDetails104 - Optional 0..1
StatusAndReason Status and reason for the transaction. IStatus18Choice - Unknown 0..0

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReportV09 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReportV09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReportV09Document implements IOuterDocument. Because SecuritiesTransactionPendingReportV09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReportV09.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPendingReportV09 --|> IOuterRecord : Implements
    SecuritiesTransactionPendingReportV09Document --|> IOuterDocument~SecuritiesTransactionPendingReportV09~ : Implements
    class IOuterDocument~SecuritiesTransactionPendingReportV09~ {
        SecuritiesTransactionPendingReportV09 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesTransactionPendingReportV09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.001.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReportV09.ToDocument() method. The returned SecuritiesTransactionPendingReportV09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPendingReportV09Document *-- SecuritiesTransactionPendingReportV09 : 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.018.001.09">
    <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="_GsMZ0aN-EeeNVLC-L_hywg"
  nextVersions="_83ezsdBmEeihG9bKfarOOA"
  previousVersion="_aIIhgW6VEeat2-NFbXd1Pw"
  name="SecuritiesTransactionPendingReportV09"
  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="_GsMZ06N-EeeNVLC-L_hywg"
    nextVersions="_83ezs9BmEeihG9bKfarOOA"
    previousVersion="_aIIhg26VEeat2-NFbXd1Pw"
    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="_GsMZ1aN-EeeNVLC-L_hywg"
    nextVersions="_83eztdBmEeihG9bKfarOOA"
    previousVersion="_aIIhhW6VEeat2-NFbXd1Pw"
    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="_GsMZ16N-EeeNVLC-L_hywg"
    nextVersions="_83ezt9BmEeihG9bKfarOOA"
    previousVersion="_aIIhh26VEeat2-NFbXd1Pw"
    name="StatementGeneralDetails"
    definition="Provides general information on the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_1k238bPwEeelzbgsFa3sqQ" />
  <messageBuildingBlock
    xmi:id="_GsMZ2aN-EeeNVLC-L_hywg"
    nextVersions="_83ezudBmEeihG9bKfarOOA"
    previousVersion="_aIIhiW6VEeat2-NFbXd1Pw"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_lwSA1GwBEeWLq_lbZ2Mhyw" />
  <messageBuildingBlock
    xmi:id="_GsMZ26N-EeeNVLC-L_hywg"
    nextVersions="_83ezu9BmEeihG9bKfarOOA"
    previousVersion="_aIIhi26VEeat2-NFbXd1Pw"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_T_JUKtp-Ed-ak6NoX_4Aeg_1976638301" />
  <messageBuildingBlock
    xmi:id="_GsMZ3aN-EeeNVLC-L_hywg"
    nextVersions="_83ezvdBmEeihG9bKfarOOA"
    previousVersion="_aIIhjW6VEeat2-NFbXd1Pw"
    name="Status"
    definition="Status information."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Sts"
    complexType="_x4idYaOAEeeDTpy0mhI4TQ" />
  <messageBuildingBlock
    xmi:id="_GsMZ36N-EeeNVLC-L_hywg"
    nextVersions="_83ezv9BmEeihG9bKfarOOA"
    previousVersion="_aIIhj26VEeat2-NFbXd1Pw"
    name="Transactions"
    definition="Details of the transactions reported."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Txs"
    complexType="_xLwP0aOAEeeDTpy0mhI4TQ" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="018"
    flavour="001"
    version="09" />
</messageDefinition>

ISO Building Blocks

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