StatementOfInvestmentFundTransactions

semt.006.001.01

Scope The StatementOfInvestmentFundTransactions is sent by an account servicer to the account owner or the account owner’s designated agent. The account servicer may be a fund administrator or fund intermediary, trustee or registrar. This message provides the details of increases and decreases of holdings which occurred during a specified period. This message can also be used for information purposes, eg, tax information. Usage The StatementOfInvestmentFundTransactions message can be sent:

At a frequency agreed bi-laterally between the Sender and the Receiver and/or
As a response to a request for statement sent by the account owner. The StatementOfInvestmentFundTransactions message can only be used to list the transactions of a single (master) account. However, it is possible to break down these transactions into one or several sub-accounts. Therefore, the message can be used to either specify transactions at
the main account level, or
the sub-account level. This message must not be used in place of confirmation messages. Since a SWIFT message as sent is restricted to the maximum input message length, several messages may be needed to accommodate all the information.

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
%% StatementOfInvestmentFundTransactions recursion level 0 with max 0
StatementOfInvestmentFundTransactions *-- "0..1" AdditionalReference2 : PreviousReference
StatementOfInvestmentFundTransactions *-- "0..1" AdditionalReference2 : RelatedReference
StatementOfInvestmentFundTransactions *-- "1..1" Pagination : MessagePagination
StatementOfInvestmentFundTransactions *-- "1..1" Statement5 : StatementGeneralDetails
StatementOfInvestmentFundTransactions *-- "1..1" InvestmentAccount12 : InvestmentAccountDetails
StatementOfInvestmentFundTransactions *-- "0..1" InvestmentFundTransactionsByFund1 : TransactionOnAccount
StatementOfInvestmentFundTransactions *-- "0..1" SubAccountIdentification4 : SubAccountDetails
StatementOfInvestmentFundTransactions *-- "0..1" Extension1 : Extension

Now, we will zero-in one-by-one on each of these building blocks.

PreviousReference building block

Reference to a linked message that was previously sent. References a related message or provides another reference, such as a pool reference, linking a set of messages. The party which issued the related reference may be the Sender of the referenced message or a party other than the Sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalReference2 recursion level 0 with max 1
class AdditionalReference2{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference2 *-- "0..1" IPartyIdentification1Choice : ReferenceIssuer
%% IPartyIdentification1Choice recursion level 1 with max 1

AdditionalReference2 members

Member name	Description	Data Type / Multiplicity
Reference	Business reference of a message assigned by the party issuing the message. This reference must be unique amongst all messages of the same name sent by the same party.	IsoMax35Text - Required 1..1
ReferenceIssuer	Issuer of the reference.	IPartyIdentification1Choice - Optional 0..1
MessageName	Name of a message.	IsoMax35Text - Optional 0..1

RelatedReference building block

Reference to a linked message that was previously received. References a related message or provides another reference, such as a pool reference, linking a set of messages. The party which issued the related reference may be the Sender of the referenced message or a party other than the Sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalReference2 recursion level 0 with max 1
class AdditionalReference2{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference2 *-- "0..1" IPartyIdentification1Choice : ReferenceIssuer
%% IPartyIdentification1Choice recursion level 1 with max 1

AdditionalReference2 members

Member name	Description	Data Type / Multiplicity
Reference	Business reference of a message assigned by the party issuing the message. This reference must be unique amongst all messages of the same name sent by the same party.	IsoMax35Text - Required 1..1
ReferenceIssuer	Issuer of the reference.	IPartyIdentification1Choice - Optional 0..1
MessageName	Name of a message.	IsoMax35Text - Optional 0..1

