Iso20022

SecuritiesSettlementTransactionModificationRequestStatusAdviceV01

sese.039.001.01

Scope An account servicer sends a SecuritiesSettlementTransactionModificationRequestStatusAdvice to an account owner to advise the status of a SecuritiesSettlementModificationRequest message previously sent by the account owner. The account servicer may be:

Usage 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
%% SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 recursion level 0 with max 0
SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 *-- "1..1" Identification1 : ModificationRequestReference
SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 *-- "0..1" TransactionIdentifications18 : TransactionIdentification
SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 *-- "1..1" IModificationProcessingStatus2Choice : ModificationProcessingStatus
SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 *-- "0..1" TransactionDetails45 : TransactionDetails
SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 *-- "0..1" SupplementaryData1 : SupplementaryData

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

ModificationRequestReference building block

Reference to the unambiguous identification of the cancellation request as per the account owner. 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

TransactionIdentification building block

Provides unambiguous transaction identification information. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionIdentifications18 recursion level 0 with max 1
class TransactionIdentifications18{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    OtherIdentification IsoMax35Text
}

TransactionIdentifications18 members

Member name Description Data Type / Multiplicity
AccountOwnerTransactionIdentification Unambiguous identification of the transaction as known by the account owner (or the instructing party managing the account). IsoMax35Text - Required 1..1
AccountServicerTransactionIdentification Unambiguous identification of the transaction as known by the account servicer. IsoMax35Text - Optional 0..1
MarketInfrastructureTransactionIdentification Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. IsoMax35Text - Optional 0..1
ProcessorTransactionIdentification Identification of the transaction assigned by the processor of the instruction other than the account owner the account servicer and the market infrastructure. IsoMax35Text - Optional 0..1
OtherIdentification Reference to a transaction that cannot be identified using a standard reference element present in the message. IsoMax35Text - Optional 0..1

ModificationProcessingStatus 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
%% IModificationProcessingStatus2Choice recursion level 0 with max 1

ModificationProcessingStatus2Choice members

Member name Description Data Type / Multiplicity

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
%% TransactionDetails45 recursion level 0 with max 1
class TransactionDetails45{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
}
TransactionDetails45 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
TransactionDetails45 *-- "1..1" IQuantity6Choice : SettlementQuantity
TransactionDetails45 *-- "0..1" AmountAndDirection8 : SettlementAmount
TransactionDetails45 *-- "1..1" ISettlementDate2Choice : SettlementDate
TransactionDetails45 *-- "0..1" ITradeDate1Choice : TradeDate
TransactionDetails45 *-- "0..1" SettlementParties13 : DeliveringSettlementParties
TransactionDetails45 *-- "0..1" SettlementParties13 : ReceivingSettlementParties
TransactionDetails45 *-- "0..1" IPartyIdentification37Choice : Investor
%% SecurityIdentification14 recursion level 1 with max 1
class SecurityIdentification14{
    ISIN IsoISINIdentifier
    Description IsoMax140Text
}
SecurityIdentification14 *-- "0..0" OtherIdentification1 : OtherIdentification
%% IQuantity6Choice recursion level 1 with max 1
%% AmountAndDirection8 recursion level 1 with max 1
class AmountAndDirection8{
    Amount IsoActiveCurrencyAndAmount
    CreditDebitIndicator CreditDebitCode
    OriginalCurrencyAndOrderedAmount IsoActiveOrHistoricCurrencyAndAmount
}
%% ISettlementDate2Choice recursion level 1 with max 1
%% ITradeDate1Choice recursion level 1 with max 1
%% 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

TransactionDetails45 members

Member name Description Data Type / Multiplicity
FinancialInstrumentIdentification Way(s) of identifying the security. SecurityIdentification14 - Required 1..1
SecuritiesMovementType Specifies if the movement on a securities account results from a deliver or a receive instruction. ReceiveDelivery1Code - Required 1..1
Payment Specifies how the transaction is to be settled, eg, against payment. DeliveryReceiptType2Code - Required 1..1
SettlementQuantity Total quantity of securities to be settled. IQuantity6Choice - Required 1..1
SettlementAmount Total amount of money to be paid or received in exchange for the securities. AmountAndDirection8 - Optional 0..1
SettlementDate Date and time at which the securities are to be delivered or received. ISettlementDate2Choice - Required 1..1
TradeDate Specifies the date/time on which the trade was executed. ITradeDate1Choice - Optional 0..1
DeliveringSettlementParties Identifies the chain of delivering settlement parties. SettlementParties13 - Optional 0..1
ReceivingSettlementParties Identifies the chain of receiving settlement parties. SettlementParties13 - Optional 0..1
Investor Party, either an individual or organisation, whose assets are being invested. IPartyIdentification37Choice - Optional 0..1

