CDE Self-Service Transfers and Conversions

CDE was decommissioned at the end of February 2022 and is no longer an active test environment. All information related to CDE was at a point in time only, but continues to be made available for historical reference purposes.

Table of Contents


Overview

The Self-Service Transfers and Conversions Tool is provided to Issuer (Registries) to facilitate and manage their internal test use cases acting on behalf of Participant via upload of a configurable Transfer / Conversion Request (hold_211) CSV file using a cURL command to a REST endpoint, which will be consumed and validated by the CSP.

The REST endpoint translates the CSV file to an ISO XML message (Transfer / Conversion Request (hold_211)) which is then submitted to the CSP.

To leverage the Self-Service Transfers and Conversions Tool, a Registration Identifier (RGID) is required. An RGID can be generated through Account and Holder Creation via the CDE Self-Service Bulk Account Creation Tool.

The Self-Service Tool enables the following functions:

  • Participant initiated Transfer Request from Participant to Issuer (Registry);

  • Participant initiated Conversion Request from Participant to Issuer (Registry);

  • Participant initiated Transfer Request from Issuer (Registry) to Participant; and

  • Participant initiated Conversion Request from Issuer (Registry) to Participant.

The requests can be achieved by completing the following activities:

  • Upload 'CSV' file to trigger a Participant initiated Transfer Request;

  • Upload 'CSV' file to trigger a Participant initiated Conversion Request;
  • Upload 'CSV' file to trigger an Issuer initiated Transfer Request; and

  • Upload 'CSV' file to trigger an Issuer initiated Conversion Request.

The maximum CSV file size is 50 kB and the maximum number of records accepted by the Self-Service Tool input via a CSV file is 50 records. The CSV file will be rejected if either of these parameters are exceeded.

The Self-Service Tool will parse the entire CSV file and ensure a summary of error/s is available to the CHESS user. If a single record is invalid due to errors in the file format, business validity or schema validity, the entire CSV file will be rejected.

On success for:

  • a Participant to Issuer (Registry) Transfer, the CSP sends a Transfer Confirmation (hold_216) to the Participant and both an Account Notification (acct_002) and a Transfer Confirmation (hold_216) to the Issuer (Registry);
  • a Participant to Issuer (Registry) Conversion, the CSP sends a Conversion Confirmation (hold_216) to the Participant and both an Account Notification (acct_002) and a Conversion Confirmation (hold_216) to the Issuer (Registry);
  • an Issuer (Registry) to Participant Transfer, the CSP sends both a Transfer Request Status Advice (hold_213) to the Participant and an Account Notification (acct_002) and a Transfer Authorisation Request (hold_212) to the Issuer (Registry). Once authorised, the CSP sends both the Participant and Issuer (Registry) a Transfer Confirmation (hold_216). If the Issuer (Registry) rejects the transfer, both the Participant and Issuer (Registry) receive a Transfer Request Status Advice (hold_213); and
  • an Issuer (Registry) to Participant Conversion, the CSP sends both a Conversion Request Status Advice (hold_213) to the Participant and an Account Notification (acct_002) and a Conversion Authorisation Request (hold_212) to the Issuer (Registry). Once authorised, the CSP sends both the Participant and Issuer (Registry) a Conversion Confirmation (hold_216). If the Issuer (Registry) rejects the conversion, both the Participant and Issuer (Registry) receive a Conversion Request Status Advice (hold_213);

Unactioned Issuer (Registry) to Participant Transfer / Conversion Requests will be housekept by the CSP at the end of the sixth business day after the request was submitted.

If the CSV submitted by the Issuer (Registries) on behalf of the Participant is invalid due to errors in the business validity, an Invalid Transaction (comm_808) is received.

If the CSV submitted by the Issuer (Registries) on behalf of the Participant is invalid due to errors in the file format or schema validity, a rejection from the Self-Service Tool is received.

These responses are delivered to the REST endpoint, where they are converted to a JSON response.

The sample below is provided as a reference; additional information on the column names and elements present in the CSV can be found on the Transfers and Conversions Functional Specification.

Sample Template

The file below contains a Excel file template which is used to build the CSV submission to the cURL. 

When populating the CSV, the developer is required to ensure:

  • The message includes the appropriate fields, as populated in the attached template; and
  • Supplied dates are valid business dates.
 Download Sample Data

CSV files submitted to the CSP must be encoded in UTF-8 not UTF-8-BOM. For further details refer here.

Self-Service Transfers and Conversions.zip

Connection details

Prior to establishing connection to the CDE, Issuer (Registries) will need to generate and submit a Certificate Signing Request and acquire the ASX root / issuing CA public key (instructions are available on the FTP)Issuer (Registries) are also required to populate the CSV sample file above.

CSV files submitted to the CSP must be encoded in UTF-8 not UTF-8-BOM. For further details refer here.

The below code snippet demonstrates how to establish connection to the Self-Service Transfers and Conversions:

Self Service Transfers and Conversions
curl
    // Verbose output
    -v
                 
    // ASX’s CA’s public keys in pem format
    --cacert /c/path/to/file.pem
                
    // File containing the certificate of the client machine
    --cert /c/path/to/file.cer
     
    // Private key of the client certificate provided in cert option
    --key /c/path/to/file.key
             
    // The URL of Issuer (Registries) self-service Transfers and Conversions
    "https://cde-trade-ingest.asx.com.au:5XXX/xmlIngest/hold211" 
                 
    // Header option to accept json format (not the same as the CSV file)
    -H "accept: application/json"
                 
    // Header option to tell curl command that it will be form-data in other words file as input
    -H "Content-Type: multipart/form-data"
                 
    // The input CSV file to be sent as part of the request
    -F "file=@/c/path/to/file.csv"

In the above code fragment:  

  • URL: The URL for Self-Service Transfers and Conversions is the same as the Trade Ingest API, cde-trade-ingest.asx.com.au. The local host DNS needs to be reconfigured to 203.4.179.118 to ensure correct routing.  
  • Port: The port number exposed for the Self-Service toolThe port will take the format of 5XXX and will be provided to the Issuer (Registries) via email.




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