SecuritiesSettlementConditionsModificationRequest002V09

sese.030.002.09

Scope An account owner sends a SecuritiesSettlementConditionsModificationRequest to an account servicer to request the modification of a processing indicator or another non-matching information.

The account owner/servicer relationship may be:

• a central securities depository participant which has an account with a central securities depository. It could also be, if agreed in a service level agreement:
• a global custodian which has an account with its local agent (sub-custodian), or
• an investment management institution which manage a fund account opened at a custodian, or
• a broker which has an account with a custodian, or
• a central securities depository which has an account with a custodian, another central securities depository or another settlement market infrastructure.

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.

In markets where this applies (for example, securities market infrastructures with no pre-settlement matching process), it is used by a party to approve, cancel or reject a transaction instructed by the counterparty.

This message cannot be used to request the modification of trade or event details. The use of AdditionalInformation and its fields must be pre-agreed between account servicer and account owner. The fields in that sequence cannot be used to amend a trade or event detail unless authorised by country market practice.

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
%% SecuritiesSettlementConditionsModificationRequest002V09 recursion level 0 with max 0
SecuritiesSettlementConditionsModificationRequest002V09 *-- "0..1" PartyIdentification156 : AccountOwner
SecuritiesSettlementConditionsModificationRequest002V09 *-- "0..1" SecuritiesAccount30 : SafekeepingAccount
SecuritiesSettlementConditionsModificationRequest002V09 *-- "0..1" BlockChainAddressWallet7 : BlockChainAddressOrWallet
SecuritiesSettlementConditionsModificationRequest002V09 *-- "1..1" RequestDetails29 : RequestDetails
SecuritiesSettlementConditionsModificationRequest002V09 *-- "0..1" AdditionalInformation28 : AdditionalInformation
SecuritiesSettlementConditionsModificationRequest002V09 *-- "0..1" SupplementaryData1 : SupplementaryData
  

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

AccountOwner building block

Party that legally owns the account. Identification of a party. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% PartyIdentification156 recursion level 0 with max 1
class PartyIdentification156{
    LEI IsoLEIIdentifier
}
PartyIdentification156 *-- "1..1" IPartyIdentification136Choice : Identification
%% IPartyIdentification136Choice recursion level 1 with max 1
  

PartyIdentification156 members

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
%% SecuritiesAccount30 recursion level 0 with max 1
class SecuritiesAccount30{
    Identification IsoRestrictedFINXMax35Text
    Name IsoMax70Text
}
SecuritiesAccount30 *-- "0..1" GenericIdentification47 : Type
%% GenericIdentification47 recursion level 1 with max 1
class GenericIdentification47{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax4AlphaNumericText
    SchemeName IsoMax4AlphaNumericText
}
  

SecuritiesAccount30 members

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
%% BlockChainAddressWallet7 recursion level 0 with max 1
class BlockChainAddressWallet7{
    Identification IsoRestrictedFINXMax140Text
    Name IsoRestrictedFINXMax70Text
}
BlockChainAddressWallet7 *-- "0..1" GenericIdentification47 : Type
%% GenericIdentification47 recursion level 1 with max 1
class GenericIdentification47{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax4AlphaNumericText
    SchemeName IsoMax4AlphaNumericText
}
  

