TransferInstructionStatusReportV09

sese.011.001.09

Scope The TransferInstructionStatusReport message is sent by an executing party, for example, a transfer agent, to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction. It may also be used to report the status of an event related to the asset being transferred or provide additional information. The TransferInstructionStatusReport message may also be sent by any party in the transfer transaction to another party in the transfer transaction chain to provide information relevant for the settlement of a transfer transaction. Usage The TransferInstructionStatusReport message is used to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction, or in response to a RequestForTransferStatus message. It may also be used to report the status of an event related to the asset being transferred or provide additional information.

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
%% TransferInstructionStatusReportV09 recursion level 0 with max 0
TransferInstructionStatusReportV09 *-- "1..1" MessageIdentification1 : MessageIdentification
TransferInstructionStatusReportV09 *-- "0..1" AdditionalReference10 : CounterpartyReference
TransferInstructionStatusReportV09 *-- "0..1" IReferences64Choice : Reference
TransferInstructionStatusReportV09 *-- "1..1" TransferStatusAndReason8 : StatusReport
TransferInstructionStatusReportV09 *-- "0..1" MarketPracticeVersion1 : MarketPracticeVersion
TransferInstructionStatusReportV09 *-- "0..1" Extension1 : Extension
  

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

MessageIdentification building block

Reference that uniquely identifies the message from a business application standpoint. Identifies a message by a unique identifier and the date and time when the message was created by the sender. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% MessageIdentification1 recursion level 0 with max 1
class MessageIdentification1{
    Identification IsoMax35Text
    CreationDateTime IsoISODateTime
}
  

MessageIdentification1 members

CounterpartyReference building block

Unambiguous identification of the transfer allocated by the counterparty. Reference and reference issuer. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AdditionalReference10 recursion level 0 with max 1
class AdditionalReference10{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference10 *-- "0..1" PartyIdentification139 : ReferenceIssuer
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party
  

AdditionalReference10 members

Reference building block

Reference to the message or communication that was previously received. Choice of references used to reference a previous transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IReferences64Choice recursion level 0 with max 1
  

