Iso20022

SecuritiesSettlementTransactionCounterpartyResponseV03

sese.040.001.03

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
%% SecuritiesSettlementTransactionCounterpartyResponseV03 recursion level 0 with max 0
SecuritiesSettlementTransactionCounterpartyResponseV03 *-- "1..1" TransactionIdentification6 : TransactionIdentification
SecuritiesSettlementTransactionCounterpartyResponseV03 *-- "1..1" IResponseStatus6Choice : ResponseStatus
SecuritiesSettlementTransactionCounterpartyResponseV03 *-- "0..1" TransactionDetails138 : TransactionDetails
SecuritiesSettlementTransactionCounterpartyResponseV03 *-- "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
%% TransactionIdentification6 recursion level 0 with max 1
class TransactionIdentification6{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
}

TransactionIdentification6 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 - Optional 0..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

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
%% IResponseStatus6Choice recursion level 0 with max 1

ResponseStatus6Choice 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
%% TransactionDetails138 recursion level 0 with max 1
class TransactionDetails138{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
}
TransactionDetails138 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
TransactionDetails138 *-- "1..1" IQuantity6Choice : SettlementQuantity
TransactionDetails138 *-- "1..1" SecuritiesAccount19 : SafekeepingAccount
TransactionDetails138 *-- "0..1" AmountAndDirection51 : SettlementAmount
TransactionDetails138 *-- "1..1" ISettlementDate19Choice : SettlementDate
TransactionDetails138 *-- "0..1" ITradeDate8Choice : TradeDate
TransactionDetails138 *-- "0..1" SettlementParties78 : DeliveringSettlementParties
TransactionDetails138 *-- "0..1" SettlementParties78 : ReceivingSettlementParties
TransactionDetails138 *-- "0..1" PartyIdentification149 : Investor
%% SecurityIdentification19 recursion level 1 with max 1
class SecurityIdentification19{
    ISIN IsoISINOct2015Identifier
    Description IsoMax140Text
}
SecurityIdentification19 *-- "0..0" OtherIdentification1 : OtherIdentification
%% IQuantity6Choice recursion level 1 with max 1
%% SecuritiesAccount19 recursion level 1 with max 1
class SecuritiesAccount19{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount19 *-- "0..1" GenericIdentification30 : Type
%% 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
%% SettlementParties78 recursion level 1 with max 1
SettlementParties78 *-- "0..1" PartyIdentification148 : Depository
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party1
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party2
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party3
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party4
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party5
%% SettlementParties78 recursion level 1 with max 1
SettlementParties78 *-- "0..1" PartyIdentification148 : Depository
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party1
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party2
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party3
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party4
SettlementParties78 *-- "0..1" PartyIdentificationAndAccount170 : Party5
%% PartyIdentification149 recursion level 1 with max 1
class PartyIdentification149{
    LEI IsoLEIIdentifier
}
PartyIdentification149 *-- "1..1" IPartyIdentification134Choice : Identification

TransactionDetails138 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. IQuantity6Choice - Required 1..1
SafekeepingAccount Account to or from which a securities entry is made. SecuritiesAccount19 - 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. SettlementParties78 - Optional 0..1
ReceivingSettlementParties Identifies the chain of receiving settlement parties. SettlementParties78 - 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 SecuritiesSettlementTransactionCounterpartyResponseV03 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionCounterpartyResponseV03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionCounterpartyResponseV03Document implements IOuterDocument. Because SecuritiesSettlementTransactionCounterpartyResponseV03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionCounterpartyResponseV03.

classDiagram
    class IOuterRecord
    SecuritiesSettlementTransactionCounterpartyResponseV03 --|> IOuterRecord : Implements
    SecuritiesSettlementTransactionCounterpartyResponseV03Document --|> IOuterDocument~SecuritiesSettlementTransactionCounterpartyResponseV03~ : Implements
    class IOuterDocument~SecuritiesSettlementTransactionCounterpartyResponseV03~ {
        SecuritiesSettlementTransactionCounterpartyResponseV03 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesSettlementTransactionCounterpartyResponseV03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.040.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionCounterpartyResponseV03.ToDocument() method. The returned SecuritiesSettlementTransactionCounterpartyResponseV03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementTransactionCounterpartyResponseV03Document *-- SecuritiesSettlementTransactionCounterpartyResponseV03 : 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.040.001.03">
    <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="_dKoWoQyQEeuG8M5giQ2e0w"
  nextVersions="_4vL5MSp0EeyR9JrVGfaMKw"
  previousVersion="_XVkiVQCUEeW_3KiG8SEjHA"
  name="SecuritiesSettlementTransactionCounterpartyResponseV03"
  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="_JB4xh_8rEeCQ-IWv9MUPeQ"
  xmlTag="SctiesSttlmTxCtrPtyRspn"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_dKoWpwyQEeuG8M5giQ2e0w"
    nextVersions="_4vL5Pyp0EeyR9JrVGfaMKw"
    previousVersion="_XVkiVwCUEeW_3KiG8SEjHA"
    name="TransactionIdentification"
    definition="Provides unambiguous transaction identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="TxId"
    complexType="_cDd_gTzpEeWeNtT0s2RbkQ" />
  <messageBuildingBlock
    xmi:id="_dKoWqQyQEeuG8M5giQ2e0w"
    nextVersions="_4vL5QSp0EeyR9JrVGfaMKw"
    previousVersion="_XVkiWQCUEeW_3KiG8SEjHA"
    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="_l8zcITzpEeWeNtT0s2RbkQ" />
  <messageBuildingBlock
    xmi:id="_dKoWqwyQEeuG8M5giQ2e0w"
    nextVersions="_4vL5Qyp0EeyR9JrVGfaMKw"
    previousVersion="_XVkiWwCUEeW_3KiG8SEjHA"
    name="TransactionDetails"
    definition="Identifies the details of the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxDtls"
    complexType="_qAzrIQzNEeuTPv2wqaotHg" />
  <messageBuildingBlock
    xmi:id="_dKoWrQyQEeuG8M5giQ2e0w"
    nextVersions="_4vL5RSp0EeyR9JrVGfaMKw"
    previousVersion="_XVkiXQCUEeW_3KiG8SEjHA"
    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="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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