DTCCCAPASD1V02

supl.009.001.02

The DTCCCAPASD1 messge extends ISO corporate action movement preliminary 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
%% DTCCCAPASD1V02 recursion level 0 with max 0
DTCCCAPASD1V02 *-- "0..1" CorporateActionGeneralInformationSD14 : CorporateActionGeneralInformation
DTCCCAPASD1V02 *-- "0..1" FinancialInstrumentAttributesSD9 : UnderlyingSecurity
DTCCCAPASD1V02 *-- "0..1" CorporateActionBalanceSD1 : CorporateActionBalanceDetails
DTCCCAPASD1V02 *-- "0..1" CorporateActionSD8 : CorporateActionDetails
DTCCCAPASD1V02 *-- "0..1" CorporateActionDateSD6 : CorporateActionDateDetails
DTCCCAPASD1V02 *-- "0..1" CorporateActionMovementSecuritiesMovementDetailsSD2 : CorporateActionMovementSecuritiesMovementDetails
DTCCCAPASD1V02 *-- "0..1" CorporateActionMovementCashMovementDetailsSD2 : CorporateActionMovementCashMovementDetails
  

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

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
%% CorporateActionGeneralInformationSD14 recursion level 0 with max 1
class CorporateActionGeneralInformationSD14{
    PlaceAndName IsoMax350Text
    RedemptionIdentification IsoMax10NumericText
}
  

CorporateActionGeneralInformationSD14 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

CorporateActionBalanceDetails building block

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

classDiagram
   direction tb
%% CorporateActionBalanceSD1 recursion level 0 with max 1
class CorporateActionBalanceSD1{
    PlaceAndName IsoMax350Text
}
CorporateActionBalanceSD1 *-- "0..1" SignedQuantityFormat4 : OriginalBalance
CorporateActionBalanceSD1 *-- "0..1" SignedQuantityFormat4 : AdjustedBalance
CorporateActionBalanceSD1 *-- "0..1" SignedQuantityFormat4 : UnpledgedBalance
CorporateActionBalanceSD1 *-- "0..1" SignedQuantityFormat4 : InvestmentUnpledgedBalance
CorporateActionBalanceSD1 *-- "0..1" SignedQuantityFormat4 : InvestmentPledgedBalance
%% SignedQuantityFormat4 recursion level 1 with max 1
class SignedQuantityFormat4{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat4 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat4 recursion level 1 with max 1
class SignedQuantityFormat4{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat4 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat4 recursion level 1 with max 1
class SignedQuantityFormat4{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat4 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat4 recursion level 1 with max 1
class SignedQuantityFormat4{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat4 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
%% SignedQuantityFormat4 recursion level 1 with max 1
class SignedQuantityFormat4{
    ShortLongPosition ShortLong1Code
}
SignedQuantityFormat4 *-- "1..1" IFinancialInstrumentQuantity15Choice : Quantity
  

CorporateActionBalanceSD1 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
%% CorporateActionSD8 recursion level 0 with max 1
class CorporateActionSD8{
    PlaceAndName IsoMax350Text
    LotterySequenceNumber IsoMax3NumericText
}
  

CorporateActionSD8 members

CorporateActionDateDetails building block

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

classDiagram
   direction tb
%% CorporateActionDateSD6 recursion level 0 with max 1
class CorporateActionDateSD6{
    PlaceAndName IsoMax350Text
    LotteryDate IsoISODate
}
  

CorporateActionDateSD6 members

CorporateActionMovementSecuritiesMovementDetails building block

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

classDiagram
   direction tb
%% CorporateActionMovementSecuritiesMovementDetailsSD2 recursion level 0 with max 1
class CorporateActionMovementSecuritiesMovementDetailsSD2{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    TaxAdjustmentRate IsoPercentageRate
}
CorporateActionMovementSecuritiesMovementDetailsSD2 *-- "0..1" IFinancialInstrumentQuantity15Choice : TransactionQuantity
CorporateActionMovementSecuritiesMovementDetailsSD2 *-- "0..1" IDateFormat28Choice : EarliestPaymentDate
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionMovementSecuritiesMovementDetailsSD2 members

CorporateActionMovementCashMovementDetails building block

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

classDiagram
   direction tb
%% CorporateActionMovementCashMovementDetailsSD2 recursion level 0 with max 1
class CorporateActionMovementCashMovementDetailsSD2{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    TransactionAmount IsoRestrictedFINActiveCurrencyAndAmount
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    TaxAdjustmentRate IsoPercentageRate
}
CorporateActionMovementCashMovementDetailsSD2 *-- "0..1" IDateFormat28Choice : EarliestPaymentDate
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionMovementCashMovementDetailsSD2 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the DTCCCAPASD1V02 implementation follows a specific implementaiton pattern. First of all, DTCCCAPASD1V02 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCAPASD1V02Document implements IOuterDocument. Because DTCCCAPASD1V02 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCAPASD1V02.

classDiagram
    class IOuterRecord
    DTCCCAPASD1V02 --|> IOuterRecord : Implements
    DTCCCAPASD1V02Document --|> IOuterDocument~DTCCCAPASD1V02~ : Implements
    class IOuterDocument~DTCCCAPASD1V02~ {
        DTCCCAPASD1V02 Message
     }
  

