semt.017.001.08
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
%% SecuritiesTransactionPostingReportV08 recursion level 0 with max 0
SecuritiesTransactionPostingReportV08 *-- "1..1" Pagination1 : Pagination
SecuritiesTransactionPostingReportV08 *-- "1..1" Statement61 : StatementGeneralDetails
SecuritiesTransactionPostingReportV08 *-- "0..1" PartyIdentification98 : AccountOwner
SecuritiesTransactionPostingReportV08 *-- "1..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesTransactionPostingReportV08 *-- "0..1" FinancialInstrumentDetails28 : FinancialInstrumentDetails
SecuritiesTransactionPostingReportV08 *-- "0..1" SubAccountIdentification51 : 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
%% 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
%% Statement61 recursion level 0 with max 1
class Statement61{
QueryReference IsoMax35Text
StatementIdentification IsoMax35Text
ActivityIndicator IsoYesNoIndicator
SubAccountIndicator IsoYesNoIndicator
}
Statement61 *-- "0..1" INumber3Choice : ReportNumber
Statement61 *-- "1..1" IPeriod5Choice : StatementPeriod
Statement61 *-- "0..1" IFrequency25Choice : Frequency
Statement61 *-- "0..1" IUpdateType15Choice : UpdateType
Statement61 *-- "1..1" IStatementBasis8Choice : StatementBasis
%% INumber3Choice recursion level 1 with max 1
%% IPeriod5Choice recursion level 1 with max 1
%% IFrequency25Choice recursion level 1 with max 1
%% IUpdateType15Choice recursion level 1 with max 1
%% IStatementBasis8Choice recursion level 1 with max 1
Statement61 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. | IPeriod5Choice - 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 |
| StatementBasis | Type of balance on which the statement is prepared. | IStatementBasis8Choice - 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
%% 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 |
FinancialInstrumentDetails building block
Reporting per financial instrument. Reporting per financial instrument. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% FinancialInstrumentDetails28 recursion level 0 with max 1
FinancialInstrumentDetails28 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
FinancialInstrumentDetails28 *-- "0..1" PriceInformation18 : PriceDetails
FinancialInstrumentDetails28 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
FinancialInstrumentDetails28 *-- "0..1" OpeningBalance3 : OpeningBalance
FinancialInstrumentDetails28 *-- "0..1" ClosingBalance3 : ClosingBalance
FinancialInstrumentDetails28 *-- "1..0" Transaction62 : Transaction
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
ISIN IsoISINOct2015Identifier
Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% PriceInformation18 recursion level 1 with max 1
PriceInformation18 *-- "1..1" ITypeOfPrice30Choice : Type
PriceInformation18 *-- "1..1" IYieldedOrValueType1Choice : ValueType
PriceInformation18 *-- "1..1" IPriceRateOrAmountOrUnknown2Choice : Value
PriceInformation18 *-- "0..1" MarketIdentification89 : SourceOfPrice
PriceInformation18 *-- "0..1" IDateAndDateTime2Choice : QuotationDate
%% SafeKeepingPlace1 recursion level 1 with max 1
class SafeKeepingPlace1{
LEI IsoLEIIdentifier
}
SafeKeepingPlace1 *-- "0..1" ISafekeepingPlaceFormat10Choice : SafekeepingPlaceFormat
%% OpeningBalance3 recursion level 1 with max 1
class OpeningBalance3{
ShortLongIndicator ShortLong1Code
}
OpeningBalance3 *-- "1..1" IOpeningBalance4Choice : OpeningBalance
%% ClosingBalance3 recursion level 1 with max 1
class ClosingBalance3{
ShortLongIndicator ShortLong1Code
}
ClosingBalance3 *-- "1..1" IClosingBalance4Choice : ClosingBalance
%% Transaction62 recursion level 1 with max 1
class Transaction62{
AccountOwnerTransactionIdentification IsoMax35Text
AccountServicerTransactionIdentification IsoMax35Text
MarketInfrastructureTransactionIdentification IsoMax35Text
ProcessorTransactionIdentification IsoMax35Text
TradeIdentification IsoMax35Text
PoolIdentification IsoMax35Text
CommonIdentification IsoMax35Text
CorporateActionEventIdentification IsoMax35Text
TripartyAgentServiceProviderCollateralTransactionIdentification IsoMax35Text
ClientTripartyCollateralTransactionIdentification IsoMax35Text
ClientCollateralInstructionIdentification IsoMax35Text
TripartyAgentServiceProviderCollateralInstructionIdentification IsoMax35Text
}
Transaction62 *-- "0..1" TransactionDetails103 : TransactionDetails
Transaction62 *-- "0..0" SupplementaryData1 : SupplementaryData
FinancialInstrumentDetails28 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| FinancialInstrumentIdentification | Financial instruments representing a sum of rights of the investor vis-a-vis the issuer. | SecurityIdentification19 - Required 1..1 |
| PriceDetails | Information regarding the price of the instrument. | PriceInformation18 - 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). | SafeKeepingPlace1 - Optional 0..1 |
| OpeningBalance | Opening balance for the statement period (first opening balance) or of this page (intermediary opening balance). | OpeningBalance3 - Optional 0..1 |
| ClosingBalance | Closing balance for the statement period (final closing balance) or of this page (intermediary closing balance). | ClosingBalance3 - Optional 0..1 |
| Transaction | Transaction details. | Transaction62 - 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
%% SubAccountIdentification51 recursion level 0 with max 1
