DTCCCACOSD1V05

supl.011.001.05

The DTCCCACOSD1 message extends ISO corporate action movement confirmation message with DTCC corporate action elements not covered in the standard message.

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
%% DTCCCACOSD1V05 recursion level 0 with max 0
DTCCCACOSD1V05 *-- "0..1" Pagination : Pagination
DTCCCACOSD1V05 *-- "0..1" CorporateActionGeneralInformationSD27 : CorporateActionGeneralInformation
DTCCCACOSD1V05 *-- "0..1" FinancialInstrumentAttributesSD9 : UnderlyingSecurity
DTCCCACOSD1V05 *-- "0..1" CorporateActionSD16 : CorporateActionDetails
DTCCCACOSD1V05 *-- "0..1" AccountBalanceSD9 : AccountBalance
DTCCCACOSD1V05 *-- "0..1" CorporateActionConfirmationDetailsSD1 : CorporateActionConfirmationDetails
DTCCCACOSD1V05 *-- "0..1" CorporateActionConfirmationSecuritiesMovementDetailsSD5 : CorporateActionConfirmationSecuritiesMovementDetails
DTCCCACOSD1V05 *-- "0..1" CorporateActionConfirmationCashMovementDetailsSD4 : CorporateActionConfirmationCashMovementDetails
DTCCCACOSD1V05 *-- "0..1" OptionTransactionDetailsSD2 : OptionTransactionDetails
  

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

Pagination building block

Page number of the message and continuation indicator to indicate that the multi-parts confirmation is to continue or that the message is the last page of the multi-parts confirmation. Number used to sequence pages when it is not possible for data to be conveyed in a single message and the data has to be split across several pages (messages). For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% Pagination recursion level 0 with max 1
class Pagination{
    PageNumber IsoMax5NumericText
    LastPageIndicator IsoYesNoIndicator
}
  

Pagination members

CorporateActionGeneralInformation building block

Extension block for the information to be extended as corporate action general information. Provides additional information regarding corporate action general information details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionGeneralInformationSD27 recursion level 0 with max 1
class CorporateActionGeneralInformationSD27{
    PlaceAndName IsoMax350Text
    EventGroup EventGroup2Code
    EventType ExtendedEventType4Code
    SubEventType DTCCSubEventType5Code
    RedemptionIdentification IsoMax10NumericText
}
  

CorporateActionGeneralInformationSD27 members

UnderlyingSecurity building block

Information to be extended as supplementary data to underlying security details. Provides additional information regarding underlying security details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% FinancialInstrumentAttributesSD9 recursion level 0 with max 1
class FinancialInstrumentAttributesSD9{
    PlaceAndName IsoMax350Text
}
FinancialInstrumentAttributesSD9 *-- "0..1" OtherIdentification2 : OriginatingSecurityIdentification
%% OtherIdentification2 recursion level 1 with max 1
class OtherIdentification2{
    Identification IsoRestrictedFINXMax31Text
    Suffix IsoMax16Text
}
OtherIdentification2 *-- "1..1" IIdentificationSource4Choice : Type
  

FinancialInstrumentAttributesSD9 members

CorporateActionDetails building block

Information to be extended as supplementary data to corporate action details. Provides additional information regarding corporate action details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionSD16 recursion level 0 with max 1
class CorporateActionSD16{
    PlaceAndName IsoMax350Text
    LotterySequenceNumber IsoMax3NumericText
    LotteryDate IsoISODate
    ProcessToDate IsoISODate
}
  

