Iso20022

SecuritiesSettlementConditionModificationStatusAdviceV05

sese.031.001.05

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:

Usage A SecuritiesSettlementConditionsModificationRequest may contain requests on multiple transactions. However, one SecuritiesSettlementConditionsModificationStatusAdvice must be sent per transaction modified unless the SecuritiesSettlementConditionsModificationRequest is rejected as a whole. The message may also be used to:

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
%% SecuritiesSettlementConditionModificationStatusAdviceV05 recursion level 0 with max 0
SecuritiesSettlementConditionModificationStatusAdviceV05 *-- "1..1" Identification1 : RequestReference
SecuritiesSettlementConditionModificationStatusAdviceV05 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesSettlementConditionModificationStatusAdviceV05 *-- "0..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesSettlementConditionModificationStatusAdviceV05 *-- "0..1" RequestDetails13 : RequestDetails
SecuritiesSettlementConditionModificationStatusAdviceV05 *-- "1..1" IProcessingStatus18Choice : ProcessingStatus
SecuritiesSettlementConditionModificationStatusAdviceV05 *-- "0..1" SupplementaryData1 : SupplementaryData

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

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
%% IPartyIdentification36Choice recursion level 0 with max 1

PartyIdentification36Choice 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
%% RequestDetails13 recursion level 0 with max 1
class RequestDetails13{
    RetainIndicator IsoYesNoIndicator
    PartialSettlementIndicator SettlementTransactionCondition5Code
}
RequestDetails13 *-- "1..1" References16 : Reference
RequestDetails13 *-- "0..1" IAutomaticBorrowing2Choice : AutomaticBorrowing
RequestDetails13 *-- "0..1" ILinkageType1Choice : Linkage
RequestDetails13 *-- "0..1" IPriorityNumeric1Choice : Priority
RequestDetails13 *-- "0..0" GenericIdentification20 : OtherProcessing
RequestDetails13 *-- "0..1" ISecuritiesRTGS1Choice : SecuritiesRTGS
RequestDetails13 *-- "0..1" HoldIndicator4 : HoldIndicator
RequestDetails13 *-- "0..1" IMatchingDenied1Choice : MatchingDenial
RequestDetails13 *-- "0..1" IUnilateralSplit1Choice : UnilateralSplit
RequestDetails13 *-- "0..0" Linkages27 : Linkages
%% References16 recursion level 1 with max 1
class References16{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification 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
%% HoldIndicator4 recursion level 1 with max 1
class HoldIndicator4{
    Indicator IsoYesNoIndicator
}
HoldIndicator4 *-- "0..0" RegistrationReason3 : Reason
%% IMatchingDenied1Choice recursion level 1 with max 1
%% IUnilateralSplit1Choice recursion level 1 with max 1
%% Linkages27 recursion level 1 with max 1
Linkages27 *-- "0..1" IProcessingPosition5Choice : ProcessingPosition
Linkages27 *-- "0..1" IDocumentNumber1Choice : MessageNumber
Linkages27 *-- "1..1" IReferences24Choice : Reference
Linkages27 *-- "0..1" IPartyIdentification36Choice : ReferenceOwner

RequestDetails13 members

Member name Description Data Type / Multiplicity
Reference References of the transaction for which the securities settlement condition modification is requested. References16 - 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. SettlementTransactionCondition5Code - 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. HoldIndicator4 - 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. Linkages27 - 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
%% IProcessingStatus18Choice recursion level 0 with max 1

ProcessingStatus18Choice members

Member name Description Data Type / Multiplicity

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

Member name Description Data Type / Multiplicity
PlaceAndName Unambiguous reference to the location where the supplementary data must be inserted in the message instance. In the case of XML, this is expressed by a valid XPath. IsoMax350Text - Optional 0..1
Envelope Technical element wrapping the supplementary data. IsoSupplementaryDataEnvelope1 - Required 1..1

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the SecuritiesSettlementConditionModificationStatusAdviceV05 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementConditionModificationStatusAdviceV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementConditionModificationStatusAdviceV05Document implements IOuterDocument. Because SecuritiesSettlementConditionModificationStatusAdviceV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementConditionModificationStatusAdviceV05.

classDiagram
    class IOuterRecord
    SecuritiesSettlementConditionModificationStatusAdviceV05 --|> IOuterRecord : Implements
    SecuritiesSettlementConditionModificationStatusAdviceV05Document --|> IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV05~ : Implements
    class IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV05~ {
        SecuritiesSettlementConditionModificationStatusAdviceV05 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesSettlementConditionModificationStatusAdviceV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.031.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementConditionModificationStatusAdviceV05.ToDocument() method. The returned SecuritiesSettlementConditionModificationStatusAdviceV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementConditionModificationStatusAdviceV05Document *-- SecuritiesSettlementConditionModificationStatusAdviceV05 : 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.031.001.05">
    <SctiesSttlmCondModStsAdvc>
        <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>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesSttlmCondModStsAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_94RkESRMEeON6sEIseGaUg"
  nextVersions="_kgivIU3LEeS1yPC0JC-FvQ"
  previousVersion="_My0Q4QxzEeKMmbvHOtE4SA"
  name="SecuritiesSettlementConditionModificationStatusAdviceV05"
  definition="Scope&#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.&#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;A SecuritiesSettlementConditionsModificationRequest may contain requests on multiple transactions. However, one SecuritiesSettlementConditionsModificationStatusAdvice must be sent per transaction modified unless the SecuritiesSettlementConditionsModificationRequest is rejected as a whole.&#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="SctiesSttlmCondModStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_94RkEyRMEeON6sEIseGaUg"
    nextVersions="_kgivI03LEeS1yPC0JC-FvQ"
    previousVersion="_My0Q5QxzEeKMmbvHOtE4SA"
    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="_94RkFSRMEeON6sEIseGaUg"
    nextVersions="_kgivJU3LEeS1yPC0JC-FvQ"
    previousVersion="_My0Q6QxzEeKMmbvHOtE4SA"
    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="_94RkFyRMEeON6sEIseGaUg"
    nextVersions="_kgivJ03LEeS1yPC0JC-FvQ"
    previousVersion="_My0Q7QxzEeKMmbvHOtE4SA"
    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="_94RkGSRMEeON6sEIseGaUg"
    nextVersions="_kgivKU3LEeS1yPC0JC-FvQ"
    previousVersion="_My0Q8QxzEeKMmbvHOtE4SA"
    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="_94RkGyRMEeON6sEIseGaUg"
    nextVersions="_kgivK03LEeS1yPC0JC-FvQ"
    previousVersion="_My0Q9QxzEeKMmbvHOtE4SA"
    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="_94RkHSRMEeON6sEIseGaUg"
    nextVersions="_kgivLU3LEeS1yPC0JC-FvQ"
    previousVersion="_My0Q-QxzEeKMmbvHOtE4SA"
    name="RequestDetails"
    definition="Details of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="ReqDtls"
    complexType="_O20QsSzQEeOsiuMH68so7Q" />
  <messageBuildingBlock
    xmi:id="_94RkHyRMEeON6sEIseGaUg"
    nextVersions="_kgivL03LEeS1yPC0JC-FvQ"
    previousVersion="_My0Q_QxzEeKMmbvHOtE4SA"
    name="ProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="PrcgSts"
    complexType="_OJMkAf4vEeClUvPNHKL9Zw" />
  <messageBuildingBlock
    xmi:id="_94RkISRMEeON6sEIseGaUg"
    nextVersions="_kgivMU3LEeS1yPC0JC-FvQ"
    previousVersion="_My0RAQxzEeKMmbvHOtE4SA"
    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="031"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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