supl.030.001.07
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
%% DTCCCAISSD1V07 recursion level 0 with max 0
DTCCCAISSD1V07 *-- "0..1" ReorganisationInstructionSD12 : ReorganisationInstructionDetails
DTCCCAISSD1V07 *-- "0..1" DistributionInstructionSD1 : DistributionInstructionDetails
Now, we will zero-in one-by-one on each of these building blocks.
ReorganisationInstructionDetails building block
Information to be extended as supplementary data to instruction status message for reorganisation events. Provides additional information regarding corporate action reorganisation instruction details. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% ReorganisationInstructionSD12 recursion level 0 with max 1
class ReorganisationInstructionSD12{
PlaceAndName IsoMax350Text
TransactionIdentification IsoMax15Text
TransactionIdentificationStatus DTCInstructionStatus2Code
ProtectTransactionStatus DTCProtectInstructionStatus3Code
Reason InstructionReason4Code
CustomerReferenceIdentification IsoMax30Text
WarrantSubscriptionChargeAmount IsoRestrictedFINActiveCurrencyAndAmount
UserReferenceNumber IsoMax6Text
TransactionRecordNumber IsoMax10NumericText
ShareholderNumber IsoRestrictedFINXMax25Text
}
ReorganisationInstructionSD12 *-- "0..99" InstructionsTransactionsSequence2 : TransactionSequence
ReorganisationInstructionSD12 *-- "0..1" SecuritiesQuantitySD9 : SecuritiesQuantityDetails
ReorganisationInstructionSD12 *-- "0..1" CorporateActionAcknowledgementSD1 : AcknowledgementDetails
ReorganisationInstructionSD12 *-- "0..1" ContactIdentification5 : ContactPerson
ReorganisationInstructionSD12 *-- "0..1" CorporateActionCertificateSD1 : Certificate
ReorganisationInstructionSD12 *-- "0..1" DeceasedStatusSD1 : DeceasedBeneficialOwnerDetails
ReorganisationInstructionSD12 *-- "0..1" IPriceFormat63Choice : BidPrice
%% InstructionsTransactionsSequence2 recursion level 1 with max 1
class InstructionsTransactionsSequence2{
TransactionSequenceNumber IsoMax3NumericText
CustomerReferenceIdentification IsoMax30Text
}
InstructionsTransactionsSequence2 *-- "0..1" IFinancialInstrumentQuantity31Choice : InstructionQuantity
InstructionsTransactionsSequence2 *-- "0..1" IFinancialInstrumentQuantity31Choice : OversubscriptionQuantity
%% SecuritiesQuantitySD9 recursion level 1 with max 1
SecuritiesQuantitySD9 *-- "0..1" IFinancialInstrumentQuantity31Choice : TotalOversubscriptionQuantity
SecuritiesQuantitySD9 *-- "0..1" IFinancialInstrumentQuantity31Choice : InterimCoveredQuantity
SecuritiesQuantitySD9 *-- "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
}
%% IPriceFormat63Choice recursion level 1 with max 1
ReorganisationInstructionSD12 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. | InstructionsTransactionsSequence2 - Collection 0..99 |
| TransactionIdentificationStatus | Status of the instruction. | DTCInstructionStatus2Code - Optional 0..1 |
| ProtectTransactionStatus | Status of the protect instruction. | DTCProtectInstructionStatus3Code - Optional 0..1 |
| Reason | Reason for which an inbound instruction message or a cancellation instruction message is pending or rejected. | InstructionReason4Code - Collection 0..6 |
| SecuritiesQuantityDetails | Provides further information about securities quantity linked to a corporate action option. | SecuritiesQuantitySD9 - Optional 0..1 |
| CustomerReferenceIdentification | Customer identification entered by the 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 a voluntary offer instruction transaction (VOIT), protect transaction (PROT) and protect on behalf of another participant transaction (PROP); not required for cover protect instructions like a 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. | IPriceFormat63Choice - Optional 0..1 |
| ShareholderNumber | Reference number assigned to identify an investor or a shareholder with the issuer or the registration provider (for instance allocation code). | IsoRestrictedFINXMax25Text - Optional 0..1 |
