Iso20022

SecuritiesSettlementTransactionCounterpartyResponse002V03

sese.040.002.03

Scope An account owner sends a SecuritiesSettlementTransactionCounterpartyResponse to advise the account servicer that:

Usage The message may also be used to:

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
%% SecuritiesSettlementTransactionCounterpartyResponse002V03 recursion level 0 with max 0
SecuritiesSettlementTransactionCounterpartyResponse002V03 *-- "1..1" TransactionIdentification7 : TransactionIdentification
SecuritiesSettlementTransactionCounterpartyResponse002V03 *-- "1..1" IResponseStatus8Choice : ResponseStatus
SecuritiesSettlementTransactionCounterpartyResponse002V03 *-- "0..1" TransactionDetails146 : TransactionDetails
SecuritiesSettlementTransactionCounterpartyResponse002V03 *-- "0..1" SupplementaryData1 : SupplementaryData

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

TransactionIdentification building block

Provides unambiguous transaction identification information. Provides transaction type and identification information. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TransactionIdentification7 recursion level 0 with max 1
class TransactionIdentification7{
    AccountOwnerTransactionIdentification IsoRestrictedFINXMax16Text
    AccountServicerTransactionIdentification IsoRestrictedFINXMax16Text
    MarketInfrastructureTransactionIdentification IsoRestrictedFINXMax16Text
    ProcessorTransactionIdentification IsoRestrictedFINXMax16Text
}

TransactionIdentification7 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). IsoRestrictedFINXMax16Text - Optional 0..1
AccountServicerTransactionIdentification Unambiguous identification of the transaction as known by the account servicer. IsoRestrictedFINXMax16Text - Optional 0..1
MarketInfrastructureTransactionIdentification Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. IsoRestrictedFINXMax16Text - 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. IsoRestrictedFINXMax16Text - Optional 0..1

ResponseStatus building block

Provides the response status related to an allegement or a counterparty’s instruction. Choice of response status. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IResponseStatus8Choice recursion level 0 with max 1

ResponseStatus8Choice 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
%% TransactionDetails146 recursion level 0 with max 1
class TransactionDetails146{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
}
TransactionDetails146 *-- "1..1" SecurityIdentification20 : FinancialInstrumentIdentification
TransactionDetails146 *-- "1..1" IQuantity10Choice : SettlementQuantity
TransactionDetails146 *-- "1..1" SecuritiesAccount30 : SafekeepingAccount
TransactionDetails146 *-- "0..1" AmountAndDirection67 : SettlementAmount
TransactionDetails146 *-- "1..1" ISettlementDate32Choice : SettlementDate
TransactionDetails146 *-- "0..1" ITradeDate9Choice : TradeDate
TransactionDetails146 *-- "0..1" SettlementParties90 : DeliveringSettlementParties
TransactionDetails146 *-- "0..1" SettlementParties90 : ReceivingSettlementParties
TransactionDetails146 *-- "0..1" PartyIdentification170 : Investor
%% SecurityIdentification20 recursion level 1 with max 1
class SecurityIdentification20{
    ISIN IsoISINOct2015Identifier
    Description IsoRestrictedFINXMax140Text
}
SecurityIdentification20 *-- "0..0" OtherIdentification2 : OtherIdentification
%% IQuantity10Choice recursion level 1 with max 1
%% SecuritiesAccount30 recursion level 1 with max 1
class SecuritiesAccount30{
    Identification IsoRestrictedFINXMax35Text
    Name IsoMax70Text
}
SecuritiesAccount30 *-- "0..1" GenericIdentification47 : Type
%% 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
%% SettlementParties90 recursion level 1 with max 1
SettlementParties90 *-- "0..1" PartyIdentification191 : Depository
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party1
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party2
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party3
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party4
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party5
%% SettlementParties90 recursion level 1 with max 1
SettlementParties90 *-- "0..1" PartyIdentification191 : Depository
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party1
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party2
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party3
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party4
SettlementParties90 *-- "0..1" PartyIdentificationAndAccount190 : Party5
%% PartyIdentification170 recursion level 1 with max 1
class PartyIdentification170{
    LEI IsoLEIIdentifier
}
PartyIdentification170 *-- "1..1" IPartyIdentification176Choice : Identification

