SecuritiesSettlementConditionModificationStatusAdviceV07

sese.031.001.07

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:

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 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:

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
%% SecuritiesSettlementConditionModificationStatusAdviceV07 recursion level 0 with max 0
SecuritiesSettlementConditionModificationStatusAdviceV07 *-- "1..1" Identification14 : RequestReference
SecuritiesSettlementConditionModificationStatusAdviceV07 *-- "0..1" PartyIdentification98 : AccountOwner
SecuritiesSettlementConditionModificationStatusAdviceV07 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesSettlementConditionModificationStatusAdviceV07 *-- "0..1" RequestDetails15 : RequestDetails
SecuritiesSettlementConditionModificationStatusAdviceV07 *-- "1..1" IProcessingStatus50Choice : ProcessingStatus
SecuritiesSettlementConditionModificationStatusAdviceV07 *-- "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
%% Identification14 recursion level 0 with max 1
class Identification14{
    Identification IsoMax35Text
}

Identification14 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. Identification of the party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% PartyIdentification98 recursion level 0 with max 1
class PartyIdentification98{
    LEI IsoLEIIdentifier
}
PartyIdentification98 *-- "1..1" IPartyIdentification92Choice : Identification
%% IPartyIdentification92Choice recursion level 1 with max 1

PartyIdentification98 members

Member name	Description	Data Type / Multiplicity
Identification	Unique identification of the party.	IPartyIdentification92Choice - 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

RequestDetails building block

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

classDiagram
   direction tb
%% RequestDetails15 recursion level 0 with max 1
class RequestDetails15{
    RetainIndicator IsoYesNoIndicator
    PartialSettlementIndicator SettlementTransactionCondition5Code
}
RequestDetails15 *-- "1..1" References18 : Reference
RequestDetails15 *-- "0..1" IAutomaticBorrowing7Choice : AutomaticBorrowing
RequestDetails15 *-- "0..1" ILinkageType3Choice : Linkage
RequestDetails15 *-- "0..1" IPriorityNumeric4Choice : Priority
RequestDetails15 *-- "0..0" GenericIdentification30 : OtherProcessing
RequestDetails15 *-- "0..1" ISecuritiesRTGS4Choice : SecuritiesRTGS
RequestDetails15 *-- "0..1" HoldIndicator6 : HoldIndicator
RequestDetails15 *-- "0..1" IMatchingDenied3Choice : MatchingDenial
RequestDetails15 *-- "0..1" IUnilateralSplit3Choice : UnilateralSplit
RequestDetails15 *-- "0..0" Linkages39 : Linkages
%% References18 recursion level 1 with max 1
class References18{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
}
%% IAutomaticBorrowing7Choice recursion level 1 with max 1
%% ILinkageType3Choice recursion level 1 with max 1
%% IPriorityNumeric4Choice recursion level 1 with max 1
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}
%% ISecuritiesRTGS4Choice recursion level 1 with max 1
%% HoldIndicator6 recursion level 1 with max 1
class HoldIndicator6{
    Indicator IsoYesNoIndicator
}
HoldIndicator6 *-- "0..0" RegistrationReason5 : Reason
%% IMatchingDenied3Choice recursion level 1 with max 1
%% IUnilateralSplit3Choice recursion level 1 with max 1
%% Linkages39 recursion level 1 with max 1
Linkages39 *-- "0..1" IProcessingPosition8Choice : ProcessingPosition
Linkages39 *-- "0..1" IDocumentNumber5Choice : MessageNumber
Linkages39 *-- "1..1" IReferences46Choice : Reference
Linkages39 *-- "0..1" IPartyIdentification92Choice : ReferenceOwner

RequestDetails15 members

Member name	Description	Data Type / Multiplicity
Reference	References of the transaction for which the securities settlement condition modification is requested.	References18 - Required 1..1
AutomaticBorrowing	Condition for automatic borrowing.	IAutomaticBorrowing7Choice - 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.	ILinkageType3Choice - Optional 0..1
Priority	Specifies whether the transaction is to be executed with a high priority.	IPriorityNumeric4Choice - Optional 0..1
OtherProcessing	Specifies another type of processing change request.	GenericIdentification30 - 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.	ISecuritiesRTGS4Choice - Optional 0..1
HoldIndicator	Specifies whether the transaction is on hold/blocked/frozen.	HoldIndicator6 - Optional 0..1
MatchingDenial	Specifies the matching processing change requested.	IMatchingDenied3Choice - Optional 0..1
UnilateralSplit	Specifies that the transaction is requested to be unilaterally split.	IUnilateralSplit3Choice - Optional 0..1
Linkages	Information regarding the linkage requested.	Linkages39 - 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
%% IProcessingStatus50Choice recursion level 0 with max 1

