27 September 2021

CDE10 Supporting Documentation and Known Issue and Limitation Updates

1. CDE10 Supporting Documentation, including updates to:

   • CDE Known Issues & Limitations;

   • CDE Test Data and CSP Users;

   • CDE Self-Service Tools, including:

     • DRP Election and Enquiry (NEW);

     • mFund Application for PISPs (NEW);

     • mFund Redemption for PISPs (NEW);

     • Account Management; and

     • Bulk Account Creation.

   • CDE Auto-Responders, including:

     • DRP/BSP Election / Election Enquiry (NEW);

     • Reserve Bank Information & Transfer System (RITS) (NEW); and

     • Payment Provider Authorisation.

2. General documentation updates including an update to the following:

   • Merger of CDE10 → CDE9.5 Functional and Messaging Specifications; and

   • Archiving of Netting and Netting Reversal Specifications.

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

Operational Procedures & Guidelines

Content Pages (Update)

Updated APG section version to reflect the September 2021 Documentation Release.

Section 07 - Transfers between CHESS accounts (Update)

Updated links and references to Functional and Messaging Specifications. With the release of CDE code drop 10 and merger of content, references to CDE10 pages have been replaced with pages previously containing CDE9.5 documentation.

Additional details of this change are available here.

Section 09 - Settlement (Update)

Updated links and references to Functional and Messaging Specifications. With the release of CDE code drop 10 and merger of content, references to CDE10 pages have been replaced with pages previously containing CDE9.5 documentation.

Additional details of this change are available here.

Section 10 - Corporate action principles (Update)

Updated links and references to Functional and Messaging Specifications. With the release of CDE code drop 10 and merger of content, references to CDE10 pages have been replaced with pages previously containing CDE9.5 documentation.

Additional details of this change are available here.

Section 21 - Reporting (Update)

Updated links and references to Functional and Messaging Specifications. With the release of CDE code drop 10 and merger of content, references to CDE10 pages have been replaced with pages previously containing CDE9.5 documentation.

Additional details of this change are available here.

Functional Specification

Netting and Settlement Workflow Changes (Update)

Updated the Netting and Settlement Workflow Changes Examples file from v2.0 → 2.1 to include a minor correction to settlement amount on the Settlement Movement Confirmation (sett_136).

Netting (Archived)

With the release of CDE code drop 10, Netting and Netting Reversal pages have been archived.

Netting Changes (Archived)

Netting Overview (Archived)

Netting Process (Archived)

Netting Reversal Process (Archived)

Netting and Settlement Workflow Changes

CDE 10 - Functional Specifications (Archived) → Functional Specifications (Update)

With the release of CDE code drop 10, CDE 10 pages have been merged into the pages previously containing CDE 9.5 documentation.

CDE 10 - Batch Settlement Changes (Archived) → Batch Settlement Changes (Update)

CDE 10 - Sufficient Unit Check Process (Archived) → Sufficient Unit Check Process (Update)

CDE 10 - Non-Novated Settlement Obligations Process (Archived) → Non-Novated Settlement Obligations Process (Update)

CDE 10 - Novated Settlement Obligations Process (Archived) → Novated Settlement Obligations Process (Update)

CDE 10 - Movement of Units Process (Archived) → Movement of Units Process (Update)

CDE 10 - Close Out Notification Overview (Archived) → Close Out Notification Overview (Update)

CDE 10 - Corporate Actions (Archived) → Corporate Actions (Update)

CDE 10 - Corporate Action Changes (Archived) → CDE 10 - Corporate Action Changes (Update)

CDE 10 - Code Change and Class Mergers (Archived) → Code Change and Class Mergers (Update)

CDE 10 - Code Changes Process (Archived) → Code Changes Process (Update)

CDE 10 - Class Merger Process (Archived) → Class Merger Process (Update)

CDE 10 - Settlement Instruction Management (Archived) → Settlement Instruction Management (Update)

CDE 10 - Settlement Instruction Rescheduling Overview (Archived) → Settlement Instruction Rescheduling Overview (Update)

