SecuritiesStatusOrStatementQueryStatusAdviceV05

sese.022.001.05

Scope An account servicer sends a SecuritiesStatusOrStatementQueryStatusAdvice to an account owner to advise the status of a status query or statement query previously sent by the account owner. The account servicer/owner relationship may be:

a central securities depository or another settlement market infrastructure acting on behalf of their participants
an agent (sub-custodian) acting on behalf of their global custodian customer, or
a custodian acting on behalf of an investment management institution or a broker/dealer.

Usage The message may also be used to:

re-send a message previously sent,
provide a third party with a copy of a message for information,
re-send to a third party a copy of a message 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
%% SecuritiesStatusOrStatementQueryStatusAdviceV05 recursion level 0 with max 0
SecuritiesStatusOrStatementQueryStatusAdviceV05 *-- "1..1" DocumentIdentification30 : QueryDetails
SecuritiesStatusOrStatementQueryStatusAdviceV05 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesStatusOrStatementQueryStatusAdviceV05 *-- "0..1" SecuritiesAccount19 : SafekeepingAccount
SecuritiesStatusOrStatementQueryStatusAdviceV05 *-- "0..1" IStatusOrStatement9Choice : StatusOrStatementRequested
SecuritiesStatusOrStatementQueryStatusAdviceV05 *-- "1..1" IProcessingStatus55Choice : ProcessingStatus
SecuritiesStatusOrStatementQueryStatusAdviceV05 *-- "0..1" SupplementaryData1 : SupplementaryData

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

QueryDetails building block

Unambiguous identification of the query as per the account owner. Identification of the message number and the query identification. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentIdentification30 recursion level 0 with max 1
DocumentIdentification30 *-- "0..1" IDocumentNumber5Choice : MessageNumber
DocumentIdentification30 *-- "1..1" Identification14 : Reference
%% IDocumentNumber5Choice recursion level 1 with max 1
%% Identification14 recursion level 1 with max 1
class Identification14{
    Identification IsoMax35Text
}

DocumentIdentification30 members

Member name	Description	Data Type / Multiplicity
MessageNumber	Message type number/message identifier of the message referenced in the linkage sequence.	IDocumentNumber5Choice - Optional 0..1
Reference	Reference to the query identification.	Identification14 - 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

StatusOrStatementRequested building block

Details of the request. Specifies the status or statement that is requested. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% IStatusOrStatement9Choice recursion level 0 with max 1

StatusOrStatement9Choice members

Member name	Description	Data Type / Multiplicity

ProcessingStatus 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
%% IProcessingStatus55Choice recursion level 0 with max 1

ProcessingStatus55Choice members

Member name	Description	Data Type / Multiplicity

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 SecuritiesStatusOrStatementQueryStatusAdviceV05 implementation follows a specific implementaiton pattern. First of all, SecuritiesStatusOrStatementQueryStatusAdviceV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesStatusOrStatementQueryStatusAdviceV05Document implements IOuterDocument. Because SecuritiesStatusOrStatementQueryStatusAdviceV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesStatusOrStatementQueryStatusAdviceV05.

classDiagram
    class IOuterRecord
    SecuritiesStatusOrStatementQueryStatusAdviceV05 --|> IOuterRecord : Implements
    SecuritiesStatusOrStatementQueryStatusAdviceV05Document --|> IOuterDocument~SecuritiesStatusOrStatementQueryStatusAdviceV05~ : Implements
    class IOuterDocument~SecuritiesStatusOrStatementQueryStatusAdviceV05~ {
        SecuritiesStatusOrStatementQueryStatusAdviceV05 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesStatusOrStatementQueryStatusAdviceV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.022.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesStatusOrStatementQueryStatusAdviceV05.ToDocument() method. The returned SecuritiesStatusOrStatementQueryStatusAdviceV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesStatusOrStatementQueryStatusAdviceV05Document *-- SecuritiesStatusOrStatementQueryStatusAdviceV05 : 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.022.001.05">
    <SctiesStsOrStmtQryStsAdvc>
        <QryDtls>
            <!-- QueryDetails inner content -->
        </QryDtls>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <StsOrStmtReqd>
            <!-- StatusOrStatementRequested inner content -->
        </StsOrStmtReqd>
        <PrcgSts>
            <!-- ProcessingStatus inner content -->
        </PrcgSts>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesStsOrStmtQryStsAdvc>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_3GDdEdBlEeihG9bKfarOOA"
  nextVersions="_yoyk4SgSEeym1_Zp1BTvEw"
  previousVersion="_XVkjZQCUEeW_3KiG8SEjHA"
  name="SecuritiesStatusOrStatementQueryStatusAdviceV05"
  definition="Scope&#xD;&#xA;An account servicer sends a SecuritiesStatusOrStatementQueryStatusAdvice to an account owner to advise the status of a status query or statement query previously sent by the account owner.&#xD;&#xA;The account servicer/owner relationship may be:&#xD;&#xA;- a central securities depository or another settlement market infrastructure acting on behalf of their participants&#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 previously sent,&#xD;&#xA;- provide a third party with a copy of a message for information,&#xD;&#xA;- re-send to a third party a copy of a message for information using the relevant elements in the Business Application Header."
  registrationStatus="Registered"
  messageSet="_JB4xh_8rEeCQ-IWv9MUPeQ"
  xmlTag="SctiesStsOrStmtQryStsAdvc"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_3GDdE9BlEeihG9bKfarOOA"
    nextVersions="_yoyk6SgSEeym1_Zp1BTvEw"
    previousVersion="_XVkjawCUEeW_3KiG8SEjHA"
    name="QueryDetails"
    definition="Unambiguous identification of the query as per the account owner."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="QryDtls"
    complexType="_RYv5yznqEeWfSKvvZlhRKg" />
  <messageBuildingBlock
    xmi:id="_3GDdFdBlEeihG9bKfarOOA"
    nextVersions="_yoyk6ygSEeym1_Zp1BTvEw"
    previousVersion="_XVkjbQCUEeW_3KiG8SEjHA"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_XnxoYdLCEeiN28wlpBQScw" />
  <messageBuildingBlock
    xmi:id="_3GDdF9BlEeihG9bKfarOOA"
    nextVersions="_yoyk7SgSEeym1_Zp1BTvEw"
    previousVersion="_XVkjbwCUEeW_3KiG8SEjHA"
    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="_3GDdGdBlEeihG9bKfarOOA"
    nextVersions="_yoyk7ygSEeym1_Zp1BTvEw"
    previousVersion="_XVkjcQCUEeW_3KiG8SEjHA"
    name="StatusOrStatementRequested"
    definition="Details of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="StsOrStmtReqd"
    complexType="_9a9TMdBxEeihG9bKfarOOA" />
  <messageBuildingBlock
    xmi:id="_3GDdG9BlEeihG9bKfarOOA"
    nextVersions="_yoyk8SgSEeym1_Zp1BTvEw"
    previousVersion="_XVkjcwCUEeW_3KiG8SEjHA"
    name="ProcessingStatus"
    definition="Provides details on the processing status of the request."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="PrcgSts"
    complexType="_3-jxeTp4EeWVrPy0StzzSg" />
  <messageBuildingBlock
    xmi:id="_3GDdHdBlEeihG9bKfarOOA"
    nextVersions="_yoyk8ygSEeym1_Zp1BTvEw"
    previousVersion="_XVkjdQCUEeW_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="022"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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