DTCCCAPASD1V07

supl.009.001.07

The DTCCCAPASD1 message 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
%% DTCCCAPASD1V07 recursion level 0 with max 0
DTCCCAPASD1V07 *-- "0..1" CorporateActionGeneralInformationSD39 : CorporateActionGeneralInformation
DTCCCAPASD1V07 *-- "0..1" FinancialInstrumentAttributesSD17 : UnderlyingSecurity
DTCCCAPASD1V07 *-- "0..1" CorporateActionBalanceSD4 : CorporateActionBalanceDetails
DTCCCAPASD1V07 *-- "0..1" CorporateActionSD18 : CorporateActionDetails
DTCCCAPASD1V07 *-- "0..1" CorporateActionMovementSecuritiesMovementDetailsSD5 : CorporateActionMovementSecuritiesMovementDetails
DTCCCAPASD1V07 *-- "0..1" CorporateActionMovementCashMovementDetailsSD5 : CorporateActionMovementCashMovementDetails
DTCCCAPASD1V07 *-- "0..1" OptionTransactionDetailsSD3 : 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
%% CorporateActionGeneralInformationSD39 recursion level 0 with max 1
class CorporateActionGeneralInformationSD39{
    PlaceAndName IsoMax350Text
    EventGroup EventGroup1Code
    EventType ExtendedEventType6Code
    SubEventType DTCCSubEventType7Code
    RedemptionIdentification IsoMax10NumericText
}
  

CorporateActionGeneralInformationSD39 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
%% FinancialInstrumentAttributesSD17 recursion level 0 with max 1
class FinancialInstrumentAttributesSD17{
    PlaceAndName IsoMax350Text
}
FinancialInstrumentAttributesSD17 *-- "0..1" OtherIdentification2 : OriginatingSecurityIdentification
%% OtherIdentification2 recursion level 1 with max 1
class OtherIdentification2{
    Identification IsoRestrictedFINXMax31Text
    Suffix IsoMax16Text
}
OtherIdentification2 *-- "1..1" IIdentificationSource4Choice : Type
  

FinancialInstrumentAttributesSD17 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
%% CorporateActionBalanceSD4 recursion level 0 with max 1
class CorporateActionBalanceSD4{
    PlaceAndName IsoMax350Text
}
CorporateActionBalanceSD4 *-- "0..1" SignedQuantityFormat9 : OriginalBalance
CorporateActionBalanceSD4 *-- "0..1" SignedQuantityFormat9 : AdjustedBalance
CorporateActionBalanceSD4 *-- "0..1" SignedQuantityFormat9 : UnpledgedBalance
CorporateActionBalanceSD4 *-- "0..1" SignedQuantityFormat9 : InvestmentUnpledgedBalance
CorporateActionBalanceSD4 *-- "0..1" SignedQuantityFormat9 : InvestmentPledgedBalance
CorporateActionBalanceSD4 *-- "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
  

CorporateActionBalanceSD4 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
%% CorporateActionSD18 recursion level 0 with max 1
class CorporateActionSD18{
    PlaceAndName IsoMax350Text
    LotterySequenceNumber IsoMax3NumericText
}
  

CorporateActionSD18 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
%% CorporateActionMovementSecuritiesMovementDetailsSD5 recursion level 0 with max 1
class CorporateActionMovementSecuritiesMovementDetailsSD5{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType4Code
    ReasonCode DTCAdjustmentPaymentType4Code
    SubReasonCode DTCAdjustmentPaymentSubReason2Code
    ContraParticipantNumber IsoMax8Text
    TaxAdjustmentRate IsoPercentageRate
    RDPReferenceNumber IsoExact32AlphaNumericText
}
CorporateActionMovementSecuritiesMovementDetailsSD5 *-- "0..1" IFinancialInstrumentQuantity15Choice : TransactionQuantity
CorporateActionMovementSecuritiesMovementDetailsSD5 *-- "0..1" IDateFormat48Choice : EarliestPaymentDate
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
%% IDateFormat48Choice recursion level 1 with max 1
  

