Iso20022

SecuritiesTransactionStatusQueryV02

sese.021.001.02

Scope An account owner sends a SecuritiesTransactionStatusQuery to an account servicer to request a status on a securities transaction. The account owner/servicer 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
%% SecuritiesTransactionStatusQueryV02 recursion level 0 with max 0
SecuritiesTransactionStatusQueryV02 *-- "1..1" DocumentNumber5 : StatusAdviceRequested
SecuritiesTransactionStatusQueryV02 *-- "0..1" IPartyIdentification36Choice : AccountOwner
SecuritiesTransactionStatusQueryV02 *-- "1..1" SecuritiesAccount13 : SafekeepingAccount
SecuritiesTransactionStatusQueryV02 *-- "0..1" SupplementaryData1 : SupplementaryData

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

StatusAdviceRequested building block

Description of the status advise requested. Identification of the status being requested. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentNumber5 recursion level 0 with max 1
DocumentNumber5 *-- "1..1" IDocumentNumber1Choice : Number
DocumentNumber5 *-- "1..0" Identification6 : References
%% IDocumentNumber1Choice recursion level 1 with max 1
%% Identification6 recursion level 1 with max 1
class Identification6{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    TradeIdentification IsoMax35Text
    MasterIdentification IsoMax35Text
    BasketIdentification IsoMax35Text
    IndexIdentification IsoMax35Text
    ListIdentification IsoMax35Text
    ProgramIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
}

DocumentNumber5 members

Member name Description Data Type / Multiplicity
Number Number used to identify a message or document. IDocumentNumber1Choice - Required 1..1
References References of transaction for which the status is requested. Identification6 - Unknown 1..0

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

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 SecuritiesTransactionStatusQueryV02 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionStatusQueryV02 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionStatusQueryV02Document implements IOuterDocument. Because SecuritiesTransactionStatusQueryV02 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionStatusQueryV02.

classDiagram
    class IOuterRecord
    SecuritiesTransactionStatusQueryV02 --|> IOuterRecord : Implements
    SecuritiesTransactionStatusQueryV02Document --|> IOuterDocument~SecuritiesTransactionStatusQueryV02~ : Implements
    class IOuterDocument~SecuritiesTransactionStatusQueryV02~ {
        SecuritiesTransactionStatusQueryV02 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesTransactionStatusQueryV02Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.021.001.02’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionStatusQueryV02.ToDocument() method. The returned SecuritiesTransactionStatusQueryV02Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionStatusQueryV02Document *-- SecuritiesTransactionStatusQueryV02 : 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.021.001.02">
    <SctiesTxStsQry>
        <StsAdvcReqd>
            <!-- StatusAdviceRequested inner content -->
        </StsAdvcReqd>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesTxStsQry>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_hcSXMdtZEd-RF5yaMAVhAw"
  nextVersions="_Y3RNQfvfEeCBQp5TnX1XKQ"
  previousVersion="_GDGn6NE6Ed-BzquC8wXy7w_1892873307"
  name="SecuritiesTransactionStatusQueryV02"
  definition="Scope&#xD;&#xA;An account owner sends a SecuritiesTransactionStatusQuery to an account servicer to request a status on a securities transaction.&#xD;&#xA;The account owner/servicer relationship may be:&#xD;&#xA;- a global custodian which has an account with a local custodian, or&#xD;&#xA;- an investment management institution which manage a fund account opened at a custodian, or&#xD;&#xA;- a broker which has an account with a custodian, or&#xD;&#xA;- a central securities depository participant which has an account with a central securities depository, or&#xD;&#xA;- a central securities depository which has an account with a custodian, another central securities depository or another settlement market infrastructure, or&#xD;&#xA;- a central counterparty or a stock exchange or a trade matching utility which need to instruct to a central securities depository or another settlement market infrastructure.&#xD;&#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;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="SctiesTxStsQry"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_hcSXQdtZEd-RF5yaMAVhAw"
    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="_hcSXQ9tZEd-RF5yaMAVhAw"
    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="_hcSXNdtZEd-RF5yaMAVhAw"
    name="StatusAdviceRequested"
    definition="Description of the status advise requested."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StsAdvcReqd"
    complexType="_WBN2AeZlEd-q8fx_Zl_34A" />
  <messageBuildingBlock
    xmi:id="_hcSXN9tZEd-RF5yaMAVhAw"
    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="_hcSXOdtZEd-RF5yaMAVhAw"
    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="_hcSXP9tZEd-RF5yaMAVhAw"
    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="021"
    flavour="001"
    version="02" />
</messageDefinition>

ISO Building Blocks

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