Iso20022

DTCCCAINSD1V05

supl.008.001.05

The DTCCCAINSD1 message extends ISO corporate action instruction 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
%% DTCCCAINSD1V05 recursion level 0 with max 0
DTCCCAINSD1V05 *-- "0..1" OptionalDividendAccountQuantitySD3 : OptionalDividend
DTCCCAINSD1V05 *-- "0..1" TaxExemptQuantitySD2 : TaxExempt
DTCCCAINSD1V05 *-- "0..99" TaxCategory2 : TaxCategory
DTCCCAINSD1V05 *-- "0..1" WireInstructionSD3 : WireInstruction
DTCCCAINSD1V05 *-- "0..1" ReorganisationInstructionSD5 : ReorganisationInstructionDetails

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

OptionalDividend building block

DTC (The Depository Trust Corporation) optional dividend service election. Provides additional information regarding optional dividend election details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% OptionalDividendAccountQuantitySD3 recursion level 0 with max 1
class OptionalDividendAccountQuantitySD3{
    PlaceAndName IsoMax350Text
    NumberOfAccounts IsoMax15NumericText
}
OptionalDividendAccountQuantitySD3 *-- "1..1" IFinancialInstrumentQuantity15Choice : BeneficialOwnerQuantity
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1

OptionalDividendAccountQuantitySD3 members

Member name Description Data Type / Multiplicity
PlaceAndName Xpath to the element that is being extended. IsoMax350Text - Optional 0..1
BeneficialOwnerQuantity Beneficial owner quantity to be paid. IFinancialInstrumentQuantity15Choice - Required 1..1
NumberOfAccounts Number of accounts for which the beneficial quantity is elected. IsoMax15NumericText - Required 1..1

TaxExempt building block

DTC (The Depository Trust Corporation) tax exempt service election. Tax exempt election details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TaxExemptQuantitySD2 recursion level 0 with max 1
class TaxExemptQuantitySD2{
    PlaceAndName IsoMax350Text
    ControlIdentification IsoMax6Text
}
TaxExemptQuantitySD2 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1

TaxExemptQuantitySD2 members

Member name Description Data Type / Multiplicity
PlaceAndName Xpath to the element that is being extended. IsoMax350Text - Optional 0..1
ControlIdentification Tax control identification. IsoMax6Text - Required 1..1
Quantity Elected quantity. IFinancialInstrumentQuantity15Choice - Required 1..1

TaxCategory building block

Tax category number assigned on the announcement to provide a breakdown at a category level on the inbound instruction to determine tax treatment as required by issuers, their agents, or tax authorities. Provides identification information about the tax category. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% TaxCategory2 recursion level 0 with max 1
class TaxCategory2{
    PlaceAndName IsoMax350Text
    Identification IsoMax2NumericText
    Country CountryCode
}
TaxCategory2 *-- "0..1" IFinancialInstrumentQuantity15Choice : Quantity
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1

TaxCategory2 members

Member name Description Data Type / Multiplicity
PlaceAndName Xpath to the element that is being extended. IsoMax350Text - Optional 0..1
Identification Tax category identification. IsoMax2NumericText - Optional 0..1
Quantity Quantity to be withheld at the tax category level. IFinancialInstrumentQuantity15Choice - Optional 0..1
Country Identification of the country in which the tax is withheld. CountryCode - Optional 0..1

WireInstruction building block

DTC (The Depository Trust Corporation) foreign currency payment service wire payment instruction. Payment wire instruction details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% WireInstructionSD3 recursion level 0 with max 1
class WireInstructionSD3{
    PlaceAndName IsoMax350Text
    BankName IsoMax30Text
    BankAddress IsoMax30Text
    BankCity IsoMax30Text
    BankCountry CountryCode
    BankAttentionTo IsoMax30Text
    BankComments IsoMax60Text
    BeneficiaryAccount IsoMax30Text
    BeneficiaryAccountIdentification IsoMax30Text
    BeneficiaryAccountComments IsoMax30Text
}
WireInstructionSD3 *-- "1..1" IFinancialInstrumentQuantity15Choice : WireQuantity
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1

