SecuritiesTransactionCancellationRequestStatusAdviceV04

sese.027.001.04

Scope An account servicer sends an SecuritiesTransactionCancellationRequestStatusAdvice to an account owner to advise the status of a securities transaction cancellation request previously sent 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 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
%% SecuritiesTransactionCancellationRequestStatusAdviceV04 recursion level 0 with max 0
SecuritiesTransactionCancellationRequestStatusAdviceV04 *-- "1..1" Identification1 : CancellationRequestReference
SecuritiesTransactionCancellationRequestStatusAdviceV04 *-- "0..1" TransactionIdentifications17 : TransactionIdentification
SecuritiesTransactionCancellationRequestStatusAdviceV04 *-- "1..1" IProcessingStatus45Choice : ProcessingStatus
SecuritiesTransactionCancellationRequestStatusAdviceV04 *-- "0..1" TransactionDetails30 : TransactionDetails
SecuritiesTransactionCancellationRequestStatusAdviceV04 *-- "0..1" SupplementaryData1 : SupplementaryData
  

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

CancellationRequestReference 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

TransactionIdentification building block

Unambiguous identification of the transaction as known by the account servicer. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionIdentifications17 recursion level 0 with max 1
class TransactionIdentifications17{
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
}
TransactionIdentifications17 *-- "1..1" IReferences22Choice : AccountOwnerTransactionIdentification
%% IReferences22Choice recursion level 1 with max 1
  

TransactionIdentifications17 members

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
%% IProcessingStatus45Choice recursion level 0 with max 1
  

ProcessingStatus45Choice 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
%% TransactionDetails30 recursion level 0 with max 1
TransactionDetails30 *-- "0..1" IPartyIdentification36Choice : AccountOwner
TransactionDetails30 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
TransactionDetails30 *-- "1..1" SecurityIdentification14 : FinancialInstrumentIdentification
TransactionDetails30 *-- "1..1" IQuantity6Choice : SettlementQuantity
TransactionDetails30 *-- "0..1" AmountAndDirection8 : SettlementAmount
TransactionDetails30 *-- "0..1" ITradeDate1Choice : TradeDate
TransactionDetails30 *-- "1..1" ISettlementDate2Choice : SettlementDate
TransactionDetails30 *-- "0..1" SettlementParties13 : DeliveringSettlementParties
TransactionDetails30 *-- "0..1" SettlementParties13 : ReceivingSettlementParties
TransactionDetails30 *-- "0..1" IPartyIdentification37Choice : Investor
%% IPartyIdentification36Choice recursion level 1 with max 1
%% SecuritiesAccount13 recursion level 1 with max 1
class SecuritiesAccount13{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount13 *-- "0..1" GenericIdentification20 : Type
%% 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
}
%% ITradeDate1Choice recursion level 1 with max 1
%% ISettlementDate2Choice 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
  

TransactionDetails30 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 SecuritiesTransactionCancellationRequestStatusAdviceV04 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionCancellationRequestStatusAdviceV04 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionCancellationRequestStatusAdviceV04Document implements IOuterDocument. Because SecuritiesTransactionCancellationRequestStatusAdviceV04 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionCancellationRequestStatusAdviceV04.

