TransferInstructionStatusReportV02

sese.011.001.02

Scope An executing party, eg, a transfer agent, sends the TransferInstructionStatusReport message to the instructing party, eg, an investment manager or one of its authorised representatives to provide the status of a previously received transfer instruction. Usage The TransferInstructionStatusReport message is used to report on the status of a transfer in or transfer out instruction. The reference of the transfer instruction for which the status is reported is identified in TransferReference. The message identification of the transfer instruction message in which the transfer instruction was conveyed may also be quoted in RelatedReference. One of the following statuses can be reported:

an accepted status, or,
an already executed status, or,
a sent to next party status, or,
a matched status, or,
a settled status, or,
a pending settlement status and the reason for the status, or,
an unmatched status and the reason for the status, or,
an in-repair status and the reason for the status, or,
a rejected status and the reason for the status, or,
a failed settlement status and the reason for the status, or,
a cancelled status and the reason for the status, or,
a cancelled status and the reason for the status, or,
a cancellation pending status and the reason for the status.

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
%% TransferInstructionStatusReportV02 recursion level 0 with max 0
TransferInstructionStatusReportV02 *-- "1..1" MessageIdentification1 : MessageIdentification
TransferInstructionStatusReportV02 *-- "0..2" AdditionalReference3 : RelatedReference
TransferInstructionStatusReportV02 *-- "0..2" AdditionalReference3 : OtherReference
TransferInstructionStatusReportV02 *-- "1..1" TransferStatusAndReason2 : StatusReport
TransferInstructionStatusReportV02 *-- "0..1" Extension1 : Extension

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

MessageIdentification building block

Reference that uniquely identifies a message from a business application standpoint. Identifies a message by a unique identifier and the date and time when the message was created by the sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% MessageIdentification1 recursion level 0 with max 1
class MessageIdentification1{
    Identification IsoMax35Text
    CreationDateTime IsoISODateTime
}

MessageIdentification1 members

Member name	Description	Data Type / Multiplicity
Identification	Identification of the message.	IsoMax35Text - Required 1..1
CreationDateTime	Date of creation of the message.	IsoISODateTime - Required 1..1

RelatedReference building block

Reference to a linked message that was previously received. References a related message or provides another reference, such as a pool reference, linking a set of messages. The party which issued the related reference may be the Sender of the referenced message or a party other than the Sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalReference3 recursion level 0 with max 1
class AdditionalReference3{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference3 *-- "0..1" IPartyIdentification2Choice : ReferenceIssuer
%% IPartyIdentification2Choice recursion level 1 with max 1

AdditionalReference3 members

Member name	Description	Data Type / Multiplicity
Reference	Business reference of a message assigned by the party issuing the message. This reference must be unique amongst all messages of the same name sent by the same party.	IsoMax35Text - Required 1..1
ReferenceIssuer	Issuer of the reference.	IPartyIdentification2Choice - Optional 0..1
MessageName	Name of a message.	IsoMax35Text - Optional 0..1

OtherReference building block

Reference to a linked message sent in a proprietary way or the reference of a system. References a related message or provides another reference, such as a pool reference, linking a set of messages. The party which issued the related reference may be the Sender of the referenced message or a party other than the Sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalReference3 recursion level 0 with max 1
class AdditionalReference3{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference3 *-- "0..1" IPartyIdentification2Choice : ReferenceIssuer
%% IPartyIdentification2Choice recursion level 1 with max 1

AdditionalReference3 members

Member name	Description	Data Type / Multiplicity
Reference	Business reference of a message assigned by the party issuing the message. This reference must be unique amongst all messages of the same name sent by the same party.	IsoMax35Text - Required 1..1
ReferenceIssuer	Issuer of the reference.	IPartyIdentification2Choice - Optional 0..1
MessageName	Name of a message.	IsoMax35Text - Optional 0..1

