sese.039.001.06
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
%% SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 recursion level 0 with max 0
class SecuritiesSettlementTransactionModificationRequestStatusAdviceV06{
ModificationRequestReference IsoMax35Text
}
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 *-- "0..1" BlockChainAddressWallet3 : BlockChainAddressOrWallet
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 *-- "0..1" TransactionIdentifications33 : TransactionIdentification
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 *-- "1..1" IModificationProcessingStatus10Choice : ModificationProcessingStatus
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 *-- "0..1" TransactionDetails155 : TransactionDetails
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 *-- "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 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 |
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
%% TransactionIdentifications33 recursion level 0 with max 1
class TransactionIdentifications33{
AccountOwnerTransactionIdentification IsoMax35Text
AccountServicerTransactionIdentification IsoMax35Text
MarketInfrastructureTransactionIdentification IsoMax35Text
ProcessorTransactionIdentification IsoMax35Text
OtherIdentification IsoMax35Text
}
TransactionIdentifications33 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| AccountOwnerTransactionIdentification | Unambiguous identification of the transaction as known by the account owner (or the instructing party managing the account). | IsoMax35Text - Required 1..1 |
| AccountServicerTransactionIdentification | Unambiguous identification of the transaction as known by the account servicer. | IsoMax35Text - Optional 0..1 |
| MarketInfrastructureTransactionIdentification | Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. | IsoMax35Text - Optional 0..1 |
| ProcessorTransactionIdentification | Identification of the transaction assigned by the processor of the instruction other than the account owner the account servicer and the market infrastructure. | IsoMax35Text - Optional 0..1 |
| OtherIdentification | Reference to a transaction that cannot be identified using a standard reference element present in the message. | IsoMax35Text - Optional 0..1 |
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 %% IModificationProcessingStatus10Choice recursion level 0 with max 1
ModificationProcessingStatus10Choice members
| Member name | Description | Data Type / Multiplicity |
|---|
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
%% TransactionDetails155 recursion level 0 with max 1
class TransactionDetails155{
SecuritiesMovementType ReceiveDelivery1Code
Payment DeliveryReceiptType2Code
}
TransactionDetails155 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
TransactionDetails155 *-- "1..1" IQuantity51Choice : SettlementQuantity
TransactionDetails155 *-- "0..1" AmountAndDirection51 : SettlementAmount
TransactionDetails155 *-- "1..1" ISettlementDate19Choice : SettlementDate
TransactionDetails155 *-- "0..1" ITradeDate8Choice : TradeDate
TransactionDetails155 *-- "0..1" SettlementParties97 : DeliveringSettlementParties
TransactionDetails155 *-- "0..1" SettlementParties97 : ReceivingSettlementParties
TransactionDetails155 *-- "0..1" PartyIdentification149 : Investor
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
ISIN IsoISINOct2015Identifier
Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% IQuantity51Choice recursion level 1 with max 1
%% AmountAndDirection51 recursion level 1 with max 1
class AmountAndDirection51{
Amount IsoActiveCurrencyAndAmount
CreditDebitIndicator CreditDebitCode
OriginalCurrencyAndOrderedAmount IsoActiveOrHistoricCurrencyAndAmount
}
%% ISettlementDate19Choice recursion level 1 with max 1
%% ITradeDate8Choice recursion level 1 with max 1
%% SettlementParties97 recursion level 1 with max 1
SettlementParties97 *-- "0..1" PartyIdentification148 : Depository
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party1
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party2
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party3
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party4
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party5
%% SettlementParties97 recursion level 1 with max 1
SettlementParties97 *-- "0..1" PartyIdentification148 : Depository
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party1
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party2
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party3
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party4
SettlementParties97 *-- "0..1" PartyIdentificationAndAccount195 : Party5
%% PartyIdentification149 recursion level 1 with max 1
class PartyIdentification149{
LEI IsoLEIIdentifier
}
PartyIdentification149 *-- "1..1" IPartyIdentification134Choice : Identification
TransactionDetails155 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| FinancialInstrumentIdentification | Financial instruments representing a sum of rights of the investor vis-a-vis the issuer. | SecurityIdentification19 - Required 1..1 |
| SecuritiesMovementType | Specifies if the movement on a securities account results from a deliver or a receive instruction. | ReceiveDelivery1Code - Required 1..1 |
| Payment | Specifies how the transaction is to be settled, eg, against payment. | DeliveryReceiptType2Code - Required 1..1 |
| SettlementQuantity | Total quantity of securities to be settled. | IQuantity51Choice - Required 1..1 |
| SettlementAmount | Total amount of money to be paid or received in exchange for the securities. | AmountAndDirection51 - Optional 0..1 |
| SettlementDate | Date and time at which the securities are to be delivered or received. | ISettlementDate19Choice - Required 1..1 |
| TradeDate | Specifies the date/time on which the trade was executed. | ITradeDate8Choice - Optional 0..1 |
| DeliveringSettlementParties | Identifies the chain of delivering settlement parties. | SettlementParties97 - Optional 0..1 |
| ReceivingSettlementParties | Identifies the chain of receiving settlement parties. | SettlementParties97 - Optional 0..1 |
| Investor | Party, either an individual or organisation, whose assets are being invested. | PartyIdentification149 - Optional 0..1 |
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 SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionModificationRequestStatusAdviceV06Document implements IOuterDocument. Because SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionModificationRequestStatusAdviceV06.
classDiagram
class IOuterRecord
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 --|> IOuterRecord : Implements
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06Document --|> IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdviceV06~ : Implements
class IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdviceV06~ {
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 Message
}
Document wrapper for serialization
The only real purpose SecuritiesSettlementTransactionModificationRequestStatusAdviceV06Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.039.001.06’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionModificationRequestStatusAdviceV06.ToDocument() method. The returned SecuritiesSettlementTransactionModificationRequestStatusAdviceV06Document value will serialize correctly according to ISO 20022 standards.
classDiagram
SecuritiesSettlementTransactionModificationRequestStatusAdviceV06Document *-- SecuritiesSettlementTransactionModificationRequestStatusAdviceV06 : 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.039.001.06">
<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="_0BI1sSp0EeyR9JrVGfaMKw"
previousVersion="_XVDqYQyQEeuG8M5giQ2e0w"
name="SecuritiesSettlementTransactionModificationRequestStatusAdviceV06"
definition="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."
registrationStatus="Registered"
messageSet="_xiys0WfyEeOLcMuJoUvTAg"
xmlTag="SctiesSttlmTxModReqStsAdvc"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<constraint
xmi:id="_OuCz1CqOEeyR9JrVGfaMKw"
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="_OuCz1SqOEeyR9JrVGfaMKw"
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>" />
<constraint
xmi:id="_S6MksTDwEeyVV_4ady97MA"
name="SafekeepingAccountOrBlockChainAddress3Rule"
definition="Either SafekeepingAccount or BlockChainAddressOrWallet must be present but not both."
registrationStatus="Provisionally Registered"
expression="<RuleDefinition><SimpleRule xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:type="SimpleRule"><mustBe><connector>OR</connector><BooleanRule xsi:type="Presence"><leftOperand>/SafekeepingAccount</leftOperand></BooleanRule><BooleanRule xsi:type="Presence"><leftOperand>/BlockChainAddressOrWallet</leftOperand></BooleanRule></mustBe></SimpleRule></RuleDefinition>" />
<messageBuildingBlock
xmi:id="_0BI1uSp0EeyR9JrVGfaMKw"
previousVersion="_XVDqaQyQEeuG8M5giQ2e0w"
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="_YW1tKdp-Ed-ak6NoX_4Aeg_1913463446" />
<messageBuildingBlock
xmi:id="_0BI1uyp0EeyR9JrVGfaMKw"
previousVersion="_XVDqawyQEeuG8M5giQ2e0w"
name="AccountOwner"
definition="Party that legally owns the account."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="AcctOwnr"
complexType="_XnxoYdLCEeiN28wlpBQScw" />
<messageBuildingBlock
xmi:id="_0BI1vSp0EeyR9JrVGfaMKw"
previousVersion="_XVDqbQyQEeuG8M5giQ2e0w"
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="_OuCz0yqOEeyR9JrVGfaMKw"
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="_0BI1vyp0EeyR9JrVGfaMKw"
previousVersion="_XVDqbwyQEeuG8M5giQ2e0w"
name="TransactionIdentification"
definition="Provides unambiguous transaction identification information."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="TxId"
complexType="_bsNS4TzlEeWeNtT0s2RbkQ" />
<messageBuildingBlock
xmi:id="_0BI1wSp0EeyR9JrVGfaMKw"
previousVersion="_XVDqcQyQEeuG8M5giQ2e0w"
name="ModificationProcessingStatus"
definition="Provides details on the processing status of the request."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="1"
xmlTag="ModPrcgSts"
complexType="_OSQ54StWEeyhipY4f42fZQ" />
<messageBuildingBlock
xmi:id="_0BI1wyp0EeyR9JrVGfaMKw"
previousVersion="_XVDqcwyQEeuG8M5giQ2e0w"
name="TransactionDetails"
definition="Identifies the details of the transaction."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="TxDtls"
complexType="_oR3jzSp6EeyR9JrVGfaMKw" />
<messageBuildingBlock
xmi:id="_0BI1xSp0EeyR9JrVGfaMKw"
previousVersion="_XVDqdQyQEeuG8M5giQ2e0w"
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="001"
version="06" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.