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 SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionModificationRequestStatusAdviceV01Document implements IOuterDocument. Because SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionModificationRequestStatusAdviceV01.

classDiagram
    class IOuterRecord
    SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 --|> IOuterRecord : Implements
    SecuritiesSettlementTransactionModificationRequestStatusAdviceV01Document --|> IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdviceV01~ : Implements
    class IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdviceV01~ {
        SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesSettlementTransactionModificationRequestStatusAdviceV01Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.039.001.01’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionModificationRequestStatusAdviceV01.ToDocument() method. The returned SecuritiesSettlementTransactionModificationRequestStatusAdviceV01Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementTransactionModificationRequestStatusAdviceV01Document *-- SecuritiesSettlementTransactionModificationRequestStatusAdviceV01 : 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.039.001.01">
    <SctiesSttlmTxModReqStsAdvc>
        <ModReqRef>
            <!-- ModificationRequestReference inner content -->
        </ModReqRef>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <TxId>
            <!-- TransactionIdentification inner content -->
        </TxId>
        <ModPrcgSts>
            <!-- ModificationProcessingStatus inner content -->
        </ModPrcgSts>
        <TxDtls>
            <!-- TransactionDetails inner content -->
        </TxDtls>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesSttlmTxModReqStsAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_0ZiagAlIEeGATtfOBToyew_2097565284"
  nextVersions="_zZOD4SRPEeON6sEIseGaUg"
  name="SecuritiesSettlementTransactionModificationRequestStatusAdviceV01"
  definition="Scope&#xA;An account servicer sends a SecuritiesSettlementTransactionModificationRequestStatusAdvice to an account owner to advise the status of a SecuritiesSettlementModificationRequest message previously sent by the account owner.&#xA;The account servicer may be:&#xA;- a central securities depository or another settlement market infrastructure managing securities settlement transactions on behalf of their participants&#xA;- an custodian acting as an accounting and/or settlement agent.&#xA;&#xA;Usage&#xA;The message may also be used to:&#xA;- re-send a message sent by the account owner to the account servicer,&#xA;- provide a third party with a copy of a message being sent by the account owner for information,&#xA;- re-send to a third party a copy of a message being sent by the account owner 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="SctiesSttlmTxModReqStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_0ZiagQlIEeGATtfOBToyew_416260039"
    nextVersions="_zZOD4yRPEeON6sEIseGaUg"
    name="ModificationRequestReference"
    definition="Reference to the unambiguous identification of the cancellation request as per the account owner."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="ModReqRef"
    complexType="_QtVlKtp-Ed-ak6NoX_4Aeg_-28410593" />
  <messageBuildingBlock
    xmi:id="_0ZiagglIEeGATtfOBToyew_-675057889"
    nextVersions="_zZOD5SRPEeON6sEIseGaUg"
    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="_0ZiagwlIEeGATtfOBToyew_2007322647"
    nextVersions="_zZOD5yRPEeON6sEIseGaUg"
    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="_0ZiahAlIEeGATtfOBToyew_-2023329186"
    nextVersions="_zZOD6SRPEeON6sEIseGaUg"
    name="TransactionIdentification"
    definition="Provides unambiguous transaction identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxId"
    complexType="_0eKb0AlIEeGATtfOBToyew_2030017060" />
  <messageBuildingBlock
    xmi:id="_0ZsLgAlIEeGATtfOBToyew_-425295090"
    nextVersions="_zZOD6yRPEeON6sEIseGaUg"
    name="ModificationProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="ModPrcgSts"
    complexType="_0kkl1AlIEeGATtfOBToyew_205414048" />
  <messageBuildingBlock
    xmi:id="_0ZsLgQlIEeGATtfOBToyew_-1601212681"
    nextVersions="_zZOD7SRPEeON6sEIseGaUg"
    name="TransactionDetails"
    definition="Identifies the details of the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxDtls"
    complexType="_J4YAMRW2EeG-atUl1gSRnw" />
  <messageBuildingBlock
    xmi:id="_0ZsLgglIEeGATtfOBToyew_755556512"
    nextVersions="_zZOD7yRPEeON6sEIseGaUg"
    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="039"
    flavour="001"
    version="01" />
</messageDefinition>

ISO Building Blocks

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