CDE 10 - Settlement Instruction Rescheduling Process (Archived) → Settlement Instruction Rescheduling Process (Update)

CDE 10 - Settlement Instruction Suspension Overview (Archived) → Settlement Instruction Suspension Overview (Update)

CDE 10 - Settlement Instruction Suspension Process (Archived) → Settlement Instruction Suspension Process (Update)

CDE 10 - Suspended Settlement Instruction Cancellation Process (Archived) → Suspended Settlement Instruction Cancellation Process (Update)

CDE 10 - Settlement Instruction Cancellation (Archived) → Settlement Instruction Cancellation (Update)

CDE 10 - Market Settlement Instruction Cancellation Process (Archived) → Market Settlement Instruction Cancellation Process (Update)

CDE 10 - Market Settlement Instruction Cancellation Withdrawal Process (Archived) → Market Settlement Instruction Cancellation Withdrawal Process (Update)

CDE 10 - Diary Adjustments (Archived) → Diary Adjustments (Update)

CDE 10 - Diary Adjustments Changes (Archived) → Diary Adjustments Changes (Update)

CDE 10 - Isolate Counterparty (Archived) → Isolate Counterparty (Update)

CDE 10 - Isolate Counterparty Changes (Archived) → Isolate Counterparty Changes (Update)

CDE 10 - Default Management (Archived) → Default Management (Update)

CDE 10 - Back-out Algorithm Process (Archived) → Back-out Algorithm Process (Update)

CDE 10 - Reporting Overview (Archived) → Reporting Overview (Update)

CDE10 Reporting Changes (Archived) → Reporting Changes (Update)

CDE10 - Demand Reporting Process (Archived) → Demand Reporting Process (Update)

CDE10 - End of Day Reporting Process (Archived) → End of Day Reporting Process (Update)

CDE 10 - Market Trade (Archived) → Market Trade

CDE 10 - Market Trade Changes (Archived) → Market Trade Changes (Update)

CDE 10 - Batch Settlement Overview (Archived) → Batch Settlement Overview (Update)

1. Updated Scenario 1: Rising Market Scenario to correct the SSP Adjustment Credit/Debit Indicator from DBIT → CRDT.

2. With the release of CDE code drop 10, CDE 10 pages have been merged into the pages previously containing CDE 9.5 documentation.

CDE 10 - Cancellation of Batch Settlement Process (Archived) → Cancellation of Batch Settlement Process (Update)

1. Updated the Description column of the Cancellation of Scheduled Batch Settlement Process table for Step 5 from "The CSP sends a Cancelled Funds Obligation Notification to the Settlement Participant of each Payment Facility…" to “The CSP sends a Cancelled Funds Obligation Notification to the Settlement Participant or PISP (where applicable) of each Payment Facility…".

2. Updated the Recipient column of the Cancellation of Scheduled Batch Settlement Process table for Step 5 from "Settlement Participant” to “Settlement Participant/PISP”.

3. Updated the Description column of the Cancellation of Scheduled Batch Settlement Process table for Step 12 from "The CSP sends an Event Notification to the Settlement Participant, advising …" to “The CSP sends an Event Notification to the Settlement Participant and PISP, advising …”.

4. Updated the Recipient column of the Cancellation of Scheduled Batch Settlement Process table for Step 12 from "Settlement Participant” to “Settlement Participant/PISP”.

5. With the release of CDE code drop 10, CDE 10 pages have been merged into the pages previously containing CDE 9.5 documentation.

CDE 10 - Settlement Notifications and Completion Process (Archived) → Settlement Notifications and Completion Process (Update)

1. Updated page name from Settlement Confirmation and Completion Process → Settlement Notifications and Completion Process.

2. Updated the Description column of the Settlement Notifications and Completion Process table for Step 5 from "The Settlement Participant receives an Event Notification…" to “The Settlement Participant and PISP receive an Event Notification…".

3. Updated the Recipient column of the Settlement Notifications and Completion Process table for Step 5 from "Settlement Participant” to “Settlement Participant/PISP”.

4. With the release of CDE code drop 10, CDE 10 pages have been merged into the pages previously containing CDE 9.5 documentation.