CorporateActionSD16 members

AccountBalance building block

Extension block for the information to be extended as account balance. Provides additional information regarding account balance. Contains transaction details of the stock loans, repurchase agreements (REPOs) and undelivered trades (FAILs). For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% AccountBalanceSD9 recursion level 0 with max 1
class AccountBalanceSD9{
    PlaceAndName IsoMax350Text
}
AccountBalanceSD9 *-- "0..1" SignedQuantityFormat9 : OriginalBalance
AccountBalanceSD9 *-- "0..1" SignedQuantityFormat9 : UnpledgedBalance
AccountBalanceSD9 *-- "0..1" SignedQuantityFormat9 : InvestmentUnpledgedBalance
AccountBalanceSD9 *-- "0..1" SignedQuantityFormat9 : InvestmentPledgedBalance
AccountBalanceSD9 *-- "0..1" SignedQuantityFormat9 : AcceptedBalance
AccountBalanceSD9 *-- "0..1" SignedQuantityFormat9 : UnacceptedBalance
AccountBalanceSD9 *-- "0..1" SignedQuantityFormat9 : OversubscriptionBalance
%% SignedQuantityFormat9 recursion level 1 with max 1
class SignedQuantityFormat9{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat9 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat9 recursion level 1 with max 1
class SignedQuantityFormat9{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat9 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat9 recursion level 1 with max 1
class SignedQuantityFormat9{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat9 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat9 recursion level 1 with max 1
class SignedQuantityFormat9{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat9 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat9 recursion level 1 with max 1
class SignedQuantityFormat9{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat9 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat9 recursion level 1 with max 1
class SignedQuantityFormat9{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat9 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat9 recursion level 1 with max 1
class SignedQuantityFormat9{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat9 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
  

AccountBalanceSD9 members

CorporateActionConfirmationDetails building block

Information to be extended as corporate action confirmation details. Provides additional information regarding corporate action confirmation details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionConfirmationDetailsSD1 recursion level 0 with max 1
class CorporateActionConfirmationDetailsSD1{
    PlaceAndName IsoMax350Text
    ProrationRoundingIndicator FractionDispositionType12Code
    ProrationFraction IsoDecimalNumber
}
  

CorporateActionConfirmationDetailsSD1 members

CorporateActionConfirmationSecuritiesMovementDetails building block

Information to be extended as corporate action confirmation securities movement details. Provides additional information regarding corporate action confirmation securities movement details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionConfirmationSecuritiesMovementDetailsSD5 recursion level 0 with max 1
class CorporateActionConfirmationSecuritiesMovementDetailsSD5{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType4Code
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    MaturityDate IsoISODate
    TaxAdjustmentRate IsoPercentageRate
    RDPReferenceNumber IsoExact32AlphaNumericText
    RoundingFactor IsoDecimalNumber
}
CorporateActionConfirmationSecuritiesMovementDetailsSD5 *-- "0..1" IFinancialInstrumentQuantity15Choice : TransactionQuantity
CorporateActionConfirmationSecuritiesMovementDetailsSD5 *-- "0..1" IDateFormat28Choice : PostingDate
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionConfirmationSecuritiesMovementDetailsSD5 members

CorporateActionConfirmationCashMovementDetails building block

Extension block for the information to be extended as corporate action confirmation cash movement details. Provides additional information regarding corporate action confirmation cash movement details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionConfirmationCashMovementDetailsSD4 recursion level 0 with max 1
class CorporateActionConfirmationCashMovementDetailsSD4{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType5Code
    TransactionAmount IsoRestrictedFINActiveCurrencyAndAmount
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    TaxAdjustmentRate IsoPercentageRate
    RDPReferenceNumber IsoExact32AlphaNumericText
}
CorporateActionConfirmationCashMovementDetailsSD4 *-- "0..1" IDateFormat28Choice : PostingDate
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionConfirmationCashMovementDetailsSD4 members

OptionTransactionDetails building block

Information to be extended as supplementary data to corporate action option details. Provides additional information regarding corporate action movement option details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% OptionTransactionDetailsSD2 recursion level 0 with max 1
class OptionTransactionDetailsSD2{
    PlaceAndName IsoMax350Text
    TransactionIdentification IsoMax15Text
    TransactionSequenceNumber IsoMax3NumericText
    TransactionIdentificationDate IsoISODateTime
    EntitledAmount IsoRestrictedFINActiveCurrencyAndAmount
    RefundedOversubscriptionAmount IsoRestrictedFINActiveCurrencyAndAmount
    SubscriptionAmount IsoRestrictedFINActiveCurrencyAndAmount
    OversubscriptionAmount IsoRestrictedFINActiveCurrencyAndAmount
    FinalSubscriptionAdjustmentAmount IsoRestrictedFINActiveCurrencyAndAmount
    CashInLieuOfShare IsoRestrictedFINActiveCurrencyAndAmount
    CustomerReferenceIdentification IsoMax15Text
}
OptionTransactionDetailsSD2 *-- "1..1" IFinancialInstrumentQuantity15Choice : TransactionIdentificationQuantity
OptionTransactionDetailsSD2 *-- "0..1" IFinancialInstrumentQuantity15Choice : TransactionIdentificationOversubscriptionQuantity
OptionTransactionDetailsSD2 *-- "0..1" IFinancialInstrumentQuantity15Choice : AcceptedQuantity
OptionTransactionDetailsSD2 *-- "0..1" IFinancialInstrumentQuantity15Choice : UnacceptedQuantity
OptionTransactionDetailsSD2 *-- "0..1" IFinancialInstrumentQuantity15Choice : EntitledQuantity
OptionTransactionDetailsSD2 *-- "0..1" IFinancialInstrumentQuantity15Choice : EntitledOversubscriptionQuantity
OptionTransactionDetailsSD2 *-- "0..1" IFinancialInstrumentQuantity15Choice : AgentEnteredQuantity
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
  

