semt.017.002.06
Scope An account servicer sends a SecuritiesTransactionPostingReport to an account owner to provide the details of increases and decreases of holdings which occurred during a specified period, for all or selected securities in the specified safekeeping account or sub-safekeeping account which the account servicer holds for the account owner. 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 This message may be used as a trade date based or a settlement date based statement. 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
%% SecuritiesTransactionPostingReport002V06 recursion level 0 with max 0
SecuritiesTransactionPostingReport002V06 *-- "1..1" Pagination : Pagination
SecuritiesTransactionPostingReport002V06 *-- "1..1" Statement56 : StatementGeneralDetails
SecuritiesTransactionPostingReport002V06 *-- "0..1" PartyIdentification109 : AccountOwner
SecuritiesTransactionPostingReport002V06 *-- "1..1" SecuritiesAccount27 : SafekeepingAccount
SecuritiesTransactionPostingReport002V06 *-- "0..1" FinancialInstrumentDetails23 : FinancialInstrumentDetails
SecuritiesTransactionPostingReport002V06 *-- "0..1" SubAccountIdentification47 : SubAccountDetails
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
%% Statement56 recursion level 0 with max 1
class Statement56{
QueryReference IsoRestrictedFINXMax16Text
StatementIdentification IsoRestrictedFINXMax16Text
ActivityIndicator IsoYesNoIndicator
SubAccountIndicator IsoYesNoIndicator
}
Statement56 *-- "0..1" INumber3Choice : ReportNumber
Statement56 *-- "1..1" IPeriod2Choice : StatementPeriod
Statement56 *-- "0..1" IFrequency26Choice : Frequency
Statement56 *-- "0..1" IUpdateType16Choice : UpdateType
Statement56 *-- "1..1" IStatementBasis12Choice : StatementBasis
%% INumber3Choice recursion level 1 with max 1
%% IPeriod2Choice recursion level 1 with max 1
%% IFrequency26Choice recursion level 1 with max 1
%% IUpdateType16Choice recursion level 1 with max 1
%% IStatementBasis12Choice recursion level 1 with max 1
Statement56 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. | IsoRestrictedFINXMax16Text - Optional 0..1 |
| StatementIdentification | Reference common to all pages of a statement. | IsoRestrictedFINXMax16Text - Optional 0..1 |
| StatementPeriod | Period for the statement. | IPeriod2Choice - Required 1..1 |
| Frequency | Frequency of the statement. | IFrequency26Choice - Optional 0..1 |
| UpdateType | Indicates whether the statement is complete or contains changes only. | IUpdateType16Choice - Optional 0..1 |
| StatementBasis | Type of balance on which the statement is prepared. | IStatementBasis12Choice - Required 1..1 |
| ActivityIndicator | Indicates whether there is activity or information update reported in the statement. | IsoYesNoIndicator - Required 1..1 |
| SubAccountIndicator | Indicates whether the statement reports holdings at subsafekeeping account level. | 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
%% PartyIdentification109 recursion level 0 with max 1
class PartyIdentification109{
LEI IsoLEIIdentifier
}
PartyIdentification109 *-- "1..1" IPartyIdentification114Choice : Identification
%% IPartyIdentification114Choice recursion level 1 with max 1
PartyIdentification109 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Unique identification of the party. | IPartyIdentification114Choice - 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
%% SecuritiesAccount27 recursion level 0 with max 1
class SecuritiesAccount27{
Identification IsoRestrictedFINXMax35Text
Name IsoMax70Text
}
SecuritiesAccount27 *-- "0..1" GenericIdentification47 : Type
%% GenericIdentification47 recursion level 1 with max 1
class GenericIdentification47{
Identification IsoExact4AlphaNumericText
Issuer IsoMax4AlphaNumericText
SchemeName IsoMax4AlphaNumericText
}
SecuritiesAccount27 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Unambiguous identification for the account between the account owner and the account servicer.”. | IsoRestrictedFINXMax35Text - Required 1..1 |
| Type | Specifies the type of securities account. | GenericIdentification47 - Optional 0..1 |
| Name | Description of the account. | IsoMax70Text - Optional 0..1 |
