SecuritiesTransactionPostingReportV05

semt.017.001.05

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
%% SecuritiesTransactionPostingReportV05 recursion level 0 with max 0
SecuritiesTransactionPostingReportV05 *-- "1..1" Pagination : Pagination
SecuritiesTransactionPostingReportV05 *-- "1..1" Statement11 : StatementGeneralDetails
SecuritiesTransactionPostingReportV05 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesTransactionPostingReportV05 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesTransactionPostingReportV05 *-- "0..1" FinancialInstrumentDetails17 : FinancialInstrumentDetails
SecuritiesTransactionPostingReportV05 *-- "0..1" SubAccountIdentification34 : 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

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

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

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

FinancialInstrumentDetails building block

Reporting per financial instrument. Reporting per financial instrument. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% FinancialInstrumentDetails17 recursion level 0 with max 1
FinancialInstrumentDetails17 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
FinancialInstrumentDetails17 *-- "0..1" PriceInformation6 : PriceDetails
FinancialInstrumentDetails17 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
FinancialInstrumentDetails17 *-- "0..1" OpeningBalance1 : OpeningBalance
FinancialInstrumentDetails17 *-- "0..1" ClosingBalance1 : ClosingBalance
FinancialInstrumentDetails17 *-- "1..0" Transaction36 : 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
%% Transaction36 recursion level 1 with max 1
class Transaction36{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
    TripartyAgentCollateralTransactionIdentification IsoMax35Text
    ClientTripartyCollateralTransactionIdentification IsoMax35Text
    ClientCollateralInstructionIdentification IsoMax35Text
    TripartyCollateralInstructionIdentification IsoMax35Text
}
Transaction36 *-- "0..1" TransactionDetails63 : TransactionDetails
Transaction36 *-- "0..0" SupplementaryData1 : SupplementaryData
  

FinancialInstrumentDetails17 members

SubAccountDetails building block

Details at sub-account level. Sub-account reporting. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SubAccountIdentification34 recursion level 0 with max 1
class SubAccountIdentification34{
    ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification34 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SubAccountIdentification34 *-- "1..1" SecuritiesAccount14 : SafekeepingAccount
SubAccountIdentification34 *-- "0..0" FinancialInstrumentDetails17 : 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
%% FinancialInstrumentDetails17 recursion level 1 with max 1
FinancialInstrumentDetails17 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
FinancialInstrumentDetails17 *-- "0..1" PriceInformation6 : PriceDetails
FinancialInstrumentDetails17 *-- "0..1" ISafekeepingPlaceFormat3Choice : SafekeepingPlace
FinancialInstrumentDetails17 *-- "0..1" OpeningBalance1 : OpeningBalance
FinancialInstrumentDetails17 *-- "0..1" ClosingBalance1 : ClosingBalance
FinancialInstrumentDetails17 *-- "1..0" Transaction36 : Transaction
  

SubAccountIdentification34 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesTransactionPostingReportV05 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPostingReportV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPostingReportV05Document implements IOuterDocument. Because SecuritiesTransactionPostingReportV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPostingReportV05.

