semt.006.001.03
Scope An account servicer, for example, a transfer agent sends the StatementOfInvestmentFundTransactions message to the account owner, for example, an investment manager or its authorised representative to provide detailed transactions (increases and decreases) of holdings which occurred during a specified period of time. Usage The StatementOfInvestmentFundTransactions message is used to list the holdings transactions of a single (master) account or several sub-accounts. This message should be used at a frequency agreed bi-laterally between the account servicer and the account owner. This message must not be used in place of confirmation messages.
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
%% StatementOfInvestmentFundTransactionsV03 recursion level 0 with max 0
StatementOfInvestmentFundTransactionsV03 *-- "1..1" MessageIdentification1 : MessageIdentification
StatementOfInvestmentFundTransactionsV03 *-- "0..1" AdditionalReference2 : PreviousReference
StatementOfInvestmentFundTransactionsV03 *-- "0..1" AdditionalReference2 : RelatedReference
StatementOfInvestmentFundTransactionsV03 *-- "1..1" Pagination : MessagePagination
StatementOfInvestmentFundTransactionsV03 *-- "1..1" Statement8 : StatementGeneralDetails
StatementOfInvestmentFundTransactionsV03 *-- "1..1" InvestmentAccount43 : InvestmentAccountDetails
StatementOfInvestmentFundTransactionsV03 *-- "0..1" InvestmentFundTransactionsByFund3 : TransactionOnAccount
StatementOfInvestmentFundTransactionsV03 *-- "0..1" SubAccountIdentification36 : SubAccountDetails
StatementOfInvestmentFundTransactionsV03 *-- "0..1" Extension1 : Extension
Now, we will zero-in one-by-one on each of these building blocks.
MessageIdentification building block
Reference that uniquely identifies a message from a business application standpoint. Identifies a message by a unique identifier and the date and time when the message was created by the sender. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% MessageIdentification1 recursion level 0 with max 1
class MessageIdentification1{
Identification IsoMax35Text
CreationDateTime IsoISODateTime
}
MessageIdentification1 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Identification of the message. | IsoMax35Text - Required 1..1 |
| CreationDateTime | Date of creation of the message. | IsoISODateTime - Required 1..1 |
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
%% Statement8 recursion level 0 with max 1
class Statement8{
Reference IsoMax35Text
Frequency EventFrequency1Code
UpdateType StatementUpdateTypeCode
ActivityIndicator IsoYesNoIndicator
ReportNumber IsoMax5NumericText
}
Statement8 *-- "1..1" DatePeriodDetails : StatementPeriod
Statement8 *-- "0..1" IDateAndDateTimeChoice : CreationDateTime
%% DatePeriodDetails recursion level 1 with max 1
class DatePeriodDetails{
FromDate IsoISODate
ToDate IsoISODate
}
%% IDateAndDateTimeChoice recursion level 1 with max 1
Statement8 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. | EventFrequency1Code - 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
%% InvestmentAccount43 recursion level 0 with max 1
class InvestmentAccount43{
Name IsoMax35Text
Designation IsoMax35Text
}
InvestmentAccount43 *-- "1..1" AccountIdentification1 : Identification
InvestmentAccount43 *-- "0..10" Intermediary27 : IntermediaryInformation
InvestmentAccount43 *-- "0..1" IPartyIdentification2Choice : AccountServicer
%% AccountIdentification1 recursion level 1 with max 1
AccountIdentification1 *-- "1..1" SimpleIdentificationInformation : Proprietary
%% Intermediary27 recursion level 1 with max 1
Intermediary27 *-- "1..1" IPartyIdentification2Choice : Identification
Intermediary27 *-- "0..1" Account7 : Account
Intermediary27 *-- "0..1" IRole4Choice : Role
%% IPartyIdentification2Choice recursion level 1 with max 1
InvestmentAccount43 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, for example, advice on products and placement of orders for the investment fund. | Intermediary27 - 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. | IPartyIdentification2Choice - 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
%% InvestmentFundTransactionsByFund3 recursion level 0 with max 1
class InvestmentFundTransactionsByFund3{
Name IsoMax350Text
SupplementaryIdentification IsoMax35Text
SecuritiesForm FormOfSecurity1Code
ClassType IsoMax35Text
DistributionPolicy DistributionPolicy1Code
}
InvestmentFundTransactionsByFund3 *-- "1..1" ISecurityIdentification3Choice : Identification
InvestmentFundTransactionsByFund3 *-- "1..0" InvestmentFundTransaction4 : TransactionDetails
InvestmentFundTransactionsByFund3 *-- "0..1" PaginationBalance2 : BalanceByPage
%% ISecurityIdentification3Choice recursion level 1 with max 1
%% InvestmentFundTransaction4 recursion level 1 with max 1
class InvestmentFundTransaction4{
BookingStatus TransactionStatus1Code
MasterReference IsoMax35Text
OrderReference IsoMax35Text
ClientReference IsoMax35Text
