DTCCCAPASD1V03

supl.009.001.03

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
%% DTCCCAPASD1V03 recursion level 0 with max 0
DTCCCAPASD1V03 *-- "0..1" CorporateActionGeneralInformationSD14 : CorporateActionGeneralInformation
DTCCCAPASD1V03 *-- "0..1" FinancialInstrumentAttributesSD9 : UnderlyingSecurity
DTCCCAPASD1V03 *-- "0..1" CorporateActionBalanceSD1 : CorporateActionBalanceDetails
DTCCCAPASD1V03 *-- "0..1" CorporateActionSD8 : CorporateActionDetails
DTCCCAPASD1V03 *-- "0..1" CorporateActionMovementSecuritiesMovementDetailsSD3 : CorporateActionMovementSecuritiesMovementDetails
DTCCCAPASD1V03 *-- "0..1" CorporateActionMovementCashMovementDetailsSD3 : 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

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
%% CorporateActionMovementSecuritiesMovementDetailsSD3 recursion level 0 with max 1
class CorporateActionMovementSecuritiesMovementDetailsSD3{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType4Code
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    NewSecuritiesIssuanceIndicator NewSecuritiesIssuanceType4Code
    TaxAdjustmentRate IsoPercentageRate
    RDPReferenceNumber IsoExact32AlphaNumericText
}
CorporateActionMovementSecuritiesMovementDetailsSD3 *-- "0..1" IFinancialInstrumentQuantity15Choice : TransactionQuantity
CorporateActionMovementSecuritiesMovementDetailsSD3 *-- "0..1" IDateFormat28Choice : EarliestPaymentDate
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionMovementSecuritiesMovementDetailsSD3 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
%% CorporateActionMovementCashMovementDetailsSD3 recursion level 0 with max 1
class CorporateActionMovementCashMovementDetailsSD3{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType3Code
    TransactionAmount IsoRestrictedFINActiveCurrencyAndAmount
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    RDPReferenceNumber IsoExact32AlphaNumericText
    TaxAdjustmentRate IsoPercentageRate
}
CorporateActionMovementCashMovementDetailsSD3 *-- "0..1" IDateFormat28Choice : EarliestPaymentDate
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionMovementCashMovementDetailsSD3 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the DTCCCAPASD1V03 implementation follows a specific implementaiton pattern. First of all, DTCCCAPASD1V03 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCAPASD1V03Document implements IOuterDocument. Because DTCCCAPASD1V03 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCAPASD1V03.

classDiagram
    class IOuterRecord
    DTCCCAPASD1V03 --|> IOuterRecord : Implements
    DTCCCAPASD1V03Document --|> IOuterDocument~DTCCCAPASD1V03~ : Implements
    class IOuterDocument~DTCCCAPASD1V03~ {
        DTCCCAPASD1V03 Message
     }
  

Document wrapper for serialization

The only real purpose DTCCCAPASD1V03Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.009.001.03’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCAPASD1V03.ToDocument() method. The returned DTCCCAPASD1V03Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    DTCCCAPASD1V03Document *-- DTCCCAPASD1V03 : 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.009.001.03">
    <DTCCCAPASD1>
        <CorpActnGnlInf>
            <!-- CorporateActionGeneralInformation inner content -->
        </CorpActnGnlInf>
        <UndrlygScty>
            <!-- UnderlyingSecurity inner content -->
        </UndrlygScty>
        <CorpActnBalDtls>
            <!-- CorporateActionBalanceDetails inner content -->
        </CorpActnBalDtls>
        <CorpActnDtls>
            <!-- CorporateActionDetails inner content -->
        </CorpActnDtls>
        <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="_2E1aQaFJEeSK_vfd3NHBGg"
  nextVersions="_X0irYZ2EEeW-bsa36JFb9A"
  previousVersion="_eaasRV2lEeOb__BffbPEig"
  name="DTCCCAPASD1V03"
  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="_2E1aQ6FJEeSK_vfd3NHBGg"
    nextVersions="_X0irY52EEeW-bsa36JFb9A"
    previousVersion="_eaasR12lEeOb__BffbPEig"
    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="_2E1aRaFJEeSK_vfd3NHBGg"
      type="Synonym">
      <elements
        xmi:id="_2E1aR6FJEeSK_vfd3NHBGg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_2E1aSaFJEeSK_vfd3NHBGg"
        name="value"
        value="Event (Details)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_2E1aS6FJEeSK_vfd3NHBGg"
    nextVersions="_X0ira52EEeW-bsa36JFb9A"
    previousVersion="_joEEMXoCEeO2o_OAyvnbZw"
    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="_2E1aTaFJEeSK_vfd3NHBGg"
    nextVersions="_X0scMZ2EEeW-bsa36JFb9A"
    previousVersion="_F6qgAGHAEeORiK3bBeBzGg"
    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="_2E1aT6FJEeSK_vfd3NHBGg"
    nextVersions="_X0scM52EEeW-bsa36JFb9A"
    previousVersion="_qR3vIWGrEeORiK3bBeBzGg"
    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="_2E1aU6FJEeSK_vfd3NHBGg"
    nextVersions="_X0scNZ2EEeW-bsa36JFb9A"
    previousVersion="_eaasT12lEeOb__BffbPEig"
    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="_qW8iwaGGEeSpipW1FBSFVg">
    <semanticMarkup
      xmi:id="_2E1aVaFJEeSK_vfd3NHBGg"
      type="Synonym">
      <elements
        xmi:id="_2E1aV6FJEeSK_vfd3NHBGg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_2E1aWaFJEeSK_vfd3NHBGg"
        name="value"
        value="Payout (Securities)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_2E1aW6FJEeSK_vfd3NHBGg"
    nextVersions="_X0scPZ2EEeW-bsa36JFb9A"
    previousVersion="_eaasV12lEeOb__BffbPEig"
    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="_AInNYaGJEeSpipW1FBSFVg">
    <semanticMarkup
      xmi:id="_2E1aXaFJEeSK_vfd3NHBGg"
      type="Synonym">
      <elements
        xmi:id="_2E1aX6FJEeSK_vfd3NHBGg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_2E1aYaFJEeSK_vfd3NHBGg"
        name="value"
        value="Payout (Cash)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageDefinitionIdentifier
    businessArea="supl"
    messageFunctionality="009"
    flavour="001"
    version="03" />
</messageDefinition>

ISO Building Blocks

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