BlockChainAddressWallet7 members

RequestDetails building block

Details of the request. Details of the settlement condition modification request. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% RequestDetails29 recursion level 0 with max 1
class RequestDetails29{
    RetainIndicator IsoYesNoIndicator
    PartialSettlementIndicator SettlementTransactionCondition5Code
}
RequestDetails29 *-- "1..1" References28 : Reference
RequestDetails29 *-- "0..0" RestrictionIdentification2 : RestrictionReference
RequestDetails29 *-- "0..1" IAutomaticBorrowing11Choice : AutomaticBorrowing
RequestDetails29 *-- "0..1" ILinkageType4Choice : Linkage
RequestDetails29 *-- "0..1" IPriorityNumeric5Choice : Priority
RequestDetails29 *-- "0..0" GenericIdentification47 : OtherProcessing
RequestDetails29 *-- "0..1" ISecuritiesRTGS5Choice : SecuritiesRTGS
RequestDetails29 *-- "0..1" HoldIndicator7 : HoldIndicator
RequestDetails29 *-- "0..1" IMatchingDenied4Choice : MatchingDenial
RequestDetails29 *-- "0..1" IUnilateralSplit4Choice : UnilateralSplit
RequestDetails29 *-- "0..0" Linkages66 : Linkages
%% References28 recursion level 1 with max 1
class References28{
    AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
    AccountServicerTransactionIdentification IsoRestrictedFINXMax16Text
    MarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
    CounterpartyMarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
    ProcessorTransactionIdentification IsoRestrictedFINXMax16Text
    PoolIdentification IsoRestrictedFINXMax16Text
    CommonIdentification IsoRestrictedFINXMax16Text
    TradeIdentification IsoRestrictedFINXMax52Text
}
%% RestrictionIdentification2 recursion level 1 with max 1
class RestrictionIdentification2{
    Code RestrictionReference1Code
    Identification IsoRestrictedFINXMax16Text
}
%% IAutomaticBorrowing11Choice recursion level 1 with max 1
%% ILinkageType4Choice recursion level 1 with max 1
%% IPriorityNumeric5Choice recursion level 1 with max 1
%% GenericIdentification47 recursion level 1 with max 1
class GenericIdentification47{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax4AlphaNumericText
    SchemeName IsoMax4AlphaNumericText
}
%% ISecuritiesRTGS5Choice recursion level 1 with max 1
%% HoldIndicator7 recursion level 1 with max 1
class HoldIndicator7{
    Indicator IsoYesNoIndicator
}
HoldIndicator7 *-- "0..0" RegistrationReason6 : Reason
%% IMatchingDenied4Choice recursion level 1 with max 1
%% IUnilateralSplit4Choice recursion level 1 with max 1
%% Linkages66 recursion level 1 with max 1
Linkages66 *-- "0..1" IProcessingPosition18Choice : ProcessingPosition
Linkages66 *-- "0..1" IDocumentNumber16Choice : MessageNumber
Linkages66 *-- "1..1" IReferences76Choice : Reference
Linkages66 *-- "0..1" IPartyIdentification136Choice : ReferenceOwner
  

RequestDetails29 members

AdditionalInformation building block

Additional information that cannot be captured in the structured elements and/or any other specific block. Additional specific modification criteria. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalInformation28 recursion level 0 with max 1