class SubAccountIdentification51{
ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification51 *-- "0..1" PartyIdentification98 : AccountOwner
SubAccountIdentification51 *-- "1..1" SecuritiesAccount25 : SafekeepingAccount
SubAccountIdentification51 *-- "0..0" FinancialInstrumentDetails28 : FinancialInstrumentDetails
%% PartyIdentification98 recursion level 1 with max 1
class PartyIdentification98{
LEI IsoLEIIdentifier
}
PartyIdentification98 *-- "1..1" IPartyIdentification92Choice : Identification
%% SecuritiesAccount25 recursion level 1 with max 1
class SecuritiesAccount25{
Identification IsoMax35Text
Name IsoMax70Text
}
SecuritiesAccount25 *-- "0..1" IPurposeCode7Choice : Type
%% FinancialInstrumentDetails28 recursion level 1 with max 1
FinancialInstrumentDetails28 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
FinancialInstrumentDetails28 *-- "0..1" PriceInformation18 : PriceDetails
FinancialInstrumentDetails28 *-- "0..1" SafeKeepingPlace1 : SafekeepingPlace
FinancialInstrumentDetails28 *-- "0..1" OpeningBalance3 : OpeningBalance
FinancialInstrumentDetails28 *-- "0..1" ClosingBalance3 : ClosingBalance
FinancialInstrumentDetails28 *-- "1..0" Transaction62 : Transaction
SubAccountIdentification51 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| AccountOwner | Party that legally owns the account. | PartyIdentification98 - Optional 0..1 |
| SafekeepingAccount | Account to or from which a securities entry is made. | SecuritiesAccount25 - 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. | FinancialInstrumentDetails28 - Unknown 0..0 |
Extensibility and generalization considerations
To facilitate generalized design patterns in the system, the SecuritiesTransactionPostingReportV08 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPostingReportV08 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPostingReportV08Document implements IOuterDocument. Because SecuritiesTransactionPostingReportV08 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPostingReportV08.
classDiagram
class IOuterRecord
SecuritiesTransactionPostingReportV08 --|> IOuterRecord : Implements
SecuritiesTransactionPostingReportV08Document --|> IOuterDocument~SecuritiesTransactionPostingReportV08~ : Implements
class IOuterDocument~SecuritiesTransactionPostingReportV08~ {
SecuritiesTransactionPostingReportV08 Message
}
Document wrapper for serialization
The only real purpose SecuritiesTransactionPostingReportV08Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.017.001.08’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPostingReportV08.ToDocument() method. The returned SecuritiesTransactionPostingReportV08Document value will serialize correctly according to ISO 20022 standards.
classDiagram
SecuritiesTransactionPostingReportV08Document *-- SecuritiesTransactionPostingReportV08 : 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.017.001.08">
<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="_BjQKEaN-EeeNVLC-L_hywg"
nextVersions="_rrd-MdBnEeihG9bKfarOOA"
previousVersion="_V8fAcW6VEeat2-NFbXd1Pw"
name="SecuritiesTransactionPostingReportV08"
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="_BjQKE6N-EeeNVLC-L_hywg"
nextVersions="_rrd-M9BnEeihG9bKfarOOA"
previousVersion="_V8fAc26VEeat2-NFbXd1Pw"
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="_BjQKFaN-EeeNVLC-L_hywg"
nextVersions="_rrd-NdBnEeihG9bKfarOOA"
previousVersion="_V8fAdW6VEeat2-NFbXd1Pw"
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="_BjQKF6N-EeeNVLC-L_hywg"
nextVersions="_rrd-N9BnEeihG9bKfarOOA"
previousVersion="_V8fAd26VEeat2-NFbXd1Pw"
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="_BjQKGaN-EeeNVLC-L_hywg"
nextVersions="_rrd-OdBnEeihG9bKfarOOA"
previousVersion="_V8fAeW6VEeat2-NFbXd1Pw"
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="_BjQKG6N-EeeNVLC-L_hywg"
nextVersions="_rrd-O9BnEeihG9bKfarOOA"
previousVersion="_V8fAe26VEeat2-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="_BjQKHaN-EeeNVLC-L_hywg"
nextVersions="_rrd-PdBnEeihG9bKfarOOA"
previousVersion="_V8fAfW6VEeat2-NFbXd1Pw"
name="StatementGeneralDetails"
definition="Provides general information on the report."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="StmtGnlDtls"
complexType="_XEt3Qa3NEeey8N0JWnVPUw" />
<messageBuildingBlock
xmi:id="_BjQKH6N-EeeNVLC-L_hywg"
nextVersions="_rrd-P9BnEeihG9bKfarOOA"
previousVersion="_V8fAf26VEeat2-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="_BjQKIaN-EeeNVLC-L_hywg"
nextVersions="_rrd-QdBnEeihG9bKfarOOA"
previousVersion="_V8fAgW6VEeat2-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="_BjQKI6N-EeeNVLC-L_hywg"
nextVersions="_rrd-Q9BnEeihG9bKfarOOA"
previousVersion="_V8fAg26VEeat2-NFbXd1Pw"
name="FinancialInstrumentDetails"
definition="Reporting per financial instrument."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="FinInstrmDtls"
complexType="_v--6saOAEeeDTpy0mhI4TQ" />
<messageBuildingBlock
xmi:id="_BjQKJaN-EeeNVLC-L_hywg"
nextVersions="_rrd-RdBnEeihG9bKfarOOA"
previousVersion="_V8fAhW6VEeat2-NFbXd1Pw"
name="SubAccountDetails"
definition="Details at sub-account level."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="SubAcctDtls"
complexType="_zBu6HaOAEeeDTpy0mhI4TQ" />
<messageDefinitionIdentifier
businessArea="semt"
messageFunctionality="017"
flavour="001"
version="08" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.