September 2019 - Documentation Release Notes (Part I)

Table of Contents


Document Release 5 (Part I)

These release notes detail the scope of the fifth tranche of technical documentation, released in September 2019 (Document Release 5 Part I).

It includes additional functional specifications, messaging requirements and updates to some areas of functionality from the prior release (including updated functional specifications for Holder and Account Management). Full details are provided below. Updates to previously published functionality or corrections will be identified in orange on relevant pages.

As part of this release, the Forward Release Plan was revised earlier in the month with the details available in the 17 September 2019 - Forward Release Plan What's New. This includes functionality to be made available in CDE 6 for February 2020 and CDE7 for May 2020.

Please note that the content of this release has been split in two parts.

September Release - Part I comprises of:

Updated documentation:

  • Account Management
  • Settlement Locks

New documentation:

  • Takeovers and Buy-backs (Bid Offers)
  • Collateral Management for Exchange Traded Option (ETO) and Cash Market Margin (CMM)
    • Creation for ETO and CMM
    • Removal for ETO and CMM
  • Bilateral Settlement Instruction Housekeeping
  • Corporate Actions
    • Bonus, Capital Return, Dividend, Interest Lifecycle
    • Off-Market Takeovers and Off-Market Buy-backs (Bid Offers) Lifecycle

A summary of Focus Group and Technical Committee feedback for the following topics has been released and reflected accordingly below:

October Release - Part II comprises of:

New documentation:

  • Issuer Agent's Transfer (Warrants)
  • Give-ups / Take-ups
  • Corporate Actions
    • Reconstructions Lifecycle

A summary of Focus Group and Technical Committee feedback for the following topics will be released and reflected according to the below:

  • Give-ups / Take-ups

A full archive of content prior to Document Release 5 (Part I) is available here for reference.

Functional Specifications 

FunctionDescriptionRelease Notes
Takeovers and Buy-backs (Bid Offers) (NEW)An outline of Takeovers and Buy-backs (Bid Offers) including Controlling Participant Bid Election and Withdrawal, Offeror Initiated Bid Election and Withdrawal, Bid Offer Transfer as well as Bid Finalisation, Lapse and Withdrawal.

Documentation Release 5 (Part I) includes an overview of Takeovers and Buy-backs (Bid Offers). The document outlines Bid Offer scenarios where Bid Offer parties may receive messages from the CSP. It also details the changes between current CHESS and the new CSP.

Collateral Management (NEW)

An outline of Collateral Management including Collateral Creation and Removal for ETO and CMM, Collateral Transfer and Release by ASX Clear and Collateral Removal by ASX Clear.

Documentation Release 5 (Part I) includes an overview of Collateral Management. The document outlines Collateral Creation and Removal scenarios where Collateral Management parties may receive messages from the CSP. It also details the changes between current CHESS and the new CSP.

Bilateral Settlement Instruction Housekeeping Process (NEW)An outline of Bilateral Settlement Instruction Housekeeping.Documentation Release 5 (Part I) includes the Bilateral Settlement Instruction Housekeeping process. The document outlines Bilateral Settlement Instruction Housekeeping scenarios where Settlement parties may receive messages from the CSP. 
Corporate Actions Overview (Updates)Bonus, Capital Return, Dividend, Interest Payment Lifecycle (NEW)Documentation Release 5 (Part I) includes a timeline view of a Bonus, Capital Return, Dividend, Interest Payment Corporate Action.
Off-Market Takeovers and Off-Market Buy-backs (Bid Offers) Lifecycle (NEW)Documentation Release 5 (Part I) includes a timeline view of an Off-Market Takeover and Off-Market Buyback Corporate Action.
Accounts (Update)Account and Holder Modification Overview (Update)

New table detailing information sent to Participants from Account Notifications (acct_002).