StatusReport building block

Status of the transfer instruction. Information about the status of a transfer instruction and its reason. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransferStatusAndReason2 recursion level 0 with max 1
class TransferStatusAndReason2{
    MasterReference IsoMax35Text
    TransferReference IsoMax35Text
    ClientReference IsoMax35Text
    CancellationReference IsoMax35Text
    TradeDate IsoISODate
    SendOutDate IsoISODate
}
TransferStatusAndReason2 *-- "1..1" TransferInstructionStatus2 : Status
TransferStatusAndReason2 *-- "1..1" PendingSettlementStatus2 : PendingSettlement
TransferStatusAndReason2 *-- "1..1" TransferUnmatchedStatus2 : Unmatched
TransferStatusAndReason2 *-- "1..1" InRepairStatus3 : InRepair
TransferStatusAndReason2 *-- "1..1" IRejectedStatus8Choice : Rejected
TransferStatusAndReason2 *-- "1..1" FailedSettlementStatus1 : FailedSettlement
TransferStatusAndReason2 *-- "1..1" CancelledStatus3 : Cancelled
TransferStatusAndReason2 *-- "1..1" ReversedStatus1 : Reversed
TransferStatusAndReason2 *-- "1..1" CancellationPendingStatus1 : CancellationPending
TransferStatusAndReason2 *-- "0..1" IPartyIdentification2Choice : StatusInitiator
%% TransferInstructionStatus2 recursion level 1 with max 1
class TransferInstructionStatus2{
    Status TransferStatus2Code
    Reason IsoMax350Text
}
%% PendingSettlementStatus2 recursion level 1 with max 1
class PendingSettlementStatus2{
    Reason PendingSettlementStatusReason2Code
    ExtendedReason IsoExtended350Code
    NoSpecifiedReason NoReasonCode
}
PendingSettlementStatus2 *-- "1..1" GenericIdentification1 : DataSourceScheme
%% TransferUnmatchedStatus2 recursion level 1 with max 1
class TransferUnmatchedStatus2{
    NoSpecifiedReason NoReasonCode
    Reason TransferUnmatchedReason2Code
    ExtendedReason IsoExtended350Code
}
TransferUnmatchedStatus2 *-- "1..1" GenericIdentification1 : DataSourceScheme
%% InRepairStatus3 recursion level 1 with max 1
class InRepairStatus3{
    Reason IsoMax350Text
    NoSpecifiedReason NoReasonCode
}
InRepairStatus3 *-- "1..1" GenericIdentification1 : DataSourceScheme
%% IRejectedStatus8Choice recursion level 1 with max 1
%% FailedSettlementStatus1 recursion level 1 with max 1
class FailedSettlementStatus1{
    Reason IsoMax350Text
    NoSpecifiedReason NoReasonCode
}
FailedSettlementStatus1 *-- "1..1" GenericIdentification1 : DataSourceScheme
%% CancelledStatus3 recursion level 1 with max 1
class CancelledStatus3{
    NoSpecifiedReason NoReasonCode
    Reason CancelledStatusReason3Code
    ExtendedReason IsoExtended350Code
}
CancelledStatus3 *-- "1..1" GenericIdentification1 : DataSourceScheme
%% ReversedStatus1 recursion level 1 with max 1
class ReversedStatus1{
    Reason IsoMax350Text
    NoSpecifiedReason NoReasonCode
}
ReversedStatus1 *-- "1..1" GenericIdentification1 : DataSourceScheme
%% CancellationPendingStatus1 recursion level 1 with max 1
class CancellationPendingStatus1{
    Reason IsoMax350Text
    NoSpecifiedReason NoReasonCode
}
CancellationPendingStatus1 *-- "1..1" GenericIdentification1 : DataSourceScheme
%% IPartyIdentification2Choice recursion level 1 with max 1