OptionTransactionDetailsSD2 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the DTCCCACOSD1V05 implementation follows a specific implementaiton pattern. First of all, DTCCCACOSD1V05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCACOSD1V05Document implements IOuterDocument. Because DTCCCACOSD1V05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCACOSD1V05.

classDiagram
    class IOuterRecord
    DTCCCACOSD1V05 --|> IOuterRecord : Implements
    DTCCCACOSD1V05Document --|> IOuterDocument~DTCCCACOSD1V05~ : Implements
    class IOuterDocument~DTCCCACOSD1V05~ {
        DTCCCACOSD1V05 Message
     }
  

Document wrapper for serialization

The only real purpose DTCCCACOSD1V05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.011.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCACOSD1V05.ToDocument() method. The returned DTCCCACOSD1V05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    DTCCCACOSD1V05Document *-- DTCCCACOSD1V05 : 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:supl.011.001.05">
    <DTCCCACOSD1>
        <Pgntn>
            <!-- Pagination inner content -->
        </Pgntn>
        <CorpActnGnlInf>
            <!-- CorporateActionGeneralInformation inner content -->
        </CorpActnGnlInf>
        <UndrlygScty>
            <!-- UnderlyingSecurity inner content -->
        </UndrlygScty>
        <CorpActnDtls>
            <!-- CorporateActionDetails inner content -->
        </CorpActnDtls>
        <AcctBal>
            <!-- AccountBalance inner content -->
        </AcctBal>
        <CorpActnConfDtls>
            <!-- CorporateActionConfirmationDetails inner content -->
        </CorpActnConfDtls>
        <CorpActnConfSctiesMvmntDtls>
            <!-- CorporateActionConfirmationSecuritiesMovementDetails inner content -->
        </CorpActnConfSctiesMvmntDtls>
        <CorpActnConfCshMvmntDtls>
            <!-- CorporateActionConfirmationCashMovementDetails inner content -->
        </CorpActnConfCshMvmntDtls>
        <OptnTxDtls>
            <!-- OptionTransactionDetails inner content -->
        </OptnTxDtls>
    </DTCCCACOSD1>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_I7vsrZCEEeaSk9d1hvTrHg"
  nextVersions="_LAGygb5MEeexmbB7KsjCwA"
  previousVersion="_X0scUZ2EEeW-bsa36JFb9A"
  name="DTCCCACOSD1V05"
  definition="The DTCCCACOSD1 message extends ISO corporate action movement confirmation message with DTCC corporate action elements not covered in the standard message."
  registrationStatus="Provisionally Registered"
  xmlTag="DTCCCACOSD1"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_3HceIZE_EeanIpS4qvJ1tw"
    name="Pagination"
    definition="Page number of the message and continuation indicator to indicate that the multi-parts confirmation is to continue or that the message is the last page of the multi-parts confirmation."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="Pgntn"
    complexType="_Q65gBdp-Ed-ak6NoX_4Aeg_-21330104" />
  <messageBuildingBlock
    xmi:id="_I7vsr5CEEeaSk9d1hvTrHg"
    nextVersions="_LAGyhb5MEeexmbB7KsjCwA"
    previousVersion="_X0scU52EEeW-bsa36JFb9A"
    name="CorporateActionGeneralInformation"
    definition="Extension block for the information to be extended as corporate action general information."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnGnlInf"
    complexType="_246EAa2oEea8JNaCEJBGAA">
    <semanticMarkup
      xmi:id="_I7vssZCEEeaSk9d1hvTrHg"
      type="Synonym">
      <elements
        xmi:id="_I7vss5CEEeaSk9d1hvTrHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I7vstZCEEeaSk9d1hvTrHg"