WireInstructionSD3 members

Member name Description Data Type / Multiplicity
PlaceAndName Xpath to the element that is being extended. IsoMax350Text - Optional 0..1
WireQuantity Quantity of securities concerned in this wire. IFinancialInstrumentQuantity15Choice - Required 1..1
BankName Name of the recipient bank for the wire. IsoMax30Text - Required 1..1
BankAddress Street address of the recipient bank for the wire. IsoMax30Text - Required 1..1
BankCity City of the recipient bank for the wire. IsoMax30Text - Required 1..1
BankCountry Country of the recipient bank for the wire. CountryCode - Required 1..1
BankAttentionTo Responsible person in the recipient back for the wire. IsoMax30Text - Required 1..1
BankComments Notes or comments for the recipient bank for the wire. IsoMax60Text - Required 1..1
BeneficiaryAccount Account type at the recipient bank for the wire. IsoMax30Text - Required 1..1
BeneficiaryAccountIdentification Account identification at the recipient bank for the wire. IsoMax30Text - Required 1..1
BeneficiaryAccountComments Notes or comments for the beneficiary account at the recipient bank for the wire. IsoMax30Text - Required 1..1

ReorganisationInstructionDetails building block

Supplementary data extending corporate action reorganisation instruction message with corporate action elements not covered in the standard message. Provides additional information regarding corporate action reorganisation instruction details. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% ReorganisationInstructionSD5 recursion level 0 with max 1
class ReorganisationInstructionSD5{
    PlaceAndName IsoMax350Text
    TransactionType ReorganisationTransactionType2Code
    UserReferenceNumber IsoMax6Text
    WarrantSubscriptionChargeAmount IsoRestrictedFINActiveCurrencyAndAmount
    NonExemptInstructionsAllowedIndicator IsoYesNoIndicator
    SolicitationFeeIndicator IsoYesNoIndicator
}
ReorganisationInstructionSD5 *-- "0..99" InstructionsTransactionsSequence1 : TransactionSequence
ReorganisationInstructionSD5 *-- "0..1" FinancialInstrumentQuantity4 : TotalOversubscriptionQuantity
ReorganisationInstructionSD5 *-- "0..1" CorporateActionAcknowledgementSD1 : AcknowledgementDetails
ReorganisationInstructionSD5 *-- "0..1" ContactIdentification5 : ContactPerson
ReorganisationInstructionSD5 *-- "0..1" CorporateActionCertificateSD1 : Certificate
ReorganisationInstructionSD5 *-- "0..1" DeceasedStatusSD1 : DeceasedBeneficialOwnerDetails
%% InstructionsTransactionsSequence1 recursion level 1 with max 1
class InstructionsTransactionsSequence1{
    TransactionSequenceNumber IsoMax3NumericText
    CustomerReferenceIdentification IsoMax30Text
}
InstructionsTransactionsSequence1 *-- "0..1" IFinancialInstrumentQuantity31Choice : InstructionQuantity
InstructionsTransactionsSequence1 *-- "0..1" FinancialInstrumentQuantity4 : OversubscriptionQuantity
%% FinancialInstrumentQuantity4 recursion level 1 with max 1
class FinancialInstrumentQuantity4{
    Unit IsoRestrictedFINDecimalNumber
}
%% CorporateActionAcknowledgementSD1 recursion level 1 with max 1
class CorporateActionAcknowledgementSD1{
    TermsAcknowledgementIndicator IsoYesNoIndicator
    Condition1Indicator IsoYesNoIndicator
    Condition2Indicator IsoYesNoIndicator
    Condition3Indicator IsoYesNoIndicator
    Condition4Indicator IsoYesNoIndicator
    Condition5Indicator IsoYesNoIndicator
    Condition6Indicator IsoYesNoIndicator
    AdjudicationOfIncompetencyAcknowledgementIndicator IsoYesNoIndicator
    LegalDocumentationThirtyMonthsRetentionAcknowledgementIndicator IsoYesNoIndicator
    InstructionDeletionAcknowledgementIndicator IsoYesNoIndicator
    PotentialLossAcknowledgementIndicator IsoYesNoIndicator
}
%% ContactIdentification5 recursion level 1 with max 1
class ContactIdentification5{
    Name IsoMax35Text
    PhoneNumber IsoPhoneNumber
}
%% CorporateActionCertificateSD1 recursion level 1 with max 1
class CorporateActionCertificateSD1{
    CertificateNumber IsoMax15AlphaNumericText
    CertificateSequenceNumber IsoMax15AlphaNumericText
    CertificateRegistrationName IsoMax30Text
}
%% DeceasedStatusSD1 recursion level 1 with max 1
class DeceasedStatusSD1{
    BeneficialOwnerName IsoMax35Text
    DeathDate IsoISODate
    DeathCertificateSerialNumber IsoMax30Text
    IssuingJurisdiction IsoMax35Text
}