TransferStatusAndReason2 members

Member name	Description	Data Type / Multiplicity
MasterReference	Unique and unambiguous identifier for a group of individual transfers as assigned by the instructing party. This identifier links the individual transfers together.	IsoMax35Text - Optional 0..1
TransferReference	Unique and unambiguous identification of a transfer, as assigned by the instructing party.	IsoMax35Text - Required 1..1
ClientReference	Unique and unambiguous investor’s identification of a transfer. This reference can typically be used in a hub scenario to give the reference of the transfer as assigned by the underlying client.	IsoMax35Text - Optional 0..1
CancellationReference	Unique and unambiguous identifier for a transfer cancellation, as assigned by the instructing party.	IsoMax35Text - Optional 0..1
Status	Status of the transfer is accepted, sent to next party, matched, already executed, or settled.	TransferInstructionStatus2 - Required 1..1
PendingSettlement	Status of the transfer is pending settlement.	PendingSettlementStatus2 - Required 1..1
Unmatched	Status of the transfer is unmatched.	TransferUnmatchedStatus2 - Required 1..1
InRepair	Status of the transfer is in repair.	InRepairStatus3 - Required 1..1
Rejected	Status of the transfer is rejected.	IRejectedStatus8Choice - Required 1..1
FailedSettlement	Status of the transfer is failed settlement, ie, settlement in the International Central Securities Depository (ICSD) or Central Securities Depository (CSD) failed.	FailedSettlementStatus1 - Required 1..1
Cancelled	Status of the transfer is cancelled.	CancelledStatus3 - Required 1..1
Reversed	Status of the transfer is reversed.	ReversedStatus1 - Required 1..1
CancellationPending	Status of the transfer is cancellation pending.	CancellationPendingStatus1 - Required 1..1
TradeDate	Date and time at which the transfer was executed.	IsoISODate - Optional 0..1
SendOutDate	Date on which the document, for example, the application form, was sent.	IsoISODate - Optional 0..1
StatusInitiator	Party that initiates the status.	IPartyIdentification2Choice - Optional 0..1

Extension 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
%% Extension1 recursion level 0 with max 1
class Extension1{
    PlaceAndName IsoMax350Text
    Text IsoMax350Text
}

Extension1 members

Member name	Description	Data Type / Multiplicity
PlaceAndName	Name qualifying the information provided in the Text field, and place where this information should be inserted.	IsoMax350Text - Required 1..1
Text	Text of the extension.	IsoMax350Text - Required 1..1

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the TransferInstructionStatusReportV02 implementation follows a specific implementaiton pattern. First of all, TransferInstructionStatusReportV02 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, TransferInstructionStatusReportV02Document implements IOuterDocument. Because TransferInstructionStatusReportV02 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type TransferInstructionStatusReportV02.

classDiagram
    class IOuterRecord
    TransferInstructionStatusReportV02 --|> IOuterRecord : Implements
    TransferInstructionStatusReportV02Document --|> IOuterDocument~TransferInstructionStatusReportV02~ : Implements
    class IOuterDocument~TransferInstructionStatusReportV02~ {
        TransferInstructionStatusReportV02 Message
     }

