February 2021 - Documentation Release Notes

February 2021 Document Release

These release notes detail the scope of the February 2021 documentation release. This release includes updates to some areas of functionality and messaging from a prior release. Full details are provided below.

Updates to previously published functionality or corrections have been identified in orange on relevant pages. Changes to APG sections will be accompanied by a page history comparison per 1.7 Maintenance and Updates. Deletions, code snippets, hyperlinks, images, name changes and major updates to pages or tables are not marked in orange.

New documentation:

  • CHESS User Interface Connectivity - Approval Workflow

Documentation updated:

  • Functional specifications, including:

    • Takeovers and Buy-backs (Bid Offers);

    • DRP/BSP Election and Distribution Advice Notification;

    • Change of Controlling Participant;

    • Payment Facilities; and

    • Collateral Management.

  • Messaging, including:

    • ASX Proprietary Code List; and

    • ASX Message Collection - mFunds Release (9.5).

  • Environments, including the Registration Details Tool - Terms of Use Agreement.

A full archive of content prior to the February 2021 Documentation Release is available here for reference.

Functional Specifications

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Takeovers and Buy-backs (Bid Offers)

Controlling Participant Bid Withdrawal Process (Update)

Minor updates to the Business Values and Rules Tables to reflect the User Guidelines:

  • Updated the Corporate Action Election Cancellation Status Advice Rejection status ASX Element Name from “Rejection” to “Rejected”

  • Added the Cancellation Request Reason field to the Corporate Action Election Cancellation tables.

Offeror Initiated Bid Election Process (Update)

Replaced the “Status Quantity” element with “Unit Quantity” in the Corporate Action Election - CSP Business Values and Rules Table to reflect the User Guidelines.

Offeror Initiated Bid Withdrawal Process (Update)

Added the Cancellation Request Reason field to the Corporate Action Election Cancellation Business Values and Rules Table table to reflect the User Guidelines.

Bid Offer Transfer Process (Update)

Removed references to the fixed value Security (SECU) and Unsolicited (UNSO) for Option Type and Option Number respectively. For further detail, refer to the below Messaging Release Notes.

DRP/BSP Election and Distribution Advice Notification

Controlling Participant Initiated DRP/BSP Election Process (Update)

Updated the Corporate Action Election Status Advice - Pending Acknowledgement, Acknowledgement, Rejection and Housekept Business Values and Rules table to remove the “Status Quantity” field as it is not applicable.

DRP/BSP Election Enquiry Process (Update)

Updated the Corporate Action Election Status Advice Business Values and Rules table to remove the “Status Quantity” field as it is not applicable.

Distribution Advice Notification Process (Update)

  • Updated the Distribution Advice Notification (evnt_744) Business Values and Rules Tables:

    • Added the following fields:

      • APIR Code;

      • Franking Credit; and

      • Posting Date.

    • Removed the following fields:

      • Gross Dividend Rate Type;

      • Gross Dividend Rate Status;

      • Net Amount;

      • Net Dividend Rate Currency;

      • Tax Withheld; and

      • Tax Withheld Currency.

    • Updated the Security Code ISO Element Name outside of the Securities Movement Details section from “Underlying Security / Financial Instrument Identification” to “Corporate Action General Information / Financial Instrument Identification”.

    • Updated the Option Number ISO Element Name from “Option Number” to “Option Number / Code” and updated Guideline to reflect this change.

    • Added Case and Securities (CASE) to the Option Type Guideline.

    • Added additional detail to the Securities Movement Detail section “Where Option Type is Cash (CASH), the Securities Movement Details <SctiesMvmntDtls> attributes must not be populated”.

    • Updated the Payment Date Guideline to replace “The amount must be greater than zero” with “The date must be a valid date”.

    • Updated the Reinvestment Price ASX Element Name from “Reinvestment” to “Reinvestment Price”.

Change of Controlling Participant

Change of Controlling Participant Overview (Update)

Updated to remove the reference in the Authorisation section to how the Requesting Participant will receive the details of any DRP/BSP Elections accepted and recorded in the CSP against a holding on the Account (HIN).

Change of Controlling Participant Process - Accepted (Update)

Updated to remove the content pertaining to DRP/BSP Elections:

  • Removed Step 9 from the Process Flow and Process table, this step stated “Where the Account (HIN) that had its control changed has a DRP/BSP Election recorded against a holding in an accepted status, the CSP sends the Requesting Participant a Corporate Action Election.”

  • Removed the Corporate Action Election Business Values and Rules table.

Payment Facilities

Create Payment Facility Process (Update)

Updated Functional Specification Process tables to include Observer and API Contract information.

Update Payment Facility Process (Update)

Cancel Payment Facility Process (Update)

Update Payment Provider Process (Update)

Collateral Management

Collateral Removal for ETO Sub-process (Update)

Updated the Reason field in the Intra Position Movement Instruction Status Advice - Accepted and Rejected Business Values and Rules table to replace the reference to the CollateralRejectionRemovalReason proprietary code list with the list of valid codes.

