SecuritiesTransactionPendingReportV11

semt.018.001.11

Scope SecuritiesTransactionPendingReport is sent by an account servicer 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 its participants
• an agent (sub-custodian) acting on behalf of its 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
%% SecuritiesTransactionPendingReportV11 recursion level 0 with max 0
SecuritiesTransactionPendingReportV11 *-- "1..1" Pagination1 : Pagination
SecuritiesTransactionPendingReportV11 *-- "1..1" Statement64 : StatementGeneralDetails
SecuritiesTransactionPendingReportV11 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesTransactionPendingReportV11 *-- "1..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesTransactionPendingReportV11 *-- "0..1" StatusAndReason40 : Status
SecuritiesTransactionPendingReportV11 *-- "0..1" Transaction109 : 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

StatementGeneralDetails building block

Provides general information to 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

AccountOwner building block

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

classDiagram
   direction tb
%% PartyIdentification144 recursion level 0 with max 1
class PartyIdentification144{
    LEI IsoLEIIdentifier
}
PartyIdentification144 *-- "1..1" IPartyIdentification127Choice : Identification
%% IPartyIdentification127Choice recursion level 1 with max 1
  

PartyIdentification144 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
%% 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

Status building block

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

classDiagram
   direction tb
%% StatusAndReason40 recursion level 0 with max 1
StatusAndReason40 *-- "1..1" IStatus29Choice : StatusAndReason
StatusAndReason40 *-- "0..0" Transaction108 : Transaction
%% IStatus29Choice recursion level 1 with max 1
%% Transaction108 recursion level 1 with max 1
class Transaction108{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax52Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralInstructionIdentification IsoMax35Text
}
Transaction108 *-- "0..1" TransactionDetails128 : TransactionDetails
  

StatusAndReason40 members

Transactions building block

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

classDiagram
   direction tb
%% Transaction109 recursion level 0 with max 1
class Transaction109{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax52Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyAgentServiceProviderCollateralInstructionIdentification IsoMax35Text
}
Transaction109 *-- "0..1" TransactionDetails128 : TransactionDetails
Transaction109 *-- "0..0" IStatus29Choice : StatusAndReason
%% TransactionDetails128 recursion level 1 with max 1
class TransactionDetails128{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
    AcknowledgedStatusTimeStamp IsoISODateTime
    MatchedStatusTimeStamp IsoISODateTime
    TransactionAdditionalDetails IsoMax350Text
}
TransactionDetails128 *-- "1..1" ITransactionActivity3Choice : TransactionActivity
TransactionDetails128 *-- "0..1" ISettlementOrCorporateActionEvent30Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails128 *-- "0..1" SettlementDetails149 : SettlementParameters
TransactionDetails128 *-- "0..1" PlaceOfTradeIdentification1 : PlaceOfTrade
TransactionDetails128 *-- "0..1" SafeKeepingPlace3 : SafekeepingPlace
TransactionDetails128 *-- "0..1" PlaceOfClearingIdentification2 : PlaceOfClearing
TransactionDetails128 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
TransactionDetails128 *-- "1..1" IQuantity6Choice : PostingQuantity
TransactionDetails128 *-- "0..1" AmountAndDirection51 : PostingAmount
TransactionDetails128 *-- "0..1" ITradeDate8Choice : TradeDate
TransactionDetails128 *-- "0..1" IDateAndDateTime2Choice : ExpectedSettlementDate
TransactionDetails128 *-- "1..1" ISettlementDate19Choice : SettlementDate
TransactionDetails128 *-- "0..1" IDateAndDateTime2Choice : LateDeliveryDate
TransactionDetails128 *-- "0..1" IDateAndDateTime2Choice : ExpectedValueDate
TransactionDetails128 *-- "0..1" SettlementParties78 : DeliveringSettlementParties
TransactionDetails128 *-- "0..1" SettlementParties78 : ReceivingSettlementParties
TransactionDetails128 *-- "0..0" SupplementaryData1 : SupplementaryData
%% IStatus29Choice recursion level 1 with max 1
  

Transaction109 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReportV11 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReportV11 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReportV11Document implements IOuterDocument. Because SecuritiesTransactionPendingReportV11 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReportV11.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPendingReportV11 --|> IOuterRecord : Implements
    SecuritiesTransactionPendingReportV11Document --|> IOuterDocument~SecuritiesTransactionPendingReportV11~ : Implements
    class IOuterDocument~SecuritiesTransactionPendingReportV11~ {
        SecuritiesTransactionPendingReportV11 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesTransactionPendingReportV11Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.001.11’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReportV11.ToDocument() method. The returned SecuritiesTransactionPendingReportV11Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPendingReportV11Document *-- SecuritiesTransactionPendingReportV11 : 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.018.001.11">
    <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="_Y9UqUempEemUgrefIx730g"
  nextVersions="_jxaOzwlhEeuQ1MenzX1l-g"
  previousVersion="_83ezsdBmEeihG9bKfarOOA"
  name="SecuritiesTransactionPendingReportV11"
  definition="Scope&#xD;&#xA;SecuritiesTransactionPendingReport  is sent by an account servicer 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 its participants&#xD;&#xA;- an agent (sub-custodian) acting on behalf of its 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 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="_Y9UqU-mpEemUgrefIx730g"
    nextVersions="_jxaO0QlhEeuQ1MenzX1l-g"
    previousVersion="_83ezs9BmEeihG9bKfarOOA"
    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="_Y9UqW-mpEemUgrefIx730g"
    nextVersions="_jxaO2QlhEeuQ1MenzX1l-g"
    previousVersion="_83eztdBmEeihG9bKfarOOA"
    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="_Y9UqXempEemUgrefIx730g"
    nextVersions="_jxaO2wlhEeuQ1MenzX1l-g"
    previousVersion="_83ezt9BmEeihG9bKfarOOA"
    name="StatementGeneralDetails"
    definition="Provides general information to the report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_1k238bPwEeelzbgsFa3sqQ" />
  <messageBuildingBlock
    xmi:id="_Y9UqX-mpEemUgrefIx730g"
    nextVersions="_jxaO3QlhEeuQ1MenzX1l-g"
    previousVersion="_83ezudBmEeihG9bKfarOOA"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_XnxoYdLCEeiN28wlpBQScw" />
  <messageBuildingBlock
    xmi:id="_Y9UqYempEemUgrefIx730g"
    nextVersions="_jxaO3wlhEeuQ1MenzX1l-g"
    previousVersion="_83ezu9BmEeihG9bKfarOOA"
    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="_Y9UqY-mpEemUgrefIx730g"
    nextVersions="_jxaO4QlhEeuQ1MenzX1l-g"
    previousVersion="_83ezvdBmEeihG9bKfarOOA"
    name="Status"
    definition="Status information."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Sts"
    complexType="_XRaQMemrEemUgrefIx730g" />
  <messageBuildingBlock
    xmi:id="_Y9UqZempEemUgrefIx730g"
    nextVersions="_jxaO4wlhEeuQ1MenzX1l-g"
    previousVersion="_83ezv9BmEeihG9bKfarOOA"
    name="Transactions"
    definition="Details of the transactions reported."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Txs"
    complexType="_ctZYE-mrEemUgrefIx730g" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="018"
    flavour="001"
    version="11" />
</messageDefinition>

ISO Building Blocks

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