ProcessingStatus50Choice 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 SecuritiesSettlementConditionModificationStatusAdviceV07 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementConditionModificationStatusAdviceV07 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementConditionModificationStatusAdviceV07Document implements IOuterDocument. Because SecuritiesSettlementConditionModificationStatusAdviceV07 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementConditionModificationStatusAdviceV07.

classDiagram
    class IOuterRecord
    SecuritiesSettlementConditionModificationStatusAdviceV07 --|> IOuterRecord : Implements
    SecuritiesSettlementConditionModificationStatusAdviceV07Document --|> IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV07~ : Implements
    class IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV07~ {
        SecuritiesSettlementConditionModificationStatusAdviceV07 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesSettlementConditionModificationStatusAdviceV07Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.031.001.07’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementConditionModificationStatusAdviceV07.ToDocument() method. The returned SecuritiesSettlementConditionModificationStatusAdviceV07Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementConditionModificationStatusAdviceV07Document *-- SecuritiesSettlementConditionModificationStatusAdviceV07 : 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.031.001.07">
    <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="_YSMXLQCTEeW_3KiG8SEjHA"
  nextVersions="_19xJ4dBmEeihG9bKfarOOA"
  previousVersion="_kgivIU3LEeS1yPC0JC-FvQ"
  name="SecuritiesSettlementConditionModificationStatusAdviceV07"
  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;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;&#xA;Usage&#xD;&#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.&#xD;&#xA;The message may also be used to:&#xD;&#xA;- re-send a message previously sent,&#xD;&#xA;- provide a third party with a copy of a message for information,&#xD;&#xA;- re-send to a third party a copy of a message for information&#xD;&#xA;using the relevant elements in the Business Application Header."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="SctiesSttlmCondModStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_YSMXMwCTEeW_3KiG8SEjHA"
    nextVersions="_19xJ49BmEeihG9bKfarOOA"
    previousVersion="_kgivJ03LEeS1yPC0JC-FvQ"
    name="RequestReference"
    definition="Identification of the SecuritiesSettlementConditionsModificationRequest."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="ReqRef"
    complexType="_jXzlYu5NEeCisYr99QEiWA_-2122254183" />
  <messageBuildingBlock
    xmi:id="_YSMXNQCTEeW_3KiG8SEjHA"
    nextVersions="_19xJ5dBmEeihG9bKfarOOA"
    previousVersion="_kgivKU3LEeS1yPC0JC-FvQ"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_lwSA1GwBEeWLq_lbZ2Mhyw" />
  <messageBuildingBlock
    xmi:id="_YSMXNwCTEeW_3KiG8SEjHA"
    nextVersions="_19xJ59BmEeihG9bKfarOOA"
    previousVersion="_kgivK03LEeS1yPC0JC-FvQ"
    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="_YSMXOQCTEeW_3KiG8SEjHA"
    nextVersions="_19xJ6dBmEeihG9bKfarOOA"
    previousVersion="_kgivLU3LEeS1yPC0JC-FvQ"
    name="RequestDetails"
    definition="Details of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="ReqDtls"
    complexType="_-zrY2zqEEeWVrPy0StzzSg" />
  <messageBuildingBlock
    xmi:id="_YSMXOwCTEeW_3KiG8SEjHA"
    nextVersions="_19xJ69BmEeihG9bKfarOOA"
    previousVersion="_kgivL03LEeS1yPC0JC-FvQ"
    name="ProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="PrcgSts"
    complexType="_iSz08TnvEeWfSKvvZlhRKg" />
  <messageBuildingBlock
    xmi:id="_YSMXPQCTEeW_3KiG8SEjHA"
    nextVersions="_19xJ7dBmEeihG9bKfarOOA"
    previousVersion="_kgivMU3LEeS1yPC0JC-FvQ"
    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="07" />
</messageDefinition>

ISO Building Blocks

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