Document wrapper for serialization

The only real purpose DTCCCAPASD1V02Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.009.001.02’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCAPASD1V02.ToDocument() method. The returned DTCCCAPASD1V02Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    DTCCCAPASD1V02Document *-- DTCCCAPASD1V02 : 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.009.001.02">
    <DTCCCAPASD1>
        <CorpActnGnlInf>
            <!-- CorporateActionGeneralInformation inner content -->
        </CorpActnGnlInf>
        <UndrlygScty>
            <!-- UnderlyingSecurity inner content -->
        </UndrlygScty>
        <CorpActnBalDtls>
            <!-- CorporateActionBalanceDetails inner content -->
        </CorpActnBalDtls>
        <CorpActnDtls>
            <!-- CorporateActionDetails inner content -->
        </CorpActnDtls>
        <CorpActnDtDtls>
            <!-- CorporateActionDateDetails inner content -->
        </CorpActnDtDtls>
        <CorpActnMvmntSctiesMvmntDtls>
            <!-- CorporateActionMovementSecuritiesMovementDetails inner content -->
        </CorpActnMvmntSctiesMvmntDtls>
        <CorpActnMvmntCshMvmntDtls>
            <!-- CorporateActionMovementCashMovementDetails inner content -->
        </CorpActnMvmntCshMvmntDtls>
    </DTCCCAPASD1>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_eaasRV2lEeOb__BffbPEig"
  nextVersions="_2E1aQaFJEeSK_vfd3NHBGg"
  previousVersion="_1Njf8TL3EeKU9IrkkToqcw_1609512939"
  name="DTCCCAPASD1V02"
  definition="The DTCCCAPASD1 messge extends ISO corporate action movement preliminary advice message with DTCC corporate action elements not covered in the standard message."
  registrationStatus="Provisionally Registered"
  xmlTag="DTCCCAPASD1"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_eaasR12lEeOb__BffbPEig"
    nextVersions="_2E1aQ6FJEeSK_vfd3NHBGg"
    previousVersion="_1Njf8jL3EeKU9IrkkToqcw_-1573085315"
    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="_YTNCqGGJEeORiK3bBeBzGg">
    <semanticMarkup
      xmi:id="_eaasSV2lEeOb__BffbPEig"
      type="Synonym">
      <elements
        xmi:id="_eaasS12lEeOb__BffbPEig"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_eaasTV2lEeOb__BffbPEig"
        name="value"
        value="Event (Details)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_joEEMXoCEeO2o_OAyvnbZw"
    nextVersions="_2E1aS6FJEeSK_vfd3NHBGg"
    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="_F6qgAGHAEeORiK3bBeBzGg"
    nextVersions="_2E1aTaFJEeSK_vfd3NHBGg"
    name="CorporateActionBalanceDetails"
    definition="Information to be extended as supplementary data to corporate action balance details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnBalDtls"
    complexType="_U6RS4GHAEeORiK3bBeBzGg" />
  <messageBuildingBlock
    xmi:id="_qR3vIWGrEeORiK3bBeBzGg"
    nextVersions="_2E1aT6FJEeSK_vfd3NHBGg"
    name="CorporateActionDetails"
    definition="Information to be extended as supplementary data to corporate action details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnDtls"
    complexType="_vfrsRWG1EeORiK3bBeBzGg" />
  <messageBuildingBlock
    xmi:id="_z19MIGG5EeORiK3bBeBzGg"
    name="CorporateActionDateDetails"
    definition="Information to be extended as supplementary data to corporate action date details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnDtDtls"
    complexType="_CglNgGG6EeORiK3bBeBzGg" />
  <messageBuildingBlock
    xmi:id="_eaasT12lEeOb__BffbPEig"
    nextVersions="_2E1aU6FJEeSK_vfd3NHBGg"
    previousVersion="_1Njf8zL3EeKU9IrkkToqcw_1688378389"
    name="CorporateActionMovementSecuritiesMovementDetails"
    definition="Extension block for the information to be extended as corporate action movement securities movement details."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="CorpActnMvmntSctiesMvmntDtls"
    complexType="_HOJPMWHCEeORiK3bBeBzGg">
    <semanticMarkup
      xmi:id="_eaasUV2lEeOb__BffbPEig"
      type="Synonym">
      <elements
        xmi:id="_eaasU12lEeOb__BffbPEig"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_eaasVV2lEeOb__BffbPEig"
        name="value"
        value="Payout (Securities)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_eaasV12lEeOb__BffbPEig"
    nextVersions="_2E1aW6FJEeSK_vfd3NHBGg"
    previousVersion="_1Njf9DL3EeKU9IrkkToqcw_51361216"
    name="CorporateActionMovementCashMovementDetails"
    definition="Extension block for the information to be extended as corporate action movement cash movement details."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="CorpActnMvmntCshMvmntDtls"
    complexType="_GXpPkWHDEeORiK3bBeBzGg">
    <semanticMarkup
      xmi:id="_eaasWV2lEeOb__BffbPEig"
      type="Synonym">
      <elements
        xmi:id="_eaasW12lEeOb__BffbPEig"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_eaasXV2lEeOb__BffbPEig"
        name="value"
        value="Payout (Cash)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageDefinitionIdentifier
    businessArea="supl"
    messageFunctionality="009"
    flavour="001"
    version="02" />
</messageDefinition>

ISO Building Blocks

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