semt.018.001.13
Scope SecuritiesTransactionPendingReport is sent by an account servicer to an account owner to provide, as at a specified time, the details of pending increases and decreases of holdings, for all or selected securities in a specified safekeeping account, for all or selected reasons why the transaction is pending. The account servicer/owner relationship may be:
- a central securities depository or another settlement market infrastructure acting on behalf of its participants
- an agent (sub-custodian) acting on behalf of its global custodian customer, or
- a custodian acting on behalf of an investment management institution or a broker/dealer.
Usage The statement may also include future settlement or forward transactions which have become binding on the account owner. 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
%% SecuritiesTransactionPendingReportV13 recursion level 0 with max 0
SecuritiesTransactionPendingReportV13 *-- "1..1" Pagination1 : Pagination
SecuritiesTransactionPendingReportV13 *-- "1..1" Statement64 : StatementGeneralDetails
SecuritiesTransactionPendingReportV13 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesTransactionPendingReportV13 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesTransactionPendingReportV13 *-- "0..1" BlockChainAddressWallet3 : BlockChainAddressOrWallet
SecuritiesTransactionPendingReportV13 *-- "0..1" StatusAndReason44 : Status
SecuritiesTransactionPendingReportV13 *-- "0..1" Transaction121 : Transactions
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 to the report. Characteristics of the statement. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% Statement64 recursion level 0 with max 1
class Statement64{
QueryReference IsoMax35Text
StatementIdentification IsoMax35Text
StatementStructure StatementStructure1Code
ActivityIndicator IsoYesNoIndicator
}
Statement64 *-- "0..1" INumber3Choice : ReportNumber
Statement64 *-- "1..1" IDateAndDateTime2Choice : StatementDateTime
Statement64 *-- "0..1" IFrequency25Choice : Frequency
Statement64 *-- "0..1" IUpdateType15Choice : UpdateType
%% INumber3Choice recursion level 1 with max 1
%% IDateAndDateTime2Choice recursion level 1 with max 1
%% IFrequency25Choice recursion level 1 with max 1
%% IUpdateType15Choice recursion level 1 with max 1
Statement64 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| ReportNumber | Sequential number of the report. | INumber3Choice - Optional 0..1 |
| QueryReference | Identification of the statement query message sent to request this statement. | IsoMax35Text - Optional 0..1 |
| StatementIdentification | Reference common to all pages of a statement. | IsoMax35Text - Optional 0..1 |
| StatementDateTime | Date and time of the statement. | IDateAndDateTime2Choice - 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 |
| StatementStructure | Specifies whether the statement is sorted by status or transaction. | StatementStructure1Code - Required 1..1 |
| ActivityIndicator | Indicates whether there is activity or information update reported in the statement. | IsoYesNoIndicator - Required 1..1 |
AccountOwner building block
Party that legally owns the account. Identification of a party. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% PartyIdentification144 recursion level 0 with max 1
class PartyIdentification144{
LEI IsoLEIIdentifier
}
PartyIdentification144 *-- "1..1" IPartyIdentification127Choice : Identification
%% IPartyIdentification127Choice recursion level 1 with max 1
PartyIdentification144 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Unique identification of the party. | IPartyIdentification127Choice - 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 |
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
%% BlockChainAddressWallet3 recursion level 0 with max 1
class BlockChainAddressWallet3{
Identification IsoMax140Text
Name IsoMax70Text
}
BlockChainAddressWallet3 *-- "0..1" GenericIdentification30 : Type
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
Identification IsoExact4AlphaNumericText
Issuer IsoMax35Text
SchemeName IsoMax35Text
}
BlockChainAddressWallet3 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Unambiguous identification for the account between the account owner and the account servicer. | IsoMax140Text - Required 1..1 |
| Type | Specifies the type of securities account. | GenericIdentification30 - Optional 0..1 |
| Name | Description of the account. | IsoMax70Text - Optional 0..1 |
Status building block