FinancialInstrumentDetails building block
Reporting per financial instrument. Reporting per financial instrument. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% FinancialInstrumentDetails23 recursion level 0 with max 1
FinancialInstrumentDetails23 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
FinancialInstrumentDetails23 *-- "0..1" PriceInformation16 : PriceDetails
FinancialInstrumentDetails23 *-- "0..1" SafeKeepingPlace2 : SafekeepingPlace
FinancialInstrumentDetails23 *-- "0..1" OpeningBalance4 : OpeningBalance
FinancialInstrumentDetails23 *-- "0..1" ClosingBalance4 : ClosingBalance
FinancialInstrumentDetails23 *-- "1..0" Transaction50 : Transaction
%% SecurityIdentification20 recursion level 1 with max 1
class SecurityIdentification20{
ISIN IsoISINOct2015Identifier
Description IsoRestrictedFINXMax140Text
}
SecurityIdentification20 *-- "0..0" OtherIdentification2 : OtherIdentification
%% PriceInformation16 recursion level 1 with max 1
PriceInformation16 *-- "1..1" ITypeOfPrice45Choice : Type
PriceInformation16 *-- "1..1" IYieldedOrValueType1Choice : ValueType
PriceInformation16 *-- "1..1" IPriceRateOrAmountOrUnknown1Choice : Value
PriceInformation16 *-- "0..1" MarketIdentification91 : SourceOfPrice
PriceInformation16 *-- "0..1" IDateAndDateTimeChoice : QuotationDate
%% SafeKeepingPlace2 recursion level 1 with max 1
class SafeKeepingPlace2{
LEI IsoLEIIdentifier
}
SafeKeepingPlace2 *-- "0..1" ISafekeepingPlaceFormat17Choice : SafekeepingPlaceFormat
%% OpeningBalance4 recursion level 1 with max 1
class OpeningBalance4{
ShortLongIndicator ShortLong1Code
}
OpeningBalance4 *-- "1..1" IOpeningBalance5Choice : OpeningBalance
%% ClosingBalance4 recursion level 1 with max 1
class ClosingBalance4{
ShortLongIndicator ShortLong1Code
}
ClosingBalance4 *-- "1..1" IClosingBalance5Choice : ClosingBalance
%% Transaction50 recursion level 1 with max 1
class Transaction50{
AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
AccountServicerTransactionIdentification IsoRestrictedFINXMax16Text
MarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
ProcessorTransactionIdentification IsoRestrictedFINXMax16Text
TradeIdentification IsoRestrictedFINXMax16Text
PoolIdentification IsoRestrictedFINXMax16Text
CommonIdentification IsoRestrictedFINXMax16Text
CorporateActionEventIdentification IsoRestrictedFINXMax16Text
TripartyAgentCollateralTransactionIdentification IsoRestrictedFINXMax16Text
ClientTripartyCollateralTransactionIdentification IsoRestrictedFINXMax16Text
ClientCollateralInstructionIdentification IsoRestrictedFINXMax16Text
TripartyCollateralInstructionIdentification IsoRestrictedFINXMax16Text
}
Transaction50 *-- "0..1" TransactionDetails91 : TransactionDetails
Transaction50 *-- "0..0" SupplementaryData1 : SupplementaryData
FinancialInstrumentDetails23 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| FinancialInstrumentIdentification | Financial instruments representing a sum of rights of the investor vis-a-vis the issuer. | SecurityIdentification20 - Required 1..1 |
| PriceDetails | Information regarding the price of the instrument. | PriceInformation16 - Optional 0..1 |
| SafekeepingPlace | Place where the securities are safe-kept, physically or notionally. This place can be, for example, a local custodian, a Central Securities Depository (CSD) or an International Central Securities Depository (ICSD). | SafeKeepingPlace2 - Optional 0..1 |
| OpeningBalance | Opening balance for the statement period (first opening balance) or of this page (intermediary opening balance). | OpeningBalance4 - Optional 0..1 |
| ClosingBalance | Closing balance for the statement period (final closing balance) or of this page (intermediary closing balance). | ClosingBalance4 - Optional 0..1 |
| Transaction | Transaction details. | Transaction50 - Unknown 1..0 |
SubAccountDetails building block
Details at sub-account level. Provides all sub-account details. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% SubAccountIdentification47 recursion level 0 with max 1
class SubAccountIdentification47{
ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification47 *-- "0..1" PartyIdentification109 : AccountOwner