class AdditionalInformation28{
    AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
    TransactionSubjectToBuyIn IsoYesNoIndicator
}
AdditionalInformation28 *-- "0..1" IClassificationType33Choice : ClassificationType
AdditionalInformation28 *-- "0..1" SecuritiesAccount30 : SafekeepingAccount
AdditionalInformation28 *-- "0..1" BlockChainAddressWallet7 : BlockChainAddressOrWallet
AdditionalInformation28 *-- "0..1" SecurityIdentification20 : FinancialInstrumentIdentification
AdditionalInformation28 *-- "0..1" IFinancialInstrumentQuantity36Choice : Quantity
AdditionalInformation28 *-- "0..1" IDateAndDateTime2Choice : EffectiveDate
AdditionalInformation28 *-- "0..1" IDateAndDateTime2Choice : ExpiryDate
AdditionalInformation28 *-- "0..1" IDateAndDateTime2Choice : CutOffDate
AdditionalInformation28 *-- "0..1" PartyIdentification157 : Investor
AdditionalInformation28 *-- "0..1" PartyIdentificationAndAccount215 : DeliveringParty1
AdditionalInformation28 *-- "0..1" PartyIdentificationAndAccount215 : ReceivingParty1
%% IClassificationType33Choice recursion level 1 with max 1
%% SecuritiesAccount30 recursion level 1 with max 1
class SecuritiesAccount30{
    Identification IsoRestrictedFINXMax35Text
    Name IsoMax70Text
}
SecuritiesAccount30 *-- "0..1" GenericIdentification47 : Type
%% BlockChainAddressWallet7 recursion level 1 with max 1
class BlockChainAddressWallet7{
    Identification IsoRestrictedFINXMax140Text
    Name IsoRestrictedFINXMax70Text
}
BlockChainAddressWallet7 *-- "0..1" GenericIdentification47 : Type
%% SecurityIdentification20 recursion level 1 with max 1
class SecurityIdentification20{
    ISIN IsoISINOct2015Identifier
    Description IsoRestrictedFINXMax140Text
}
SecurityIdentification20 *-- "0..0" OtherIdentification2 : OtherIdentification
%% IFinancialInstrumentQuantity36Choice recursion level 1 with max 1
%% IDateAndDateTime2Choice recursion level 1 with max 1
%% IDateAndDateTime2Choice recursion level 1 with max 1
%% IDateAndDateTime2Choice recursion level 1 with max 1
%% PartyIdentification157 recursion level 1 with max 1
class PartyIdentification157{
    LEI IsoLEIIdentifier
}
PartyIdentification157 *-- "1..1" IPartyIdentification137Choice : Identification
%% PartyIdentificationAndAccount215 recursion level 1 with max 1
class PartyIdentificationAndAccount215{
    LEI IsoLEIIdentifier
    ProcessingIdentification IsoRestrictedFINXMax16Text
}
PartyIdentificationAndAccount215 *-- "1..1" IPartyIdentification137Choice : Identification
PartyIdentificationAndAccount215 *-- "0..1" SecuritiesAccount30 : SafekeepingAccount
PartyIdentificationAndAccount215 *-- "0..1" BlockChainAddressWallet7 : BlockChainAddressOrWallet
%% PartyIdentificationAndAccount215 recursion level 1 with max 1
class PartyIdentificationAndAccount215{
    LEI IsoLEIIdentifier
    ProcessingIdentification IsoRestrictedFINXMax16Text
}
PartyIdentificationAndAccount215 *-- "1..1" IPartyIdentification137Choice : Identification
PartyIdentificationAndAccount215 *-- "0..1" SecuritiesAccount30 : SafekeepingAccount
PartyIdentificationAndAccount215 *-- "0..1" BlockChainAddressWallet7 : BlockChainAddressOrWallet
  

