SecuritiesSettlementTransactionAuditTrailReport002V05

semt.022.002.05

Scope This message is sent by the Market Infrastructure to the CSD to advise of the history of all the statuses, modifications, replacement and cancellation of a specific transaction during its whole life cycle when the instructing party is a direct participant to the Settlement Infrastructure.

Usage The message may also be used to:

• re-send a message sent by the market infrastructure to the direct participant,
• provide a third party with a copy of a message being sent by the market infrastructure for information,
• re-send to a third party a copy of a message being sent by the market infrastructure 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
%% SecuritiesSettlementTransactionAuditTrailReport002V05 recursion level 0 with max 0
class SecuritiesSettlementTransactionAuditTrailReport002V05{
    QueryReference IsoRestrictedFINXMax16Text
}
SecuritiesSettlementTransactionAuditTrailReport002V05 *-- "1..1" Pagination1 : Pagination
SecuritiesSettlementTransactionAuditTrailReport002V05 *-- "0..1" TransactionIdentifications34 : TransactionIdentification
SecuritiesSettlementTransactionAuditTrailReport002V05 *-- "0..1" SecuritiesAccount37 : SafekeepingAccount
SecuritiesSettlementTransactionAuditTrailReport002V05 *-- "0..1" BlockChainAddressWallet7 : BlockChainAddressOrWallet
SecuritiesSettlementTransactionAuditTrailReport002V05 *-- "0..1" PartyIdentification156 : AccountOwner
SecuritiesSettlementTransactionAuditTrailReport002V05 *-- "0..1" StatusTrail11 : StatusTrail
  

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

QueryReference building block

Identification of the SecuritiesStatusQuery message sent to request this report. Specifies a character string with a maximum length of 16 characters. It has a pattern that disables the use of characters that is not part of the character set X, that is, that is not a-z A-Z / - ? : ( ) . , ‘ + , and disable the use of slash “/” at the beginning and end of line and double slash “//” within the line. For comparison, see the ISO20022 official specification This message is declared as RestrictedFINXMax16Text in the ISO specification. In our implementation, it is represented in source code as IsoRestrictedFINXMax16Text. Due to global using directives, it is treated as a System.String by the compiler and runtime.

TransactionIdentification building block

Provides unambiguous transaction identification information. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionIdentifications34 recursion level 0 with max 1
class TransactionIdentifications34{
    AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
    AccountServicerTransactionIdentification IsoRestrictedFINXMax16Text
    MarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
    ProcessorTransactionIdentification IsoRestrictedFINXMax16Text
}
  

TransactionIdentifications34 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
%% SecuritiesAccount37 recursion level 0 with max 1
class SecuritiesAccount37{
    Identification IsoRestrictedFINXMax35Text
    Name IsoMax70Text
}
SecuritiesAccount37 *-- "0..1" GenericIdentification47 : Type
%% GenericIdentification47 recursion level 1 with max 1
class GenericIdentification47{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax4AlphaNumericText
    SchemeName IsoMax4AlphaNumericText
}
  

SecuritiesAccount37 members

BlockChainAddressOrWallet building block

Blockchain address or wallet where digital assets are maintained. This is the equivalent of safekeeping account for digital assets. Digital account where digital assets or digital tokens can be stored and where an entry is made. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% BlockChainAddressWallet7 recursion level 0 with max 1
class BlockChainAddressWallet7{
    Identification IsoRestrictedFINXMax140Text
    Name IsoRestrictedFINXMax70Text
}
BlockChainAddressWallet7 *-- "0..1" GenericIdentification47 : Type
%% GenericIdentification47 recursion level 1 with max 1
class GenericIdentification47{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax4AlphaNumericText
    SchemeName IsoMax4AlphaNumericText
}
  

BlockChainAddressWallet7 members

AccountOwner building block

Party that legally owns the account. Identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% PartyIdentification156 recursion level 0 with max 1
class PartyIdentification156{
    LEI IsoLEIIdentifier
}
PartyIdentification156 *-- "1..1" IPartyIdentification136Choice : Identification
%% IPartyIdentification136Choice recursion level 1 with max 1
  

