13 December 2019 - CDE 5, ISO Signing, Ledger API Updates, Settlement Failure Levy Updates

Date

13 December 2019

Type

Update: CDE 5 ISO Signing, Ledger API Updates, Settlement Failure Levy and the Known Issues & Limitations list have been revised.

Reason for changes

  1. As communicated in the Settlement Focus Group (12th of November 2019), technical documentation has been updated to include a new Settlement Failure Levy section. To ensure ISO 20022 Technical Committee meeting feedback is appropriately addressed, technical documentation for Batch Settlement Unit Fails will be made available in a subsequent release.
  2. As a result of the Connectivity and Integration Working Group held 20th of November 2019, technical documentation has been updated to include a new ISO Signing section. For further information, refer to the information presented at this working group here.
  3. As a result of CDE Drop 5, the ledger API Connectivity Guide has been uplifted to include changes related to the DAML SDK update. Similarly, testing documentation has been updated to reflect new functionality brought in CDE Drop 5, as well as to highlight resolved CDE Drop 4 defects and observed behaviours.
  4. As a result of the Connectivity and Integration Working Group held 4th of December 2019, technical documentation has been updated to include additional high level details related to Browser connectivity. For further information, refer to the information presented at this working group here.
Note

For clarity, deletions, code snippets, hyperlinks, images and major content updates to pages or tables are not highlighted in orange.

“Settlement Processing – Unit Failure” was presented to Clearing & Settlement Participants in the ISO 20022 Technical Committee meeting on the 26th of November 2019. The feedback period for this Technical Committee ended on the 10th of December 2019. To ensure feedback is appropriately addressed, ASX is targeting a January 2020 technical documentation release for Batch Settlement Unit Fails, which includes the settlement process for novated settlement instructions.

Functional Specifications

Function / page

Description

Details of update

Settlement Failure Levy Overview (NEW)

Settlement Failure Levy Process (NEW)

Settlement Failure Levy Reversal Process (NEW)

An outline of the Settlement Failure Levy, a penalty that is charged to Settlement Participants who enter the settlement batch cycle with Accounts (HINs) that have insufficient units or Cum Entitlement Balances (CEBs) to cover the settlement obligations of the Participant.

New section.

Corporate ActionsIssuer's Agent Transfer Overview (Update)

Minor update to remove "Issuer (Registry) warrant unit delivery will be made available in a subsequent release." note. This content was delivered as part of Holding Adjustments, introduced November 2019.

Messaging Specifications

Function / page

Description

Details of update

ISO 20022 Messaging - MC - Settlement Failure Levy (NEW)Explains the notification that will be sent by the CSP to the applicable Settlement Participants. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Includes the functions released in the Functional Specifications.New section.
ISO 20022 Messaging - Message Catalogue (MC)

ISO 20022 Messaging - MC - Accounts (NEW)

ISO 20022 Messaging - MC - Holding Transfers (NEW)

ISO 20022 Messaging - MC - Corporate Actions (NEW)

ISO 20022 Messaging - MC - Collateral Management (NEW)

ISO 20022 Messaging - MC - Batch Settlement (NEW)

ISO 20022 Messaging - MC - Settlement Instruction Management (NEW)

New parent pages to categorise and simplify message catalogue navigation.

ISO 20022 Messaging - Technical Manual (TM)



ISO 20022 Messaging - TM - ASX Proprietary Code List

Updated: ASX Proprietary Code List

The following code lists have been amended:

  • NotificationReason - NEW code for Mfunds Application (MFAP).
ISO 20022 Messaging - TM - EIS to ISO 20022 Cross Reference Guide

Updated: EIS to ISO 20022 Cross Reference Guide

The following messages has been added:

  • sett_132_DRAFT4semt_044 - Levy Notification.

ISO 20022 Messaging - TM - Business Message Parameters - Release 5

ISO 20022 Messaging - TM - Business Message Parameters - Release 6

Update: Collections for CDE6 (Update Schema) and Business Message Parameters - Release 6

The following message has been added:

  • sett_132_DRAFT4semt_044 - Levy Notification.