TransactionDetails146 members

Member name Description Data Type / Multiplicity
FinancialInstrumentIdentification Financial instruments representing a sum of rights of the investor vis-a-vis the issuer. SecurityIdentification20 - 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. IQuantity10Choice - Required 1..1
SafekeepingAccount Account to or from which a securities entry is made. SecuritiesAccount30 - Required 1..1
SettlementAmount Total amount of money to be paid or received in exchange for the securities. AmountAndDirection67 - Optional 0..1
SettlementDate Date and time at which the securities are to be delivered or received. ISettlementDate32Choice - Required 1..1
TradeDate Specifies the date/time on which the trade was executed. ITradeDate9Choice - Optional 0..1
DeliveringSettlementParties Identifies the chain of delivering settlement parties. SettlementParties90 - Optional 0..1
ReceivingSettlementParties Identifies the chain of receiving settlement parties. SettlementParties90 - Optional 0..1
Investor Party, either an individual or organisation, whose assets are being invested. PartyIdentification170 - 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 SecuritiesSettlementTransactionCounterpartyResponse002V03 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionCounterpartyResponse002V03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionCounterpartyResponse002V03Document implements IOuterDocument. Because SecuritiesSettlementTransactionCounterpartyResponse002V03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionCounterpartyResponse002V03.

classDiagram
    class IOuterRecord
    SecuritiesSettlementTransactionCounterpartyResponse002V03 --|> IOuterRecord : Implements
    SecuritiesSettlementTransactionCounterpartyResponse002V03Document --|> IOuterDocument~SecuritiesSettlementTransactionCounterpartyResponse002V03~ : Implements
    class IOuterDocument~SecuritiesSettlementTransactionCounterpartyResponse002V03~ {
        SecuritiesSettlementTransactionCounterpartyResponse002V03 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesSettlementTransactionCounterpartyResponse002V03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.040.002.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionCounterpartyResponse002V03.ToDocument() method. The returned SecuritiesSettlementTransactionCounterpartyResponse002V03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementTransactionCounterpartyResponse002V03Document *-- SecuritiesSettlementTransactionCounterpartyResponse002V03 : 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.040.002.03">
    <SctiesSttlmTxCtrPtyRspn>
        <TxId>
            <!-- TransactionIdentification inner content -->
        </TxId>
        <RspnSts>
            <!-- ResponseStatus inner content -->
        </RspnSts>
        <TxDtls>
            <!-- TransactionDetails inner content -->
        </TxDtls>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesSttlmTxCtrPtyRspn>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_hj7N8yAfEeuyDZ-ukt4YRg"
  nextVersions="_d-BTgzi8Eeydid5dcNPKvg"
  previousVersion="_VltAJZNSEeWGlc8L7oPDIg"
  name="SecuritiesSettlementTransactionCounterpartyResponse002V03"
  definition="Scope&#xD;&#xA;An account owner sends a SecuritiesSettlementTransactionCounterpartyResponse to advise the account servicer that:&#xD;&#xA;- the allegement received is either rejected (that is counterparty's transaction is unknown) or accepted (i.e. either the allegement was passed to the client or the transaction is know with or without mismatches)&#xD;&#xA;- the modification or cancellation request sent by the counterparty for a matched transaction is affirmed or not. The account servicer will therefore proceed or not with the counterparty's request to modify or cancel the transaction.&#xD;&#xA;The account servicer may be a central securities depository or another settlement market infrastructure acting on behalf of their participants&#xD;&#xA;The account owner may be:&#xD;&#xA;- a central securities depository participant which has an account with a central securities depository or a market infrastructure&#xD;&#xA;- an agent (sub-custodian) acting on behalf of their global custodian customer, or&#xD;&#xA;- a custodian acting on behalf of an investment management institution or a broker/dealer.&#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="_gMCB9OSnEeauk5I89sEP4g"
  xmlTag="SctiesSttlmTxCtrPtyRspn"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_hj7N9SAfEeuyDZ-ukt4YRg"
    name="TransactionIdentification"
    definition="Provides unambiguous transaction identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="TxId"
    complexType="_VltAMZNSEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_hj7N9yAfEeuyDZ-ukt4YRg"
    name="ResponseStatus"
    definition="Provides the response status related to an allegement or a counterparty's instruction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="RspnSts"
    complexType="_Vl2wJZNSEeWGlc8L7oPDIg" />
  <messageBuildingBlock
    xmi:id="_hj7N-SAfEeuyDZ-ukt4YRg"
    name="TransactionDetails"
    definition="Identifies the details of the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxDtls"
    complexType="_hj71uiAfEeuyDZ-ukt4YRg" />
  <messageBuildingBlock
    xmi:id="_hj7N-yAfEeuyDZ-ukt4YRg"
    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="040"
    flavour="002"
    version="03" />
</messageDefinition>

ISO Building Blocks

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