MessagePagination building block

Pagination of the message. 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

General information related to the investment fund statement of transactions. General characteristics related to a statement which reports information for a defined period. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Statement5 recursion level 0 with max 1
class Statement5{
    Reference IsoMax35Text
    Frequency Frequency1Code
    UpdateType StatementUpdateTypeCode
    ActivityIndicator IsoYesNoIndicator
    ReportNumber IsoMax5NumericText
}
Statement5 *-- "1..1" DatePeriodDetails : StatementPeriod
Statement5 *-- "0..1" IDateAndDateTimeChoice : CreationDateTime
%% DatePeriodDetails recursion level 1 with max 1
class DatePeriodDetails{
    FromDate IsoISODate
    ToDate IsoISODate
}
%% IDateAndDateTimeChoice recursion level 1 with max 1

Statement5 members

Member name	Description	Data Type / Multiplicity
Reference	Reference of the statement.	IsoMax35Text - Required 1..1
StatementPeriod	Period on which the statement is reporting.	DatePeriodDetails - Required 1..1
CreationDateTime	Creation date of the statement.	IDateAndDateTimeChoice - Optional 0..1
Frequency	Frequency of the statement.	Frequency1Code - Optional 0..1
UpdateType	Specifies if the statement is complete or only contains changes.	StatementUpdateTypeCode - Required 1..1
ActivityIndicator	Indicates whether there is activity reported in the statement.	IsoYesNoIndicator - Required 1..1
ReportNumber	Sequential number of the statement.	IsoMax5NumericText - Optional 0..1

InvestmentAccountDetails building block

Information related to an investment account. Account between an investor(s) and a fund manager or a fund. The account can contain holdings in any investment fund or investment fund class managed (or distributed) by the fund manager, within the same fund family. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% InvestmentAccount12 recursion level 0 with max 1
class InvestmentAccount12{
    Name IsoMax35Text
    Designation IsoMax35Text
}
InvestmentAccount12 *-- "1..1" AccountIdentification1 : Identification
InvestmentAccount12 *-- "0..10" Intermediary1 : IntermediaryInformation
InvestmentAccount12 *-- "0..1" IPartyIdentification1Choice : AccountServicer
%% AccountIdentification1 recursion level 1 with max 1
AccountIdentification1 *-- "1..1" SimpleIdentificationInformation : Proprietary
%% Intermediary1 recursion level 1 with max 1
class Intermediary1{
    Role IsoMax35Text
}
Intermediary1 *-- "1..1" IPartyIdentification1Choice : Identification
Intermediary1 *-- "0..1" Account1 : Account
%% IPartyIdentification1Choice recursion level 1 with max 1

InvestmentAccount12 members

Member name	Description	Data Type / Multiplicity
Identification	Unique and unambiguous identification for the account between the account owner and the account servicer.	AccountIdentification1 - Required 1..1
Name	Name of the account. It provides an additional means of identification, and is designated by the account servicer in agreement with the account owner.	IsoMax35Text - Optional 0..1
Designation	Supplementary registration information applying to a specific block of units for dealing and reporting purposes. The supplementary registration information may be used when all the units are registered, for example, to a funds supermarket, but holdings for each investor have to reconciled individually.	IsoMax35Text - Optional 0..1
IntermediaryInformation	Party that provides services relating to financial products to investors, eg, advice on products and placement of orders for the investment fund.	Intermediary1 - Collection 0..10
AccountServicer	Party that manages the account on behalf of the account owner, that is manages the registration and booking of entries on the account, calculates balances on the account and provides information about the account.	IPartyIdentification1Choice - Optional 0..1

