DTCCCAPASD1V05

supl.009.001.05

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
%% DTCCCAPASD1V05 recursion level 0 with max 0
DTCCCAPASD1V05 *-- "0..1" CorporateActionGeneralInformationSD25 : CorporateActionGeneralInformation
DTCCCAPASD1V05 *-- "0..1" FinancialInstrumentAttributesSD9 : UnderlyingSecurity
DTCCCAPASD1V05 *-- "0..1" CorporateActionBalanceSD3 : CorporateActionBalanceDetails
DTCCCAPASD1V05 *-- "0..1" CorporateActionSD8 : CorporateActionDetails
DTCCCAPASD1V05 *-- "0..1" CorporateActionQuantitySD2 : SecuritiesQuantity
DTCCCAPASD1V05 *-- "0..1" CorporateActionMovementSecuritiesMovementDetailsSD4 : CorporateActionMovementSecuritiesMovementDetails
DTCCCAPASD1V05 *-- "0..1" CorporateActionMovementCashMovementDetailsSD4 : CorporateActionMovementCashMovementDetails
DTCCCAPASD1V05 *-- "0..1" OptionTransactionDetailsSD1 : OptionTransactionDetails
  

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
%% CorporateActionGeneralInformationSD25 recursion level 0 with max 1
class CorporateActionGeneralInformationSD25{
    PlaceAndName IsoMax350Text
    EventGroup EventGroup1Code
    EventType ExtendedEventType4Code
    SubEventType DTCCSubEventType5Code
    RedemptionIdentification IsoMax10NumericText
}
  

CorporateActionGeneralInformationSD25 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
%% CorporateActionBalanceSD3 recursion level 0 with max 1
class CorporateActionBalanceSD3{
    PlaceAndName IsoMax350Text
}
CorporateActionBalanceSD3 *-- "0..1" SignedQuantityFormat9 : OriginalBalance
CorporateActionBalanceSD3 *-- "0..1" SignedQuantityFormat9 : AdjustedBalance
CorporateActionBalanceSD3 *-- "0..1" SignedQuantityFormat9 : UnpledgedBalance
CorporateActionBalanceSD3 *-- "0..1" SignedQuantityFormat9 : InvestmentUnpledgedBalance
CorporateActionBalanceSD3 *-- "0..1" SignedQuantityFormat9 : InvestmentPledgedBalance
CorporateActionBalanceSD3 *-- "0..1" SignedQuantityFormat9 : MemoSegregationBalance
%% 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
  

CorporateActionBalanceSD3 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

SecuritiesQuantity building block

Information to be extended as supplementary data to corporate action details securities quantity. Specifies corporate action quantities. For comparison, see the ISO20022 official specification

classDiagram
   direction tb
%% CorporateActionQuantitySD2 recursion level 0 with max 1
class CorporateActionQuantitySD2{
    PlaceAndName IsoMax350Text
}
CorporateActionQuantitySD2 *-- "0..1" IFinancialInstrumentQuantity22Choice : BaseDenomination
CorporateActionQuantitySD2 *-- "0..1" IFinancialInstrumentQuantity22Choice : IncrementalDenomination
%% IFinancialInstrumentQuantity22Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity22Choice recursion level 1 with max 1
  