Status information. Status and reason of an instructed order. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% StatusAndReason44 recursion level 0 with max 1
StatusAndReason44 *-- "1..1" IStatus38Choice : StatusAndReason
StatusAndReason44 *-- "0..0" Transaction122 : Transaction
%% IStatus38Choice recursion level 1 with max 1
%% Transaction122 recursion level 1 with max 1
class Transaction122{
AccountOwnerTransactionIdentification IsoMax35Text
AccountServicerTransactionIdentification IsoMax35Text
MarketInfrastructureTransactionIdentification IsoMax35Text
CounterpartyMarketInfrastructureTransactionIdentification IsoMax35Text
ProcessorTransactionIdentification IsoMax35Text
TradeIdentification IsoMax52Text
PoolIdentification IsoMax35Text
CommonIdentification IsoMax35Text
CorporateActionEventIdentification IsoMax35Text
TripartyAgentServiceProviderCollateralTransactionIdentification IsoMax35Text
ClientTripartyCollateralTransactionIdentification IsoMax35Text
ClientCollateralInstructionIdentification IsoMax35Text
TripartyAgentServiceProviderCollateralInstructionIdentification IsoMax35Text
}
Transaction122 *-- "0..1" TransactionDetails147 : TransactionDetails
StatusAndReason44 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| StatusAndReason | Status and reason for the transaction. | IStatus38Choice - Required 1..1 |
| Transaction | Details of the transactions reported. | Transaction122 - Unknown 0..0 |
Transactions building block
Details of the transactions reported. Specifies the details of the transaction. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% Transaction121 recursion level 0 with max 1
class Transaction121{
AccountOwnerTransactionIdentification IsoMax35Text
AccountServicerTransactionIdentification IsoMax35Text
MarketInfrastructureTransactionIdentification IsoMax35Text
CounterpartyMarketInfrastructureTransactionIdentification IsoMax35Text
ProcessorTransactionIdentification IsoMax35Text
TradeIdentification IsoMax52Text
PoolIdentification IsoMax35Text
CommonIdentification IsoMax35Text
CorporateActionEventIdentification IsoMax35Text
TripartyAgentServiceProviderCollateralTransactionIdentification IsoMax35Text
ClientTripartyCollateralTransactionIdentification IsoMax35Text
ClientCollateralInstructionIdentification IsoMax35Text
TripartyAgentServiceProviderCollateralInstructionIdentification IsoMax35Text
}
Transaction121 *-- "0..1" TransactionDetails147 : TransactionDetails
Transaction121 *-- "0..0" IStatus38Choice : StatusAndReason
%% TransactionDetails147 recursion level 1 with max 1
class TransactionDetails147{
SecuritiesMovementType ReceiveDelivery1Code
Payment DeliveryReceiptType2Code
AcknowledgedStatusTimeStamp IsoISODateTime
MatchedStatusTimeStamp IsoISODateTime
TransactionAdditionalDetails IsoMax350Text
}
TransactionDetails147 *-- "1..1" ITransactionActivity3Choice : TransactionActivity
TransactionDetails147 *-- "0..1" ISettlementOrCorporateActionEvent30Choice : SettlementTransactionOrCorporateActionEventType
TransactionDetails147 *-- "0..1" SettlementDetails184 : SettlementParameters
TransactionDetails147 *-- "0..1" PlaceOfTradeIdentification1 : PlaceOfTrade
TransactionDetails147 *-- "0..1" SafeKeepingPlace3 : SafekeepingPlace
TransactionDetails147 *-- "0..1" PlaceOfClearingIdentification2 : PlaceOfClearing
TransactionDetails147 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
TransactionDetails147 *-- "1..1" IQuantity51Choice : PostingQuantity
TransactionDetails147 *-- "0..1" IQuantity51Choice : PartiallyReleasedQuantity
TransactionDetails147 *-- "0..1" AmountAndDirection51 : PostingAmount
TransactionDetails147 *-- "0..1" ITradeDate8Choice : TradeDate
TransactionDetails147 *-- "0..1" IDateAndDateTime2Choice : ExpectedSettlementDate
TransactionDetails147 *-- "1..1" ISettlementDate19Choice : SettlementDate
TransactionDetails147 *-- "0..1" IDateAndDateTime2Choice : LateDeliveryDate
TransactionDetails147 *-- "0..1" IDateAndDateTime2Choice : ExpectedValueDate
TransactionDetails147 *-- "0..1" SettlementParties97 : DeliveringSettlementParties
TransactionDetails147 *-- "0..1" SettlementParties97 : ReceivingSettlementParties
TransactionDetails147 *-- "0..0" SupplementaryData1 : SupplementaryData
%% IStatus38Choice recursion level 1 with max 1
Transaction121 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| AccountOwnerTransactionIdentification | Unambiguous identification of the transaction as known by the account owner (or the instructing party managing the account). | IsoMax35Text - Required 1..1 |
| AccountServicerTransactionIdentification | Unambiguous identification of the transaction as known by the account servicer. | IsoMax35Text - Optional 0..1 |
