SecuritiesSettlementAllegementRemovalAdviceV03

sese.029.001.03

This version is identical to the previous version. It was created automatically during the 2011/2012 maintenance cycle, at the same time as new versions of other Settlement and Reconciliation messages that were truly impacted by change requests. This should not have been the case. In future releases, SWIFT will ensure that a new version of a message is not created if identical to the previous version. Scope An account servicer sends a SecuritiesSettlementAllegementRemovalAdvice to an account owner to acknowledge that a previously sent allegement is no longer outstanding, because the alleged party sent its instruction. 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 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.

ISO 15022 - 20022 Coexistence This ISO 20022 message is reversed engineered from ISO 15022. Both standards will coexist for a certain number of years. Until this coexistence period ends, the usage of certain data types is restricted to ensure interoperability between ISO 15022 and 20022 users. Compliance to these rules is mandatory in a coexistence environment. The coexistence restrictions are described in a Textual Rule linked to the Message Items they concern. These coexistence textual rules are clearly identified as follows: “CoexistenceXxxxRule”.

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
%% SecuritiesSettlementAllegementRemovalAdviceV03 recursion level 0 with max 0
SecuritiesSettlementAllegementRemovalAdviceV03 *-- "1..1" SettlementTypeAndIdentification3 : AccountServicerTransactionIdentification
SecuritiesSettlementAllegementRemovalAdviceV03 *-- "0..1" Identification1 : MarketInfrastructureTransactionIdentification
SecuritiesSettlementAllegementRemovalAdviceV03 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesSettlementAllegementRemovalAdviceV03 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesSettlementAllegementRemovalAdviceV03 *-- "0..1" TransactionDetails29 : TransactionDetails
SecuritiesSettlementAllegementRemovalAdviceV03 *-- "0..1" SupplementaryData1 : SupplementaryData
  

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

AccountServicerTransactionIdentification building block

Provides transaction type and identification information. Provides transaction type and identification information. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% SettlementTypeAndIdentification3 recursion level 0 with max 1
class SettlementTypeAndIdentification3{
    TransactionIdentification IsoMax35Text
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
}
  

SettlementTypeAndIdentification3 members

MarketInfrastructureTransactionIdentification building block

Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Identification1 recursion level 0 with max 1
class Identification1{
    Identification IsoMax35Text
}
  

Identification1 members

AccountOwner building block

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

classDiagram
   direction tb
%% IPartyIdentification36Choice recursion level 0 with max 1
  

PartyIdentification36Choice 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
%% SecuritiesAccount13 recursion level 0 with max 1
class SecuritiesAccount13{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount13 *-- "0..1" GenericIdentification20 : Type
%% GenericIdentification20 recursion level 1 with max 1
class GenericIdentification20{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}
  

SecuritiesAccount13 members

TransactionDetails building block

Identifies the details of the transaction. Identifies the details of the transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionDetails29 recursion level 0 with max 1
TransactionDetails29 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
TransactionDetails29 *-- "0..1" ITradeDate1Choice : TradeDate
TransactionDetails29 *-- "1..1" ISettlementDate1Choice : SettlementDate
TransactionDetails29 *-- "1..1" IQuantity6Choice : SettlementQuantity
TransactionDetails29 *-- "0..1" AmountAndDirection8 : SettlementAmount
TransactionDetails29 *-- "0..1" SettlementParties13 : DeliveringSettlementParties
TransactionDetails29 *-- "0..1" SettlementParties13 : ReceivingSettlementParties
TransactionDetails29 *-- "0..1" IPartyIdentification37Choice : Investor
%% SecurityIdentification14 recursion level 1 with max 1
class SecurityIdentification14{
    ISIN IsoISINIdentifier
    Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification
%% ITradeDate1Choice recursion level 1 with max 1
%% ISettlementDate1Choice recursion level 1 with max 1
%% IQuantity6Choice recursion level 1 with max 1
%% AmountAndDirection8 recursion level 1 with max 1
class AmountAndDirection8{
    Amount IsoActiveCurrencyAndAmount
    CreditDebitIndicator CreditDebitCode
    OriginalCurrencyAndOrderedAmount IsoActiveOrHistoricCurrencyAndAmount
}
%% SettlementParties13 recursion level 1 with max 1
SettlementParties13 *-- "0..1" PartyIdentification46 : Depository
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party1
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party2
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party3
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party4
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party5
%% SettlementParties13 recursion level 1 with max 1
SettlementParties13 *-- "0..1" PartyIdentification46 : Depository
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party1
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party2
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party3
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party4
SettlementParties13 *-- "0..1" PartyIdentificationAndAccount44 : Party5
%% IPartyIdentification37Choice recursion level 1 with max 1
  

TransactionDetails29 members

SupplementaryData 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
%% SupplementaryData1 recursion level 0 with max 1
class SupplementaryData1{
    PlaceAndName IsoMax350Text
}
SupplementaryData1 *-- "1..1" IsoSupplementaryDataEnvelope1 : Envelope
%% IsoSupplementaryDataEnvelope1 recursion level 1 with max 1
  

SupplementaryData1 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesSettlementAllegementRemovalAdviceV03 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementAllegementRemovalAdviceV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementAllegementRemovalAdviceV03Document implements IOuterDocument. Because SecuritiesSettlementAllegementRemovalAdviceV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementAllegementRemovalAdviceV03.

classDiagram
    class IOuterRecord
    SecuritiesSettlementAllegementRemovalAdviceV03 --|> IOuterRecord : Implements
    SecuritiesSettlementAllegementRemovalAdviceV03Document --|> IOuterDocument~SecuritiesSettlementAllegementRemovalAdviceV03~ : Implements
    class IOuterDocument~SecuritiesSettlementAllegementRemovalAdviceV03~ {
        SecuritiesSettlementAllegementRemovalAdviceV03 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesSettlementAllegementRemovalAdviceV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.029.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementAllegementRemovalAdviceV03.ToDocument() method. The returned SecuritiesSettlementAllegementRemovalAdviceV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementAllegementRemovalAdviceV03Document *-- SecuritiesSettlementAllegementRemovalAdviceV03 : 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:sese.029.001.03">
    <SctiesSttlmAllgmtRmvlAdvc>
        <AcctSvcrTxId>
            <!-- AccountServicerTransactionIdentification inner content -->
        </AcctSvcrTxId>
        <MktInfrstrctrTxId>
            <!-- MarketInfrastructureTransactionIdentification inner content -->
        </MktInfrstrctrTxId>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <TxDtls>
            <!-- TransactionDetails inner content -->
        </TxDtls>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesSttlmAllgmtRmvlAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_fVsCMfvfEeCBQp5TnX1XKQ"
  nextVersions="_XVkhjQCUEeW_3KiG8SEjHA"
  previousVersion="_Om-BkdtaEd-RF5yaMAVhAw"
  name="SecuritiesSettlementAllegementRemovalAdviceV03"
  definition="This version is identical to the previous version. It was created automatically during the 2011/2012 maintenance cycle, at the same time as new versions of other Settlement and Reconciliation messages that were truly impacted by change requests. This should not have been the case. In future releases, SWIFT will ensure that a new version of a message is not created if identical to the previous version.&#xA;Scope&#xA;An account servicer sends a SecuritiesSettlementAllegementRemovalAdvice to an account owner to acknowledge that a previously sent allegement is no longer outstanding, because the alleged party sent its instruction.&#xA;The account servicer/owner relationship may be:&#xA;- a central securities depository or another settlement market infrastructure acting on behalf of their participants&#xA;- an agent (sub-custodian) acting on behalf of their global custodian customer, or&#xA;- a custodian acting on behalf of an investment management institution or a broker/dealer.&#xA;&#xA;Usage&#xA;The message may also be used to:&#xA;- re-send a message previously sent,&#xA;- provide a third party with a copy of a message for information,&#xA;- re-send to a third party a copy of a message for information&#xA;using the relevant elements in the Business Application Header.&#xA;&#xA;ISO 15022 - 20022 Coexistence&#xA;This ISO 20022 message is reversed engineered from ISO 15022. Both standards will coexist for a certain number of years. Until this coexistence period ends, the usage of certain data types is restricted to ensure interoperability between ISO 15022 and 20022 users. Compliance to these rules is mandatory in a coexistence environment. The coexistence restrictions are described in a Textual Rule linked to the Message Items they concern. These coexistence textual rules are clearly identified as follows: “CoexistenceXxxxRule”."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="SctiesSttlmAllgmtRmvlAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_fVsCNfvfEeCBQp5TnX1XKQ"
    name="CoexistenceCharacterSetXRule"
    definition="During ISO 15022 – 20022 coexistence, characters used in all text fields must correspond to character set X, that is, a-z A-Z / - ? : ( ) . , ‘ + { } CR LF."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_fVsCOfvfEeCBQp5TnX1XKQ"
    name="CoexistenceIdentificationRule"
    definition="During ISO 15022 – 20022 coexistence, all transaction and document identifications or references must be 16 characters or less. The field must not start or end with a slash ‘/’ or contain two consecutive slashes ‘//’."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_fVsCPfvfEeCBQp5TnX1XKQ"
    nextVersions="_XVkhkwCUEeW_3KiG8SEjHA"
    name="AccountServicerTransactionIdentification"
    definition="Provides transaction type and identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="AcctSvcrTxId"
    complexType="_UkGbVNp-Ed-ak6NoX_4Aeg_-140305171" />
  <messageBuildingBlock
    xmi:id="_fVsCQfvfEeCBQp5TnX1XKQ"
    nextVersions="_XVkhlQCUEeW_3KiG8SEjHA"
    name="MarketInfrastructureTransactionIdentification"
    definition="Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MktInfrstrctrTxId"
    complexType="_QtVlKtp-Ed-ak6NoX_4Aeg_-28410593" />
  <messageBuildingBlock
    xmi:id="_fVsCRfvfEeCBQp5TnX1XKQ"
    nextVersions="_XVkhlwCUEeW_3KiG8SEjHA"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_qU9DBeaPEd-q8fx_Zl_34A" />
  <messageBuildingBlock
    xmi:id="_fVsCSfvfEeCBQp5TnX1XKQ"
    nextVersions="_XVkhmQCUEeW_3KiG8SEjHA"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_T_vKAdp-Ed-ak6NoX_4Aeg_-178975462" />
  <messageBuildingBlock
    xmi:id="_fVsCTfvfEeCBQp5TnX1XKQ"
    nextVersions="_XVkhmwCUEeW_3KiG8SEjHA"
    name="TransactionDetails"
    definition="Identifies the details of the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxDtls"
    complexType="_idcJq-aOEd-q8fx_Zl_34A" />
  <messageBuildingBlock
    xmi:id="_fVsCUfvfEeCBQp5TnX1XKQ"
    nextVersions="_XVkhnQCUEeW_3KiG8SEjHA"
    name="SupplementaryData"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="SplmtryData"
    complexType="_Qn0zC9p-Ed-ak6NoX_4Aeg_468227563" />
  <messageDefinitionIdentifier
    businessArea="sese"
    messageFunctionality="029"
    flavour="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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