AdditionalInformation28 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 SecuritiesSettlementConditionsModificationRequest002V09 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementConditionsModificationRequest002V09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementConditionsModificationRequest002V09Document implements IOuterDocument. Because SecuritiesSettlementConditionsModificationRequest002V09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementConditionsModificationRequest002V09.

classDiagram
    class IOuterRecord
    SecuritiesSettlementConditionsModificationRequest002V09 --|> IOuterRecord : Implements
    SecuritiesSettlementConditionsModificationRequest002V09Document --|> IOuterDocument~SecuritiesSettlementConditionsModificationRequest002V09~ : Implements
    class IOuterDocument~SecuritiesSettlementConditionsModificationRequest002V09~ {
        SecuritiesSettlementConditionsModificationRequest002V09 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesSettlementConditionsModificationRequest002V09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.030.002.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementConditionsModificationRequest002V09.ToDocument() method. The returned SecuritiesSettlementConditionsModificationRequest002V09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementConditionsModificationRequest002V09Document *-- SecuritiesSettlementConditionsModificationRequest002V09 : 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.030.002.09">
    <SctiesSttlmCondsModReq>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <BlckChainAdrOrWllt>
            <!-- BlockChainAddressOrWallet inner content -->
        </BlckChainAdrOrWllt>
        <ReqDtls>
            <!-- RequestDetails inner content -->
        </ReqDtls>
        <AddtlInf>
            <!-- AdditionalInformation inner content -->
        </AddtlInf>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesSttlmCondsModReq>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_djPcAzi8Eeydid5dcNPKvg"
  previousVersion="_OMbE8_fXEeiNZp_PtLohLw"
  name="SecuritiesSettlementConditionsModificationRequest002V09"
  definition="Scope&#xD;&#xA;An account owner sends a SecuritiesSettlementConditionsModificationRequest to an account servicer to request the modification of a processing indicator or another non-matching information.&#xD;&#xA;&#xD;&#xA;The account owner/servicer relationship may be:&#xD;&#xA;- a central securities depository participant which has an account with a central securities depository.&#xD;&#xA;It could also be, if agreed in a service level agreement:&#xD;&#xA;- a global custodian which has an account with its local agent (sub-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 which has an account with a custodian, another central securities depository or another settlement market infrastructure.&#xD;&#xA;&#xD;&#xA;Usage&#xD;&#xA;The message may also be used to:&#xD;&#xA;- re-send a message previously sent,&#xD;&#xA;- provide a third party with a copy of a message for information,&#xD;&#xA;- re-send to a third party a copy of a message for information using the relevant elements in the Business Application Header.&#xD;&#xA;&#xD;&#xA;In markets where this applies (for example, securities market infrastructures with no pre-settlement matching process), it is used by a party to approve, cancel or reject a transaction instructed by the counterparty.&#xD;&#xA;&#xD;&#xA;This message cannot be used to request the modification of trade or event details.&#xD;&#xA;The use of AdditionalInformation and its fields must be pre-agreed between account servicer and account owner. The fields in that sequence cannot be used to amend a trade or event detail unless authorised by country market practice."
  registrationStatus="Registered"
  messageSet="_KoChkKS_EeWiN6v48CBCXg _26G2kVI3EeyUbfjRDFS84A"
  xmlTag="SctiesSttlmCondsModReq"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_djPcBTi8Eeydid5dcNPKvg"
    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" />
  <constraint
    xmi:id="_djPcBzi8Eeydid5dcNPKvg"
    name="SafekeepingAccountOrBlockChainAddress1Rule"
    definition="If SafekeepingAccount is present, BlockChainAddressOrWallet must be absent."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/BlockChainAddressOrWallet&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/SafekeepingAccount&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_djPcCTi8Eeydid5dcNPKvg"
    name="SafekeepingAccountOrBlockChainAddress2Rule"
    definition="If BlockChainAddressOrWallet is present, SafekeepingAccount must be absent."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;ComplexRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;ComplexRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Absence&quot;&gt;&lt;leftOperand&gt;/SafekeepingAccount&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;onCondition&gt;&lt;connector&gt;AND&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/BlockChainAddressOrWallet&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/onCondition&gt;&lt;/ComplexRule&gt;&lt;/RuleDefinition&gt;" />
  <constraint
    xmi:id="_djPcCzi8Eeydid5dcNPKvg"
    name="SafekeepingAccountOrBlockChainAddress3Rule"
    definition="Either SafekeepingAccount or BlockChainAddressOrWallet must be present but not both."
    registrationStatus="Provisionally Registered"
    expression="&lt;RuleDefinition&gt;&lt;SimpleRule xmlns:xsi=&quot;http://www.w3.org/2001/XMLSchema-instance&quot; xsi:type=&quot;SimpleRule&quot;&gt;&lt;mustBe&gt;&lt;connector&gt;OR&lt;/connector&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/SafekeepingAccount&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;BooleanRule xsi:type=&quot;Presence&quot;&gt;&lt;leftOperand&gt;/BlockChainAddressOrWallet&lt;/leftOperand&gt;&lt;/BooleanRule&gt;&lt;/mustBe&gt;&lt;/SimpleRule&gt;&lt;/RuleDefinition&gt;" />
  <messageBuildingBlock
    xmi:id="_djPcDzi8Eeydid5dcNPKvg"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_Z0x6o_fVEeiNZp_PtLohLw" />
  <messageBuildingBlock
    xmi:id="_djPcETi8Eeydid5dcNPKvg"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="SfkpgAcct"
    complexType="_5SG1s5NLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_djPcEzi8Eeydid5dcNPKvg"
    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="_nL5-4UYvEeyIDL5Gtobnyw" />
  <messageBuildingBlock
    xmi:id="_djPcFTi8Eeydid5dcNPKvg"
    name="RequestDetails"
    definition="Details of the request."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="ReqDtls"
    complexType="_diWrmTi8Eeydid5dcNPKvg" />
  <messageBuildingBlock
    xmi:id="_djPcFzi8Eeydid5dcNPKvg"
    name="AdditionalInformation"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="AddtlInf"
    complexType="_djQq8Ti8Eeydid5dcNPKvg" />
  <messageBuildingBlock
    xmi:id="_djPcGTi8Eeydid5dcNPKvg"
    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="030"
    flavour="002"
    version="09" />
</messageDefinition>

ISO Building Blocks

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