ReorganisationInstructionSD5 members

Member name Description Data Type / Multiplicity
PlaceAndName Xpath to the element that is being extended. IsoMax350Text - Optional 0..1
TransactionType Identifies the reorganisation transaction type. ReorganisationTransactionType2Code - Optional 0..1
TransactionSequence Enable input of multiple voluntary instructions for rights or voluntary puts events via a single instruction message through using Transaction Sequence Number. InstructionsTransactionsSequence1 - Collection 0..99
TotalOversubscriptionQuantity Total oversubscription quantity of all transaction sequence instructions. FinancialInstrumentQuantity4 - Optional 0..1
AcknowledgementDetails Acknowledgement information relative to corporate action reorganisation instructions. CorporateActionAcknowledgementSD1 - Optional 0..1
ContactPerson Party contact information for the given instruction; required for voluntary offer instruction transaction (VOIT), protect transaction (PROT) and protect on behalf of another participant transaction (PROP); not required for cover protect instructions like cover protect transaction (COVR), cover protect directly to agent transaction (COVA) and cover protect on behalf of another participant transaction (COVP). ContactIdentification5 - Optional 0..1
UserReferenceNumber Unique identification of the transaction used by the transmitting party. IsoMax6Text - Optional 0..1
WarrantSubscriptionChargeAmount Warrant subscription amount entered by client when instructing on a warrant exercise instruction. IsoRestrictedFINActiveCurrencyAndAmount - Optional 0..1
NonExemptInstructionsAllowedIndicator Indicates whether DTC participant is willing to accept penalties as a result of processing instructions prior to maturity of CD redemptions events. Yes: participant accepts penalties. No: participant does not accept penalties. IsoYesNoIndicator - Optional 0..1
SolicitationFeeIndicator Indicates whether there is a solicitation fee on the event. This fee is paid soliciting dealer. Yes: there is a solicitation fee. No: there is not a solicitation fee. IsoYesNoIndicator - Optional 0..1
Certificate Certificate information for a given instruction. CorporateActionCertificateSD1 - Optional 0..1
DeceasedBeneficialOwnerDetails Beneficial owner information related to CD early redemption instructions. DeceasedStatusSD1 - Optional 0..1

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the DTCCCAINSD1V05 implementation follows a specific implementaiton pattern. First of all, DTCCCAINSD1V05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCAINSD1V05Document implements IOuterDocument. Because DTCCCAINSD1V05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCAINSD1V05.

classDiagram
    class IOuterRecord
    DTCCCAINSD1V05 --|> IOuterRecord : Implements
    DTCCCAINSD1V05Document --|> IOuterDocument~DTCCCAINSD1V05~ : Implements
    class IOuterDocument~DTCCCAINSD1V05~ {
        DTCCCAINSD1V05 Message
     }