DealReference IsoMax35Text
LegIdentification IsoMax35Text
LegExecutionIdentification IsoMax35Text
OrderDateTime IsoISODateTime
SettledTransactionIndicator IsoYesNoIndicator
RegisteredTransactionIndicator IsoYesNoIndicator
CreditDebit CreditDebitCode
Reversal ReversalCode
SettlementAmount IsoActiveCurrencyAndAmount
SettlementDate IsoISODate
CumDividendIndicator IsoYesNoIndicator
PartiallyExecutedIndicator IsoYesNoIndicator
}
InvestmentFundTransaction4 *-- "1..1" ITransactionType1Choice : EventType
InvestmentFundTransaction4 *-- "1..1" FinancialInstrumentQuantity1 : UnitsQuantity
InvestmentFundTransaction4 *-- "1..1" IDateAndDateTimeChoice : TradeDateTime
InvestmentFundTransaction4 *-- "0..1" UnitPrice20 : PriceDetails
%% PaginationBalance2 recursion level 1 with max 1
PaginationBalance2 *-- "0..1" IOpeningBalance3Choice : OpeningBalance
PaginationBalance2 *-- "0..1" IClosingBalance3Choice : ClosingBalance
InvestmentFundTransactionsByFund3 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Identification of a security by an ISIN. | ISecurityIdentification3Choice - 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 |
| SecuritiesForm | Form, that is, ownership, of the security, for example, registered or bearer. | FormOfSecurity1Code - Optional 0..1 |
| ClassType | Features of units offered by a fund. For example, a unit may have a specific load structure, for example, front end or back end, an income policy, for example, pay out or accumulate, or a trailer policy, eg, with or without. Fund classes are typically denoted by a single character, for example, ‘Class A’, ‘Class 2’. | IsoMax35Text - Optional 0..1 |
| DistributionPolicy | Income policy relating to a class type, that is, if income is paid out or retained in the fund. | DistributionPolicy1Code - Optional 0..1 |
| TransactionDetails | Process of buying, selling, switching or transferring fund units. | InvestmentFundTransaction4 - Unknown 1..0 |
| BalanceByPage | Balance of the financial instrument for this specific statement page. | PaginationBalance2 - Optional 0..1 |
SubAccountDetails building block
The sub-account of the safekeeping or investment account. Account to or from which a securities entry is made. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% SubAccountIdentification36 recursion level 0 with max 1
class SubAccountIdentification36{
ActivityIndicator IsoYesNoIndicator
}
SubAccountIdentification36 *-- "1..1" IAccountIdentificationFormatChoice : Identification
SubAccountIdentification36 *-- "0..0" InvestmentFundTransactionsByFund3 : TransactionOnSubAccount
%% IAccountIdentificationFormatChoice recursion level 1 with max 1
%% InvestmentFundTransactionsByFund3 recursion level 1 with max 1
class InvestmentFundTransactionsByFund3{
Name IsoMax350Text
SupplementaryIdentification IsoMax35Text
SecuritiesForm FormOfSecurity1Code
ClassType IsoMax35Text
DistributionPolicy DistributionPolicy1Code
}
InvestmentFundTransactionsByFund3 *-- "1..1" ISecurityIdentification3Choice : Identification
InvestmentFundTransactionsByFund3 *-- "1..0" InvestmentFundTransaction4 : TransactionDetails
InvestmentFundTransactionsByFund3 *-- "0..1" PaginationBalance2 : BalanceByPage
SubAccountIdentification36 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. | InvestmentFundTransactionsByFund3 - 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 StatementOfInvestmentFundTransactionsV03 implementation follows a specific implementaiton pattern. First of all, StatementOfInvestmentFundTransactionsV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, StatementOfInvestmentFundTransactionsV03Document implements IOuterDocument. Because StatementOfInvestmentFundTransactionsV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type StatementOfInvestmentFundTransactionsV03.
classDiagram
class IOuterRecord
StatementOfInvestmentFundTransactionsV03 --|> IOuterRecord : Implements
StatementOfInvestmentFundTransactionsV03Document --|> IOuterDocument~StatementOfInvestmentFundTransactionsV03~ : Implements
class IOuterDocument~StatementOfInvestmentFundTransactionsV03~ {
StatementOfInvestmentFundTransactionsV03 Message
}
Document wrapper for serialization
The only real purpose StatementOfInvestmentFundTransactionsV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:semt.006.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using StatementOfInvestmentFundTransactionsV03.ToDocument() method. The returned StatementOfInvestmentFundTransactionsV03Document value will serialize correctly according to ISO 20022 standards.
classDiagram
StatementOfInvestmentFundTransactionsV03Document *-- StatementOfInvestmentFundTransactionsV03 : 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.006.001.03">
<StmtOfInvstmtFndTxs>
<MsgId>
<!-- MessageIdentification inner content -->
</MsgId>
<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>
</StmtOfInvstmtFndTxs>
</Document>
Data from ISO specification
This is the technical data from the specification document.