PartyIdentification156 members

StatusTrail building block

Provides the history of status and reasons for a pending, posted or cancelled transaction. Provides the history of status and reasons for a pending, posted or cancelled transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% StatusTrail11 recursion level 0 with max 1
class StatusTrail11{
    StatusDate IsoISODateTime
    UserIdentification IsoRestrictedFINXMax35Text
}
StatusTrail11 *-- "0..1" OrganisationIdentification32 : SendingOrganisationIdentification
StatusTrail11 *-- "0..1" IProcessingStatus92Choice : ProcessingStatus
StatusTrail11 *-- "0..1" IMatchingStatus30Choice : InferredMatchingStatus
StatusTrail11 *-- "0..1" IMatchingStatus30Choice : MatchingStatus
StatusTrail11 *-- "0..1" ISettlementStatus22Choice : SettlementStatus
StatusTrail11 *-- "0..1" IModificationProcessingStatus11Choice : ModificationProcessingStatus
StatusTrail11 *-- "0..1" IProcessingStatus93Choice : CancellationStatus
StatusTrail11 *-- "0..1" ProprietaryReason5 : Settled
StatusTrail11 *-- "0..0" SupplementaryData1 : SupplementaryData
%% OrganisationIdentification32 recursion level 1 with max 1
class OrganisationIdentification32{
    AnyBIC IsoAnyBICDec2014Identifier
}
OrganisationIdentification32 *-- "0..0" GenericOrganisationIdentification2 : Other
%% IProcessingStatus92Choice recursion level 1 with max 1
%% IMatchingStatus30Choice recursion level 1 with max 1
%% IMatchingStatus30Choice recursion level 1 with max 1
%% ISettlementStatus22Choice recursion level 1 with max 1
%% IModificationProcessingStatus11Choice recursion level 1 with max 1
%% IProcessingStatus93Choice recursion level 1 with max 1
%% ProprietaryReason5 recursion level 1 with max 1
class ProprietaryReason5{
    AdditionalReasonInformation IsoRestrictedFINXMax210Text
}
ProprietaryReason5 *-- "0..1" GenericIdentification47 : Reason
%% SupplementaryData1 recursion level 1 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
  

StatusTrail11 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesSettlementTransactionAuditTrailReport002V05 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionAuditTrailReport002V05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionAuditTrailReport002V05Document implements IOuterDocument. Because SecuritiesSettlementTransactionAuditTrailReport002V05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionAuditTrailReport002V05.