References64Choice members

StatusReport building block

Status of the transfer instruction. Information about the status of a transfer instruction and its reason. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransferStatusAndReason8 recursion level 0 with max 1
class TransferStatusAndReason8{
    MasterReference IsoMax35Text
    TransferReference IsoMax35Text
    CancellationReference IsoMax35Text
    TradeDate IsoISODate
    SettlementDate IsoISODate
    SendOutDate IsoISODate
    CashSettlementDate IsoISODate
    TotalUnitsNumber IsoDecimalNumber
    AveragePrice IsoActiveOrHistoricCurrencyAnd13DecimalAmount
    TotalTransferValue IsoActiveCurrencyAnd13DecimalAmount
    QueryResponse IsoMax350Text
}
TransferStatusAndReason8 *-- "0..1" AdditionalReference10 : ClientReference
TransferStatusAndReason8 *-- "0..0" ITransferStatusType3Choice : TransferEventType
TransferStatusAndReason8 *-- "1..1" ITransferStatus5Choice : TransferStatus
TransferStatusAndReason8 *-- "0..1" IFinancialInstrument63Choice : Instrument
TransferStatusAndReason8 *-- "0..1" Account33 : InvestmentAccountDetails
TransferStatusAndReason8 *-- "0..0" Intermediary48 : IntermediaryInformation
TransferStatusAndReason8 *-- "0..0" Unit11 : UnitsDetails
TransferStatusAndReason8 *-- "0..1" Conversion2 : Conversion
TransferStatusAndReason8 *-- "0..0" PaymentInstrument18 : PaymentDetails
TransferStatusAndReason8 *-- "0..0" BenefitCrystallisationEvent2 : BenefitCrystallisationEvent
TransferStatusAndReason8 *-- "0..0" Drawdown2 : DrawdownTranche
TransferStatusAndReason8 *-- "0..1" Drawdown3 : OtherDrawdownInformation
TransferStatusAndReason8 *-- "0..1" PartyIdentification139 : StatusInitiator
TransferStatusAndReason8 *-- "0..1" PartyIdentification139 : StatusIssuer
TransferStatusAndReason8 *-- "0..1" PartyIdentification139 : StatusRecipient
TransferStatusAndReason8 *-- "0..0" AdditionalInformation15 : AdditionalInformation
%% AdditionalReference10 recursion level 1 with max 1
class AdditionalReference10{
    Reference IsoMax35Text
    MessageName IsoMax35Text
}
AdditionalReference10 *-- "0..1" PartyIdentification139 : ReferenceIssuer
%% ITransferStatusType3Choice recursion level 1 with max 1
%% ITransferStatus5Choice recursion level 1 with max 1
%% IFinancialInstrument63Choice recursion level 1 with max 1
%% Account33 recursion level 1 with max 1
class Account33{
    AccountIdentification IsoMax35Text
    AccountDesignation IsoMax35Text
    AccountName IsoMax35Text
}
Account33 *-- "0..1" PartyIdentification132 : OwnerIdentification
Account33 *-- "0..1" GenericIdentification30 : Type
Account33 *-- "0..1" PartyIdentification132 : Servicer
Account33 *-- "0..1" SubAccount5 : SubAccountDetails
%% Intermediary48 recursion level 1 with max 1
Intermediary48 *-- "1..1" PartyIdentification132 : Identification
Intermediary48 *-- "0..1" Account34 : Account
Intermediary48 *-- "0..1" IRole8Choice : Role
Intermediary48 *-- "0..1" ContactIdentification2 : ContactPerson
