Iso20022

TransferInstructionStatusReportV07

sese.011.001.07

Scope The TransferInstructionStatusReport message is sent by an executing party, for example, a transfer agent, to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction. It may also be used to report the status of an event related to the asset being transferred or provide additional information. Usage The TransferInstructionStatusReport message is sent by an executing party, for example, a transfer agent, to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction. It may also be used to report the status of an event related to the asset being transferred or provide additional information. 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:

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
%% TransferInstructionStatusReportV07 recursion level 0 with max 0
TransferInstructionStatusReportV07 *-- "1..1" MessageIdentification1 : MessageIdentification
TransferInstructionStatusReportV07 *-- "0..1" AdditionalReference10 : CounterpartyReference
TransferInstructionStatusReportV07 *-- "0..1" IReferences64Choice : Reference
TransferInstructionStatusReportV07 *-- "1..1" TransferStatusAndReason6 : StatusReport
TransferInstructionStatusReportV07 *-- "0..1" MarketPracticeVersion1 : MarketPracticeVersion
TransferInstructionStatusReportV07 *-- "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 the 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

CounterpartyReference building block

Unambiguous identification of the transfer allocated by the counterparty. Reference and reference issuer. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalReference10 recursion level 0 with max 1
class AdditionalReference10{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference10 *-- "0..1" PartyIdentification139 : ReferenceIssuer
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party

AdditionalReference10 members

Member name Description Data Type / Multiplicity
Reference Reference issued by a party to identify an instruction, transaction or a message. IsoMax35Text - Required 1..1
ReferenceIssuer Issuer of the reference. PartyIdentification139 - Optional 0..1
MessageName Name of the message. IsoMax35Text - Optional 0..1

Reference building block

Reference to the message or communication that was previously received. Choice of references used to reference a previous transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IReferences64Choice recursion level 0 with max 1