Account and Holder Changes (Update)Renamed the page from Holder and Account Changes → Account and Holder Changes.
Account and Holder Creation Process (Update)Updated Business Values and Rules table alignment of ISO20022 elements and general consistency amendments.
Account Modification Process (Update)
  1. Updated Business Values and Rules table alignment of ISO20022 elements and general consistency amendments.
  2. Updated the process to include the notification sent to an Issuer where certain attributes are updated on an Account (HIN) that has securities locked in a Bid Election sub-position.

Account and Holder Locking and Unlocking Process (Update)
  1. Updated ISO Element for Status → Account Status.
  2. Updated unlock reasons to remove non-applicable values.
Settlement LocksSettlement Lock Overview (Update)Updates to Settlement Locks to align to minor changes to functionality available in CDE Code Drop 5.
Settlement Lock Process (Update)
Unlock Settlement Lock Process (Update)
General UpdateBusiness Values and Rules (Update)Remaining functional specifications have been revised to no longer include the 'Condition' and 'Type' columns in the Business Values and Rules tables. This information can be found in the published Usage Guidelines.



Messaging

DocumentDescriptionRelease Notes
FIX MessagingFIX Messaging - MC - Trade Capture (Update)

Updated: FIX Messaging - MC - Trade Capture Report (Type AE)

The following update has been made:

  • Moved tag 58 Text outside of the repeating group outside. 
ISO 20022 Messaging - MC - Collateral Management - Creation for ETO and CMMExplains how to create Collateral Creation for ETO and CMM related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Collateral Management - Creation for ETO and CMM

The following messages have been added:

  • pldg_301_semt_013 - Intra Position Movement Instruction
  • pldg_303_semt_015 - Intra Position Movement Confirmation
  • comm_809_admi_007 - Transaction Acknowledgement Advice
ISO 20022 Messaging - MC - Collateral Management - Removal for ETO and CMMExplains how to create Collateral Removal for ETO and CMM related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Collateral Management - Removal for ETO and CMM

The following messages have been added:

  • pldg_301_semt_013 - Intra Position Movement Instruction
  • pldg_302_semt_014 - Intra Position Movement Status Advice
  • pldg_303_semt_015 - Intra Position Movement Confirmation
  • pldg_305_sese_025 - Collateral Release Confirmation
  • pldg_306_semt_014 - Collateral Removal Notification
  • comm_809_admi_007 - Transaction Acknowledgement Advice
ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Controlling ParticipantExplains how to create Takeover and Buy-back (Controlling Participant) related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Controlling Participant

The following messages have been added:

  • evnt_742_seev_033 - Corporate Action Election
  • evnt_743_seev_034 - Corporate Action Election Status Advice
  • evnt_745_seev_040 - Corporate Action Election Cancellation
  • evnt_746_seev_041 - Corporate Action Election Cancellation Status Advice
  • comm_809_admi_007 - Transaction Acknowledgement Advice

The following message has been updated:

  • acct_002_acmt_002 - Account Notification
ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Offeror InitiatedExplains how to create Takeover and Buy-back (Offer Initiated) related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Offeror Initiated

The following messages have been added:

  • evnt_742_seev_033 - Corporate Action Election
  • evnt_743_seev_034 - Corporate Action Election Status Advice
  • evnt_745_seev_040 - Corporate Action Election Cancellation
  • evnt_746_seev_041 - Corporate Action Election Cancellation Status Advice
  • comm_809_admi_007 - Transaction Acknowledgement Advice

The following message has been updated:

  • acct_002_acmt_002 - Account Notification
ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Bid Offer TransferExplains how to create Takeover and Buy-back Bid Offer Transfer related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Bid Offer Transfer

The following messages have been added:

  • hold_226_seev_036 - Holding Adjustment Notification
  • hold_229_sese_023 - Corporate Actions Related Transfer
  • hold_230_sese_025 - Corporate Actions Related Transfer Confirmation
ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Bid Finalisation, Lapse and WithdrawalExplains how to create Takeover and Buy-back Bid Finalisation, Lapse and Withdrawal related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Takeovers and Buy-backs (Bid Offers) - Bid Finalisation, Lapse and Withdrawal

The following message has been added:

  • evnt_743_seev_034 - Corporate Action Election Status Advice
ISO 20022 Messaging - MC - Account and Holder ModificationExplains how to create Account and Holder Modification related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

Update: ISO 20022 Messaging - MC - Account and Holder Modification

Updated process to include notification sent to an Issuer where certain attributes are updated on an Account (HIN) that has securities locked in a Bid Election sub-position.