<messageDefinition
xmi:id="_o3RH0Qf7EeSNB7vR9dc0nw"
previousVersion="_MccbotFSEd-BzquC8wXy7w_1866614208"
name="StatementOfInvestmentFundTransactionsV03"
definition="Scope
An account servicer, for example, a transfer agent sends the StatementOfInvestmentFundTransactions message to the account owner, for example, an investment manager or its authorised representative to provide detailed transactions (increases and decreases) of holdings which occurred during a specified period of time.
Usage
The StatementOfInvestmentFundTransactions message is used to list the holdings transactions of a single (master) account or several sub-accounts.
This message should be used at a frequency agreed bi-laterally between the account servicer and the account owner.
This message must not be used in place of confirmation messages."
registrationStatus="Registered"
messageSet="_hijK0WiLEeOuqdLlpUIWBw _qCumkAFwEeu2__1EbNXzuA"
xmlTag="StmtOfInvstmtFndTxs"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<constraint
xmi:id="_o3RH0wf7EeSNB7vR9dc0nw"
previousVersion="_Mcllk9FSEd-BzquC8wXy7w_1866614749"
name="TransactionOnAccountOrSubAccountDetailsRule"
definition="If StatementGeneralDetails/ActivityIndicator is "true" or "1" (Yes), then either one or more occurrences of TransactionOnAccount or one or more occurrences of SubAccountDetails is mandatory. If StatementGeneralDetails/ActivityIndicator is "false" or "0" (No), then TransactionOnAccount and SubAccountDetails are not allowed."
registrationStatus="Provisionally Registered" />
<messageBuildingBlock
xmi:id="_o3RH1Qf7EeSNB7vR9dc0nw"
previousVersion="_Mccbo9FSEd-BzquC8wXy7w_-1980444025"
name="MessageIdentification"
definition="Reference that uniquely identifies a message from a business application standpoint."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="MsgId"
complexType="_Q7pG5Np-Ed-ak6NoX_4Aeg_-967008570" />
<messageBuildingBlock
xmi:id="_o3RH1wf7EeSNB7vR9dc0nw"
previousVersion="_MccbpNFSEd-BzquC8wXy7w_1866614228"
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="_o3RH2Qf7EeSNB7vR9dc0nw"
previousVersion="_MccbpdFSEd-BzquC8wXy7w_1866614269"
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="_o3RH2wf7EeSNB7vR9dc0nw"
previousVersion="_MccbptFSEd-BzquC8wXy7w_1866614630"
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="_o3RH3Qf7EeSNB7vR9dc0nw"
previousVersion="_Mccbp9FSEd-BzquC8wXy7w_1866614287"
name="StatementGeneralDetails"
definition="General information related to the investment fund statement of transactions."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="StmtGnlDtls"
complexType="_RORH9tp-Ed-ak6NoX_4Aeg_1205526240" />
<messageBuildingBlock
xmi:id="_o3RH3wf7EeSNB7vR9dc0nw"
previousVersion="_MccbqNFSEd-BzquC8wXy7w_1866614322"
name="InvestmentAccountDetails"
definition="Information related to an investment account."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="InvstmtAcctDtls"
complexType="_xQD-zwf7EeSNB7vR9dc0nw" />
<messageBuildingBlock
xmi:id="_o3RH4Qf7EeSNB7vR9dc0nw"
previousVersion="_McllkNFSEd-BzquC8wXy7w_1866614707"
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="_3ZqIWwf9EeSaceXTzyiZRg" />
<messageBuildingBlock
xmi:id="_o3RH4wf7EeSNB7vR9dc0nw"
previousVersion="_McllkdFSEd-BzquC8wXy7w_1866614364"
name="SubAccountDetails"
definition="The sub-account of the safekeeping or investment account."
registrationStatus="Provisionally Registered"
minOccurs="0"
xmlTag="SubAcctDtls"
complexType="_2-lV4Qf9EeSaceXTzyiZRg" />
<messageBuildingBlock
xmi:id="_o3RH5Qf7EeSNB7vR9dc0nw"
previousVersion="_McllktFSEd-BzquC8wXy7w_1866614672"
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="03" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.