Iso20022

SecuritiesTransactionStatusQueryV05

sese.021.001.05

Scope An account owner sends a SecuritiesTransactionStatusQuery to an account servicer to request a status on a securities transaction. The account owner/servicer relationship may be:

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
%% SecuritiesTransactionStatusQueryV05 recursion level 0 with max 0
SecuritiesTransactionStatusQueryV05 *-- "1..1" DocumentNumber16 : StatusAdviceRequested
SecuritiesTransactionStatusQueryV05 *-- "0..1" PartyIdentification144 : AccountOwner
SecuritiesTransactionStatusQueryV05 *-- "1..1" SecuritiesAccount22 : SafekeepingAccount
SecuritiesTransactionStatusQueryV05 *-- "0..1" SupplementaryData1 : SupplementaryData

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

StatusAdviceRequested building block

Description of the status advice requested. Identification of the status being requested. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% DocumentNumber16 recursion level 0 with max 1
DocumentNumber16 *-- "1..1" IDocumentNumber5Choice : Number
DocumentNumber16 *-- "1..0" Identification26 : References
%% IDocumentNumber5Choice recursion level 1 with max 1
%% Identification26 recursion level 1 with max 1
class Identification26{
    AccountOwnerTransactionIdentification IsoMax35Text
    AccountServicerTransactionIdentification IsoMax35Text
    MarketInfrastructureTransactionIdentification IsoMax35Text
    ProcessorTransactionIdentification IsoMax35Text
    CommonIdentification IsoMax35Text
    TradeIdentification IsoMax52Text
    MasterIdentification IsoMax35Text
    BasketIdentification IsoMax35Text
    IndexIdentification IsoMax35Text
    ListIdentification IsoMax35Text
    ProgramIdentification IsoMax35Text
    PoolIdentification IsoMax35Text
    CorporateActionEventIdentification IsoMax35Text
}

DocumentNumber16 members

Member name Description Data Type / Multiplicity
Number Number used to identify a message or document. IDocumentNumber5Choice - Required 1..1
References References of transaction for which the status is requested. Identification26 - Unknown 1..0

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
%% SecuritiesAccount22 recursion level 0 with max 1
class SecuritiesAccount22{
    Identification IsoMax35Text
    Name IsoMax70Text
}
SecuritiesAccount22 *-- "0..1" GenericIdentification30 : Type
%% GenericIdentification30 recursion level 1 with max 1
class GenericIdentification30{
    Identification IsoExact4AlphaNumericText
    Issuer IsoMax35Text
    SchemeName IsoMax35Text
}

SecuritiesAccount22 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 Type of securities account. GenericIdentification30 - Optional 0..1
Name Description of the account. IsoMax70Text - 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 SecuritiesTransactionStatusQueryV05 implementation follows a specific implementaiton pattern. First of all, SecuritiesTransactionStatusQueryV05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, SecuritiesTransactionStatusQueryV05Document implements IOuterDocument. Because SecuritiesTransactionStatusQueryV05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type SecuritiesTransactionStatusQueryV05.

classDiagram
    class IOuterRecord
    SecuritiesTransactionStatusQueryV05 --|> IOuterRecord : Implements
    SecuritiesTransactionStatusQueryV05Document --|> IOuterDocument~SecuritiesTransactionStatusQueryV05~ : Implements
    class IOuterDocument~SecuritiesTransactionStatusQueryV05~ {
        SecuritiesTransactionStatusQueryV05 Message
     }

Document wrapper for serialization

The only real purpose SecuritiesTransactionStatusQueryV05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:sese.021.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using SecuritiesTransactionStatusQueryV05.ToDocument() method. The returned SecuritiesTransactionStatusQueryV05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    SecuritiesTransactionStatusQueryV05Document *-- SecuritiesTransactionStatusQueryV05 : 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.021.001.05">
    <SctiesTxStsQry>
        <StsAdvcReqd>
            <!-- StatusAdviceRequested inner content -->
        </StsAdvcReqd>
        <AcctOwnr>
            <!-- AccountOwner inner content -->
        </AcctOwnr>
        <SfkpgAcct>
            <!-- SafekeepingAccount inner content -->
        </SfkpgAcct>
        <SplmtryData>
            <!-- SupplementaryData inner content -->
        </SplmtryData>
    </SctiesTxStsQry>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_yK81AdBlEeihG9bKfarOOA"
  nextVersions="_pluB4SgSEeym1_Zp1BTvEw"
  previousVersion="_XVuRdwCUEeW_3KiG8SEjHA"
  name="SecuritiesTransactionStatusQueryV05"
  definition="Scope&#xD;&#xA;An account owner sends a SecuritiesTransactionStatusQuery to an account servicer to request a status on a securities transaction.&#xD;&#xA;The account owner/servicer relationship may be:&#xD;&#xA;- a global custodian which has an account with a local custodian, or&#xD;&#xA;- an investment management institution which manage a fund account opened at a custodian, or&#xD;&#xA;- a broker which has an account with a custodian, or&#xD;&#xA;- a central securities depository participant which has an account with a central securities depository, or&#xD;&#xA;- a central securities depository which has an account with a custodian, another central securities depository or another settlement market infrastructure, or&#xD;&#xA;- a central counterparty or a stock exchange or a trade matching utility which need to instruct to a central securities depository or another settlement market infrastructure.&#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.&#xD;&#xA;"
  registrationStatus="Registered"
  messageSet="_JB4xh_8rEeCQ-IWv9MUPeQ"
  xmlTag="SctiesTxStsQry"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_yK81A9BlEeihG9bKfarOOA"
    nextVersions="_pluB5ygSEeym1_Zp1BTvEw"
    previousVersion="_XVuRfQCUEeW_3KiG8SEjHA"
    name="StatusAdviceRequested"
    definition="Description of the status advice requested."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="StsAdvcReqd"
    complexType="_82tWodBxEeihG9bKfarOOA" />
  <messageBuildingBlock
    xmi:id="_yK81BdBlEeihG9bKfarOOA"
    nextVersions="_pluB6SgSEeym1_Zp1BTvEw"
    previousVersion="_XVuRfwCUEeW_3KiG8SEjHA"
    name="AccountOwner"
    definition="Party that legally owns the account."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="AcctOwnr"
    complexType="_XnxoYdLCEeiN28wlpBQScw" />
  <messageBuildingBlock
    xmi:id="_yK81B9BlEeihG9bKfarOOA"
    nextVersions="_pluB6ygSEeym1_Zp1BTvEw"
    previousVersion="_XVuRgQCUEeW_3KiG8SEjHA"
    name="SafekeepingAccount"
    definition="Account to or from which a securities entry is made."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="1"
    xmlTag="SfkpgAcct"
    complexType="_Noeb0dTMEeKvJeoOII0e7w" />
  <messageBuildingBlock
    xmi:id="_yK81CdBlEeihG9bKfarOOA"
    nextVersions="_pluB7SgSEeym1_Zp1BTvEw"
    previousVersion="_XVuRgwCUEeW_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="021"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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