References64Choice members

Member name Description Data Type / Multiplicity

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
%% TransferStatusAndReason6 recursion level 0 with max 1
class TransferStatusAndReason6{
    MasterReference IsoMax35Text
    TransferReference IsoMax35Text
    CancellationReference IsoMax35Text
    TradeDate IsoISODate
    SettlementDate IsoISODate
    SendOutDate IsoISODate
    TotalUnitsNumber IsoDecimalNumber
    AveragePrice IsoActiveOrHistoricCurrencyAnd13DecimalAmount
    TotalTransferValue IsoActiveCurrencyAnd13DecimalAmount
}
TransferStatusAndReason6 *-- "0..1" AdditionalReference10 : ClientReference
TransferStatusAndReason6 *-- "0..0" ITransferStatusType1Choice : TransferEventType
TransferStatusAndReason6 *-- "1..1" ITransferStatus3Choice : TransferStatus
TransferStatusAndReason6 *-- "0..0" Unit11 : UnitsDetails
TransferStatusAndReason6 *-- "0..0" PaymentInstrument15 : PaymentDetails
TransferStatusAndReason6 *-- "0..0" BenefitCrystallisationEvent1 : BenefitCrystallisationEvent
TransferStatusAndReason6 *-- "0..0" Drawdown1 : DrawdownTranche
TransferStatusAndReason6 *-- "0..1" PartyIdentification139 : StatusInitiator
TransferStatusAndReason6 *-- "0..1" PartyIdentification139 : StatusIssuer
TransferStatusAndReason6 *-- "0..1" PartyIdentification139 : StatusRecipient
%% AdditionalReference10 recursion level 1 with max 1
class AdditionalReference10{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference10 *-- "0..1" PartyIdentification139 : ReferenceIssuer
%% ITransferStatusType1Choice recursion level 1 with max 1
%% ITransferStatus3Choice recursion level 1 with max 1
%% Unit11 recursion level 1 with max 1
class Unit11{
    UnitsNumber IsoDecimalNumber
    OrderDate IsoISODate
    AcquisitionDate IsoISODate
    CertificateNumber IsoMax35Text
    Group1Or2Units UKTaxGroupUnit1Code
    Reference IsoMax35Text
}
Unit11 *-- "0..1" UnitPrice23 : PriceDetails
Unit11 *-- "0..1" TotalFeesAndTaxes41 : TransactionOverhead
Unit11 *-- "0..0" OtherAmount1 : OtherAmount
%% PaymentInstrument15 recursion level 1 with max 1
class PaymentInstrument15{
    Reference IsoMax35Text
    Amount IsoActiveCurrencyAnd13DecimalAmount
    PaymentDate IsoISODate
}
PaymentInstrument15 *-- "0..1" IPaymentInstrument23Choice : CashSettlementDetails
%% BenefitCrystallisationEvent1 recursion level 1 with max 1
class BenefitCrystallisationEvent1{
    EventNumber IsoMax35Text
    EventDate IsoISODate
    CrystallisationAmount IsoActiveCurrencyAnd13DecimalAmount
    PercentageOfAllowance IsoPercentageRate
}
BenefitCrystallisationEvent1 *-- "0..1" IDrawdownEventType1Choice : EventType
BenefitCrystallisationEvent1 *-- "0..0" AdditionalInformation15 : AdditionalInformation
%% Drawdown1 recursion level 1 with max 1
class Drawdown1{
    PercentageOfTotalTransferValue IsoPercentageRate
    TotalAmountNetDrawdown IsoActiveCurrencyAnd13DecimalAmount
    AdditionalFundsDesignated IsoYesNoIndicator
    PensionCommencementLumpSumRemaining IsoActiveCurrencyAnd13DecimalAmount
    PensionCommencementLumpSumDate IsoISODate
    MultiplePensionCommencementLumpSums IsoYesNoIndicator
    LifetimeAllowance IsoPercentageRate
    RecipientOfDrawdownIndicator IsoYesNoIndicator
    FlexibleDrawdownTriggeredDate IsoISODate
}
Drawdown1 *-- "1..1" IDrawdownType1Choice : TrancheType
Drawdown1 *-- "0..1" IApplicableRules1Choice : ApplicableRules
Drawdown1 *-- "0..1" DrawdownAllowanceCheck1 : DrawdownAllowanceCheck
Drawdown1 *-- "0..1" BeneficiaryDrawdown1 : BeneficiaryDetails
Drawdown1 *-- "0..1" Capped1 : CappedLimits
Drawdown1 *-- "0..0" AdditionalInformation15 : AdditionalInformation
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party

TransferStatusAndReason6 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 the transfer, as assigned by the instructing party. IsoMax35Text - Required 1..1
ClientReference Unique and unambiguous investor’s identification of the transfer. This reference can typically be used in a hub scenario to give the reference of the transfer as assigned by the underlying client. AdditionalReference10 - Optional 0..1
CancellationReference Unique and unambiguous identifier for a transfer cancellation, as assigned by the instructing party. IsoMax35Text - Optional 0..1
TransferEventType Type of event for which the message is sent. ITransferStatusType1Choice - Unknown 0..0
TransferStatus Status of the transfer instruction. ITransferStatus3Choice - Required 1..1
TradeDate Date on which the transfer was executed. In some scenarios, this is the date and time to be used as the trade date when securities are settled through an International Central Securities Depository (ICSD) or Central Securities Depository (CSD). IsoISODate - Optional 0..1
SettlementDate Date at which the securities are to be exchanged or were exchanged at the International Central Securities Depository (ICSD) or Central Securities Depository (CSD). IsoISODate - Optional 0..1
SendOutDate Date on which the document, for example, the application form, was sent. IsoISODate - Optional 0..1
TotalUnitsNumber Number of units to be transferred. IsoDecimalNumber - Optional 0..1
AveragePrice Weighted average price of the units in the account. The average price may also be known as the average acquisition price. IsoActiveOrHistoricCurrencyAnd13DecimalAmount - Optional 0..1
UnitsDetails Breakdown of units to be transferred. Unit11 - Unknown 0..0
TotalTransferValue Total transfer value. IsoActiveCurrencyAnd13DecimalAmount - Optional 0..1
PaymentDetails Details of a payment that will result from or resulting from the liquation of an asset and transfer of cash or for the transfer of cash that was not invested. PaymentInstrument15 - Unknown 0..0
BenefitCrystallisationEvent Information about the realisation of benefits taken from a pension. BenefitCrystallisationEvent1 - Unknown 0..0
DrawdownTranche Details of a drawdown tranche. Drawdown1 - Unknown 0..0
StatusInitiator Party that initiates the status. PartyIdentification139 - Optional 0..1
StatusIssuer Party that issues the status message. PartyIdentification139 - Optional 0..1
StatusRecipient Party that receives the status message. PartyIdentification139 - Optional 0..1