Cash Market Margin

Daily Margin Settlement Advice Process (Update)

Updated the Resultant Excess and Other Margin guidelines in the Margin Settlement Advice Business Values and Rules table to reflect the usage guidelines to include additional fields for Credit/Debit indicators. For further detail, refer to the below Messaging Release Notes.

Messaging

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ISO 20022 Messaging

ISO 20022 Messaging - Technical Manual (TM) (Update)

Updated: ISO 20022 Messaging - TM - ASX Proprietary Code List

The following code lists have been amended:

  • 56-CorporateActionElectionRejectionReason_ASX_1

    • Deactivated the following entries:

      • NOHO (Zero Holding); and

      • LEGL (Legal Entitlement).

  • 28-CollateralRejectionRemovalReason_ASX_1

    • Deactivated the following entries

      • LSFP (Lodgement of Super Fund stock into a Non Super Fund account not permitted);

      • MNSC (Message not set to specific cover); and

      • SNAC (The stock is not accepted as cover at the present time).

ISO 20022 Messaging - Message Catalogue (MC) (Update)

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

Updated to reflect the changes made to the Functional Specification:

  • Removed evnt_742_seev_030 from the Related messages and message flow and Change of Controlling Participant UML.

ISO 20022 Messaging - TM - Business Error Code List (Update)

Updated: ISO 20022 Messaging - TM - Business Error Code List

The Business Error Code list has been updated to include the following revisions:

  • Added entry for the following reason codes; 1204.

ISO 20022 Usage Guidelines

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.

Updated: Collections for Release 9.5 and ISO 20022 Messaging - TM - Business Message Parameters - mFunds Release (9.5)

  • Updated Message Collection 10 → Message Collection 9.5 (mFunds Release);

  • Updated the following entries:

    • ‘hold_226_001_02’ → 'hold_226_001_03' - Updated to include two new Option Types: Cash (CASH) and Cash and Security (CASE);

    • ‘pldg_309_001_01’ → 'pldg_309_001_02' - Updated to include Other Margin Credit/Debit Indicator and Resultant Excess Credit/Debit Indicator;

    • ‘evnt_744_001_01’ → 'evnt_744_001_02' - Updated to include the following changes:

      • Removed RateAndAmountDetails/NetDividendRate/RateTypeAndAmountAndRateStatus;

      • Removed RateAndAmountDetails/WithholdingTaxRate/Amount;

      • Added RateAndAmountDetails/GrossDividendRate/Amount;

      • Added AmountDetails/TaxCreditAmount;

      • Added FinancialInstrumentIdentification/Description; and

      • Updated AmountDetails/WithholdingTaxAmount from Mandatory → Optional.

Release Notes

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Forward Release Plan (Update)

Updated to include a link to the February 2021 - CDE Uplift Drop Notes.

Connectivity

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CHESS User Interface Connectivity

CHESS UI - Approval Workflow Overview (NEW)

NEW pages detailing the Approval Workflow functionality available to CHESS UI users.

CHESS UI - Approval Task View and Query (NEW)

CHESS UI - Submitting Instructions for Approval (NEW)

CHESS UI - Approving or Rejecting Instructions (NEW)

CHESS User Interface Overview (Update)

Updated to reflect the release of the Approval Workflow documentation.

CHESS UI - Account and Holder Creation (Update)

Updated to include a new paragraph detailing that where the user submitting the instruction does not have Approval Workflow Override permissions, the submission will be subject to approval prior to being submitted to the ledger.

CHESS UI - Account and Holder Modification (Update)

CHESS UI - Account and Holder Locking and Unlocking (Update)

CHESS UI - Account Cancellation (Update)

CHESS UI - Message Input (Update)

CHESS UI - Payment Provider Authorisation (Update)

API Contract Catalogue

Payment Facilities API Contracts (NEW)

NEW chapter of the catalogue including API Contracts related to Payment Facilities.

ISO 20022 and AMQP

Sample C# Code (NEW)

NEW page providing sample code examples to support C# developers in developing ISO Signing.

Sample Signed and Unsigned XML Message (Update)

Updated the page with the below:

  • Inclusion of a disclaimer on copying and pasting sample codes from the confluence page; and

  • Minor updates to the code snippets.

Sample Java Code (Update)

Updated the page with the below:

  • Change of page title from Sample Code to Sample Java Code to distinguish between the new C# Sample Code page; and

  • Updates to the code snippets under the header “Function Code Samples” to include the hash calculation within the Java file. Previously, the hashing process of the XML signature sat separately.

Sample Files (Update)

Updated the page to include the comm_802 signed and unsigned messages.