classDiagram
    class IOuterRecord
    SecuritiesSettlementTransactionAuditTrailReport002V05 --|> IOuterRecord : Implements
    SecuritiesSettlementTransactionAuditTrailReport002V05Document --|> IOuterDocument~SecuritiesSettlementTransactionAuditTrailReport002V05~ : Implements
    class IOuterDocument~SecuritiesSettlementTransactionAuditTrailReport002V05~ {
        SecuritiesSettlementTransactionAuditTrailReport002V05 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesSettlementTransactionAuditTrailReport002V05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.022.002.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionAuditTrailReport002V05.ToDocument() method. The returned SecuritiesSettlementTransactionAuditTrailReport002V05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementTransactionAuditTrailReport002V05Document *-- SecuritiesSettlementTransactionAuditTrailReport002V05 : 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.022.002.05">
    <SctiesSttlmTxAudtTrlRpt>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <QryRef>
            <!-- QueryReference inner content -->
        </QryRef>
        <TxId>
            <!-- TransactionIdentification inner content -->
        </TxId>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <BlckChainAdrOrWllt>
            <!-- BlockChainAddressOrWallet inner content -->
        </BlckChainAdrOrWllt>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <StsTrl>
            <!-- StatusTrail inner content -->
        </StsTrl>
    </SctiesSttlmTxAudtTrlRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_dsxygzi8Eeydid5dcNPKvg"
  previousVersion="_ukeLF_fXEeiNZp_PtLohLw"
  name="SecuritiesSettlementTransactionAuditTrailReport002V05"
  definition="Scope&#xD;&#xA;This message is sent by the Market Infrastructure to the CSD to advise of the history of all the statuses, modifications, replacement and cancellation of a specific transaction during its whole life cycle when the instructing party is a direct participant to the Settlement Infrastructure.&#xD;&#xA;&#xD;&#xA;Usage&#xD;&#xA;The message may also be used to: &#xD;&#xA;- re-send a message sent by the market infrastructure to the direct participant,&#xD;&#xA;- provide a third party with a copy of a message being sent by the market infrastructure for information,&#xD;&#xA;- re-send to a third party a copy of a message being sent by the market infrastructure for information using the relevant elements in the Business Application Header."
  registrationStatus="Registered"
  messageSet="_KoChkKS_EeWiN6v48CBCXg _26G2kVI3EeyUbfjRDFS84A"
  xmlTag="SctiesSttlmTxAudtTrlRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_dsxyhTi8Eeydid5dcNPKvg"
    name="SafekeepingAccountOrBlockChainAddress1Rule"
    definition="If SafekeepingAccount is present, BlockChainAddressOrWallet 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;/BlockChainAddressOrWallet&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/SafekeepingAccount&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_dsxyhzi8Eeydid5dcNPKvg"
    name="SafekeepingAccountOrBlockChainAddress2Rule"
    definition="If BlockChainAddressOrWallet is present, SafekeepingAccount 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;/SafekeepingAccount&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/BlockChainAddressOrWallet&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_dsxyiTi8Eeydid5dcNPKvg"
    name="SafekeepingAccountOrBlockChainAddress3Rule"
    definition="Either SafekeepingAccount or BlockChainAddressOrWallet must be present but not both."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;SimpleRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;SimpleRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;OR&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/SafekeepingAccount&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/BlockChainAddressOrWallet&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;/SimpleRule&gt;&lt;/RuleDefinition&gt;" />
  <messageBuildingBlock
    xmi:id="_dsyZkji8Eeydid5dcNPKvg"
    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="_dsyZlDi8Eeydid5dcNPKvg"
    name="QueryReference"
    definition="Identification of the SecuritiesStatusQuery message sent to request this report."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="QryRef"
    simpleType="_XZJV2Np-Ed-ak6NoX_4Aeg_-1555155859" />
  <messageBuildingBlock
    xmi:id="_dsyZlji8Eeydid5dcNPKvg"
    name="TransactionIdentification"
    definition="Provides unambiguous transaction identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxId"
    complexType="_5SFAI5NLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_dsyZmDi8Eeydid5dcNPKvg"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="SfkpgAcct"
    complexType="_SsHg7_fWEeiNZp_PtLohLw" />
  <messageBuildingBlock
    xmi:id="_dsyZmji8Eeydid5dcNPKvg"
    name="BlockChainAddressOrWallet"
    definition="Blockchain address or wallet where digital assets are maintained. This is the equivalent of safekeeping account for digital assets."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="BlckChainAdrOrWllt"
    complexType="_nL5-4UYvEeyIDL5Gtobnyw" />
  <messageBuildingBlock
    xmi:id="_dsyZnDi8Eeydid5dcNPKvg"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_Z0x6o_fVEeiNZp_PtLohLw" />
  <messageBuildingBlock
    xmi:id="_dsyZnji8Eeydid5dcNPKvg"
    name="StatusTrail"
    definition=" Provides the history of status and reasons for a pending, posted or cancelled transaction."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="StsTrl"
    complexType="_dsyaDji8Eeydid5dcNPKvg" />
  <messageDefinitionIdentifier
    businessArea="semt"
    messageFunctionality="022"
    flavour="002"
    version="05" />
</messageDefinition>

ISO Building Blocks

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