SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06

sese.039.002.06

Scope An account servicer sends a SecuritiesSettlementTransactionModificationRequestStatusAdvice to an account owner to advise the status of a SecuritiesSettlementModificationRequest message previously sent by the account owner. The account servicer may be:

• a central securities depository or another settlement market infrastructure managing securities settlement transactions on behalf of their participants
• an custodian acting as an accounting and/or settlement agent.

Usage The message may also be used to:

• re-send a message sent by the account owner to the account servicer,
• provide a third party with a copy of a message being sent by the account owner for information,
• re-send to a third party a copy of a message being sent by the account owner 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
%% SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 recursion level 0 with max 0
class SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06{
    ModificationRequestReference IsoRestrictedFINXMax16Text
}
SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 *-- "0..1" PartyIdentification156 : AccountOwner
SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 *-- "0..1" SecuritiesAccount30 : SafekeepingAccount
SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 *-- "0..1" BlockChainAddressWallet7 : BlockChainAddressOrWallet
SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 *-- "0..1" TransactionIdentifications37 : TransactionIdentification
SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 *-- "1..1" IModificationProcessingStatus11Choice : ModificationProcessingStatus
SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 *-- "0..1" TransactionDetails158 : TransactionDetails
SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 *-- "0..1" SupplementaryData1 : SupplementaryData
  

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

ModificationRequestReference building block

Reference to the unambiguous identification of the cancellation request as per the account owner. Specifies a character string with a maximum length of 16 characters. It has a pattern that disables the use of characters that is not part of the character set X, that is, that is not a-z A-Z / - ? : ( ) . , ‘ + , and disable the use of slash “/” at the beginning and end of line and double slash “//” within the line. For comparison, see the ISO20022 official specification This message is declared as RestrictedFINXMax16Text in the ISO specification. In our implementation, it is represented in source code as IsoRestrictedFINXMax16Text. 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
%% 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

TransactionIdentification building block

Provides unambiguous transaction identification information. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionIdentifications37 recursion level 0 with max 1
class TransactionIdentifications37{
    AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
    AccountServicerTransactionIdentification IsoRestrictedFINXMax16Text
    MarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
    ProcessorTransactionIdentification IsoRestrictedFINXMax16Text
    OtherIdentification IsoRestrictedFINXMax16Text
}
  

TransactionIdentifications37 members

ModificationProcessingStatus 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
%% IModificationProcessingStatus11Choice recursion level 0 with max 1
  

ModificationProcessingStatus11Choice members

TransactionDetails building block

Identifies the details of the transaction. Identifies the details of the transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionDetails158 recursion level 0 with max 1
class TransactionDetails158{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
}
TransactionDetails158 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
TransactionDetails158 *-- "1..1" IQuantity54Choice : SettlementQuantity
TransactionDetails158 *-- "0..1" AmountAndDirection67 : SettlementAmount
TransactionDetails158 *-- "1..1" ISettlementDate32Choice : SettlementDate
TransactionDetails158 *-- "0..1" ITradeDate9Choice : TradeDate
TransactionDetails158 *-- "0..1" SettlementParties109 : DeliveringSettlementParties
TransactionDetails158 *-- "0..1" SettlementParties109 : ReceivingSettlementParties
TransactionDetails158 *-- "0..1" PartyIdentification170 : Investor
%% SecurityIdentification20 recursion level 1 with max 1
class SecurityIdentification20{
    ISIN IsoISINOct2015Identifier
    Description IsoRestrictedFINXMax140Text
}
SecurityIdentification20 *-- "0..0" OtherIdentification2 : OtherIdentification
%% IQuantity54Choice recursion level 1 with max 1
%% AmountAndDirection67 recursion level 1 with max 1
class AmountAndDirection67{
    Amount IsoRestrictedFINActiveCurrencyAndAmount
    CreditDebitIndicator CreditDebitCode
    OriginalCurrencyAndOrderedAmount IsoRestrictedFINActiveOrHistoricCurrencyAndAmount
}
%% ISettlementDate32Choice recursion level 1 with max 1
%% ITradeDate9Choice recursion level 1 with max 1
%% SettlementParties109 recursion level 1 with max 1
SettlementParties109 *-- "0..1" PartyIdentification191 : Depository
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party1
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party2
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party3
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party4
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party5
%% SettlementParties109 recursion level 1 with max 1
SettlementParties109 *-- "0..1" PartyIdentification191 : Depository
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party1
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party2
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party3
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party4
SettlementParties109 *-- "0..1" PartyIdentificationAndAccount215 : Party5
%% PartyIdentification170 recursion level 1 with max 1
class PartyIdentification170{
    LEI IsoLEIIdentifier
}
PartyIdentification170 *-- "1..1" IPartyIdentification176Choice : Identification
  