classDiagram
    class IOuterRecord
    SecuritiesTransactionPostingReportV05 --|> IOuterRecord : Implements
    SecuritiesTransactionPostingReportV05Document --|> IOuterDocument~SecuritiesTransactionPostingReportV05~ : Implements
    class IOuterDocument~SecuritiesTransactionPostingReportV05~ {
        SecuritiesTransactionPostingReportV05 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesTransactionPostingReportV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.017.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPostingReportV05.ToDocument() method. The returned SecuritiesTransactionPostingReportV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionPostingReportV05Document *-- SecuritiesTransactionPostingReportV05 : 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.017.001.05">
    <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="_6IMaISRLEeON6sEIseGaUg"
  nextVersions="_YSWIqQCTEeW_3KiG8SEjHA"
  previousVersion="_5v2g0QxzEeKMmbvHOtE4SA"
  name="SecuritiesTransactionPostingReportV05"
  definition="Scope&#xA;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. &#xA;The account servicer/owner relationship may be:&#xA;- a central securities depository or another settlement market infrastructure acting on behalf of their participants&#xA;- an agent (sub-custodian) acting on behalf of their global custodian customer, or &#xA;- a custodian acting on behalf of an investment management institution or a broker/dealer.&#xA;&#xA;Usage&#xA;This message may be used as a trade date based or a settlement date based statement.&#xA;The message may also be used to: &#xA;- re-send a message previously sent,&#xA;- provide a third party with a copy of a message for information,&#xA;- re-send to a third party a copy of a message for information&#xA;using the relevant elements in the Business Application Header.&#xA;&#xA;ISO 15022 - 20022 Coexistence&#xA;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="_6IMaIyRLEeON6sEIseGaUg"
    nextVersions="_YSWIqwCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g0wxzEeKMmbvHOtE4SA"
    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="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/SubAccountDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/FinancialInstrumentDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/SubAccountIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;false&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/ActivityIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;true&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_6IMaJSRLEeON6sEIseGaUg"
    nextVersions="_YSWIrQCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g1wxzEeKMmbvHOtE4SA"
    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="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/SubAccountDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/FinancialInstrumentDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/SubAccountIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;true&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/ActivityIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;true&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_6IMaJyRLEeON6sEIseGaUg"
    nextVersions="_YSWIrwCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g2wxzEeKMmbvHOtE4SA"
    name="FinancialInstrumentDetailsOrSubAccountDetailsRule"
    definition="If StatementGeneralDetails/ActivityIndicator is FALSE (No), then FinancialInstrumentDetails and SubAccountDetails must be absent."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/SubAccountDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/FinancialInstrumentDetails[*]&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;EqualToValue&quot;&gt;&lt;leftOperand&gt;/StatementGeneralDetails/ActivityIndicator&lt;/leftOperand&gt;&lt;rightOperand&gt;false&lt;/rightOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_6IMaKSRLEeON6sEIseGaUg"
    previousVersion="_5v2g3wxzEeKMmbvHOtE4SA"
    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="_6IMaKyRLEeON6sEIseGaUg"
    previousVersion="_5v2g4wxzEeKMmbvHOtE4SA"
    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="_6IMaLSRLEeON6sEIseGaUg"
    nextVersions="_YSWItQCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g5wxzEeKMmbvHOtE4SA"
    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="_6IMaLyRLEeON6sEIseGaUg"
    nextVersions="_YSWItwCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g6wxzEeKMmbvHOtE4SA"
    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="_6IMaMSRLEeON6sEIseGaUg"
    nextVersions="_YSWIuQCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g7wxzEeKMmbvHOtE4SA"
    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="_6IMaMyRLEeON6sEIseGaUg"
    nextVersions="_YSWIuwCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g8wxzEeKMmbvHOtE4SA"
    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="_6IMaNSRLEeON6sEIseGaUg"
    nextVersions="_YSWIvQCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g9wxzEeKMmbvHOtE4SA"
    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="_6IMaNyRLEeON6sEIseGaUg"
    nextVersions="_YSWIvwCTEeW_3KiG8SEjHA"
    previousVersion="_5v2g-wxzEeKMmbvHOtE4SA"
    name="FinancialInstrumentDetails"
    definition="Reporting per financial instrument."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="FinInstrmDtls"
    complexType="_I7h_gyW8EeOslcz0TJwprQ" />
  <messageBuildingBlock
    xmi:id="_6IMaOSRLEeON6sEIseGaUg"
    nextVersions="_YSWIwQCTEeW_3KiG8SEjHA"
    previousVersion="_5v2hAwxzEeKMmbvHOtE4SA"
    name="SubAccountDetails"
    definition="Details at sub-account level."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SubAcctDtls"
    complexType="_IjR3cSW8EeOslcz0TJwprQ" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="017"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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