Document wrapper for serialization

The only real purpose DTCCCAINSD1V05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.008.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCAINSD1V05.ToDocument() method. The returned DTCCCAINSD1V05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    DTCCCAINSD1V05Document *-- DTCCCAINSD1V05 : 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.008.001.05">
    <DTCCCAINSD1>
        <OptnlDvdd>
            <!-- OptionalDividend inner content -->
        </OptnlDvdd>
        <TaxXmpt>
            <!-- TaxExempt inner content -->
        </TaxXmpt>
        <TaxCtgy>
            <!-- TaxCategory inner content -->
        </TaxCtgy>
        <WireInstr>
            <!-- WireInstruction inner content -->
        </WireInstr>
        <ReorgInstrDtls>
            <!-- ReorganisationInstructionDetails inner content -->
        </ReorgInstrDtls>
    </DTCCCAINSD1>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_b_Y1U-aHEei5aPS232E3Mw"
  nextVersions="_q_pKgQ4zEeuIpNw_GxsBOw"
  previousVersion="_LAGyL75MEeexmbB7KsjCwA"
  name="DTCCCAINSD1V05"
  definition="The DTCCCAINSD1 message extends ISO corporate action instruction message with DTCC corporate action elements not covered in the standard message."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="DTCCCAINSD1"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_b_h_EeaHEei5aPS232E3Mw"
    nextVersions="_q_pKgw4zEeuIpNw_GxsBOw"
    previousVersion="_LAGyMb5MEeexmbB7KsjCwA"
    name="OptionalDividend"
    definition="DTC (The Depository Trust Corporation) optional dividend service election."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="OptnlDvdd"
    complexType="_zQRzsb5YEeexmbB7KsjCwA">
    <semanticMarkup
      xmi:id="_b_h_E-aHEei5aPS232E3Mw"
      type="Synonym">
      <elements
        xmi:id="_b_h_FeaHEei5aPS232E3Mw"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_b_h_F-aHEei5aPS232E3Mw"
        name="value"
        value="Optional Dividend" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_b_h_GeaHEei5aPS232E3Mw"
    nextVersions="_q_pKiw4zEeuIpNw_GxsBOw"
    previousVersion="_LAGyOb5MEeexmbB7KsjCwA"
    name="TaxExempt"
    definition="DTC (The Depository Trust Corporation) tax exempt service election."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="TaxXmpt"
    complexType="_2m0Rsb5YEeexmbB7KsjCwA">
    <semanticMarkup
      xmi:id="_b_h_G-aHEei5aPS232E3Mw"
      type="Synonym">
      <elements
        xmi:id="_b_h_HeaHEei5aPS232E3Mw"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_b_h_H-aHEei5aPS232E3Mw"
        name="value"
        value="Tax Exempt" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_rsHT0OcjEei5aPS232E3Mw"
    nextVersions="_q_pKkw4zEeuIpNw_GxsBOw"
    name="TaxCategory"
    definition="Tax category number assigned on the announcement to provide a breakdown at a category level on the inbound instruction to determine tax treatment as required by issuers, their agents, or tax authorities."
    registrationStatus="Provisionally Registered"
    maxOccurs="99"
    minOccurs="0"
    xmlTag="TaxCtgy"
    complexType="_1VoBMOciEei5aPS232E3Mw" />
  <messageBuildingBlock
    xmi:id="_b_h_IeaHEei5aPS232E3Mw"
    nextVersions="_q_pKlQ4zEeuIpNw_GxsBOw"
    previousVersion="_LAGyQb5MEeexmbB7KsjCwA"
    name="WireInstruction"
    definition="DTC (The Depository Trust Corporation) foreign currency payment service wire payment instruction."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="WireInstr"
    complexType="_5SM54b5YEeexmbB7KsjCwA">
    <semanticMarkup
      xmi:id="_b_h_I-aHEei5aPS232E3Mw"
      type="Synonym">
      <elements
        xmi:id="_b_h_JeaHEei5aPS232E3Mw"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_b_h_J-aHEei5aPS232E3Mw"
        name="value"
        value="Wire Instruction" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_b_h_KeaHEei5aPS232E3Mw"
    nextVersions="_q_pKnQ4zEeuIpNw_GxsBOw"
    previousVersion="_aEKXsMU2EeeWeZMpNX1JUQ"
    name="ReorganisationInstructionDetails"
    definition="Supplementary data extending corporate action reorganisation instruction message with corporate action elements not covered in the standard message."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="ReorgInstrDtls"
    complexType="_oDfBQecYEei5aPS232E3Mw" />
  <messageDefinitionIdentifier
    businessArea="supl"
    messageFunctionality="008"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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