SubAccountIdentification47 *-- "1..1" SecuritiesAccount34 : SafekeepingAccount
SubAccountIdentification47 *-- "0..0" FinancialInstrumentDetails23 : FinancialInstrumentDetails
%% PartyIdentification109 recursion level 1 with max 1
class PartyIdentification109{
LEI IsoLEIIdentifier
}
PartyIdentification109 *-- "1..1" IPartyIdentification114Choice : Identification
%% SecuritiesAccount34 recursion level 1 with max 1
class SecuritiesAccount34{
Identification IsoRestrictedFINXMax35Text
Name IsoMax70Text
}
SecuritiesAccount34 *-- "0..1" IPurposeCode8Choice : Type
%% FinancialInstrumentDetails23 recursion level 1 with max 1
FinancialInstrumentDetails23 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
FinancialInstrumentDetails23 *-- "0..1" PriceInformation16 : PriceDetails
FinancialInstrumentDetails23 *-- "0..1" SafeKeepingPlace2 : SafekeepingPlace
FinancialInstrumentDetails23 *-- "0..1" OpeningBalance4 : OpeningBalance
FinancialInstrumentDetails23 *-- "0..1" ClosingBalance4 : ClosingBalance
FinancialInstrumentDetails23 *-- "1..0" Transaction50 : Transaction
SubAccountIdentification47 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| AccountOwner | Party that legally owns the account. | PartyIdentification109 - Optional 0..1 |
| SafekeepingAccount | Account to or from which a securities entry is made. | SecuritiesAccount34 - Required 1..1 |
| ActivityIndicator | Indicates whether there is activity or information update reported in the statement. | IsoYesNoIndicator - Required 1..1 |
| FinancialInstrumentDetails | Reporting per financial instrument. | FinancialInstrumentDetails23 - Unknown 0..0 |
Extensibility and generalization considerations
To facilitate generalized design patterns in the system, the SecuritiesTransactionPostingReport002V06 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPostingReport002V06 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPostingReport002V06Document implements IOuterDocument. Because SecuritiesTransactionPostingReport002V06 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPostingReport002V06.
classDiagram
class IOuterRecord
SecuritiesTransactionPostingReport002V06 --|> IOuterRecord : Implements
SecuritiesTransactionPostingReport002V06Document --|> IOuterDocument~SecuritiesTransactionPostingReport002V06~ : Implements
class IOuterDocument~SecuritiesTransactionPostingReport002V06~ {
SecuritiesTransactionPostingReport002V06 Message
}
Document wrapper for serialization
The only real purpose SecuritiesTransactionPostingReport002V06Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.017.002.06’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPostingReport002V06.ToDocument() method. The returned SecuritiesTransactionPostingReport002V06Document value will serialize correctly according to ISO 20022 standards.
classDiagram
SecuritiesTransactionPostingReport002V06Document *-- SecuritiesTransactionPostingReport002V06 : 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.017.002.06">
<SctiesTxPstngRpt>
<Pgntn>
<!-- Pagination inner content -->
</Pgntn>
<StmtGnlDtls>
<!-- StatementGeneralDetails inner content -->
</StmtGnlDtls>
<AcctOwnr>
<!-- AccountOwner inner content -->
</AcctOwnr>
<SfkpgAcct>
<!-- SafekeepingAccount inner content -->
</SfkpgAcct>
<FinInstrmDtls>
<!-- FinancialInstrumentDetails inner content -->
</FinInstrmDtls>
<SubAcctDtls>
<!-- SubAccountDetails inner content -->
</SubAcctDtls>
</SctiesTxPstngRpt>
</Document>
Data from ISO specification
This is the technical data from the specification document.
<messageDefinition
xmi:id="_8bfoI5NLEeWGlc8L7oPDIg"
nextVersions="_pAgLY5wxEeazcsnODTksnQ"
name="SecuritiesTransactionPostingReport002V06"
definition="Scope
An account servicer sends a SecuritiesTransactionPostingReport to an account owner to provide the details of increases and decreases of holdings which occurred during a specified period, for all or selected securities in the specified safekeeping account or sub-safekeeping account which the account servicer holds for the account owner. 
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
This message may be used as a trade date based or a settlement date based statement.
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."
