supl.030.001.04
The DTCCCAISSD1 message extends ISO Corporate Action Instruction Status Advice 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
%% DTCCCAISSD1V04 recursion level 0 with max 0
DTCCCAISSD1V04 *-- "0..1" ReorganisationInstructionSD9 : ReorganisationInstructionDetails
Now, we will zero-in one-by-one on each of these building blocks.
ReorganisationInstructionDetails building block
Supplementary data extending corporate action reorganisation instruction status 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
%% ReorganisationInstructionSD9 recursion level 0 with max 1
class ReorganisationInstructionSD9{
PlaceAndName IsoMax350Text
TransactionIdentification IsoMax15Text
TransactionIdentificationStatus DTCInstructionStatus2Code
ProtectTransactionStatus DTCProtectInstructionStatus3Code
RejectionReason InstructionRejectionReason2Code
CustomerReferenceIdentification IsoMax30Text
WarrantSubscriptionChargeAmount IsoRestrictedFINActiveCurrencyAndAmount
UserReferenceNumber IsoMax6Text
TransactionRecordNumber IsoMax10NumericText
}
ReorganisationInstructionSD9 *-- "0..99" InstructionsTransactionsSequence1 : TransactionSequence
ReorganisationInstructionSD9 *-- "0..1" SecuritiesQuantitySD7 : SecuritiesQuantityDetails
ReorganisationInstructionSD9 *-- "0..1" CorporateActionAcknowledgementSD1 : AcknowledgementDetails
ReorganisationInstructionSD9 *-- "0..1" ContactIdentification5 : ContactPerson
ReorganisationInstructionSD9 *-- "0..1" CorporateActionCertificateSD1 : Certificate
ReorganisationInstructionSD9 *-- "0..1" DeceasedStatusSD1 : DeceasedBeneficialOwnerDetails
ReorganisationInstructionSD9 *-- "0..1" IPriceFormat57Choice : BidPrice
%% InstructionsTransactionsSequence1 recursion level 1 with max 1
class InstructionsTransactionsSequence1{
TransactionSequenceNumber IsoMax3NumericText
CustomerReferenceIdentification IsoMax30Text
}
InstructionsTransactionsSequence1 *-- "0..1" IFinancialInstrumentQuantity31Choice : InstructionQuantity
InstructionsTransactionsSequence1 *-- "0..1" FinancialInstrumentQuantity4 : OversubscriptionQuantity
%% SecuritiesQuantitySD7 recursion level 1 with max 1
SecuritiesQuantitySD7 *-- "0..1" FinancialInstrumentQuantity4 : TotalOversubscriptionQuantity
SecuritiesQuantitySD7 *-- "0..1" IFinancialInstrumentQuantity31Choice : InterimCoveredQuantity
SecuritiesQuantitySD7 *-- "0..1" IFinancialInstrumentQuantity15Choice : ConditionalQuantity
%% 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
}
%% IPriceFormat57Choice recursion level 1 with max 1
ReorganisationInstructionSD9 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| PlaceAndName | Xpath to the element that is being extended. | IsoMax350Text - Optional 0..1 |
| TransactionIdentification | Unique number assigned by the depository. Transaction identification will be either the DTC instruction reference number for reorganisation instructions (VOI) or the DAM reference number for custody / reorganisation deposits. | IsoMax15Text - 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 |
| TransactionIdentificationStatus | Status of the instruction. | DTCInstructionStatus2Code - Optional 0..1 |
| ProtectTransactionStatus | Status of the protect instruction. | DTCProtectInstructionStatus3Code - Optional 0..1 |
| RejectionReason | Reason for which an inbound instruction message or a cancellation instruction message is rejected. | InstructionRejectionReason2Code - Collection 0..6 |
| SecuritiesQuantityDetails | Provides information about securities quantity linked to a corporate action option. | SecuritiesQuantitySD7 - Optional 0..1 |
| CustomerReferenceIdentification | Customer identification entered by client upon instruction submission. | IsoMax30Text - 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 |
| WarrantSubscriptionChargeAmount | Warrant subscription amount entered by client when instructing on a warrant exercise instruction. | IsoRestrictedFINActiveCurrencyAndAmount - Optional 0..1 |
| Certificate | Certificate information for a given instruction. | CorporateActionCertificateSD1 - Optional 0..1 |
| UserReferenceNumber | Unique identification of the transaction used by the transmitting party. | IsoMax6Text - Optional 0..1 |
| DeceasedBeneficialOwnerDetails | Beneficial owner information related to CD early redemption instructions. | DeceasedStatusSD1 - Optional 0..1 |
| TransactionRecordNumber | Transaction record number for ATAM or ART system which may be causing pending status. Corresponds to ATP RBN number. | IsoMax10NumericText - Optional 0..1 |
| BidPrice | Bid price of the instruction. | IPriceFormat57Choice - Optional 0..1 |
Extensibility and generalization considerations
To facilitate generalized design patterns in the system, the DTCCCAISSD1V04 implementation follows a specific implementaiton pattern. First of all, DTCCCAISSD1V04 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCAISSD1V04Document implements IOuterDocument. Because DTCCCAISSD1V04 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCAISSD1V04.
classDiagram
class IOuterRecord
DTCCCAISSD1V04 --|> IOuterRecord : Implements
DTCCCAISSD1V04Document --|> IOuterDocument~DTCCCAISSD1V04~ : Implements
class IOuterDocument~DTCCCAISSD1V04~ {
DTCCCAISSD1V04 Message
}
Document wrapper for serialization
The only real purpose DTCCCAISSD1V04Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.030.001.04’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCAISSD1V04.ToDocument() method. The returned DTCCCAISSD1V04Document value will serialize correctly according to ISO 20022 standards.
classDiagram
DTCCCAISSD1V04Document *-- DTCCCAISSD1V04 : 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.030.001.04">
<DTCCCAISSD1>
<ReorgInstrDtls>
<!-- ReorganisationInstructionDetails inner content -->
</ReorgInstrDtls>
</DTCCCAISSD1>
</Document>
Data from ISO specification
This is the technical data from the specification document.
<messageDefinition
xmi:id="_x6QSVwB6EeqouY-yI_q3qQ"
nextVersions="_q_pK9Q4zEeuIpNw_GxsBOw"
previousVersion="_b_h_X-aHEei5aPS232E3Mw"
name="DTCCCAISSD1V04"
definition="The DTCCCAISSD1 message extends ISO Corporate Action Instruction Status Advice message with DTCC corporate action elements not covered in the standard message."
registrationStatus="Registered"
messageSet="_urpIICeJEeOCeO5e7islRQ"
xmlTag="DTCCCAISSD1"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<messageBuildingBlock
xmi:id="_x6QSWQB6EeqouY-yI_q3qQ"
nextVersions="_q_pK9w4zEeuIpNw_GxsBOw"
previousVersion="_b_h_YeaHEei5aPS232E3Mw"
name="ReorganisationInstructionDetails"
definition="Supplementary data extending corporate action reorganisation instruction status message with corporate action elements not covered in the standard message."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="ReorgInstrDtls"
complexType="_ZptbEQCmEeqouY-yI_q3qQ" />
<messageDefinitionIdentifier
businessArea="supl"
messageFunctionality="030"
flavour="001"
version="04" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.