MarketPracticeVersion building block

Identifies the market practice to which the message conforms. Identifies the implementation and version. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% MarketPracticeVersion1 recursion level 0 with max 1
class MarketPracticeVersion1{
    Name IsoMax35Text
    Date IsoISOYearMonth
    Number IsoMax35Text
}

MarketPracticeVersion1 members

Member name Description Data Type / Multiplicity
Name Market practice, for example, “UKTRANSFERS”, “FINDELSLT”. IsoMax35Text - Required 1..1
Date Year and month, for example, 2013-06. IsoISOYearMonth - Optional 0..1
Number Version of the market practice. IsoMax35Text - 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 TransferInstructionStatusReportV07 implementation follows a specific implementaiton pattern. First of all, TransferInstructionStatusReportV07 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, TransferInstructionStatusReportV07Document implements IOuterDocument. Because TransferInstructionStatusReportV07 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type TransferInstructionStatusReportV07.

classDiagram
    class IOuterRecord
    TransferInstructionStatusReportV07 --|> IOuterRecord : Implements
    TransferInstructionStatusReportV07Document --|> IOuterDocument~TransferInstructionStatusReportV07~ : Implements
    class IOuterDocument~TransferInstructionStatusReportV07~ {
        TransferInstructionStatusReportV07 Message
     }