%% Unit11 recursion level 1 with max 1
class Unit11{
    UnitsNumber IsoDecimalNumber
    OrderDate IsoISODate
    AcquisitionDate IsoISODate
    CertificateNumber IsoMax35Text
    Group1Or2Units UKTaxGroupUnit1Code
    Reference IsoMax35Text
}
Unit11 *-- "0..1" UnitPrice23 : PriceDetails
Unit11 *-- "0..1" TotalFeesAndTaxes41 : TransactionOverhead
Unit11 *-- "0..0" OtherAmount1 : OtherAmount
%% Conversion2 recursion level 1 with max 1
class Conversion2{
    TotalUnitsNumber IsoDecimalNumber
}
Conversion2 *-- "1..1" FinancialInstrumentIdentification1 : SourceSecurity
Conversion2 *-- "0..0" Unit13 : UnitsDetails
Conversion2 *-- "0..0" AdditionalInformation15 : AdditionalInformation
%% PaymentInstrument18 recursion level 1 with max 1
class PaymentInstrument18{
    Reference IsoMax35Text
    Amount IsoActiveCurrencyAnd13DecimalAmount
    PaymentDate IsoISODate
}
PaymentInstrument18 *-- "0..1" IPaymentInstrument25Choice : CashSettlementDetails
%% BenefitCrystallisationEvent2 recursion level 1 with max 1
class BenefitCrystallisationEvent2{
    EventTypeNumber IsoMax35Text
    EventTypeName IsoMax35Text
    EventDate IsoISODate
    CrystallisationAmount IsoActiveCurrencyAnd13DecimalAmount
    PercentageOfAllowance IsoPercentageRate
    LifetimeAllowanceProtection IsoYesNoIndicator
}
BenefitCrystallisationEvent2 *-- "0..0" AdditionalInformation15 : AdditionalInformation
%% Drawdown2 recursion level 1 with max 1
class Drawdown2{
    Identification IsoMax140Text
    PercentageOfTotalTransferValue IsoPercentageRate
    TotalAmountNetDrawdown IsoActiveCurrencyAnd13DecimalAmount
    AdditionalFundsDesignated IsoYesNoIndicator
    PensionCommencementLumpSumRemaining IsoActiveCurrencyAnd13DecimalAmount
    PensionCommencementLumpSumDate IsoISODate
    MultiplePensionCommencementLumpSums IsoYesNoIndicator
    LifetimeAllowance IsoPercentageRate
    RecipientOfDrawdownIndicator IsoYesNoIndicator
    FlexibleDrawdownTriggeredDate IsoISODate
}
Drawdown2 *-- "1..1" IDrawdownType2Choice : TrancheType
Drawdown2 *-- "0..1" IApplicableRules1Choice : ApplicableRules
Drawdown2 *-- "0..1" TaxReference2 : InvestorTaxReference
Drawdown2 *-- "0..1" BeneficiaryDrawdown1 : BeneficiaryDetails
Drawdown2 *-- "0..1" Capped1 : CappedLimits
Drawdown2 *-- "0..0" AdditionalInformation15 : AdditionalInformation
%% Drawdown3 recursion level 1 with max 1
Drawdown3 *-- "0..1" EmploymentDetails1 : EmploymentDetails
Drawdown3 *-- "0..0" AdditionalInformation15 : AdditionalInformation
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party
%% PartyIdentification139 recursion level 1 with max 1
class PartyIdentification139{
    LEI IsoLEIIdentifier
}
PartyIdentification139 *-- "1..1" IPartyIdentification125Choice : Party
%% AdditionalInformation15 recursion level 1 with max 1
class AdditionalInformation15{
    InformationValue IsoMax350Text
}
AdditionalInformation15 *-- "1..1" GenericIdentification36 : InformationType
  