| MarketInfrastructureTransactionIdentification | Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. | IsoMax35Text - Optional 0..1 |
| CounterpartyMarketInfrastructureTransactionIdentification | Identification of a counterparty transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. | IsoMax35Text - Optional 0..1 |
| ProcessorTransactionIdentification | Identification of the transaction assigned by the processor of the instruction other than the account owner, the account servicer and the market infrastructure. | IsoMax35Text - Optional 0..1 |
| TradeIdentification | Reference assigned to the trade by the investor or the trading party. This reference will be used throughout the trade life cycle to access/update the trade details. | IsoMax52Text - Unknown 0..0 |
| PoolIdentification | Collective reference identifying a set of messages. | IsoMax35Text - Optional 0..1 |
| CommonIdentification | Unique reference agreed upon by the two trade counterparties to identify the trade. | IsoMax35Text - Optional 0..1 |
| CorporateActionEventIdentification | Identification assigned by the account servicer to unambiguously identify a corporate action event. | IsoMax35Text - Optional 0..1 |
| TripartyAgentServiceProviderCollateralTransactionIdentification | Unique identification identifying the triparty collateral management transaction from the triparty-agent’s/service-provider’s point of view. | IsoMax35Text - Optional 0..1 |
| ClientTripartyCollateralTransactionIdentification | Unique reference identifying the triparty collateral management transaction from the client’s point of view. | IsoMax35Text - Optional 0..1 |
| ClientCollateralInstructionIdentification | Unique identification assigned to the instruction by the client. | IsoMax35Text - Optional 0..1 |
| TripartyAgentServiceProviderCollateralInstructionIdentification | Unique identification assigned to the instruction by the triparty-agent/service-provider. | IsoMax35Text - Optional 0..1 |
| TransactionDetails | Identifies the details of the transaction. | TransactionDetails147 - Optional 0..1 |
| StatusAndReason | Status and reason for the transaction. | IStatus38Choice - Unknown 0..0 |
Extensibility and generalization considerations
To facilitate generalized design patterns in the system, the SecuritiesTransactionPendingReportV13 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionPendingReportV13 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionPendingReportV13Document implements IOuterDocument. Because SecuritiesTransactionPendingReportV13 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionPendingReportV13.
classDiagram
class IOuterRecord
SecuritiesTransactionPendingReportV13 --|> IOuterRecord : Implements
SecuritiesTransactionPendingReportV13Document --|> IOuterDocument~SecuritiesTransactionPendingReportV13~ : Implements
class IOuterDocument~SecuritiesTransactionPendingReportV13~ {
SecuritiesTransactionPendingReportV13 Message
}
Document wrapper for serialization
The only real purpose SecuritiesTransactionPendingReportV13Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.018.001.13’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionPendingReportV13.ToDocument() method. The returned SecuritiesTransactionPendingReportV13Document value will serialize correctly according to ISO 20022 standards.
classDiagram
SecuritiesTransactionPendingReportV13Document *-- SecuritiesTransactionPendingReportV13 : 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.018.001.13">
<SctiesTxPdgRpt>
<Pgntn>
<!-- Pagination inner content -->
</Pgntn>
<StmtGnlDtls>
<!-- StatementGeneralDetails inner content -->
</StmtGnlDtls>
<AcctOwnr>
<!-- AccountOwner inner content -->
</AcctOwnr>
<SfkpgAcct>
<!-- SafekeepingAccount inner content -->
</SfkpgAcct>
<BlckChainAdrOrWllt>
<!-- BlockChainAddressOrWallet inner content -->
</BlckChainAdrOrWllt>
<Sts>
<!-- Status inner content -->
</Sts>
<Txs>
<!-- Transactions inner content -->
</Txs>
</SctiesTxPdgRpt>
</Document>
Data from ISO specification
This is the technical data from the specification document.
<messageDefinition
xmi:id="_PHmTkSW9EeygjNFjAlVoPA"
previousVersion="_jxaOzwlhEeuQ1MenzX1l-g"
name="SecuritiesTransactionPendingReportV13"
definition="Scope
SecuritiesTransactionPendingReport is sent by an account servicer to an account owner to provide, as at a specified time, the details of pending increases and decreases of holdings, for all or selected securities in a specified safekeeping account, for all or selected reasons why the transaction is pending. 