registrationStatus="Registered"
messageSet="_urpIICeJEeOCeO5e7islRQ"
xmlTag="SctiesTxPstngRpt"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<constraint
xmi:id="_8bfoJZNLEeWGlc8L7oPDIg"
name="FinancialInstrumentDetailsReportingRule"
definition="If StatementGeneralDetails/ActivityIndicator is TRUE (Yes) and SubAccountIndicator is FALSE (No), then FinancialInstrumentDetails must be present and Sub Account Details must be absent."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><ComplexRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="ComplexRule"><mustBe><connector>AND</connector><BooleanRule xsi:type="Absence"><leftOperand>/SubAccountDetails[*]</leftOperand></BooleanRule><BooleanRule xsi:type="Presence"><leftOperand>/FinancialInstrumentDetails[*]</leftOperand></BooleanRule></mustBe><onCondition><connector>AND</connector><BooleanRule xsi:type="EqualToValue"><leftOperand>/StatementGeneralDetails/SubAccountIndicator</leftOperand><rightOperand>false</rightOperand></BooleanRule><BooleanRule xsi:type="EqualToValue"><leftOperand>/StatementGeneralDetails/ActivityIndicator</leftOperand><rightOperand>true</rightOperand></BooleanRule></onCondition></ComplexRule></RuleDefinition>" />
<constraint
xmi:id="_8bfoJ5NLEeWGlc8L7oPDIg"
name="SubAccountDetailsFinancialInstrumentPresenceRule"
definition="If StatementGeneralDetails/ActivityIndicator is TRUE (Yes) and SubAccountIndicator is TRUE (YES), then SubAccountDetails must be present and FinancialInstrumentDetails must be absent."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><ComplexRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="ComplexRule"><mustBe><connector>AND</connector><BooleanRule xsi:type="Presence"><leftOperand>/SubAccountDetails[*]</leftOperand></BooleanRule><BooleanRule xsi:type="Absence"><leftOperand>/FinancialInstrumentDetails[*]</leftOperand></BooleanRule></mustBe><onCondition><connector>AND</connector><BooleanRule xsi:type="EqualToValue"><leftOperand>/StatementGeneralDetails/SubAccountIndicator</leftOperand><rightOperand>true</rightOperand></BooleanRule><BooleanRule xsi:type="EqualToValue"><leftOperand>/StatementGeneralDetails/ActivityIndicator</leftOperand><rightOperand>true</rightOperand></BooleanRule></onCondition></ComplexRule></RuleDefinition>" />
<constraint
xmi:id="_8bfoKZNLEeWGlc8L7oPDIg"
name="FinancialInstrumentDetailsOrSubAccountDetailsRule"
definition="If StatementGeneralDetails/ActivityIndicator is FALSE (No), then FinancialInstrumentDetails and SubAccountDetails must be absent."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><ComplexRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="ComplexRule"><mustBe><connector>AND</connector><BooleanRule xsi:type="Absence"><leftOperand>/SubAccountDetails[*]</leftOperand></BooleanRule><BooleanRule xsi:type="Absence"><leftOperand>/FinancialInstrumentDetails[*]</leftOperand></BooleanRule></mustBe><onCondition><connector>AND</connector><BooleanRule xsi:type="EqualToValue"><leftOperand>/StatementGeneralDetails/ActivityIndicator</leftOperand><rightOperand>false</rightOperand></BooleanRule></onCondition></ComplexRule></RuleDefinition>" />
<constraint
xmi:id="_8bfoK5NLEeWGlc8L7oPDIg"
name="SecuritiesMarketPracticeGroupGuideline"
definition="The Securities Market Practice Group (SMPG) has published market practice recommendations on the use of this message.
These market practices are available on www.smpg.info."
registrationStatus="Provisionally Registered" />
<messageBuildingBlock
xmi:id="_8bfoLZNLEeWGlc8L7oPDIg"
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="_8bfoL5NLEeWGlc8L7oPDIg"
name="StatementGeneralDetails"
definition="Provides general information on the report."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="StmtGnlDtls"
complexType="_8bfoPZNLEeWGlc8L7oPDIg" />
<messageBuildingBlock
xmi:id="_8bfoMZNLEeWGlc8L7oPDIg"
name="AccountOwner"
definition="Party that legally owns the account."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="AcctOwnr"
complexType="_S1zDAZjTEeW1SPbGMCLIOQ" />
<messageBuildingBlock
xmi:id="_8bfoM5NLEeWGlc8L7oPDIg"
name="SafekeepingAccount"
definition="Account to or from which a securities entry is made."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="SfkpgAcct"
complexType="_5NXfXZNLEeWGlc8L7oPDIg" />
<messageBuildingBlock
xmi:id="_8bfoNZNLEeWGlc8L7oPDIg"
name="FinancialInstrumentDetails"
definition="Reporting per financial instrument."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="FinInstrmDtls"
complexType="_8bgP2ZNLEeWGlc8L7oPDIg" />
<messageBuildingBlock
xmi:id="_8bfoN5NLEeWGlc8L7oPDIg"
name="SubAccountDetails"
definition="Details at sub-account level."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="SubAcctDtls"
complexType="_8bqnzZNLEeWGlc8L7oPDIg" />
<messageDefinitionIdentifier
businessArea="semt"
messageFunctionality="017"
flavour="002"
version="06" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.