classDiagram
    class IOuterRecord
    SecuritiesTransactionCancellationRequestStatusAdviceV04 --|> IOuterRecord : Implements
    SecuritiesTransactionCancellationRequestStatusAdviceV04Document --|> IOuterDocument~SecuritiesTransactionCancellationRequestStatusAdviceV04~ : Implements
    class IOuterDocument~SecuritiesTransactionCancellationRequestStatusAdviceV04~ {
        SecuritiesTransactionCancellationRequestStatusAdviceV04 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesTransactionCancellationRequestStatusAdviceV04Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.027.001.04’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionCancellationRequestStatusAdviceV04.ToDocument() method. The returned SecuritiesTransactionCancellationRequestStatusAdviceV04Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionCancellationRequestStatusAdviceV04Document *-- SecuritiesTransactionCancellationRequestStatusAdviceV04 : 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.027.001.04">
    <SctiesTxCxlReqStsAdvc>
        <CxlReqRef>
            <!-- CancellationRequestReference inner content -->
        </CxlReqRef>
        <TxId>
            <!-- TransactionIdentification inner content -->
        </TxId>
        <PrcgSts>
            <!-- ProcessingStatus inner content -->
        </PrcgSts>
        <TxDtls>
            <!-- TransactionDetails inner content -->
        </TxDtls>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesTxCxlReqStsAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_BzjWMU3MEeS1yPC0JC-FvQ"
  nextVersions="_YSWIZwCTEeW_3KiG8SEjHA"
  previousVersion="_NIX9MfvfEeCBQp5TnX1XKQ"
  name="SecuritiesTransactionCancellationRequestStatusAdviceV04"
  definition="Scope&#xA;An account servicer sends an SecuritiesTransactionCancellationRequestStatusAdvice to an account owner to advise the status of a securities transaction cancellation request previously sent 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;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="SctiesTxCxlReqStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_BzjWM03MEeS1yPC0JC-FvQ"
    previousVersion="_NIX9NfvfEeCBQp5TnX1XKQ"
    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="_BzjWNU3MEeS1yPC0JC-FvQ"
    previousVersion="_NIX9OfvfEeCBQp5TnX1XKQ"
    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" />
  <constraint
    xmi:id="_BzjWN03MEeS1yPC0JC-FvQ"
    nextVersions="_YSWIbQCTEeW_3KiG8SEjHA"
    previousVersion="_NIX9PfvfEeCBQp5TnX1XKQ"
    name="SecuritiesMarketPracticeGroupGuideline"
    definition="The Securities Market Practice Group (SMPG) has published market practice recommendations on the use of this message.&#xD;&#xA;These market practices are available on www.smpg.info."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_BzjWOU3MEeS1yPC0JC-FvQ"
    nextVersions="_YSWIbwCTEeW_3KiG8SEjHA"
    previousVersion="_NIX9QfvfEeCBQp5TnX1XKQ"
    name="CancellationRequestReference"
    definition="Reference to the unambiguous identification of the cancellation request as per the account owner."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="CxlReqRef"
    complexType="_QtVlKtp-Ed-ak6NoX_4Aeg_-28410593" />
  <messageBuildingBlock
    xmi:id="_BzjWO03MEeS1yPC0JC-FvQ"
    nextVersions="_YSWIcQCTEeW_3KiG8SEjHA"
    previousVersion="_NIX9RfvfEeCBQp5TnX1XKQ"
    name="TransactionIdentification"
    definition="Unambiguous identification of the transaction as known by the account servicer."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxId"
    complexType="_YhN9If7yEeCvPoRGOxRobQ" />
  <messageBuildingBlock
    xmi:id="_BzjWPU3MEeS1yPC0JC-FvQ"
    nextVersions="_YSWIcwCTEeW_3KiG8SEjHA"
    previousVersion="_NIX9SfvfEeCBQp5TnX1XKQ"
    name="ProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="PrcgSts"
    complexType="_iZ9xMVhgEeS8HfHHd4stCA" />
  <messageBuildingBlock
    xmi:id="_BzjWP03MEeS1yPC0JC-FvQ"
    nextVersions="_YSWIdQCTEeW_3KiG8SEjHA"
    previousVersion="_NIX9TfvfEeCBQp5TnX1XKQ"
    name="TransactionDetails"
    definition="Identifies the details of the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxDtls"
    complexType="_idl6n-aOEd-q8fx_Zl_34A" />
  <messageBuildingBlock
    xmi:id="_BzjWQU3MEeS1yPC0JC-FvQ"
    nextVersions="_YSWIdwCTEeW_3KiG8SEjHA"
    previousVersion="_NIX9UfvfEeCBQp5TnX1XKQ"
    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="027"
    flavour="001"
    version="04" />
</messageDefinition>

ISO Building Blocks

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