The account servicer/owner relationship may be:
- a central securities depository or another settlement market infrastructure acting on behalf of its participants
- an agent (sub-custodian) acting on behalf of its global custodian customer, or 
- a custodian acting on behalf of an investment management institution or a broker/dealer.

Usage
The statement may also include future settlement or forward transactions which have become binding on the account owner.
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="_xiys0WfyEeOLcMuJoUvTAg"
xmlTag="SctiesTxPdgRpt"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<constraint
xmi:id="_PHmTkyW9EeygjNFjAlVoPA"
previousVersion="_jxaO0QlhEeuQ1MenzX1l-g"
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" />
<constraint
xmi:id="_MxZh9CqDEeyR9JrVGfaMKw"
name="SafekeepingAccountOrBlockChainAddress1Rule"
definition="If SafekeepingAccount is present, BlockChainAddressOrWallet 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>/BlockChainAddressOrWallet</leftOperand></BooleanRule></mustBe><onCondition><connector>AND</connector><BooleanRule xsi:type="Presence"><leftOperand>/SafekeepingAccount</leftOperand></BooleanRule></onCondition></ComplexRule></RuleDefinition>" />
<constraint
xmi:id="_MxZh9SqDEeyR9JrVGfaMKw"
name="SafekeepingAccountOrBlockChainAddress2Rule"
definition="If BlockChainAddressOrWallet is present, SafekeepingAccount 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>/SafekeepingAccount</leftOperand></BooleanRule></mustBe><onCondition><connector>AND</connector><BooleanRule xsi:type="Presence"><leftOperand>/BlockChainAddressOrWallet</leftOperand></BooleanRule></onCondition></ComplexRule></RuleDefinition>" />
<constraint
xmi:id="_dj6YkTD0EeyVV_4ady97MA"
name="SafekeepingAccountOrBlockChainAddress3Rule"
definition="Either SafekeepingAccount or BlockChainAddressOrWallet must be present but not both."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><SimpleRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="SimpleRule"><mustBe><connector>OR</connector><BooleanRule xsi:type="Presence"><leftOperand>/SafekeepingAccount</leftOperand></BooleanRule><BooleanRule xsi:type="Presence"><leftOperand>/BlockChainAddressOrWallet</leftOperand></BooleanRule></mustBe></SimpleRule></RuleDefinition>" />
<messageBuildingBlock
xmi:id="_PHmTmyW9EeygjNFjAlVoPA"
previousVersion="_jxaO2QlhEeuQ1MenzX1l-g"
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="_PHmTnSW9EeygjNFjAlVoPA"
previousVersion="_jxaO2wlhEeuQ1MenzX1l-g"
name="StatementGeneralDetails"
definition="Provides general information to the report."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="StmtGnlDtls"
complexType="_1k238bPwEeelzbgsFa3sqQ" />
<messageBuildingBlock
xmi:id="_PHmTnyW9EeygjNFjAlVoPA"
previousVersion="_jxaO3QlhEeuQ1MenzX1l-g"
name="AccountOwner"
definition="Party that legally owns the account."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="AcctOwnr"
complexType="_XnxoYdLCEeiN28wlpBQScw" />
<messageBuildingBlock
xmi:id="_PHmToSW9EeygjNFjAlVoPA"
previousVersion="_jxaO3wlhEeuQ1MenzX1l-g"
name="SafekeepingAccount"
definition="Account to or from which a securities entry is made."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="SfkpgAcct"
complexType="_T_JUKtp-Ed-ak6NoX_4Aeg_1976638301" />
<messageBuildingBlock
xmi:id="_MxZh8yqDEeyR9JrVGfaMKw"
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="_l7F8gSp-EeyR9JrVGfaMKw" />
<messageBuildingBlock
xmi:id="_PHmToyW9EeygjNFjAlVoPA"
previousVersion="_jxaO4QlhEeuQ1MenzX1l-g"
name="Status"
definition="Status information."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="Sts"
complexType="_eOBDsSW-EeygjNFjAlVoPA" />
<messageBuildingBlock
xmi:id="_PHmTpSW9EeygjNFjAlVoPA"
previousVersion="_jxaO4wlhEeuQ1MenzX1l-g"
name="Transactions"
definition="Details of the transactions reported."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="Txs"
complexType="_b0iDwSW-EeygjNFjAlVoPA" />
<messageDefinitionIdentifier
businessArea="semt"
messageFunctionality="018"
flavour="001"
version="13" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.