Document wrapper for serialization

The only real purpose TransferInstructionStatusReportV02Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.011.001.02’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using TransferInstructionStatusReportV02.ToDocument() method. The returned TransferInstructionStatusReportV02Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    TransferInstructionStatusReportV02Document *-- TransferInstructionStatusReportV02 : 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.011.001.02">
    <TrfInstrStsRptV02>
        <MsgId>
            <!-- MessageIdentification inner content -->
        </MsgId>
        <RltdRef>
            <!-- RelatedReference inner content -->
        </RltdRef>
        <OthrRef>
            <!-- OtherReference inner content -->
        </OthrRef>
        <StsRpt>
            <!-- StatusReport inner content -->
        </StsRpt>
        <Xtnsn>
            <!-- Extension inner content -->
        </Xtnsn>
    </TrfInstrStsRptV02>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_K1BewNE6Ed-BzquC8wXy7w_1077069580"
  nextVersions="_ERzL8fpcEeCPwaG9zjUPNQ"
  previousVersion="_K0uj29E6Ed-BzquC8wXy7w_569643185"
  name="TransferInstructionStatusReportV02"
  definition="Scope&#xD;&#xA;An executing party, eg, a transfer agent, sends the TransferInstructionStatusReport message to the instructing party, eg, an investment manager or one of its authorised representatives to provide the status of a previously received transfer instruction.&#xD;&#xA;Usage&#xD;&#xA;The TransferInstructionStatusReport message is used to report on the status of a transfer in or transfer out instruction. The reference of the transfer instruction for which the status is reported is identified in TransferReference.&#xD;&#xA;The message identification of the transfer instruction message in which the transfer instruction was conveyed may also be quoted in RelatedReference.&#xD;&#xA;One of the following statuses can be reported:&#xD;&#xA;- an accepted status, or,&#xD;&#xA;- an already executed status, or,&#xD;&#xA;- a sent to next party status, or,&#xD;&#xA;- a matched status, or,&#xD;&#xA;- a settled status, or,&#xD;&#xA;- a pending settlement status and the reason for the status, or,&#xD;&#xA;- an unmatched status and the reason for the status, or,&#xD;&#xA;- an in-repair status and the reason for the status, or,&#xD;&#xA;- a rejected status and the reason for the status, or,&#xD;&#xA;- a failed settlement status and the reason for the status, or,&#xD;&#xA;- a cancelled status and the reason for the status, or,&#xD;&#xA;- a cancelled status and the reason for the status, or,&#xD;&#xA;- a cancellation pending status and the reason for the status."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="TrfInstrStsRptV02"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_K1BeydE6Ed-BzquC8wXy7w_1295989078"
    name="OtherReferenceRule"
    definition="OtherReference should be used to reference a transfer instruction or a transfer cancellation request 'message' sent in a proprietary way or used for a system reference. If OtherReference is present, OtherReference/MessageName must contain 'fax' or 'phone' or 'email', etc."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_K1LPwtE6Ed-BzquC8wXy7w_1295989338"
    name="RelatedReferenceRule"
    definition="If RelatedReference/MessageName is present, it must contain 540 or 542 or must start with sese.001, sese.002, sese.005, sese.006 or sese.009 and the RelatedReference/Reference must contain the reference of a message in this list."
    registrationStatus="Provisionally Registered" />
  <xors
    xmi:id="_K1BextE6Ed-BzquC8wXy7w_1077069934"
    name="RelatedReferenceOrOtherReferenceRule"
    definition="Occurrences of either RelatedReference or OtherReference may be present, but not occurrences of both."
    registrationStatus="Provisionally Registered"
    impactedMessageBuildingBlocks="_K1BewtE6Ed-BzquC8wXy7w_1077069858 _K1Bew9E6Ed-BzquC8wXy7w_1077069824" />
  <messageBuildingBlock
    xmi:id="_K1BewdE6Ed-BzquC8wXy7w_-1533782802"
    name="MessageIdentification"
    definition="Reference that uniquely identifies a message from a business application standpoint."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="MsgId"
    complexType="_Q7pG5Np-Ed-ak6NoX_4Aeg_-967008570" />
  <messageBuildingBlock
    xmi:id="_K1BewtE6Ed-BzquC8wXy7w_1077069858"
    name="RelatedReference"
    definition="Reference to a linked message that was previously received."
    registrationStatus="Provisionally Registered"
    maxOccurs="2"
    minOccurs="0"
    xmlTag="RltdRef"
    complexType="_Q6vvAdp-Ed-ak6NoX_4Aeg_2101402955" />
  <messageBuildingBlock
    xmi:id="_K1Bew9E6Ed-BzquC8wXy7w_1077069824"
    name="OtherReference"
    definition="Reference to a linked message sent in a proprietary way or the reference of a system."
    registrationStatus="Provisionally Registered"
    maxOccurs="2"
    minOccurs="0"
    xmlTag="OthrRef"
    complexType="_Q6vvAdp-Ed-ak6NoX_4Aeg_2101402955" />
  <messageBuildingBlock
    xmi:id="_K1BexNE6Ed-BzquC8wXy7w_1077069893"
    name="StatusReport"
    definition="Status of the transfer instruction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StsRpt"
    complexType="_SwUJhNp-Ed-ak6NoX_4Aeg_-313438480" />
  <messageBuildingBlock
    xmi:id="_K1BexdE6Ed-BzquC8wXy7w_-314737891"
    name="Extension"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Xtnsn"
    complexType="_Q6vvCNp-Ed-ak6NoX_4Aeg_1503007069" />
  <messageDefinitionIdentifier
    businessArea="sese"
    messageFunctionality="011"
    flavour="001"
    version="02" />
</messageDefinition>

ISO Building Blocks

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