semt.017.001.03
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. 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
%% SecuritiesTransactionPostingReportV03 recursion level 0 with max 0
SecuritiesTransactionPostingReportV03 *-- "1..1" Pagination : Pagination
SecuritiesTransactionPostingReportV03 *-- "1..1" Statement11 : StatementGeneralDetails
SecuritiesTransactionPostingReportV03 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesTransactionPostingReportV03 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesTransactionPostingReportV03 *-- "0..1" FinancialInstrumentDetails9 : FinancialInstrumentDetails
SecuritiesTransactionPostingReportV03 *-- "0..1" SubAccountIdentification21 : 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
%% Statement11 recursion level 0 with max 1
class Statement11{
QueryReference IsoMax35Text
StatementIdentification IsoMax35Text
ActivityIndicator IsoYesNoIndicator
SubAccountIndicator IsoYesNoIndicator
}
Statement11 *-- "0..1" INumber3Choice : ReportNumber
Statement11 *-- "1..1" IPeriod2Choice : StatementPeriod
Statement11 *-- "0..1" IFrequency4Choice : Frequency
Statement11 *-- "0..1" IUpdateType2Choice : UpdateType
Statement11 *-- "1..1" IStatementBasis2Choice : StatementBasis
%% INumber3Choice recursion level 1 with max 1
%% IPeriod2Choice recursion level 1 with max 1
%% IFrequency4Choice recursion level 1 with max 1
%% IUpdateType2Choice recursion level 1 with max 1
%% IStatementBasis2Choice recursion level 1 with max 1
Statement11 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. | IsoMax35Text - Optional 0..1 |
| StatementIdentification | Reference common to all pages of a statement. | IsoMax35Text - Optional 0..1 |
| StatementPeriod | Period for the statement. | IPeriod2Choice - Required 1..1 |
| Frequency | Frequency of the statement. | IFrequency4Choice - Optional 0..1 |
| UpdateType | Indicates whether the statement is complete or contains changes only. | IUpdateType2Choice - Optional 0..1 |
| StatementBasis | Type of balance on which the statement is prepared. | IStatementBasis2Choice - 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. 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
| Member name | Description | Data Type / Multiplicity |
|---|
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
| 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. | GenericIdentification20 - 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
%% FinancialInstrumentDetails9 recursion level 0 with max 1
FinancialInstrumentDetails9 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
FinancialInstrumentDetails9 *-- "0..1" PriceInformation6 : PriceDetails
FinancialInstrumentDetails9 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
FinancialInstrumentDetails9 *-- "0..1" OpeningBalance1 : OpeningBalance
FinancialInstrumentDetails9 *-- "0..1" ClosingBalance1 : ClosingBalance
FinancialInstrumentDetails9 *-- "1..0" Transaction18 : Transaction
%% SecurityIdentification14 recursion level 1 with max 1
class SecurityIdentification14{
ISIN IsoISINIdentifier
Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification
%% PriceInformation6 recursion level 1 with max 1
PriceInformation6 *-- "1..1" ITypeOfPrice6Choice : Type
PriceInformation6 *-- "1..1" IYieldedOrValueType1Choice : ValueType
PriceInformation6 *-- "1..1" IPriceRateOrAmountOrUnknownChoice : Value
PriceInformation6 *-- "0..1" MarketIdentification6 : SourceOfPrice
PriceInformation6 *-- "0..1" IDateAndDateTimeChoice : QuotationDate
%% ISafekeepingPlaceFormat3Choice recursion level 1 with max 1
%% OpeningBalance1 recursion level 1 with max 1
class OpeningBalance1{
ShortLongIndicator ShortLong1Code
}
OpeningBalance1 *-- "1..1" IOpeningBalance1Choice : OpeningBalance
%% ClosingBalance1 recursion level 1 with max 1
class ClosingBalance1{
ShortLongIndicator ShortLong1Code
}
ClosingBalance1 *-- "1..1" IClosingBalance1Choice : ClosingBalance
%% Transaction18 recursion level 1 with max 1
class Transaction18{
AccountOwnerTransactionIdentification IsoMax35Text
AccountServicerTransactionIdentification IsoMax35Text
MarketInfrastructureTransactionIdentification IsoMax35Text
ProcessorTransactionIdentification IsoMax35Text
TradeIdentification IsoMax35Text
PoolIdentification IsoMax35Text
CommonIdentification IsoMax35Text
CorporateActionEventIdentification IsoMax35Text
TripartyAgentCollateralTransactionIdentification IsoMax35Text
ClientTripartyCollateralTransactionIdentification IsoMax35Text
}
Transaction18 *-- "0..1" TransactionDetails37 : TransactionDetails
Transaction18 *-- "0..0" SupplementaryData1 : SupplementaryData
FinancialInstrumentDetails9 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| FinancialInstrumentIdentification | Financial instruments representing a sum of rights of the investor vis-a-vis the issuer. | SecurityIdentification14 - Required 1..1 |
| PriceDetails | Information regarding the price of the instrument. | PriceInformation6 - 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). | ISafekeepingPlaceFormat3Choice - Optional 0..1 |
| OpeningBalance | Opening balance for the statement period (first opening balance) or of this page (intermediary opening balance). | OpeningBalance1 - Optional 0..1 |
| ClosingBalance | Closing balance for the statement period (final closing balance) or of this page (intermediary closing balance). | ClosingBalance1 - Optional 0..1 |
| Transaction | Transaction details. | Transaction18 - Unknown 1..0 |
SubAccountDetails building block
Details at sub-account level. Sub-account reporting. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% SubAccountIdentification21 recursion level 0 with max 1