CorporateActionQuantitySD2 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
%% CorporateActionMovementSecuritiesMovementDetailsSD4 recursion level 0 with max 1
class CorporateActionMovementSecuritiesMovementDetailsSD4{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType4Code
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    TaxAdjustmentRate IsoPercentageRate
    RDPReferenceNumber IsoExact32AlphaNumericText
}
CorporateActionMovementSecuritiesMovementDetailsSD4 *-- "0..1" IFinancialInstrumentQuantity15Choice : TransactionQuantity
CorporateActionMovementSecuritiesMovementDetailsSD4 *-- "0..1" IDateFormat28Choice : EarliestPaymentDate
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionMovementSecuritiesMovementDetailsSD4 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
%% CorporateActionMovementCashMovementDetailsSD4 recursion level 0 with max 1
class CorporateActionMovementCashMovementDetailsSD4{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType5Code
    TransactionAmount IsoRestrictedFINActiveCurrencyAndAmount
    ReasonCode DTCAdjustmentPaymentType2Code
    SubReasonCode DTCAdjustmentPaymentSubReason1Code
    ContraParticipantNumber IsoMax8Text
    RDPReferenceNumber IsoExact32AlphaNumericText
    TaxAdjustmentRate IsoPercentageRate
}
CorporateActionMovementCashMovementDetailsSD4 *-- "0..1" IDateFormat28Choice : EarliestPaymentDate
%% IDateFormat28Choice recursion level 1 with max 1
  

CorporateActionMovementCashMovementDetailsSD4 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
%% OptionTransactionDetailsSD1 recursion level 0 with max 1
class OptionTransactionDetailsSD1{
    PlaceAndName IsoMax350Text
    TransactionIdentification IsoMax15Text
    TransactionSequenceNumber IsoMax3NumericText
    TransactionIdentificationDate IsoISODateTime
    EntitledAmount IsoRestrictedFINActiveCurrencyAndAmount
    CustomerReferenceIdentification IsoMax15Text
}
OptionTransactionDetailsSD1 *-- "1..1" IFinancialInstrumentQuantity15Choice : TransactionIdentificationQuantity
OptionTransactionDetailsSD1 *-- "0..1" IFinancialInstrumentQuantity15Choice : EntitledQuantity
OptionTransactionDetailsSD1 *-- "0..1" IFinancialInstrumentQuantity15Choice : AgentEnteredQuantity
OptionTransactionDetailsSD1 *-- "0..1" IFinancialInstrumentQuantity15Choice : AgentRemainingQuantity
%% 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
  

OptionTransactionDetailsSD1 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the DTCCCAPASD1V05 implementation follows a specific implementaiton pattern. First of all, DTCCCAPASD1V05 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCAPASD1V05Document implements IOuterDocument. Because DTCCCAPASD1V05 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCAPASD1V05.

classDiagram
    class IOuterRecord
    DTCCCAPASD1V05 --|> IOuterRecord : Implements
    DTCCCAPASD1V05Document --|> IOuterDocument~DTCCCAPASD1V05~ : Implements
    class IOuterDocument~DTCCCAPASD1V05~ {
        DTCCCAPASD1V05 Message
     }
  