TransactionOnAccount building block

Creation/cancellation of investment units on the books of the fund or its designated agent, as a result of executing an investment fund order. Investment fund transactions for a specific financial instrument. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% InvestmentFundTransactionsByFund1 recursion level 0 with max 1
class InvestmentFundTransactionsByFund1{
    Name IsoMax350Text
    SupplementaryIdentification IsoMax35Text
    Form FormOfSecurity1Code
    ClassType IsoMax35Text
    DistributionPolicy DistributionPolicy1Code
}
InvestmentFundTransactionsByFund1 *-- "1..1" ISecurityIdentification1Choice : Identification
InvestmentFundTransactionsByFund1 *-- "1..0" InvestmentFundTransaction2 : TransactionDetails
InvestmentFundTransactionsByFund1 *-- "0..1" PaginationBalance1 : BalanceByPage
%% ISecurityIdentification1Choice recursion level 1 with max 1
%% InvestmentFundTransaction2 recursion level 1 with max 1
class InvestmentFundTransaction2{
    BookingStatus TransactionStatus1Code
    MasterReference IsoMax35Text
    OrderReference IsoMax35Text
    DealReference IsoMax35Text
    LegIdentification IsoMax35Text
    LegExecutionIdentification IsoMax35Text
    OrderDateTime IsoISODateTime
    SettledTransactionIndicator IsoYesNoIndicator
    RegisteredTransactionIndicator IsoYesNoIndicator
    CreditDebit CreditDebitCode
    Reversal ReversalCode
    GrossSettlementAmount IsoActiveCurrencyAndAmount
    SettlementDate IsoISODate
    CumDividendIndicator IsoYesNoIndicator
    PartiallyExecutedIndicator IsoYesNoIndicator
}
InvestmentFundTransaction2 *-- "1..1" ITransactionType1CodeChoice : TransactionType
InvestmentFundTransaction2 *-- "1..1" ICorporateActionEventType1CodeChoice : CorporateActionEventType
InvestmentFundTransaction2 *-- "1..1" FinancialInstrumentQuantity1 : UnitsQuantity
InvestmentFundTransaction2 *-- "1..1" IDateAndDateTimeChoice : TradeDateTime
InvestmentFundTransaction2 *-- "0..1" UnitPrice1 : PriceDetails
%% PaginationBalance1 recursion level 1 with max 1
PaginationBalance1 *-- "0..1" FinancialInstrumentQuantity1 : FirstOpeningBalance
PaginationBalance1 *-- "0..1" FinancialInstrumentQuantity1 : IntermediaryOpeningBalance
PaginationBalance1 *-- "0..1" FinancialInstrumentQuantity1 : FinalClosingBalance
PaginationBalance1 *-- "0..1" FinancialInstrumentQuantity1 : IntermediaryClosingBalance

InvestmentFundTransactionsByFund1 members

Member name	Description	Data Type / Multiplicity
Identification	Identification of a security by an ISIN.	ISecurityIdentification1Choice - Required 1..1
Name	Name of the financial instrument in free format text.	IsoMax350Text - Optional 0..1
SupplementaryIdentification	Additional information about a financial instrument to help identify the instrument.	IsoMax35Text - Optional 0..1
Form	Specifies the form, ie, ownership, of the security.	FormOfSecurity1Code - Optional 0..1
ClassType	Features of units offered by a fund. For example, a unit may have a specific load structure, eg, front end or back end, an income policy, eg, pay out or accumulate, or a trailer policy, eg, with or without. Fund classes are typically denoted by a single character, eg, ‘Class A’, ‘Class 2’.	IsoMax35Text - Optional 0..1
DistributionPolicy	Income policy relating to a class type, ie, if income is paid out or retained in the fund.	DistributionPolicy1Code - Optional 0..1
TransactionDetails	Process of buying, selling, switching or transferring fund units.	InvestmentFundTransaction2 - Unknown 1..0
BalanceByPage	Balance of the financial instrument for this specific statement page.	PaginationBalance1 - Optional 0..1

SubAccountDetails building block

The sub-account of the safekeeping or investment account. Business relationship between two entities; one entity is the account owner, the other entity is the account servicer. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SubAccountIdentification4 recursion level 0 with max 1
class SubAccountIdentification4{
    ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification4 *-- "1..1" IAccountIdentificationFormatChoice : Identification
SubAccountIdentification4 *-- "0..0" InvestmentFundTransactionsByFund1 : TransactionOnSubAccount
%% IAccountIdentificationFormatChoice recursion level 1 with max 1
%% InvestmentFundTransactionsByFund1 recursion level 1 with max 1
class InvestmentFundTransactionsByFund1{
    Name IsoMax350Text
    SupplementaryIdentification IsoMax35Text
    Form FormOfSecurity1Code
    ClassType IsoMax35Text
    DistributionPolicy DistributionPolicy1Code
}
InvestmentFundTransactionsByFund1 *-- "1..1" ISecurityIdentification1Choice : Identification
InvestmentFundTransactionsByFund1 *-- "1..0" InvestmentFundTransaction2 : TransactionDetails
InvestmentFundTransactionsByFund1 *-- "0..1" PaginationBalance1 : BalanceByPage