class SubAccountIdentification21{
ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification21 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SubAccountIdentification21 *-- "1..1" SecuritiesAccount14 : SafekeepingAccount
SubAccountIdentification21 *-- "0..0" FinancialInstrumentDetails9 : FinancialInstrumentDetails
%% IPartyIdentification36Choice recursion level 1 with max 1
%% SecuritiesAccount14 recursion level 1 with max 1
class SecuritiesAccount14{
Identification IsoMax35Text
Name IsoMax70Text
}
SecuritiesAccount14 *-- "0..1" IPurposeCode2Choice : Type
%% FinancialInstrumentDetails9 recursion level 1 with max 1
FinancialInstrumentDetails9 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
FinancialInstrumentDetails9 *-- "0..1" PriceInformation6 : PriceDetails
FinancialInstrumentDetails9 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
FinancialInstrumentDetails9 *-- "0..1" OpeningBalance1 : OpeningBalance
FinancialInstrumentDetails9 *-- "0..1" ClosingBalance1 : ClosingBalance
FinancialInstrumentDetails9 *-- "1..0" Transaction18 : Transaction
SubAccountIdentification21 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| AccountOwner | Party that legally owns the account. | IPartyIdentification36Choice - Optional 0..1 |
| SafekeepingAccount | Account to or from which a securities entry is made. | SecuritiesAccount14 - 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. | FinancialInstrumentDetails9 - Unknown 0..0 |
Extensibility and generalization considerations
To facilitate generalized design patterns in the system, the SecuritiesTransactionPostingReportV03 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPostingReportV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPostingReportV03Document implements IOuterDocument. Because SecuritiesTransactionPostingReportV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPostingReportV03.
classDiagram
class IOuterRecord
SecuritiesTransactionPostingReportV03 --|> IOuterRecord : Implements
SecuritiesTransactionPostingReportV03Document --|> IOuterDocument~SecuritiesTransactionPostingReportV03~ : Implements
class IOuterDocument~SecuritiesTransactionPostingReportV03~ {
SecuritiesTransactionPostingReportV03 Message
}
Document wrapper for serialization
The only real purpose SecuritiesTransactionPostingReportV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.017.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPostingReportV03.ToDocument() method. The returned SecuritiesTransactionPostingReportV03Document value will serialize correctly according to ISO 20022 standards.
classDiagram
SecuritiesTransactionPostingReportV03Document *-- SecuritiesTransactionPostingReportV03 : 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.017.001.03">
<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="_W2xsQfvLEeCBQp5TnX1XKQ"
nextVersions="_5v2g0QxzEeKMmbvHOtE4SA"
previousVersion="_oO6-EdtYEd-RF5yaMAVhAw"
name="SecuritiesTransactionPostingReportV03"
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.
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”."
registrationStatus="Registered"
messageSet="_urpIICeJEeOCeO5e7islRQ"
xmlTag="SctiesTxPstngRpt"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<constraint
xmi:id="_W2xsRfvLEeCBQp5TnX1XKQ"
name="FinancialInstrumentDetailsReportingRule"
definition="If StatementGeneralDetails/ActivityIndicator is TRUE (Yes) and SubAccountIndicator is FALSE (No), then FinancialInstrumentDetails must be present."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><ComplexRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="ComplexRule"><mustBe><connector>OR</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="_W2xsSfvLEeCBQp5TnX1XKQ"
name="SubAccountReportingRule"
definition="If StatementGeneralDetails/ActivityIndicator is TRUE (Yes) and SubAccountIndicator is TRUE (YES), then SubAccountDetails must be present."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><ComplexRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="ComplexRule"><mustBe><connector>OR</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="_W2xsTfvLEeCBQp5TnX1XKQ"
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="_W2xsUfvLEeCBQp5TnX1XKQ"
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="_W2xsVfvLEeCBQp5TnX1XKQ"
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="_W2xsWfvLEeCBQp5TnX1XKQ"
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="_W2xsXfvLEeCBQp5TnX1XKQ"
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="_W2xsYfvLEeCBQp5TnX1XKQ"
name="StatementGeneralDetails"
definition="Provides general information on the report."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="StmtGnlDtls"
complexType="_QqNYqNp-Ed-ak6NoX_4Aeg_1581649258" />
<messageBuildingBlock
xmi:id="_W2xsZfvLEeCBQp5TnX1XKQ"
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="_W2xsafvLEeCBQp5TnX1XKQ"
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="_W2xsbfvLEeCBQp5TnX1XKQ"
name="FinancialInstrumentDetails"
definition="Reporting per financial instrument."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="FinInstrmDtls"
complexType="_PlRZQfvmEeCBQp5TnX1XKQ" />
<messageBuildingBlock
xmi:id="_W2xsdfvLEeCBQp5TnX1XKQ"
name="SubAccountDetails"
definition="Details at sub-account level."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="SubAcctDtls"
complexType="_PlalT_vmEeCBQp5TnX1XKQ" />
<messageDefinitionIdentifier
businessArea="semt"
messageFunctionality="017"
flavour="001"
version="03" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.