Obligation Status Report (OBLG) (Update)

1. Updated page name from CDE10 - Obligation Status Report (OBLG) → Obligation Status Report (OBLG)

2. Moved from Netting and Settlement Workflow Changes (parent page) → Reporting Overview.

Netted Obligation Report (NNDP) (Update)

1. Updated page name from CDE10 - Netted Obligation Report (NNDP) → Netted Obligation Report (NNDP)

2. Moved from Netting and Settlement Workflow Changes (parent page) → Reporting Overview.

Batch Settlement

Close Out Notification Process (Update)

Updated the Close Out Notification Process and Process Flow diagram to correct the number of times a Settlement Instruction has been rescheduled from ‘more than once’ → ‘three or more times’.

Reporting

Holding Balance (HBAL) (Update)

Updated to adjust references from Holding Balance Reporting Request (rptg_601) → Reporting Request (rptg_601)

Holding Subposition Balance (HSBL) (Update)

Cum Entitlement Balance (CEBL) (Update)

Holding Movement (HMVT) (Update)

Cum Entitlement Movement (CEMV) (Update)

ISO 20022 Messaging

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

Updated: ISO 20022 Messaging - TM - EIS to ISO 20022 Cross Reference Guide

• Removed references to CDE9.5 specifications.

• Updated references to CDE10 specifications.

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

Updated: ISO 20022 Messaging - MC - Settlement Instruction Suspension

The following updates have been made:

• Added sett_122_semt_020 - Settlement Instruction Message Cancellation Advice (including minor updates to the messaging table).

• Added UML for ASX Operations Cancellation of Gross Market Trades and NRIs.

• Updated name of the Housekeeping UML to include ASX Operations cancellation and clarify the applicable Settlement Instruction types.

Archived: ISO 20022 Messaging - MC - Netting

Updated: CDE 10 - ISO 20022 Messaging Catalogue (MC) (Archived) → ISO 20022 Messaging Catalogue (MC)

Updated: CDE 10 - ISO 20022 Messaging - MC - Batch Settlement (Archived) → ISO 20022 Messaging - MC - Batch Settlement

Updated: CDE 10 - ISO 20022 Messaging - MC - Cancellation of Scheduled Batch Settlement (Archived) → ISO 20022 Messaging - MC - Cancellation of Scheduled Batch Settlement

Updated: CDE 10 - ISO 20022 Messaging - MC - Settlement Instruction Management (Archived) → ISO 20022 Messaging - MC - Settlement Instruction Management

Updated: CDE 10 - ISO 20022 Messaging - MC - Reporting (Archived) → ISO 20022 Messaging - MC - Reporting

With the release of CDE code drop 10, CDE 10 pages have been merged into the pages previously containing CDE 9.5 documentation.

Updated: CDE 10 - ISO 20022 Messaging - MC - Batch Settlement Failures and Movements (Archived) → ISO 20022 Messaging - MC - Batch Settlement Failures and Movements

1. This page replaces/renames the following messaging specification ISO 20022 Messaging - MC - Batch Settlement Movement of Units, Confirmation and Completion.

2. Updated the Partial Settlement - BSSI, USSI Settlement Transaction Generation Notification (sett_130) to include a new Transaction Id (Account Servicer Transaction Identification).

3. Updated the Partial Settlement NNGMT settlement Settlement Transaction Generation Notification (sett_130) to:

   • Amend the Account Servicer Transaction Identification to match the Transaction Id of the NNGMT which has partially settled.

   • Amend the Linkages/Market Infrastructure Transaction Identification Obligation Id of the original NNGMT (corresponding to the Transaction Id)

4. Updated the Adjusted Settlement Instruction (sett_139) to update the Obligation Id to match the Target Transaction Id.

5. Updated the Partial Settlement / Full Failure - NRI Settlement Transaction Generation Notification (sett_130) to include Account Owner Transaction Identification (Target Transaction Id).