SubAccountIdentification4 members

Member name	Description	Data Type / Multiplicity
Identification	Unique and unambiguous identification for the account between the account owner and the account servicer.	IAccountIdentificationFormatChoice - Required 1..1
ActivityIndicator	Indicates whether there is activity reported in the statement.	IsoYesNoIndicator - Required 1..1
TransactionOnSubAccount	Creation/cancellation of investment units on the books of the fund or its designated agent, as a result of executing an investment fund order.	InvestmentFundTransactionsByFund1 - Unknown 0..0

Extension building block

Additional information that cannot be captured in the structured elements and/or any other specific block. Additional information that can not be captured in the structured fields and/or any other specific block. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Extension1 recursion level 0 with max 1
class Extension1{
    PlaceAndName IsoMax350Text
    Text IsoMax350Text
}

Extension1 members

Member name	Description	Data Type / Multiplicity
PlaceAndName	Name qualifying the information provided in the Text field, and place where this information should be inserted.	IsoMax350Text - Required 1..1
Text	Text of the extension.	IsoMax350Text - Required 1..1

Extensibility and generalization considerations

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

classDiagram
    class IOuterRecord
    StatementOfInvestmentFundTransactions --|> IOuterRecord : Implements
    StatementOfInvestmentFundTransactionsDocument --|> IOuterDocument~StatementOfInvestmentFundTransactions~ : Implements
    class IOuterDocument~StatementOfInvestmentFundTransactions~ {
        StatementOfInvestmentFundTransactions Message
     }

Document wrapper for serialization

The only real purpose StatementOfInvestmentFundTransactionsDocument serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.006.001.01’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using StatementOfInvestmentFundTransactions.ToDocument() method. The returned StatementOfInvestmentFundTransactionsDocument value will serialize correctly according to ISO 20022 standards.

