sese.031.001.09
Scope An account servicer sends a SecuritiesSettlementConditionsModificationStatusAdvice to an account owner to advise the status of a modification request previously instructed 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 A SecuritiesSettlementConditionsModificationRequest may contain requests on multiple transactions. However, one SecuritiesSettlementConditionsModificationStatusAdvice must be sent per transaction modified unless the SecuritiesSettlementConditionsModificationRequest is rejected as a whole. 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.
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
%% SecuritiesSettlementConditionModificationStatusAdviceV09 recursion level 0 with max 0
class SecuritiesSettlementConditionModificationStatusAdviceV09{
RequestReference IsoMax35Text
}
SecuritiesSettlementConditionModificationStatusAdviceV09 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesSettlementConditionModificationStatusAdviceV09 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesSettlementConditionModificationStatusAdviceV09 *-- "0..1" BlockChainAddressWallet3 : BlockChainAddressOrWallet
SecuritiesSettlementConditionModificationStatusAdviceV09 *-- "0..1" RequestDetails27 : RequestDetails
SecuritiesSettlementConditionModificationStatusAdviceV09 *-- "1..1" IProcessingStatus85Choice : ProcessingStatus
SecuritiesSettlementConditionModificationStatusAdviceV09 *-- "0..1" SupplementaryData1 : SupplementaryData
Now, we will zero-in one-by-one on each of these building blocks.
RequestReference building block
Identification of the SecuritiesSettlementConditionsModificationRequest. Specifies a character string with a maximum length of 35 characters. For comparison, see the ISO20022 official specification This message is declared as Max35Text in the ISO specification. In our implementation, it is represented in source code as IsoMax35Text. Due to global using directives, it is treated as a System.String by the compiler and runtime.
AccountOwner building block
Party that legally owns the account. Identification of a party. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% PartyIdentification144 recursion level 0 with max 1
class PartyIdentification144{
LEI IsoLEIIdentifier
}
PartyIdentification144 *-- "1..1" IPartyIdentification127Choice : Identification
%% IPartyIdentification127Choice recursion level 1 with max 1
PartyIdentification144 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Unique identification of the party. | IPartyIdentification127Choice - Required 1..1 |
| LEI | Legal entity identification as an alternate identification for a party. | IsoLEIIdentifier - Optional 0..1 |
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
%% SecuritiesAccount19 recursion level 0 with max 1
class SecuritiesAccount19{
Identification IsoMax35Text
Name IsoMax70Text
}
SecuritiesAccount19 *-- "0..1" GenericIdentification30 : Type
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
Identification IsoExact4AlphaNumericText
Issuer IsoMax35Text
SchemeName IsoMax35Text
}
SecuritiesAccount19 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. | GenericIdentification30 - Optional 0..1 |
| Name | Description of the account. | IsoMax70Text - Optional 0..1 |
BlockChainAddressOrWallet building block
Blockchain address or wallet where digital assets are maintained. This is the equivalent of safekeeping account for digital assets. Digital account where digital assets or digital tokens can be stored and where an entry is made. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% BlockChainAddressWallet3 recursion level 0 with max 1
class BlockChainAddressWallet3{
Identification IsoMax140Text
Name IsoMax70Text
}
BlockChainAddressWallet3 *-- "0..1" GenericIdentification30 : Type
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
Identification IsoExact4AlphaNumericText
Issuer IsoMax35Text
SchemeName IsoMax35Text
}
BlockChainAddressWallet3 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Identification | Unambiguous identification for the account between the account owner and the account servicer. | IsoMax140Text - Required 1..1 |
| Type | Specifies the type of securities account. | GenericIdentification30 - Optional 0..1 |
| Name | Description of the account. | IsoMax70Text - Optional 0..1 |
RequestDetails building block
Details of the request. Details of the settlement condition modification request. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% RequestDetails27 recursion level 0 with max 1
class RequestDetails27{
RetainIndicator IsoYesNoIndicator
PartialSettlementIndicator SettlementTransactionCondition5Code
}
RequestDetails27 *-- "1..1" References27 : Reference
RequestDetails27 *-- "0..0" RestrictionIdentification1 : RestrictionReference
RequestDetails27 *-- "0..1" IAutomaticBorrowing7Choice : AutomaticBorrowing
RequestDetails27 *-- "0..1" ILinkageType3Choice : Linkage
RequestDetails27 *-- "0..1" IPriorityNumeric4Choice : Priority
RequestDetails27 *-- "0..0" GenericIdentification30 : OtherProcessing
RequestDetails27 *-- "0..1" ISecuritiesRTGS4Choice : SecuritiesRTGS
RequestDetails27 *-- "0..1" HoldIndicator6 : HoldIndicator
RequestDetails27 *-- "0..1" IMatchingDenied3Choice : MatchingDenial
RequestDetails27 *-- "0..1" IUnilateralSplit3Choice : UnilateralSplit
RequestDetails27 *-- "0..0" Linkages62 : Linkages
%% References27 recursion level 1 with max 1
class References27{
AccountOwnerTransactionIdentification IsoMax35Text
AccountServicerTransactionIdentification IsoMax35Text
