Iso20022

SecuritiesSettlementConditionModificationStatusAdviceV01

sese.031.001.01

Scope An account servicer sends a SecuritiesSettlementConditionsModificationStatusAdvice to an account owner to advise the status of a modification request previously instructed by the account owner. The account servicer/owner relationship may be:

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
%% SecuritiesSettlementConditionModificationStatusAdviceV01 recursion level 0 with max 0
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "1..1" DocumentIdentification11 : Identification
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "1..1" Identification1 : RequestReference
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "0..1" IPartyIdentification13Choice : AccountOwner
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "0..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "0..1" RequestDetails1 : RequestDetails
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "1..1" IProcessingStatus5Choice : ProcessingStatus
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "0..1" IPartyIdentification10Choice : MessageOriginator
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "0..1" IPartyIdentification10Choice : MessageRecipient
SecuritiesSettlementConditionModificationStatusAdviceV01 *-- "0..1" Extension2 : Extension

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

Identification building block

Information that unambiguously identifies a SecuritiesSettlementConditionModificationStatusAdvice message as known by the account servicer. Identification and creation date of a document. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentIdentification11 recursion level 0 with max 1
class DocumentIdentification11{
    Identification IsoMax35Text
    CopyDuplicate CopyDuplicate1Code
}
DocumentIdentification11 *-- "0..1" IDateAndDateTimeChoice : CreationDateTime
%% IDateAndDateTimeChoice recursion level 1 with max 1

DocumentIdentification11 members

Member name Description Data Type / Multiplicity
Identification Unique identifier of the document (message) assigned by the sender of the document. IsoMax35Text - Required 1..1
CreationDateTime Date and time at which the document (message) was created by the sender. IDateAndDateTimeChoice - Optional 0..1
CopyDuplicate Specifies if this document is a copy, a duplicate, or a duplicate of a copy. CopyDuplicate1Code - Optional 0..1

RequestReference building block

Identification of the SecuritiesSettlementConditionsModificationRequest. 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

Member name Description Data Type / Multiplicity
Identification Unique identifier of a document, message or transaction. IsoMax35Text - Required 1..1

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
%% IPartyIdentification13Choice recursion level 0 with max 1

PartyIdentification13Choice members

Member name Description Data Type / Multiplicity

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

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. GenericIdentification20 - Optional 0..1
Name Description of the account. IsoMax70Text - Optional 0..1

RequestDetails building block

Details of the request. Details of the settlement condition modification request. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% RequestDetails1 recursion level 0 with max 1
class RequestDetails1{
    RetainIndicator IsoYesNoIndicator
    PartialSettlementIndicator IsoYesNoIndicator
    HoldIndicator IsoYesNoIndicator
}
RequestDetails1 *-- "1..1" References1 : Reference
RequestDetails1 *-- "0..1" IAutomaticBorrowing2Choice : AutomaticBorrowing
RequestDetails1 *-- "0..1" ILinkageType1Choice : Linkage
RequestDetails1 *-- "0..1" IPriorityNumeric1Choice : Priority
RequestDetails1 *-- "0..0" GenericIdentification20 : OtherProcessing
RequestDetails1 *-- "0..1" ISecuritiesRTGS1Choice : SecuritiesRTGS
RequestDetails1 *-- "0..1" IMatchingDenied1Choice : MatchingDenial
RequestDetails1 *-- "0..1" IUnilateralSplit1Choice : UnilateralSplit
RequestDetails1 *-- "0..0" Linkages3 : Linkages
%% References1 recursion level 1 with max 1
class References1{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
}
%% IAutomaticBorrowing2Choice recursion level 1 with max 1
%% ILinkageType1Choice recursion level 1 with max 1
%% IPriorityNumeric1Choice recursion level 1 with max 1
%% GenericIdentification20 recursion level 1 with max 1
class GenericIdentification20{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}
%% ISecuritiesRTGS1Choice recursion level 1 with max 1
%% IMatchingDenied1Choice recursion level 1 with max 1
%% IUnilateralSplit1Choice recursion level 1 with max 1
%% Linkages3 recursion level 1 with max 1
Linkages3 *-- "0..1" IProcessingPosition2Choice : ProcessingPosition
Linkages3 *-- "0..1" IDocumentNumber1Choice : MessageNumber
Linkages3 *-- "1..1" IReferences6Choice : Reference