Update: Business Message Parameters - Release 5 and Business Message Parameters - Release 6

  • "sett_105_001_05" → "sett_105_001_06" - Changed data type of Trade Id.
  • "sett_106_001_04" → "sett_106_001_05" - Changed data type of Trade Id.
  • "sett_113_001_02" → "sett_113_001_03" - Changed data type of Trade Id.
  • "sett_119_001_03" → "sett_119_001_04" - Changed data type of Trade Id.
  • "hold_201_001_03" → "hold_201_001_04" - Changed data type of Trade Id.
  • "hold_202_001_03" → "hold_202_001_04" - Changed data type of Trade Id.
  • "hold_211_001_03" → "hold_211_001_04" - Changed data type of Trade Id.
  • "hold_216_001_04" → "hold_216_001_05" - Changed data type of Trade Id.
  • "hold_219_001_03" → "hold_219_001_02" - Reverted version (correction).

Updated: Collections for CDE5 and CDE6

The following collections have been updated.

  • ASX_AU_CHS_rel5_sett Technical Version 1→ ASX_AU_CHS_rel5_sett Technical Version 2
  • ASX_AU_CHS_rel5_hold Technical Version 2→ASX_AU_CHS_rel5_hold Technical Version 3
  • ASX_AU_CHS_rel6_sett Technical Version 1→ ASX_AU_CHS_rel6_sett Technical Version 2
  • ASX_AU_CHS_rel6_hold Technical Version 2→ASX_AU_CHS_rel6_hold Technical Version 3

Connectivity

Function / page

Description

Details of update

ISO 20022 and AMQPISO Message Signing (NEW)New section.
Ledger API IntegrationLedger API Connectivity to the CSP (Update)
  1. Minor update to page title from "Direct Connectivity to the ASX" → "Ledger API Connectivity to the CSP"
  2. Minor update to update SDK version number from 100.11.29 → 100.13.38. 

Ledger API Connectivity to the CSP

This update must be implemented before Ledger API users compile their CDE 5 applications.

  1. Minor update to Creating a Project summary to include the pre-requisite step of reading the DAML SDK documentation on Ledger API services
  2. Minor code changes to reflect the Java Bindings being uploaded onto the Maven repository.
  1. JAVA bindings are now available through the Maven repository. Previously these were available through bintray.
  2. Dependency name change from "daml-lf-archive" → "daml-lf-dev-archive-java-proto".

Identify the Master Ingress Contract (Update)

Minor updates to code to reflect simplifications.

Developers must implement the updated code fragment to change the way they identify the Master Ingress Contract Template ID.

Previously the code fragment looped through a number of packages, in the updated code sample, only the first package is to be accessed.

  1. Minor updates to content to provide a better understanding of ISO messages.
  2. Minor updates to code to reflect refreshed hold_201 message version number.

Building the Payload (Update)

Major updates to the example code fragments.

Developers who use the JAVA classes must download the latest version for CDE 5, these can be accessed via the ASX FTP site with the previously provided credentials.

Developers should be aware that all enumerated ('enum') types now adopt JAVA native types.

This change was previously implemented but did not support enums with a single value. Developers must update their code to reflect this change.

CHESS User InterfaceCHESS User Interface Overview (Update)Updates to include further information on browser connectivity.

Environments

Function / page

Description

Details of update

Customer Development Environment (CDE)Support for CDE (Update)

Minor update to time zone from AEST → Sydney time.

Support hours are inclusive of daylight savings time.

Testing

Function / page

Description

Details of update

Cutover and Migration

Known Issues & Limitations (Update)

  1. Minor update to the Defects table to include a five newly identified issues.
  2. Minor update to the CDE Resolved Defects table to resolve all five defects and two observed behaviours identified in CDE4.
  3. Minor update to Observed Behaviours table to include two newly identified entries.
CDE Test DataCDE Self-Service Trade Ingest API (Update)Minor update to clarify Trade Ingest API availability between 7am to 7pm (Sydney time), business days.
CDE CSP Users (Update)
  1. Minor update to include CDE5 functionality. Future CDE functionality has been adjusted to link to the Forward Release Plan.
  2. Minor update to include the following for Issuer Agent Transfer (Warrants) "The UIC 01103 acts as the Issuer Agent for Issuer UIC 59824 (Citi) that may be used to facilitate Issuer Agent Transfers (Warrants), e.g. ANZKOV."

Release Notes

Function / page

Description

Details of update

Release Notes

Forward Release Plan (Update)

  1. Minor update to reflect CDE 5 code availability.
  2. Minor update to include Settlement Failure Levy. Batch Settlement Unit Fails will be delivered as part of a January technical documentation update.




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