MarketInfrastructureTransactionIdentification IsoMax35Text
CounterpartyMarketInfrastructureTransactionIdentification IsoMax35Text
ProcessorTransactionIdentification IsoMax35Text
PoolIdentification IsoMax35Text
CommonIdentification IsoMax35Text
TradeIdentification IsoMax52Text
}
%% RestrictionIdentification1 recursion level 1 with max 1
class RestrictionIdentification1{
Code RestrictionReference1Code
Identification IsoMax35Text
}
%% IAutomaticBorrowing7Choice recursion level 1 with max 1
%% ILinkageType3Choice recursion level 1 with max 1
%% IPriorityNumeric4Choice recursion level 1 with max 1
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
Identification IsoExact4AlphaNumericText
Issuer IsoMax35Text
SchemeName IsoMax35Text
}
%% ISecuritiesRTGS4Choice recursion level 1 with max 1
%% HoldIndicator6 recursion level 1 with max 1
class HoldIndicator6{
Indicator IsoYesNoIndicator
}
HoldIndicator6 *-- "0..0" RegistrationReason5 : Reason
%% IMatchingDenied3Choice recursion level 1 with max 1
%% IUnilateralSplit3Choice recursion level 1 with max 1
%% Linkages62 recursion level 1 with max 1
Linkages62 *-- "0..1" IProcessingPosition8Choice : ProcessingPosition
Linkages62 *-- "0..1" IDocumentNumber5Choice : MessageNumber
Linkages62 *-- "1..1" IReferences74Choice : Reference
Linkages62 *-- "0..1" IPartyIdentification127Choice : ReferenceOwner
RequestDetails27 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| Reference | References of the transaction for which the securities settlement condition modification is requested. | References27 - Required 1..1 |
| RestrictionReference | Restriction references applied on the transaction for which the securities settlement condition modification is requested. | RestrictionIdentification1 - Unknown 0..0 |
| AutomaticBorrowing | Condition for automatic borrowing. | IAutomaticBorrowing7Choice - Optional 0..1 |
| RetainIndicator | Indicates whether the instruction due to expire is confirmed for settlement. | IsoYesNoIndicator - Optional 0..1 |
| Linkage | Specifies the type of linkage requested. | ILinkageType3Choice - Optional 0..1 |
| Priority | Specifies whether the transaction is to be executed with a high priority. | IPriorityNumeric4Choice - Optional 0..1 |
| OtherProcessing | Specifies another type of processing change request. | GenericIdentification30 - Unknown 0..0 |
| PartialSettlementIndicator | Specifies whether partial settlement is allowed. | SettlementTransactionCondition5Code - Optional 0..1 |
| SecuritiesRTGS | Specifies whether the settlement transaction is to be settled through an RTGS or a non RTGS system. | ISecuritiesRTGS4Choice - Optional 0..1 |
| HoldIndicator | Specifies whether the transaction is on hold/blocked/frozen. | HoldIndicator6 - Optional 0..1 |
| MatchingDenial | Specifies the matching processing change requested. | IMatchingDenied3Choice - Optional 0..1 |
| UnilateralSplit | Specifies that the transaction is requested to be unilaterally split. | IUnilateralSplit3Choice - Optional 0..1 |
| Linkages | Information regarding the linkage requested. | Linkages62 - Unknown 0..0 |
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 %% IProcessingStatus85Choice recursion level 0 with max 1
ProcessingStatus85Choice members
| Member name | Description | Data Type / Multiplicity |
|---|
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 SecuritiesSettlementConditionModificationStatusAdviceV09 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementConditionModificationStatusAdviceV09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementConditionModificationStatusAdviceV09Document implements IOuterDocument. Because SecuritiesSettlementConditionModificationStatusAdviceV09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementConditionModificationStatusAdviceV09.
classDiagram
class IOuterRecord
SecuritiesSettlementConditionModificationStatusAdviceV09 --|> IOuterRecord : Implements
SecuritiesSettlementConditionModificationStatusAdviceV09Document --|> IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV09~ : Implements
class IOuterDocument~SecuritiesSettlementConditionModificationStatusAdviceV09~ {
SecuritiesSettlementConditionModificationStatusAdviceV09 Message
}
Document wrapper for serialization
The only real purpose SecuritiesSettlementConditionModificationStatusAdviceV09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.031.001.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementConditionModificationStatusAdviceV09.ToDocument() method. The returned SecuritiesSettlementConditionModificationStatusAdviceV09Document value will serialize correctly according to ISO 20022 standards.
classDiagram
SecuritiesSettlementConditionModificationStatusAdviceV09Document *-- SecuritiesSettlementConditionModificationStatusAdviceV09 : 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.031.001.09">
<SctiesSttlmCondModStsAdvc>
<ReqRef>
<!-- RequestReference inner content -->
</ReqRef>
<AcctOwnr>
<!-- AccountOwner inner content -->
</AcctOwnr>
<SfkpgAcct>
<!-- SafekeepingAccount inner content -->
</SfkpgAcct>
<BlckChainAdrOrWllt>
<!-- BlockChainAddressOrWallet inner content -->
</BlckChainAdrOrWllt>
<ReqDtls>
<!-- RequestDetails inner content -->
</ReqDtls>
<PrcgSts>
<!-- ProcessingStatus inner content -->
</PrcgSts>
<SplmtryData>
<!-- SupplementaryData inner content -->
</SplmtryData>
</SctiesSttlmCondModStsAdvc>
</Document>
Data from ISO specification
This is the technical data from the specification document.