The following message has been updated:

  • acct_002_acmt_002 - Account Notification
ISO 20022 Messaging - MC - Change of Controlling ParticipantExplains how to create Change of Controlling Participant related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

Update: ISO 20022 Messaging - MC - Change of Controlling Participant

Updated Change of Controlling Participant UML to reflect the rejection workflow when the existing participant has initially approved the request but the request fails validations after the scheduler run.

ISO 20022 MessagingISO 20022 Messaging - Technical Manual (Updates)

Updated: ASX Proprietary Code List

The following code list has been added:

  • 43-HoldingAdjustmentReason

The following code lists have been removed:

  • 21-Listname

  • 22-RegistrationDetailsUpdateReasonCode

  • 48-CommAckReasonCode

Updated: EIS to ISO 20022 Cross Reference Guide

The Cross Reference table has been updated to include the following revisions:

  • NEW entries for the following messages:
    • hold_226 - Holding Adjustment Notification
    • hold_229 - Corporate Actions Related Transfer Request
    • hold_230 - Corporate Actions Related Transfer Confirmation
    • pldg_301 - Intra Position Movement Instruction
    • pldg_302 - Intra Position Movement Status Advice
    • pldg_303 - Intra Position Movement Confirmation
    • pldg_305 - Collateral Release Confirmation
    • pldg_306 - Collateral Removal Notification
    • evnt_742 - Corporate Action Election
    • evnt_743 - Corporate Action Election Status Advice
    • evnt_745 - Corporate Action Election Cancellation
    • evnt_746 - Corporate Action Election Cancellation Status Advice
    • comm_809 - Transaction Acknowledgement Advice
  • Updated acct_002 message to include EIS 546 as well as Takeovers and Buy-backs - Controlling Participant and Offeror Initiated.
  • Updated hold_216 message to include EIS 172 and EIS 174.
  • Updated hold_221 message to include EIS 254.

Updated: ISO 20022 Messaging - TM - Business Message Collections

The following updates have been made:

  • NEW row including Corporate Action Event (evnt) business message collection and message number range.
ISO 20022 Usage Guidelines (Update)Usage Guidelines (or schemas for each message) will be accessible from the SWIFT MyStandards web platform. Each guideline provides field definitions that include meanings, allowable data values, message samples and schemas.

NEW: Collections for CDE6

  • ASX_AU_CHS_rel5_admn Technical Version 1
  • ASX_AU_CHS_rel5_sett Technical Version 1
  • ASX_AU_CHS_rel5_hold Technical Version 1
  • ASX_AU_CHS_rel5_acct Technical Version 1
  • ASX_AU_CHS_rel5_comm Technical Version 1
  • ASX_AU_CHS_rel5_pldg Technical Version 1
  • ASX_AU_CHS_rel5_evnt Technical Version 1

NEW: Business Message Parameters Release 4

A list has been updated for business message parameters for CDE Code Drop 4 including:

  • "sett_116_001_01" → "sett_116_001_02"
  • "admn_851_001_02"→"admn_851_001_03"
  • "hold_219_001_02" → "hold_219_001_03"

NEW: Business Message Parameters Release 5

A new list has been added for business message parameters for CDE Code Drop 5 and 6 including:

  • Messages for Issuer Agent Transfers (Warrants), Collateral Management Creation and Removal for ETO and CMM as well as Takeovers and Buy-backs.