        name="value"
        value="Event (Details)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I7wTsZCEEeaSk9d1hvTrHg"
    nextVersions="_LAGyjb5MEeexmbB7KsjCwA"
    previousVersion="_X0scW52EEeW-bsa36JFb9A"
    name="UnderlyingSecurity"
    definition="Information to be extended as supplementary data to underlying security details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="UndrlygScty"
    complexType="_Vboa0noCEeO2o_OAyvnbZw" />
  <messageBuildingBlock
    xmi:id="_I7wTs5CEEeaSk9d1hvTrHg"
    nextVersions="_LAGyj75MEeexmbB7KsjCwA"
    previousVersion="_X0scXZ2EEeW-bsa36JFb9A"
    name="CorporateActionDetails"
    definition="Information to be extended as supplementary data to corporate action details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnDtls"
    complexType="_RM6gQZFCEeanIpS4qvJ1tw" />
  <messageBuildingBlock
    xmi:id="_I7wTtZCEEeaSk9d1hvTrHg"
    nextVersions="_LAGykb5MEeexmbB7KsjCwA"
    previousVersion="_X0scX52EEeW-bsa36JFb9A"
    name="AccountBalance"
    definition="Extension block for the information to be extended as account balance."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="AcctBal"
    complexType="_qOfHUZFCEeanIpS4qvJ1tw" />
  <messageBuildingBlock
    xmi:id="_4yXyEJFDEeanIpS4qvJ1tw"
    nextVersions="_LAGyk75MEeexmbB7KsjCwA"
    name="CorporateActionConfirmationDetails"
    definition="Information to be extended as corporate action confirmation details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnConfDtls"
    complexType="_K5o5ppFEEeanIpS4qvJ1tw" />
  <messageBuildingBlock
    xmi:id="_I7wTt5CEEeaSk9d1hvTrHg"
    nextVersions="_LAGylb5MEeexmbB7KsjCwA"
    previousVersion="_X0scYZ2EEeW-bsa36JFb9A"
    name="CorporateActionConfirmationSecuritiesMovementDetails"
    definition="Information to be extended as corporate action confirmation securities movement details."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="CorpActnConfSctiesMvmntDtls"
    complexType="_dlol4ZFBEeanIpS4qvJ1tw">
    <semanticMarkup
      xmi:id="_I7wTuZCEEeaSk9d1hvTrHg"
      type="Synonym">
      <elements
        xmi:id="_I7wTu5CEEeaSk9d1hvTrHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I7wTvZCEEeaSk9d1hvTrHg"
        name="value"
        value="Payout (Securities)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I7wTv5CEEeaSk9d1hvTrHg"
    nextVersions="_LAGynb5MEeexmbB7KsjCwA"
    previousVersion="_X0scaZ2EEeW-bsa36JFb9A"
    name="CorporateActionConfirmationCashMovementDetails"
    definition="Extension block for the information to be extended as corporate action confirmation cash movement details."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="CorpActnConfCshMvmntDtls"
    complexType="_t8K8QZCNEeaSk9d1hvTrHg">
    <semanticMarkup
      xmi:id="_I7wTwZCEEeaSk9d1hvTrHg"
      type="Synonym">
      <elements
        xmi:id="_I7wTw5CEEeaSk9d1hvTrHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I7wTxZCEEeaSk9d1hvTrHg"
        name="value"
        value="Payout (Cash)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_MrdVAZFHEeanIpS4qvJ1tw"
    nextVersions="_LAGypb5MEeexmbB7KsjCwA"
    name="OptionTransactionDetails"
    definition="Information to be extended as supplementary data to corporate action option details."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="OptnTxDtls"
    complexType="_cb3Su5FHEeanIpS4qvJ1tw" />
  <messageDefinitionIdentifier
    businessArea="supl"
    messageFunctionality="011"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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