TransferStatusAndReason8 members

MarketPracticeVersion building block

Identifies the market practice to which the message conforms. Identifies the implementation and version. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% MarketPracticeVersion1 recursion level 0 with max 1
class MarketPracticeVersion1{
    Name IsoMax35Text
    Date IsoISOYearMonth
    Number IsoMax35Text
}
  

MarketPracticeVersion1 members

Extension 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
%% Extension1 recursion level 0 with max 1
class Extension1{
    PlaceAndName IsoMax350Text
    Text IsoMax350Text
}
  

Extension1 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the TransferInstructionStatusReportV09 implementation follows a specific implementaiton pattern. First of all, TransferInstructionStatusReportV09 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, TransferInstructionStatusReportV09Document implements IOuterDocument. Because TransferInstructionStatusReportV09 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type TransferInstructionStatusReportV09.

classDiagram
    class IOuterRecord
    TransferInstructionStatusReportV09 --|> IOuterRecord : Implements
    TransferInstructionStatusReportV09Document --|> IOuterDocument~TransferInstructionStatusReportV09~ : Implements
    class IOuterDocument~TransferInstructionStatusReportV09~ {
        TransferInstructionStatusReportV09 Message
     }
  

Document wrapper for serialization

The only real purpose TransferInstructionStatusReportV09Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.011.001.09’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using TransferInstructionStatusReportV09.ToDocument() method. The returned TransferInstructionStatusReportV09Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    TransferInstructionStatusReportV09Document *-- TransferInstructionStatusReportV09 : 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.011.001.09">
    <TrfInstrStsRpt>
        <MsgId>
            <!-- MessageIdentification inner content -->
        </MsgId>
        <CtrPtyRef>
            <!-- CounterpartyReference inner content -->
        </CtrPtyRef>
        <Ref>
            <!-- Reference inner content -->
        </Ref>
        <StsRpt>
            <!-- StatusReport inner content -->
        </StsRpt>
        <MktPrctcVrsn>
            <!-- MarketPracticeVersion inner content -->
        </MktPrctcVrsn>
        <Xtnsn>
            <!-- Extension inner content -->
        </Xtnsn>
    </TrfInstrStsRpt>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_NesJgdx9EeqKxsvOxFQHKA"
  previousVersion="_kFCMMZDhEem7fvtoGpNpow"
  name="TransferInstructionStatusReportV09"
  definition="Scope&#xD;&#xA;The TransferInstructionStatusReport message is sent by an executing party, for example, a transfer agent, to the instructing party, for example, an investment manager or one of its authorised representatives to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction.&#xD;&#xA; It may also be used to report the status of an event related to the asset being transferred or provide additional information.&#xD;&#xA;The TransferInstructionStatusReport message may also be sent by any party in the transfer transaction to another party in the transfer transaction chain to provide information relevant for the settlement of a transfer transaction. &#xD;&#xA;Usage&#xD;&#xA;The TransferInstructionStatusReport message is used to provide the status of a previously received request for holdings information, portfolio transfer or transfer instruction, or in response to a RequestForTransferStatus message. It may also be used to report the status of an event related to the asset being transferred or provide additional information."
  registrationStatus="Registered"
  messageSet="_hijK0WiLEeOuqdLlpUIWBw"
  xmlTag="TrfInstrStsRpt"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <constraint
    xmi:id="_NesJg9x9EeqKxsvOxFQHKA"
    previousVersion="_kFCMM5DhEem7fvtoGpNpow"
    name="OtherReferenceRule"
    definition="Reference/OtherReference should be used to reference a transfer instruction or a transfer cancellation request 'message' sent in a proprietary way or used for a system reference. If Reference/OtherReference is present, Reference/OtherReference/MessageName must contain 'fax' or 'phone' or 'email', etc."
    registrationStatus="Provisionally Registered" />
  <constraint
    xmi:id="_NesJhdx9EeqKxsvOxFQHKA"
    previousVersion="_kFCMNZDhEem7fvtoGpNpow"
    name="RelatedReferenceRule"
    definition="If Reference/RelatedReference/MessageName is present, it must start with sese.001, sese.002, sese.005, sese.006, sese.009, sese.012 or sese.014."
    registrationStatus="Provisionally Registered" />
  <messageBuildingBlock
    xmi:id="_NesJi9x9EeqKxsvOxFQHKA"
    previousVersion="_kFCMN5DhEem7fvtoGpNpow"
    name="MessageIdentification"
    definition="Reference that uniquely identifies the message from a business application standpoint."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="MsgId"
    complexType="_Q7pG5Np-Ed-ak6NoX_4Aeg_-967008570" />
  <messageBuildingBlock
    xmi:id="_NesJjdx9EeqKxsvOxFQHKA"
    previousVersion="_kFCMOZDhEem7fvtoGpNpow"
    name="CounterpartyReference"
    definition="Unambiguous identification of the transfer allocated by the counterparty."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CtrPtyRef"
    complexType="_ZBypsWpTEeipaMTLlhaKMQ" />
  <messageBuildingBlock
    xmi:id="_NesJj9x9EeqKxsvOxFQHKA"
    previousVersion="_kFCMO5DhEem7fvtoGpNpow"
    name="Reference"
    definition="Reference to the message or communication that was previously received."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="Ref"
    complexType="_5f_BEWpYEeipaMTLlhaKMQ" />
  <messageBuildingBlock
    xmi:id="_NesJkdx9EeqKxsvOxFQHKA"
    previousVersion="_kFCMPZDhEem7fvtoGpNpow"
    name="StatusReport"
    definition="Status of the transfer instruction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StsRpt"
    complexType="_UEdjodx9EeqKxsvOxFQHKA" />
  <messageBuildingBlock
    xmi:id="_NesJk9x9EeqKxsvOxFQHKA"
    previousVersion="_kFCMP5DhEem7fvtoGpNpow"
    name="MarketPracticeVersion"
    definition="Identifies the market practice to which the message conforms."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="MktPrctcVrsn"
    complexType="_FaNY0RUVEeOIaq8KyCdIDQ" />
  <messageBuildingBlock
    xmi:id="_NesJldx9EeqKxsvOxFQHKA"
    previousVersion="_kFCMQZDhEem7fvtoGpNpow"
    name="Extension"
    definition="Additional information that cannot be captured in the structured elements and/or any other specific block."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="Xtnsn"
    complexType="_Q6vvCNp-Ed-ak6NoX_4Aeg_1503007069" />
  <messageDefinitionIdentifier
    businessArea="sese"
    messageFunctionality="011"
    flavour="001"
    version="09" />
</messageDefinition>

ISO Building Blocks

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