classDiagram
    StatementOfInvestmentFundTransactionsDocument *-- StatementOfInvestmentFundTransactions : 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.006.001.01">
    <semt.006.001.01>
        <PrvsRef>
            <!-- PreviousReference inner content -->
        </PrvsRef>
        <RltdRef>
            <!-- RelatedReference inner content -->
        </RltdRef>
        <MsgPgntn>
            <!-- MessagePagination inner content -->
        </MsgPgntn>
        <StmtGnlDtls>
            <!-- StatementGeneralDetails inner content -->
        </StmtGnlDtls>
        <InvstmtAcctDtls>
            <!-- InvestmentAccountDetails inner content -->
        </InvstmtAcctDtls>
        <TxOnAcct>
            <!-- TransactionOnAccount inner content -->
        </TxOnAcct>
        <SubAcctDtls>
            <!-- SubAccountDetails inner content -->
        </SubAcctDtls>
        <Xtnsn>
            <!-- Extension inner content -->
        </Xtnsn>
    </semt.006.001.01>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_MXrQa9FSEd-BzquC8wXy7w_1518243761"
  nextVersions="_MccbotFSEd-BzquC8wXy7w_1866614208"
  name="StatementOfInvestmentFundTransactions"
  definition="Scope&#xD;&#xA;The StatementOfInvestmentFundTransactions is sent by an account servicer to the account owner or the account owner's designated agent. The account servicer may be a fund administrator or fund intermediary, trustee or registrar.&#xD;&#xA;This message provides the details of increases and decreases of holdings which occurred during a specified period.&#xD;&#xA;This message can also be used for information purposes, eg, tax information.&#xD;&#xA;Usage&#xD;&#xA;The StatementOfInvestmentFundTransactions message can be sent:&#xD;&#xA;- At a frequency agreed bi-laterally between the Sender and the Receiver and/or&#xD;&#xA;- As a response to a request for statement sent by the account owner.&#xD;&#xA;The StatementOfInvestmentFundTransactions message can only be used to list the transactions of a single (master) account. However, it is possible to break down these transactions into one or several sub-accounts. Therefore, the message can be used to either specify transactions at&#xD;&#xA;- the main account level, or&#xD;&#xA;- the sub-account level.&#xD;&#xA;This message must not be used in place of confirmation messages.&#xD;&#xA;Since a SWIFT message as sent is restricted to the maximum input message length, several messages may be needed to accommodate all the information."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlName="semt.006.001.01"
  xmlTag="semt.006.001.01"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_MX0aVtFSEd-BzquC8wXy7w_340397211"
    name="TransactionOnAccountOrSubAccountDetailsRule"
    definition="If StatementGeneralDetails/ActivityIndicator is &quot;true&quot; or &quot;1&quot; (Yes), then either TransactionOnAccount or SubAccountDetails is mandatory. If StatementGeneralDetails/ActivityIndicator is &quot;false&quot; or &quot;0&quot; (No), then TransactionOnAccount and SubAccountDetails are not allowed."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_MXrQbNFSEd-BzquC8wXy7w_1597856875"
    name="PreviousReference"
    definition="Reference to a linked message that was previously sent."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="PrvsRef"
    complexType="_RNE1Kdp-Ed-ak6NoX_4Aeg_-577369889" />
  <messageBuildingBlock
    xmi:id="_MXrQbdFSEd-BzquC8wXy7w_1600624521"
    name="RelatedReference"
    definition="Reference to a linked message that was previously received."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="RltdRef"
    complexType="_RNE1Kdp-Ed-ak6NoX_4Aeg_-577369889" />
  <messageBuildingBlock
    xmi:id="_MX0aUNFSEd-BzquC8wXy7w_1926109415"
    name="MessagePagination"
    definition="Pagination of the message."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="MsgPgntn"
    complexType="_Q65gBdp-Ed-ak6NoX_4Aeg_-21330104" />
  <messageBuildingBlock
    xmi:id="_MX0aUdFSEd-BzquC8wXy7w_-406122479"
    name="StatementGeneralDetails"
    definition="General information related to the investment fund statement of transactions."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StmtGnlDtls"
    complexType="_U2bhcNp-Ed-ak6NoX_4Aeg_-1152328071" />
  <messageBuildingBlock
    xmi:id="_MX0aUtFSEd-BzquC8wXy7w_-1794049021"
    name="InvestmentAccountDetails"
    definition="Information related to an investment account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="InvstmtAcctDtls"
    complexType="_U9ImZ9p-Ed-ak6NoX_4Aeg_198785493" />
  <messageBuildingBlock
    xmi:id="_MX0aU9FSEd-BzquC8wXy7w_-591358864"
    name="TransactionOnAccount"
    definition="Creation/cancellation of investment units on the books of the fund or its designated agent, as a result of executing an investment fund order."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="TxOnAcct"
    complexType="_VGq85Np-Ed-ak6NoX_4Aeg_1018199129" />
  <messageBuildingBlock
    xmi:id="_MX0aVNFSEd-BzquC8wXy7w_-645201789"
    name="SubAccountDetails"
    definition="The sub-account of the safekeeping or investment account."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SubAcctDtls"
    complexType="_VBAZy9p-Ed-ak6NoX_4Aeg_-1432964190" />
  <messageBuildingBlock
    xmi:id="_MX0aVdFSEd-BzquC8wXy7w_364441815"
    name="Extension"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Xtnsn"
    complexType="_Q6vvCNp-Ed-ak6NoX_4Aeg_1503007069" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="006"
    flavour="001"
    version="01" />
</messageDefinition>

ISO Building Blocks

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