SecuritiesSettlementTransactionModificationRequestStatusAdviceV05

sese.039.001.05

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
%% SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 recursion level 0 with max 0
SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 *-- "1..1" Identification14 : ModificationRequestReference
SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 *-- "1..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 *-- "0..1" TransactionIdentifications33 : TransactionIdentification
SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 *-- "1..1" IModificationProcessingStatus7Choice : ModificationProcessingStatus
SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 *-- "0..1" TransactionDetails137 : TransactionDetails
SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 *-- "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. Unique identifier of a document, message or transaction. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Identification14 recursion level 0 with max 1
class Identification14{
    Identification IsoMax35Text
}

Identification14 members

Member name	Description	Data Type / Multiplicity
Identification	Unique identifier of a document, message or transaction.	IsoMax35Text - Required 1..1

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

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
%% IModificationProcessingStatus7Choice recursion level 0 with max 1

ModificationProcessingStatus7Choice 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
%% TransactionDetails137 recursion level 0 with max 1
class TransactionDetails137{
    SecuritiesMovementType ReceiveDelivery1Code
    Payment DeliveryReceiptType2Code
}
TransactionDetails137 *-- "1..1" SecurityIdentification19 : FinancialInstrumentIdentification
TransactionDetails137 *-- "1..1" IQuantity6Choice : SettlementQuantity
TransactionDetails137 *-- "0..1" AmountAndDirection51 : SettlementAmount
TransactionDetails137 *-- "1..1" ISettlementDate19Choice : SettlementDate
TransactionDetails137 *-- "0..1" ITradeDate8Choice : TradeDate
TransactionDetails137 *-- "0..1" SettlementParties78 : DeliveringSettlementParties
TransactionDetails137 *-- "0..1" SettlementParties78 : ReceivingSettlementParties
TransactionDetails137 *-- "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
%% 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

TransactionDetails137 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
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 SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 implementation follows a specific implementaiton pattern. First of all, SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesSettlementTransactionModificationRequestStatusAdviceV05Document implements IOuterDocument. Because SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesSettlementTransactionModificationRequestStatusAdviceV05.

classDiagram
    class IOuterRecord
    SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 --|> IOuterRecord : Implements
    SecuritiesSettlementTransactionModificationRequestStatusAdviceV05Document --|> IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdviceV05~ : Implements
    class IOuterDocument~SecuritiesSettlementTransactionModificationRequestStatusAdviceV05~ {
        SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesSettlementTransactionModificationRequestStatusAdviceV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.039.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesSettlementTransactionModificationRequestStatusAdviceV05.ToDocument() method. The returned SecuritiesSettlementTransactionModificationRequestStatusAdviceV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesSettlementTransactionModificationRequestStatusAdviceV05Document *-- SecuritiesSettlementTransactionModificationRequestStatusAdviceV05 : 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.039.001.05">
    <SctiesSttlmTxModReqStsAdvc>
        <ModReqRef>
            <!-- ModificationRequestReference inner content -->
        </ModReqRef>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <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="_XVDqYQyQEeuG8M5giQ2e0w"
  nextVersions="_0BI1sSp0EeyR9JrVGfaMKw"
  previousVersion="_YSWH0wCTEeW_3KiG8SEjHA"
  name="SecuritiesSettlementTransactionModificationRequestStatusAdviceV05"
  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="_JB4xh_8rEeCQ-IWv9MUPeQ"
  xmlTag="SctiesSttlmTxModReqStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_XVDqaQyQEeuG8M5giQ2e0w"
    nextVersions="_0BI1uSp0EeyR9JrVGfaMKw"
    previousVersion="_YSWH1QCTEeW_3KiG8SEjHA"
    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"
    complexType="_jXzlYu5NEeCisYr99QEiWA_-2122254183" />
  <messageBuildingBlock
    xmi:id="_XVDqawyQEeuG8M5giQ2e0w"
    nextVersions="_0BI1uyp0EeyR9JrVGfaMKw"
    previousVersion="_YSWH1wCTEeW_3KiG8SEjHA"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_XnxoYdLCEeiN28wlpBQScw" />
  <messageBuildingBlock
    xmi:id="_XVDqbQyQEeuG8M5giQ2e0w"
    nextVersions="_0BI1vSp0EeyR9JrVGfaMKw"
    previousVersion="_YSWH2QCTEeW_3KiG8SEjHA"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_T_JUKtp-Ed-ak6NoX_4Aeg_1976638301" />
  <messageBuildingBlock
    xmi:id="_XVDqbwyQEeuG8M5giQ2e0w"
    nextVersions="_0BI1vyp0EeyR9JrVGfaMKw"
    previousVersion="_YSWH2wCTEeW_3KiG8SEjHA"
    name="TransactionIdentification"
    definition="Provides unambiguous transaction identification information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxId"
    complexType="_bsNS4TzlEeWeNtT0s2RbkQ" />
  <messageBuildingBlock
    xmi:id="_XVDqcQyQEeuG8M5giQ2e0w"
    nextVersions="_0BI1wSp0EeyR9JrVGfaMKw"
    previousVersion="_YSWH3QCTEeW_3KiG8SEjHA"
    name="ModificationProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="ModPrcgSts"
    complexType="_1bR8UTp4EeWVrPy0StzzSg" />
  <messageBuildingBlock
    xmi:id="_XVDqcwyQEeuG8M5giQ2e0w"
    nextVersions="_0BI1wyp0EeyR9JrVGfaMKw"
    previousVersion="_YSWH3wCTEeW_3KiG8SEjHA"
    name="TransactionDetails"
    definition="Identifies the details of the transaction."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="TxDtls"
    complexType="_gVtmMQzKEeuTPv2wqaotHg" />
  <messageBuildingBlock
    xmi:id="_XVDqdQyQEeuG8M5giQ2e0w"
    nextVersions="_0BI1xSp0EeyR9JrVGfaMKw"
    previousVersion="_YSWH4QCTEeW_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="039"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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