DistributionInstructionDetails building block
Information to be extended as supplementary data to instruction status message for distribution events. Provides additional information regarding corporate action distribution instruction details. For comparison, see the ISO20022 official specification
classDiagram
direction tb
%% DistributionInstructionSD1 recursion level 0 with max 1
DistributionInstructionSD1 *-- "0..99" TaxCategory2 : TaxCategory
%% TaxCategory2 recursion level 1 with max 1
class TaxCategory2{
PlaceAndName IsoMax350Text
Identification IsoMax2NumericText
Country CountryCode
}
TaxCategory2 *-- "0..1" IFinancialInstrumentQuantity15Choice : Quantity
DistributionInstructionSD1 members
| Member name | Description | Data Type / Multiplicity |
|---|---|---|
| TaxCategory | Tax category number assigned on the announcement to provide a breakdown at a category level on the inbound instruction to determine tax treatment as required by issuers, their agents, or tax authorities. | TaxCategory2 - Collection 0..99 |
Extensibility and generalization considerations
To facilitate generalized design patterns in the system, the DTCCCAISSD1V07 implementation follows a specific implementaiton pattern. First of all, DTCCCAISSD1V07 impleemnts IOuterRecord indicating it is the outermost logical part of the message definition. Like all message wrappers, DTCCCAISSD1V07Document implements IOuterDocument. Because DTCCCAISSD1V07 implements IOuterDocument, it is a suitable template parameter for IOuterDocument, and causes the internal ‘Message’ to be of type DTCCCAISSD1V07.
classDiagram
class IOuterRecord
DTCCCAISSD1V07 --|> IOuterRecord : Implements
DTCCCAISSD1V07Document --|> IOuterDocument~DTCCCAISSD1V07~ : Implements
class IOuterDocument~DTCCCAISSD1V07~ {
DTCCCAISSD1V07 Message
}
Document wrapper for serialization
The only real purpose DTCCCAISSD1V07Document serves is to cause the document to be serialized into the ‘urn:iso:std:iso:20022:tech:xsd:supl.030.001.07’ namespace. Therefore, it will probably be the usual practice to build the message and construct this wrapper at the last minute using DTCCCAISSD1V07.ToDocument() method. The returned DTCCCAISSD1V07Document value will serialize correctly according to ISO 20022 standards.
classDiagram
DTCCCAISSD1V07Document *-- DTCCCAISSD1V07 : 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.030.001.07">
<DTCCCAISSD1>
<ReorgInstrDtls>
<!-- ReorganisationInstructionDetails inner content -->
</ReorgInstrDtls>
<DstrbtnInstrDtls>
<!-- DistributionInstructionDetails inner content -->
</DstrbtnInstrDtls>
</DTCCCAISSD1>
</Document>
Data from ISO specification
This is the technical data from the specification document.
<messageDefinition
xmi:id="_myaAeVB5Ee2KGNXAcFL5RA"
previousVersion="_Vk6qyzDmEey2N-DB7H7A5A"
name="DTCCCAISSD1V07"
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="_Bu3cEJVUEeO6Q83g-JIX_w"
xmlTag="DTCCCAISSD1"
rootElement="Document"
xmlns:xmi="http://www.omg.org/XMI">
<messageBuildingBlock
xmi:id="_myaAe1B5Ee2KGNXAcFL5RA"
previousVersion="_Vk6qzTDmEey2N-DB7H7A5A"
name="ReorganisationInstructionDetails"
definition="Information to be extended as supplementary data to instruction status message for reorganisation events."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="ReorgInstrDtls"
complexType="_oFasoTDtEey2N-DB7H7A5A" />
<messageBuildingBlock
xmi:id="_O1nlIFB7Ee2KGNXAcFL5RA"
name="DistributionInstructionDetails"
definition="Information to be extended as supplementary data to instruction status message for distribution events."
registrationStatus="Provisionally Registered"
maxOccurs="1"
minOccurs="0"
xmlTag="DstrbtnInstrDtls"
complexType="_N_uCcFB8Ee2KGNXAcFL5RA" />
<messageDefinitionIdentifier
businessArea="supl"
messageFunctionality="030"
flavour="001"
version="07" />
</messageDefinition>
ISO Building Blocks
The following items are used as building blocks to construct this message.