RequestDetails1 members

Member name Description Data Type / Multiplicity
Reference References of the transaction for which the securities settlement condition modification is requested. References1 - Required 1..1
AutomaticBorrowing Condition for automatic borrowing. IAutomaticBorrowing2Choice - Optional 0..1
RetainIndicator Specifies whether the instruction due to expire is confirmed for settlement. IsoYesNoIndicator - Optional 0..1
Linkage Specifies the type of linkage requested. ILinkageType1Choice - Optional 0..1
Priority Specifies whether the transaction is to be executed with a high priority. IPriorityNumeric1Choice - Optional 0..1
OtherProcessing Specifies another type of processing change request. GenericIdentification20 - Unknown 0..0
PartialSettlementIndicator Specifies whether partial settlement is allowed. IsoYesNoIndicator - Optional 0..1
SecuritiesRTGS Specifies whether the settlement transaction is to be settled through an RTGS or a non RTGS system. ISecuritiesRTGS1Choice - Optional 0..1
HoldIndicator Specifies whether the transaction is on hold/blocked/frozen. IsoYesNoIndicator - Optional 0..1
MatchingDenial Specifies the matching processing change requested. IMatchingDenied1Choice - Optional 0..1
UnilateralSplit Specifies that the transaction is requested to be unilaterally split. IUnilateralSplit1Choice - Optional 0..1
Linkages Information regarding the linkage requested. Linkages3 - Unknown 0..0

ProcessingStatus building block

Provides details on the processing status of the request. Choice of format for the processing status. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IProcessingStatus5Choice recursion level 0 with max 1

ProcessingStatus5Choice members

Member name Description Data Type / Multiplicity

MessageOriginator building block

Party that originated the message, if other than the sender. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification10Choice recursion level 0 with max 1

PartyIdentification10Choice members

Member name Description Data Type / Multiplicity

MessageRecipient building block

Party that is the final destination of the message, if other than the receiver. Choice of identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IPartyIdentification10Choice recursion level 0 with max 1

PartyIdentification10Choice members

Member name Description Data Type / Multiplicity

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
%% Extension2 recursion level 0 with max 1
class Extension2{
    PlaceAndName IsoMax350Text
}
Extension2 *-- "1..1" ExtensionEnvelope1 : ExtensionEnvelope
%% ExtensionEnvelope1 recursion level 1 with max 1
ExtensionEnvelope1 *-- "1..1" ExtensionContents1 : ExtensionContents

Extension2 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 - Optional 0..1
ExtensionEnvelope Technical element wrapping the extension. ExtensionEnvelope1 - Required 1..1

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesSettlementConditionModificationStatusAdviceV01 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementConditionModificationStatusAdviceV01 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementConditionModificationStatusAdviceV01Document implements IOuterDocument. Because SecuritiesSettlementConditionModificationStatusAdviceV01 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementConditionModificationStatusAdviceV01.

classDiagram
    class IOuterRecord
    SecuritiesSettlementConditionModificationStatusAdviceV01 --|> IOuterRecord : Implements
    SecuritiesSettlementConditionModificationStatusAdviceV01Document --|> IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV01~ : Implements
    class IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV01~ {
        SecuritiesSettlementConditionModificationStatusAdviceV01 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesSettlementConditionModificationStatusAdviceV01Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.031.001.01’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementConditionModificationStatusAdviceV01.ToDocument() method. The returned SecuritiesSettlementConditionModificationStatusAdviceV01Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementConditionModificationStatusAdviceV01Document *-- SecuritiesSettlementConditionModificationStatusAdviceV01 : 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.031.001.01">
    <SctiesSttlmCondModStsAdvc>
        <Id>
            <!-- Identification inner content -->
        </Id>
        <ReqRef>
            <!-- RequestReference inner content -->
        </ReqRef>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <ReqDtls>
            <!-- RequestDetails inner content -->
        </ReqDtls>
        <PrcgSts>
            <!-- ProcessingStatus inner content -->
        </PrcgSts>
        <MsgOrgtr>
            <!-- MessageOriginator inner content -->
        </MsgOrgtr>
        <MsgRcpt>
            <!-- MessageRecipient inner content -->
        </MsgRcpt>
        <Xtnsn>
            <!-- Extension inner content -->
        </Xtnsn>
    </SctiesSttlmCondModStsAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_1MtSiNE5Ed-BzquC8wXy7w_985101267"
  nextVersions="_cHFXodtaEd-RF5yaMAVhAw"
  name="SecuritiesSettlementConditionModificationStatusAdviceV01"
  definition="Scope&#xD;&#xA;An account servicer sends a SecuritiesSettlementConditionsModificationStatusAdvice to an account owner to advise the status of a modification request previously instructed by the account owner.&#xD;&#xA;&#xD;The account servicer/owner relationship may be:&#xD;&#xA;- a central securities depository or another settlement market infrastructure acting on behalf of their participants&#xD;&#xA;- an agent (sub-custodian) acting on behalf of their global custodian customer, or &#xD;&#xA;- a custodian acting on behalf of an investment management institution or a broker/dealer.&#xD;&#xA;&#xD;Usage&#xD;&#xA;A SecuritiesSettlementConditionsModificatioRequest may contain requests on multiple transactions. However, one SecuritiesSettlementConditionsModificationStatusAdvice must be sent per transaction modified unless the SecuritiesSettlementConditionsModificationRequest is rejected as a whole.&#x9;&#x9;&#x9;&#xD;&#xA;&#xD;The message may also be used to: &#xD;&#xD;&#xA;- re-send a message previously sent (the sub-function of the message is Duplicate) &#xD;&#xD;&#xA;- provide a third party with a copy of a message for information (the sub-function of the message is Copy) &#xD;&#xD;&#xA;- re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate).&#xD;&#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”.&#xA;."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="SctiesSttlmCondModStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <semanticMarkup
    xmi:id="_dVlQDA5lEeO42pgjaJ50lw"
    type="Synonym">
    <elements
      xmi:id="_dVlQDQ5lEeO42pgjaJ50lw"
      name="context"
      value="ISO 15022" />
    <elements
      xmi:id="_dVlQDg5lEeO42pgjaJ50lw"
      name="value"
      value="MT 548, Seq A :23G:INST, Seq A2 :25D::TPRC" />
  </semanticMarkup>
  <constraint
    xmi:id="_1M3DhtE5Ed-BzquC8wXy7w_1912292706"
    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="_1M3DidE5Ed-BzquC8wXy7w_-1118934499"
    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="_1MtSidE5Ed-BzquC8wXy7w_-909459027"
    name="Identification"
    definition="Information that unambiguously identifies a SecuritiesSettlementConditionModificationStatusAdvice message as known by the account servicer."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="Id"
    complexType="_RBcz8tp-Ed-ak6NoX_4Aeg_-746423515" />
  <messageBuildingBlock
    xmi:id="_1MtSitE5Ed-BzquC8wXy7w_686324124"
    name="RequestReference"
    definition="Identification of the SecuritiesSettlementConditionsModificationRequest."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="ReqRef"
    complexType="_QtVlKtp-Ed-ak6NoX_4Aeg_-28410593" />
  <messageBuildingBlock
    xmi:id="_1MtSi9E5Ed-BzquC8wXy7w_-444926450"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_QQIEsNp-Ed-ak6NoX_4Aeg_-1062714307" />
  <messageBuildingBlock
    xmi:id="_1M3DgNE5Ed-BzquC8wXy7w_-1178239149"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="SfkpgAcct"
    complexType="_T_vKAdp-Ed-ak6NoX_4Aeg_-178975462" />
  <messageBuildingBlock
    xmi:id="_1M3DgdE5Ed-BzquC8wXy7w_1414149203"
    name="RequestDetails"
    definition="Details of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="ReqDtls"
    complexType="_UhHYzNp-Ed-ak6NoX_4Aeg_-52038934" />
  <messageBuildingBlock
    xmi:id="_1M3DgtE5Ed-BzquC8wXy7w_-14563881"
    name="ProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="PrcgSts"
    complexType="_UUmmxdp-Ed-ak6NoX_4Aeg_861825222" />
  <messageBuildingBlock
    xmi:id="_1M3Dg9E5Ed-BzquC8wXy7w_-1853560413"
    name="MessageOriginator"
    definition="Party that originated the message, if other than the sender."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MsgOrgtr"
    complexType="_QQR1tdp-Ed-ak6NoX_4Aeg_-1244141483" />
  <messageBuildingBlock
    xmi:id="_1M3DhNE5Ed-BzquC8wXy7w_-1768597367"
    name="MessageRecipient"
    definition="Party that is the final destination of the message, if other than the receiver."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MsgRcpt"
    complexType="_QQR1tdp-Ed-ak6NoX_4Aeg_-1244141483" />
  <messageBuildingBlock
    xmi:id="_1M3DhdE5Ed-BzquC8wXy7w_-1483229932"
    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="_QzJSNdp-Ed-ak6NoX_4Aeg_251191216" />
  <messageDefinitionIdentifier
    businessArea="sese"
    messageFunctionality="031"
    flavour="001"
    version="01" />
</messageDefinition>

ISO Building Blocks

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