SecuritiesSettlementConditionsModificationRequestV09

sese.030.001.09

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
%% SecuritiesSettlementConditionsModificationRequestV09 recursion level 0 with max 0
SecuritiesSettlementConditionsModificationRequestV09 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesSettlementConditionsModificationRequestV09 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesSettlementConditionsModificationRequestV09 *-- "0..1" BlockChainAddressWallet3 : BlockChainAddressOrWallet
SecuritiesSettlementConditionsModificationRequestV09 *-- "1..1" RequestDetails27 : RequestDetails
SecuritiesSettlementConditionsModificationRequestV09 *-- "0..1" AdditionalInformation26 : AdditionalInformation
SecuritiesSettlementConditionsModificationRequestV09 *-- "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
%% 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

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

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

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

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
%% AdditionalInformation26 recursion level 0 with max 1
class AdditionalInformation26{
    AccountOwnerTransactionIdentification IsoMax35Text
    TransactionSubjectToBuyIn IsoYesNoIndicator
}
AdditionalInformation26 *-- "0..1" IClassificationType32Choice : ClassificationType
AdditionalInformation26 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
AdditionalInformation26 *-- "0..1" BlockChainAddressWallet3 : BlockChainAddressOrWallet
AdditionalInformation26 *-- "0..1" SecurityIdentification19 : FinancialInstrumentIdentification
AdditionalInformation26 *-- "0..1" IFinancialInstrumentQuantity33Choice : Quantity
AdditionalInformation26 *-- "0..1" IDateAndDateTime2Choice : EffectiveDate
AdditionalInformation26 *-- "0..1" IDateAndDateTime2Choice : ExpiryDate
AdditionalInformation26 *-- "0..1" IDateAndDateTime2Choice : CutOffDate
AdditionalInformation26 *-- "0..1" PartyIdentification136 : Investor
AdditionalInformation26 *-- "0..1" PartyIdentificationAndAccount195 : DeliveringParty1
AdditionalInformation26 *-- "0..1" PartyIdentificationAndAccount195 : ReceivingParty1
%% IClassificationType32Choice recursion level 1 with max 1
%% SecuritiesAccount19 recursion level 1 with max 1
class SecuritiesAccount19{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount19 *-- "0..1" GenericIdentification30 : Type
%% BlockChainAddressWallet3 recursion level 1 with max 1
class BlockChainAddressWallet3{
    Identification IsoMax140Text
    Name IsoMax70Text
}
BlockChainAddressWallet3 *-- "0..1" GenericIdentification30 : Type
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
    ISIN IsoISINOct2015Identifier
    Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% IFinancialInstrumentQuantity33Choice 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
%% PartyIdentification136 recursion level 1 with max 1
class PartyIdentification136{
    LEI IsoLEIIdentifier
}
PartyIdentification136 *-- "1..1" IPartyIdentification120Choice : Identification
%% PartyIdentificationAndAccount195 recursion level 1 with max 1
class PartyIdentificationAndAccount195{
    LEI IsoLEIIdentifier
    ProcessingIdentification IsoMax35Text
}
PartyIdentificationAndAccount195 *-- "1..1" IPartyIdentification120Choice : Identification
PartyIdentificationAndAccount195 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
PartyIdentificationAndAccount195 *-- "0..1" BlockChainAddressWallet3 : BlockChainAddressOrWallet
%% PartyIdentificationAndAccount195 recursion level 1 with max 1
class PartyIdentificationAndAccount195{
    LEI IsoLEIIdentifier
    ProcessingIdentification IsoMax35Text
}
PartyIdentificationAndAccount195 *-- "1..1" IPartyIdentification120Choice : Identification
PartyIdentificationAndAccount195 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
PartyIdentificationAndAccount195 *-- "0..1" BlockChainAddressWallet3 : BlockChainAddressOrWallet
  

AdditionalInformation26 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 SecuritiesSettlementConditionsModificationRequestV09 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementConditionsModificationRequestV09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementConditionsModificationRequestV09Document implements IOuterDocument. Because SecuritiesSettlementConditionsModificationRequestV09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementConditionsModificationRequestV09.

classDiagram
    class IOuterRecord
    SecuritiesSettlementConditionsModificationRequestV09 --|> IOuterRecord : Implements
    SecuritiesSettlementConditionsModificationRequestV09Document --|> IOuterDocument~SecuritiesSettlementConditionsModificationRequestV09~ : Implements
    class IOuterDocument~SecuritiesSettlementConditionsModificationRequestV09~ {
        SecuritiesSettlementConditionsModificationRequestV09 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesSettlementConditionsModificationRequestV09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.030.001.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementConditionsModificationRequestV09.ToDocument() method. The returned SecuritiesSettlementConditionsModificationRequestV09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementConditionsModificationRequestV09Document *-- SecuritiesSettlementConditionsModificationRequestV09 : 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.030.001.09">
    <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="_kX0x8SgYEey2k_sfZmJz4g"
  previousVersion="_vYSqsdBmEeihG9bKfarOOA"
  name="SecuritiesSettlementConditionsModificationRequestV09"
  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="_xiys0WfyEeOLcMuJoUvTAg"
  xmlTag="SctiesSttlmCondsModReq"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_kX0x8ygYEey2k_sfZmJz4g"
    previousVersion="_vYSqs9BmEeihG9bKfarOOA"
    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="_PyAIBCqKEeyR9JrVGfaMKw"
    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="_PyAIBSqKEeyR9JrVGfaMKw"
    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="_fdzrsTDvEeyVV_4ady97MA"
    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="_kX0x-SgYEey2k_sfZmJz4g"
    previousVersion="_vYSqtdBmEeihG9bKfarOOA"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_XnxoYdLCEeiN28wlpBQScw" />
  <messageBuildingBlock
    xmi:id="_kX0x-ygYEey2k_sfZmJz4g"
    previousVersion="_vYSqt9BmEeihG9bKfarOOA"
    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="_PyAIAyqKEeyR9JrVGfaMKw"
    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="_kX0x_SgYEey2k_sfZmJz4g"
    previousVersion="_vYSqudBmEeihG9bKfarOOA"
    name="RequestDetails"
    definition="Details of the request."
    registrationStatus="Provisionally Registered"
    minOccurs="1"
    xmlTag="ReqDtls"
    complexType="_K3YysSgaEey2k_sfZmJz4g" />
  <messageBuildingBlock
    xmi:id="_kX0x_ygYEey2k_sfZmJz4g"
    previousVersion="_vYSqu9BmEeihG9bKfarOOA"
    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="_SOAxLSqCEeyR9JrVGfaMKw" />
  <messageBuildingBlock
    xmi:id="_kX0yASgYEey2k_sfZmJz4g"
    previousVersion="_vYSqvdBmEeihG9bKfarOOA"
    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="001"
    version="09" />
</messageDefinition>

ISO Building Blocks

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