CDE4  (Update Schema)

  • "sett_107_001_02" (no version change) - Removed Other Transaction Identification.
  • "sett_116_001_01" → "sett_116_001_02" - Changed Account Owner Transaction Id from mandatory to optional; added Account Service Transaction Id as optional and added Pool Identification as mandatory.
  • "hold_219_001_02" → "hold_219_001_03" - Removed Account Owner/ Identification.
  • "admn_851_001_02"→"admn_851_001_03"  - Updated ISIN and Security Code from optional to mandatory (removal of conflicting business rule) and updated Transaction Id from 16 char to 35 char.

Updated: Collections for CDE4 and CDE5

The following collections have been updated.

  • ASX_AU_CHS_rel4_sett Technical Version 3→ ASX_AU_CHS_rel4_sett Technical Version 4
  • ASX_AU_CHS_rel4_hold Technical Version 2→ASX_AU_CHS_rel4_hold Technical Version 3
  • ASX_AU_CHS_rel4_acct Technical Version 2→ASX_AU_CHS_rel4_acct Technical Version 3
  • ASX_AU_CHS_rel4_admnTechnical Version 2→ASX_AU_CHS_rel4_admn Technical Version 3
  • ASX_AU_CHS_rel4_comm Technical Version 1→ASX_AU_CHS_rel4_comm Technical Version 2

ISO 20022 Messages in Scope for CDE Drop 6

Business Message CollectionMessage Catalogue Entry
ISO 20022 Messaging - MC - Account Management message collection
  • Account Notification
ISO 20022 Messaging - MC - Common message collection
  • Transaction Acknowledgement Advice
  • Invalid Transaction
  • Rejected Transaction Notification
ISO 20022 Messaging - MC - Corporate Action Event message collection
  • Corporate Action Election
  • Corporate Action Election Status Advice
  • Corporate Action Election Cancellation
  • Corporate Action Election Cancellation Status Advice
ISO 20022 Messaging - MC - Holding message collection
  • Holding Adjustment Notification
  • Corporate Actions Related Transfer
  • Corporate Actions Related Transfer Confirmation
ISO 20022 Messaging - MC - Pledge and Lodgement message collection
  • Intra Position Movement Instruction
  • Intra Position Movement Status Advice
  • Intra Position Movement Confirmation
  • Collateral Release Confirmation
  • Collateral Removal Notification



Connectivity

DocumentDescriptionRelease Notes
Ledger API Connectivity to the CSP

Ledger API Integration with gRPC (NEW)

New documentation to include information on Ledger API integration with gRPC.

The information provided in this update is included for CDE users who may prefer to integrate to the Ledger API using native gRPC and Protobuf format instead of Java CodeGen.

Connect to the Ledger (Update)

Updated references to secured file transfer protocol from sFTP → FTP.

Using Java Classes (Update)
  1. Updated Ingress Messages screenshot to amend account management message group; acct → acmt.
  2. Updated document to include a note with regards to the sample application, where hold_201 and acmt_001 supported.
  3. Updated references to secured file transfer protocol from sFTP → FTP.
Submit the Command (Update)Updated code fragment for Register Event Callback and Event Callback Method.



What's New

DocumentDescriptionRelease Notes
What's New

17 September 2019 - Forward Release Plan (Update)

Included new information on changes to Day 1 scope.



Frequently Asked Questions

DocumentDescriptionRelease Notes
Frequently Asked Questions

FAQs - Connectivity (Update)

Included new information; "Passing the Target IP versus Hostname for first connections"



Glossary

DocumentDescriptionRelease Notes
Glossary Terms

Lists and defines terms used in technical documentation. This glossary is for general guidance only. It does not amend or replace any definitions used in any ASX rulebooks.

Included the following new terms and definitions:

  • Ex-Period
  • Ex-Date
  • Record Date
  • Issue Date
  • ASX Adjustment Date
  • First Settlement Date
  • Deferred Settlement
  • Distribution In Specie
  • Scrip Dividend
  • ASX Clear
  • Exchange Traded Option (ETO)
  • Cash Market Margin (CMM)
  • Controlling Participant




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