CorporateActionMovementSecuritiesMovementDetailsSD5 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
%% CorporateActionMovementCashMovementDetailsSD5 recursion level 0 with max 1
class CorporateActionMovementCashMovementDetailsSD5{
    PlaceAndName IsoMax350Text
    CreditDebitIndicator CreditDebitCode
    PayoutType DTCCPayoutType5Code
    TransactionAmount IsoRestrictedFINActiveCurrencyAndAmount
    ReasonCode DTCAdjustmentPaymentType4Code
    SubReasonCode DTCAdjustmentPaymentSubReason2Code
    ContraParticipantNumber IsoMax8Text
    RDPReferenceNumber IsoExact32AlphaNumericText
    TaxAdjustmentRate IsoPercentageRate
}
CorporateActionMovementCashMovementDetailsSD5 *-- "0..1" IDateFormat48Choice : EarliestPaymentDate
CorporateActionMovementCashMovementDetailsSD5 *-- "0..1" IFinancialInstrumentQuantity15Choice : TransactionQuantity
%% IDateFormat48Choice recursion level 1 with max 1
%% IFinancialInstrumentQuantity15Choice recursion level 1 with max 1
  

CorporateActionMovementCashMovementDetailsSD5 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
%% OptionTransactionDetailsSD3 recursion level 0 with max 1
class OptionTransactionDetailsSD3{
    PlaceAndName IsoMax350Text
    TransactionIdentification IsoMax15Text
    TransactionSequenceNumber IsoMax3NumericText
    TransactionIdentificationDate IsoISODateTime
    EntitledAmount IsoRestrictedFINActiveCurrencyAndAmount
    CustomerReferenceIdentification IsoMax30Text
}
OptionTransactionDetailsSD3 *-- "1..1" IFinancialInstrumentQuantity15Choice : TransactionIdentificationQuantity
OptionTransactionDetailsSD3 *-- "0..1" IFinancialInstrumentQuantity15Choice : EntitledQuantity
OptionTransactionDetailsSD3 *-- "0..1" IFinancialInstrumentQuantity15Choice : AgentEnteredQuantity
OptionTransactionDetailsSD3 *-- "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
  

OptionTransactionDetailsSD3 members

Extensibility and generalization considerations

To facilitate generalized design patterns in the system, the DTCCCAPASD1V07 implementation follows a specific implementaiton pattern. First of all, DTCCCAPASD1V07 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCAPASD1V07Document implements IOuterDocument. Because DTCCCAPASD1V07 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCAPASD1V07.

classDiagram
    class IOuterRecord
    DTCCCAPASD1V07 --|> IOuterRecord : Implements
    DTCCCAPASD1V07Document --|> IOuterDocument~DTCCCAPASD1V07~ : Implements
    class IOuterDocument~DTCCCAPASD1V07~ {
        DTCCCAPASD1V07 Message
     }
  

Document wrapper for serialization

The only real purpose DTCCCAPASD1V07Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.009.001.07’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCAPASD1V07.ToDocument() method. The returned DTCCCAPASD1V07Document value will serialize correctly according to ISO 20022 standards.

classDiagram
    DTCCCAPASD1V07Document *-- DTCCCAPASD1V07 : 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.009.001.07">
    <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>
        <OptnTxDtls>
            <!-- OptionTransactionDetails inner content -->
        </OptnTxDtls>
    </DTCCCAPASD1>
</Document>

Data from ISO specification

This is the technical data from the specification document.