<messageDefinition
xmi:id="_ErwW4SgaEey2k_sfZmJz4g"
previousVersion="_19xJ4dBmEeihG9bKfarOOA"
name="SecuritiesSettlementConditionModificationStatusAdviceV09"
definition="Scope
An account servicer sends a SecuritiesSettlementConditionsModificationStatusAdvice to an account owner to advise the status of a modification request previously instructed 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
A SecuritiesSettlementConditionsModificationRequest may contain requests on multiple transactions. However, one SecuritiesSettlementConditionsModificationStatusAdvice must be sent per transaction modified unless the SecuritiesSettlementConditionsModificationRequest is rejected as a whole.
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."
registrationStatus="Registered"
messageSet="_xiys0WfyEeOLcMuJoUvTAg"
xmlTag="SctiesSttlmCondModStsAdvc"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<constraint
xmi:id="__o9yciqKEeyR9JrVGfaMKw"
name="SafekeepingAccountOrBlockChainAddress1Rule"
definition="If SafekeepingAccount is present, BlockChainAddressOrWallet must be absent."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><ComplexRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="ComplexRule"><mustBe><connector>AND</connector><BooleanRule xsi:type="Absence"><leftOperand>/BlockChainAddressOrWallet</leftOperand></BooleanRule></mustBe><onCondition><connector>AND</connector><BooleanRule xsi:type="Presence"><leftOperand>/SafekeepingAccount</leftOperand></BooleanRule></onCondition></ComplexRule></RuleDefinition>" />
<constraint
xmi:id="__o9ycyqKEeyR9JrVGfaMKw"
name="SafekeepingAccountOrBlockChainAddress2Rule"
definition="If BlockChainAddressOrWallet is present, SafekeepingAccount must be absent."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><ComplexRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="ComplexRule"><mustBe><connector>AND</connector><BooleanRule xsi:type="Absence"><leftOperand>/SafekeepingAccount</leftOperand></BooleanRule></mustBe><onCondition><connector>AND</connector><BooleanRule xsi:type="Presence"><leftOperand>/BlockChainAddressOrWallet</leftOperand></BooleanRule></onCondition></ComplexRule></RuleDefinition>" />
<messageBuildingBlock
xmi:id="_ErwW6SgaEey2k_sfZmJz4g"
previousVersion="_19xJ49BmEeihG9bKfarOOA"
name="RequestReference"
definition="Identification of the SecuritiesSettlementConditionsModificationRequest."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="ReqRef"
simpleType="_YW1tKdp-Ed-ak6NoX_4Aeg_1913463446" />
<messageBuildingBlock
xmi:id="_ErwW6ygaEey2k_sfZmJz4g"
previousVersion="_19xJ5dBmEeihG9bKfarOOA"
name="AccountOwner"
definition="Party that legally owns the account."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="AcctOwnr"
complexType="_XnxoYdLCEeiN28wlpBQScw" />
<messageBuildingBlock
xmi:id="_ErwW7SgaEey2k_sfZmJz4g"
previousVersion="_19xJ59BmEeihG9bKfarOOA"
name="SafekeepingAccount"
definition="Account to or from which a securities entry is made."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="SfkpgAcct"
complexType="_T_JUKtp-Ed-ak6NoX_4Aeg_1976638301" />
<messageBuildingBlock
xmi:id="__o9ycSqKEeyR9JrVGfaMKw"
name="BlockChainAddressOrWallet"
definition="Blockchain address or wallet where digital assets are maintained. This is the equivalent of safekeeping account for digital assets."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="BlckChainAdrOrWllt"
complexType="_l7F8gSp-EeyR9JrVGfaMKw" />
<messageBuildingBlock
xmi:id="_ErwW7ygaEey2k_sfZmJz4g"
previousVersion="_19xJ6dBmEeihG9bKfarOOA"
name="RequestDetails"
definition="Details of the request."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="ReqDtls"
complexType="_K3YysSgaEey2k_sfZmJz4g" />
<messageBuildingBlock
xmi:id="_ErwW8SgaEey2k_sfZmJz4g"
previousVersion="_19xJ69BmEeihG9bKfarOOA"
name="ProcessingStatus"
definition="Provides details on the processing status of the request."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="PrcgSts"
complexType="_nnJUAytVEeyhipY4f42fZQ" />
<messageBuildingBlock
xmi:id="_ErwW8ygaEey2k_sfZmJz4g"
previousVersion="_19xJ7dBmEeihG9bKfarOOA"
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="031"
flavour="001"
version="09" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.