Ledger API Integration

Ledger API Integration Streaming (Update)

Updated the page with the below

  • Removal of Analytical Data Store (ADS) from both the diagram and the section;

  • Significant changes to the Operational Data Store (ODS) section to reflect DAML SDK becoming open source; and

  • Minor changes throughout the rest of the page.

Environments

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Customer Development Environment (CDE)

Support for CDE (Update)

Updated Support Hours and CDE Availability Hours of access to clarify that this is applicable on business days.

Cutover and Migration

Cutover and Migration Overview (Update)

Updated to remove information boxes pertaining to the release of the ASX Registration Details Tool documentation given it was released in 30 November 2020 - CDE 9 Message Collection 9, Ledger API Connectivity, Registration Details Tool, Testing and Known Issues & Limitations Updates.

Cutover and Migration - ASX Registration Details Tool (Update)

Updated to include further details on Accessing the Tool including the Registration Details Tool - Terms of Use Agreement.

Exceptions (Warnings and Errors) (Update)

Updated to include ASX Registration Details Tool Support contact details.

Testing

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Self-Service Tools

Self-Service Broadcast Request (NEW)

NEW page detailing the Self-Service Broadcast Request tool available to CDE Subscribers. This tool enables self-service of the following notificaitons:

  • extension of batch settlement cutoff;

  • participant default; and

  • generic message (e.g. system maintenance or delay to end of day reporting)s.

Self Service for Issuer (Registries)

Self-Service SRN Enquiry (NEW)

NEW page detailing the Self-Service SRN Enquiry tool available to Issuer (Registries). This tool enables self-service of the following functions:

  • SRN Enquiry;

  • SRN Balance Enquiry; and

  • Multiple records for SRN Enquiry and Balance Enquiry.

Self-Service Transfers and Conversions (NEW)

NEW page detailing the Self-Service Transfers and Conversions tool available to Issuer (Registries). This tool enables self-service of 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.

Auto-responder

Bid Election / Election Withdrawal (NEW)

NEW page detailing the Bid Election / Election Withdrawal Auto-responder available to CDE Subscribers.

Auto-responder (Update)

Updated to include details regarding the Bid Election / Election Withdrawal Auto-responder provided in CDE Uplift.

Testing

Self-Service Tools (NEW)

NEW parent page for Self-Service tools. Pages previously under the Trade Ingest API self-service tool have been migrated to this new parent category.

Test Data (Update)

Updated test data to remove corporate actions with dates in the past to avoid incomplete corporate action lifecycles.

Known Issues & Limitations (Update)

  • Updated the Defects and Observed Behaviour tables to include known issues identified as part of CDE Uplift Release.

  • Updated the CDE Resolved Defects table to resolve the following known issues:

    • Historical CEB Balance is not reported if there has been a holding movement on an Account (HIN);

    • Invalid CEBL report requests are accepted by the CSP; and

    • Security Code and Account (HIN) are not filtered when provided in the Holding Balance Reporting Request for a Cum Entitlement Balance (CEBL) report.

Frequently Asked Questions (FAQs)

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Frequently Asked Questions (FAQs)

FAQs - Functional Specification (Update)

Updated to include the following new functional specification questions:

  • Is it possible to transfer (via the Change of Controlling Participant Process) an Account with an Account Type of Sponsored while the Holder Type is Unknown after the Cutover Weekend?

  • When an ETO Clearing Participant rejects a collateral removal request received from a Controlling Participant, what rejection reason codes should be used?

  • When a Payment Provider rejects a Payment Funds Obligation as a part of the Aggregate Funds Obligation Process, there is no attribute to provide the rejection amount. Will the rejection always be for full amount against a Payment Facility?

  • Where a Participant has a single Payment Facility with a Payment Provider and a Payment Funds Obligation is rejected by the Payment Provider as a part of the Aggregate Funds Obligation Process, will all obligations for the Participant will be re-scheduled through the Default Management Back-out Algorithm Process?

  • Where a Participant has multiple Payment Facilities (e.g. Payment Facilities 'A', 'B' and 'C') associated with a Payment Provider, and a Payment Funds Obligation is rejected for a single Payment Facility (i.e Payment Facility 'A') as a part of the Aggregate Funds Obligation Process, will the Default Management Back-out Algorithm be applied to Payment Facilities 'B' and 'C' in order to re-calculate the funds for the remaining Payment Facilities?

  • The Total Balance of a security holding on an Account (HIN) consists of the Available Balance, Holding Administration Lock balance, one or more collateral sub-positions, one or more Bid Election sub-positions and one or more Settlement Lock Balances. Are the Settlement Lock Balances being maintained separately for each Settlement Instruction? For example, if there are two matched Bilateral Demand Settlement Instructions (BSSIs) for the same security and Account (HIN), does the CSP will maintain two separate Settlement Lock balances?

FAQs - Messaging (Update)

Updated to include a new messaging question; “What is the difference and purpose of the Transaction Id in the Business Application Header (BAH) compared to the Transaction Id in ISO Messages?“