Document wrapper for serialization

The only real purpose TransferInstructionStatusReportV07Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.011.001.07’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using TransferInstructionStatusReportV07.ToDocument() method. The returned TransferInstructionStatusReportV07Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    TransferInstructionStatusReportV07Document *-- TransferInstructionStatusReportV07 : 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.011.001.07">
    <TrfInstrStsRpt>
        <MsgId>
            <!-- MessageIdentification inner content -->
        </MsgId>
        <CtrPtyRef>
            <!-- CounterpartyReference inner content -->
        </CtrPtyRef>
        <Ref>
            <!-- Reference inner content -->
        </Ref>
        <StsRpt>
            <!-- StatusReport inner content -->
        </StsRpt>
        <MktPrctcVrsn>
            <!-- MarketPracticeVersion inner content -->
        </MktPrctcVrsn>
        <Xtnsn>
            <!-- Extension inner content -->
        </Xtnsn>
    </TrfInstrStsRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_EObOgVNUEeijdq8ilaxyOA"
  nextVersions="_kFCMMZDhEem7fvtoGpNpow"
  previousVersion="_ZUnusYZMEeemXK0UETsSiA"
  name="TransferInstructionStatusReportV07"
  definition="Scope&#xD;&#xD;&#xA;The TransferInstructionStatusReport message is sent by an executing party, for example, a transfer agent, to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction.&#xD; It may also be used to report the status of an event related to the asset being transferred or provide additional information.&#xD;&#xD;&#xA;Usage&#xD;&#xD;&#xA;The TransferInstructionStatusReport message is sent by an executing party, for example, a transfer agent, to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction. It may also be used to report the status of an event related to the asset being transferred or provide additional information.&#xD;&#xA;The message identification of the transfer instruction message in which the transfer instruction was conveyed may also be quoted in RelatedReference.&#xD;&#xD;&#xA;One of the following statuses can be reported:&#xD;&#xD;&#xA;- an accepted status, or,&#xD;&#xD;&#xA;- an already executed status, or,&#xD;&#xD;&#xA;- a sent to next party status, or,&#xD;&#xD;&#xA;- a matched status, or,&#xD;&#xD;&#xA;- a settled status, or,&#xD;&#xD;&#xA;- a delayed status, or, &#xD;&#xA;- a pending settlement status and the reason for the status, or,&#xD;&#xD;&#xA;- an unmatched status and the reason for the status, or,&#xD;&#xD;&#xA;- an in-repair status and the reason for the status, or,&#xD;&#xD;&#xA;- a rejected status and the reason for the status, or,&#xD;&#xD;&#xA;- a failed settlement status and the reason for the status, or,&#xD;&#xD;&#xA;- a cancelled status and the reason for the status, or,&#xD;&#xD;&#xA;- a cancelled status and the reason for the status, or,&#xD;&#xD;&#xA;- a cancellation pending status and the reason for the status."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="TrfInstrStsRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_EObOg1NUEeijdq8ilaxyOA"
    nextVersions="_kFCMM5DhEem7fvtoGpNpow"
    previousVersion="_ZUnus4ZMEeemXK0UETsSiA"
    name="OtherReferenceRule"
    definition="Reference/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 Reference/OtherReference is present, Reference/OtherReference/MessageName must contain 'fax' or 'phone' or 'email', etc."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_EObOhVNUEeijdq8ilaxyOA"
    nextVersions="_kFCMNZDhEem7fvtoGpNpow"
    previousVersion="_ZUnutYZMEeemXK0UETsSiA"
    name="RelatedReferenceRule"
    definition="If Reference/RelatedReference/MessageName is present, it must start with sese.001, sese.002, sese.005, sese.006, sese.009, sese.012 or sese.014."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_EObOh1NUEeijdq8ilaxyOA"
    nextVersions="_kFCMN5DhEem7fvtoGpNpow"
    previousVersion="_ZUnut4ZMEeemXK0UETsSiA"
    name="MessageIdentification"
    definition="Reference that uniquely identifies the message from a business application standpoint."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="MsgId"
    complexType="_Q7pG5Np-Ed-ak6NoX_4Aeg_-967008570" />
  <messageBuildingBlock
    xmi:id="_EObOiVNUEeijdq8ilaxyOA"
    nextVersions="_kFCMOZDhEem7fvtoGpNpow"
    previousVersion="_ZUnuuYZMEeemXK0UETsSiA"
    name="CounterpartyReference"
    definition="Unambiguous identification of the transfer allocated by the counterparty."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CtrPtyRef"
    complexType="_ZBypsWpTEeipaMTLlhaKMQ" />
  <messageBuildingBlock
    xmi:id="_EObOi1NUEeijdq8ilaxyOA"
    nextVersions="_kFCMO5DhEem7fvtoGpNpow"
    previousVersion="_ZUnuu4ZMEeemXK0UETsSiA"
    name="Reference"
    definition="Reference to the message or communication that was previously received."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="Ref"
    complexType="_5f_BEWpYEeipaMTLlhaKMQ" />
  <messageBuildingBlock
    xmi:id="_EObOjVNUEeijdq8ilaxyOA"
    nextVersions="_kFCMPZDhEem7fvtoGpNpow"
    previousVersion="_ZUnuvYZMEeemXK0UETsSiA"
    name="StatusReport"
    definition="Status of the transfer instruction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StsRpt"
    complexType="_Z8uG8VNUEeijdq8ilaxyOA" />
  <messageBuildingBlock
    xmi:id="_EObOj1NUEeijdq8ilaxyOA"
    nextVersions="_kFCMP5DhEem7fvtoGpNpow"
    previousVersion="_ZUnuv4ZMEeemXK0UETsSiA"
    name="MarketPracticeVersion"
    definition="Identifies the market practice to which the message conforms."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MktPrctcVrsn"
    complexType="_FaNY0RUVEeOIaq8KyCdIDQ" />
  <messageBuildingBlock
    xmi:id="_EObOkVNUEeijdq8ilaxyOA"
    nextVersions="_kFCMQZDhEem7fvtoGpNpow"
    previousVersion="_ZUnuwYZMEeemXK0UETsSiA"
    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="07" />
</messageDefinition>

ISO Building Blocks

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