TransactionDetails158 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 SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06Document implements IOuterDocument. Because SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06.

classDiagram
    class IOuterRecord
    SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 --|> IOuterRecord : Implements
    SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06Document --|> IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06~ : Implements
    class IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06~ {
        SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 Message
     }
  

Document wrapper for serialization

The only real purpose SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.039.002.06’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06.ToDocument() method. The returned SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06Document *-- SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06 : 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.039.002.06">
    <SctiesSttlmTxModReqStsAdvc>
        <ModReqRef>
            <!-- ModificationRequestReference inner content -->
        </ModReqRef>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <BlckChainAdrOrWllt>
            <!-- BlockChainAddressOrWallet inner content -->
        </BlckChainAdrOrWllt>
        <TxId>
            <!-- TransactionIdentification inner content -->
        </TxId>
        <ModPrcgSts>
            <!-- ModificationProcessingStatus inner content -->
        </ModPrcgSts>
        <TxDtls>
            <!-- TransactionDetails inner content -->
        </TxDtls>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesSttlmTxModReqStsAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_eXqikzi8Eeydid5dcNPKvg"
  previousVersion="_Tf3IMyAdEeuyDZ-ukt4YRg"
  name="SecuritiesSettlementTransactionModificationRequestStatusAdvice002V06"
  definition="Scope&#xD;&#xA;An account servicer sends a SecuritiesSettlementTransactionModificationRequestStatusAdvice to an account owner to advise the status of a SecuritiesSettlementModificationRequest message previously sent by the account owner.&#xD;&#xA;The account servicer may be:&#xD;&#xA;- a central securities depository or another settlement market infrastructure managing securities settlement transactions on behalf of their participants&#xD;&#xA;- an custodian acting as an accounting and/or settlement agent.&#xD;&#xA;&#xD;&#xA;Usage&#xD;&#xA;The message may also be used to:&#xD;&#xA;- re-send a message sent by the account owner to the account servicer,&#xD;&#xA;- provide a third party with a copy of a message being sent by the account owner for information,&#xD;&#xA;- re-send to a third party a copy of a message being sent by the account owner for information&#xD;&#xA;using the relevant elements in the Business Application Header."
  registrationStatus="Registered"
  messageSet="_KoChkKS_EeWiN6v48CBCXg _26G2kVI3EeyUbfjRDFS84A"
  xmlTag="SctiesSttlmTxModReqStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_eXqilTi8Eeydid5dcNPKvg"
    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="_eXqilzi8Eeydid5dcNPKvg"
    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="_eXqimTi8Eeydid5dcNPKvg"
    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="_eXqinji8Eeydid5dcNPKvg"
    name="ModificationRequestReference"
    definition="Reference to the unambiguous identification of the cancellation request as per the account owner."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="ModReqRef"
    simpleType="_XZJV2Np-Ed-ak6NoX_4Aeg_-1555155859" />
  <messageBuildingBlock
    xmi:id="_eXqioDi8Eeydid5dcNPKvg"
    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="_eXqioji8Eeydid5dcNPKvg"
    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="_eXqipDi8Eeydid5dcNPKvg"
    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="_eXqipji8Eeydid5dcNPKvg"
    name="TransactionIdentification"
    definition="Provides unambiguous transaction identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxId"
    complexType="_6zX0JZNLEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_eXqiqDi8Eeydid5dcNPKvg"
    name="ModificationProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="ModPrcgSts"
    complexType="_ds02HTi8Eeydid5dcNPKvg" />
  <messageBuildingBlock
    xmi:id="_eXqiqji8Eeydid5dcNPKvg"
    name="TransactionDetails"
    definition="Identifies the details of the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxDtls"
    complexType="_eXryuTi8Eeydid5dcNPKvg" />
  <messageBuildingBlock
    xmi:id="_eXqirDi8Eeydid5dcNPKvg"
    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="039"
    flavour="002"
    version="06" />
</messageDefinition>

ISO Building Blocks

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