<messageDefinition
  xmi:id="_I5L_8e2QEeiWtrflKsFqHg"
  nextVersions="_x6QSEQB6EeqouY-yI_q3qQ"
  previousVersion="_LAGyS75MEeexmbB7KsjCwA"
  name="DTCCCAPASD1V07"
  definition="The DTCCCAPASD1 message extends ISO corporate action movement preliminary advice message with DTCC corporate action elements not covered in the standard message."
  registrationStatus="Registered"
  messageSet="_urpIICeJEeOCeO5e7islRQ"
  xmlTag="DTCCCAPASD1"
  rootElement="Document"
  xmlns:xmi="http://www.omg.org/XMI">
  <messageBuildingBlock
    xmi:id="_I5L_8-2QEeiWtrflKsFqHg"
    nextVersions="_x6QSEwB6EeqouY-yI_q3qQ"
    previousVersion="_LAGyTb5MEeexmbB7KsjCwA"
    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="_ZDedQe2QEeiWtrflKsFqHg">
    <semanticMarkup
      xmi:id="_I5L_9e2QEeiWtrflKsFqHg"
      type="Synonym">
      <elements
        xmi:id="_I5L_9-2QEeiWtrflKsFqHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I5L_-e2QEeiWtrflKsFqHg"
        name="value"
        value="Event (Details)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I5VJ4e2QEeiWtrflKsFqHg"
    nextVersions="_x6QSGwB6EeqouY-yI_q3qQ"
    previousVersion="_LAGyVb5MEeexmbB7KsjCwA"
    name="UnderlyingSecurity"
    definition="Information to be extended as supplementary data to underlying security details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="UndrlygScty"
    complexType="_dqeI4b5YEeexmbB7KsjCwA" />
  <messageBuildingBlock
    xmi:id="_I5VJ4-2QEeiWtrflKsFqHg"
    nextVersions="_x6QSHQB6EeqouY-yI_q3qQ"
    previousVersion="_LAGyV75MEeexmbB7KsjCwA"
    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="_HxgcEb5ZEeexmbB7KsjCwA" />
  <messageBuildingBlock
    xmi:id="_I5VJ5e2QEeiWtrflKsFqHg"
    nextVersions="_x6QSHwB6EeqouY-yI_q3qQ"
    previousVersion="_LAGyWb5MEeexmbB7KsjCwA"
    name="CorporateActionDetails"
    definition="Information to be extended as supplementary data to corporate action details."
    registrationStatus="Provisionally Registered"
    maxOccurs="1"
    minOccurs="0"
    xmlTag="CorpActnDtls"
    complexType="_LJFb4b5ZEeexmbB7KsjCwA" />
  <messageBuildingBlock
    xmi:id="_I5VJ5-2QEeiWtrflKsFqHg"
    nextVersions="_x6QSIQB6EeqouY-yI_q3qQ"
    previousVersion="_LAGyY75MEeexmbB7KsjCwA"
    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="_uO9Zcb5ZEeexmbB7KsjCwA">
    <semanticMarkup
      xmi:id="_I5VJ6e2QEeiWtrflKsFqHg"
      type="Synonym">
      <elements
        xmi:id="_I5VJ6-2QEeiWtrflKsFqHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I5VJ7e2QEeiWtrflKsFqHg"
        name="value"
        value="Payout (Securities)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I5VJ7-2QEeiWtrflKsFqHg"
    nextVersions="_x6QSKQB6EeqouY-yI_q3qQ"
    previousVersion="_LAGya75MEeexmbB7KsjCwA"
    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="_0_1QUb5ZEeexmbB7KsjCwA">
    <semanticMarkup
      xmi:id="_I5VJ8e2QEeiWtrflKsFqHg"
      type="Synonym">
      <elements
        xmi:id="_I5VJ8-2QEeiWtrflKsFqHg"
        name="context"
        value="DTCC" />
      <elements
        xmi:id="_I5VJ9e2QEeiWtrflKsFqHg"
        name="value"
        value="Payout (Cash)" />
    </semanticMarkup>
  </messageBuildingBlock>
  <messageBuildingBlock
    xmi:id="_I5VJ9-2QEeiWtrflKsFqHg"
    nextVersions="_x6QSMQB6EeqouY-yI_q3qQ"
    previousVersion="_LAGyc75MEeexmbB7KsjCwA"
    name="OptionTransactionDetails"
    definition="Information to be extended as supplementary data to corporate action option details."
    registrationStatus="Provisionally Registered"
    minOccurs="0"
    xmlTag="OptnTxDtls"
    complexType="_57pqEb5ZEeexmbB7KsjCwA" />
  <messageDefinitionIdentifier
    businessArea="supl"
    messageFunctionality="009"
    flavour="001"
    version="07" />
</messageDefinition>

ISO Building Blocks

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