Document wrapper for serialization

The only real purpose DTCCCAPASD1V05Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.009.001.05’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCAPASD1V05.ToDocument() method. The returned DTCCCAPASD1V05Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    DTCCCAPASD1V05Document *-- DTCCCAPASD1V05 : 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.009.001.05">
    <DTCCCAPASD1>
        <CorpActnGnlInf>
            <!-- CorporateActionGeneralInformation inner content -->
        </CorpActnGnlInf>
        <UndrlygScty>
            <!-- UnderlyingSecurity inner content -->
        </UndrlygScty>
        <CorpActnBalDtls>
            <!-- CorporateActionBalanceDetails inner content -->
        </CorpActnBalDtls>
        <CorpActnDtls>
            <!-- CorporateActionDetails inner content -->
        </CorpActnDtls>
        <SctiesQty>
            <!-- SecuritiesQuantity inner content -->
        </SctiesQty>
        <CorpActnMvmntSctiesMvmntDtls>
            <!-- CorporateActionMovementSecuritiesMovementDetails inner content -->
        </CorpActnMvmntSctiesMvmntDtls>
        <CorpActnMvmntCshMvmntDtls>
            <!-- CorporateActionMovementCashMovementDetails inner content -->
        </CorpActnMvmntCshMvmntDtls>
        <OptnTxDtls>
            <!-- OptionTransactionDetails inner content -->
        </OptnTxDtls>
    </DTCCCAPASD1>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_I7vFlZCEEeaSk9d1hvTrHg"
  nextVersions="_LAGyS75MEeexmbB7KsjCwA"
  previousVersion="_X0irYZ2EEeW-bsa36JFb9A"
  name="DTCCCAPASD1V05"
  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="_I7vFl5CEEeaSk9d1hvTrHg"
    nextVersions="_LAGyTb5MEeexmbB7KsjCwA"
    previousVersion="_X0irY52EEeW-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="_sdJSIZCQEeaSk9d1hvTrHg">
    <semanticMarkup
      xmi:id="_I7vFmZCEEeaSk9d1hvTrHg"
      type="Synonym">
      <elements
        xmi:id="_I7vFm5CEEeaSk9d1hvTrHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I7vFnZCEEeaSk9d1hvTrHg"
        name="value"
        value="Event (Details)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I7vFn5CEEeaSk9d1hvTrHg"
    nextVersions="_LAGyVb5MEeexmbB7KsjCwA"
    previousVersion="_X0ira52EEeW-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="_I7vFoZCEEeaSk9d1hvTrHg"
    nextVersions="_LAGyV75MEeexmbB7KsjCwA"
    previousVersion="_X0scMZ2EEeW-bsa36JFb9A"
    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="_1Jx10ZzrEeaKBbFtXj821w" />
  <messageBuildingBlock
    xmi:id="_I7vFo5CEEeaSk9d1hvTrHg"
    nextVersions="_LAGyWb5MEeexmbB7KsjCwA"
    previousVersion="_X0scM52EEeW-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="_vfrsRWG1EeORiK3bBeBzGg" />
  <messageBuildingBlock
    xmi:id="_b3sdRNclEeaNRN5goVRSuw"
    name="SecuritiesQuantity"
    definition="Information to be extended as supplementary data to corporate action details securities quantity."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="SctiesQty"
    complexType="_frPnYdclEeaNRN5goVRSuw">
    <semanticMarkup
      xmi:id="_b3sdRdclEeaNRN5goVRSuw"
      type="Synonym">
      <elements
        xmi:id="_b3sdRtclEeaNRN5goVRSuw"
        name="context"
        value="ISO 15022" />
      <elements
        xmi:id="_b3sdR9clEeaNRN5goVRSuw"
        name="value"
        value=":36a:" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I7vFpZCEEeaSk9d1hvTrHg"
    nextVersions="_LAGyY75MEeexmbB7KsjCwA"
    previousVersion="_X0scNZ2EEeW-bsa36JFb9A"
    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="_Wxp_8Z2GEeW-bsa36JFb9A">
    <semanticMarkup
      xmi:id="_I7vFp5CEEeaSk9d1hvTrHg"
      type="Synonym">
      <elements
        xmi:id="_I7vFqZCEEeaSk9d1hvTrHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I7vFq5CEEeaSk9d1hvTrHg"
        name="value"
        value="Payout (Securities)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I7vFrZCEEeaSk9d1hvTrHg"
    nextVersions="_LAGya75MEeexmbB7KsjCwA"
    previousVersion="_X0scPZ2EEeW-bsa36JFb9A"
    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="_Wdr4kZCNEeaSk9d1hvTrHg">
    <semanticMarkup
      xmi:id="_I7vFr5CEEeaSk9d1hvTrHg"
      type="Synonym">
      <elements
        xmi:id="_I7vFsZCEEeaSk9d1hvTrHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I7vFs5CEEeaSk9d1hvTrHg"
        name="value"
        value="Payout (Cash)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I_JTwJElEeajS_7NioJdVA"
    nextVersions="_LAGyc75MEeexmbB7KsjCwA"
    name="OptionTransactionDetails"
    definition="Information to be extended as supplementary data to corporate action option details."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="OptnTxDtls"
    complexType="_mi1bIJElEeajS_7NioJdVA" />
  <messageDefinitionIdentifier
    businessArea="supl"
    messageFunctionality="009"
    flavour="001"
    version="05" />
</messageDefinition>

ISO Building Blocks

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