6. Updated the Full Failure - NNGMT Settlement Transaction Generation Notification (sett_130) Market Infrastructure Transaction Identification Obligation Id to match the Transaction Id

Updated: CDE 10 - ISO 20022 Messaging - MC - Settlement Instruction Rescheduling (Archived) → ISO 20022 Messaging - MC - Settlement Instruction Rescheduling

1. This page replaces/renames the following messaging specification ISO 20022 Messaging - MC - Settlement Transaction Generation Notification.

2. Updated the description from Novated Settlement Instruction (NGMT) ineligible for settlement -> Novated Settlement Instruction (NSFI/NRIN) ineligible for settlement

3. Updated to separate NRI and NNGMT (previously these were grouped together).

4. Updated Market Infrastructure Transaction Identification to correspond to the Obligation Id of the original NNGMT, which is also the transaction.

5. With the release of CDE code drop 10, CDE 10 pages have been merged into the pages previously containing CDE 9.5 documentation.

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 10 and ISO 20022 Messaging - TM - Business Message Parameters - Release 10

Updated the following entries:

• ‘hold_226_001_03_seev_036_001_10’ → ‘hold_226_001_04_seev_036_001_10’ - Updated to include the following changes:

  • Updated Account Owner Document Id (<AcctOwnrDocId>) to be populated with Transaction Id from the Transfer / Conversion request (hold_211).

  • Add new code Pending Transaction Code Change (PTCC) to the External Proprietary Code List for Event Type (<EvtTp>) Reason.

Customer Development Environment (CDE)

CDE Known Issues & Limitations (Update)

• Updated to include column filtering functionality and table pagination.

  • To filter, hover over the header row, select the table filter icon and start typing. Filters are not saved, and can be reset by removing the individual filter or by refreshing the page.

• Renamed from Known Issues & Limitations → CDE Known Issues & Limitations and moved under the Customer Development Environment (CDE) parent category. Pages regarding ITE1 and ITE2 Known Issues & Limitations will be created separately.

• Updated to include CDE 10 known defects and observed behaviors.

• Resolved CDE 9.5 known defects and observed behaviors.

  • [28/09] The following Observed Behaviour has been removed as it is not applicable to CDE 10: “The net trust amounts for fully settled Unilateral Settlement Instructions (USSI) are being notified on the Participant Funds Notification (sett_134) and Funds Obligation (sett_133) associated to the payment facility and payment provider for the non-Settlement Entrepot Account (HIN)”

CDE Test Data (Update)

• Updated the calendar date from 1 Jan 2022 → 1 Jan 2023.

• Updated Issuers & Securities, Account and Holders and Corporate Action seeded data files.

CDE Test Data

CDE CSP Users (Update)

Updated to included CDE10 functionality as well as new table mapping UIC/BIC CSP users.

CDE Self-Service Tools

CDE Self-Service DRP Election and Enquiry (NEW)

NEW page detailing the Self-Service DRP Election and Enquiry Tool provided to Issuer (Registries) / Controlling Participants.

CDE Self-Service for PISPs (NEW)

New parent page grouping Self-Service Tools for PISPs.

CDE Self Service for Issuer (Registries)

CDE Self-Service Account Management (Update)

Enhancements to the Self-Service Tool for Bank Account Notifications including:

• the ability to specify the User Defined ID component of the Transaction ID. Previously this was automatically generated. This is no longer the case and requires users to populate this. For further information, refer to Transaction IDs and Reference fields; and

• the ability to specify a Foreign Bank Account.

CDE Self-Service Bulk Account Creation (Update)

Enhancement to the Self-Service Tool for Bulk Account Creation:

• For each Account successfully created via the Bulk Account Creation Self-Service Tool, the corresponding Account Type, Account Identifier and Holder Id is returned in the Swagger response (xmlResponse).

CDE Self-service for PISPs

CDE Self-Service mFund Application (NEW)

NEW Self-Service Tool provided to provided to PISPs to act as the Controlling Participant to facilitate and perform different mFund Application Order test scenarios.

CDE Self-Service mFund Redemption (NEW)

NEW Self-Service Tool provided to provided to PISPs to act as the Controlling Participant to facilitate and perform different mFund Application Order test scenarios.

CDE Auto-responders

CDE Payment Provider Authorisation (Update)

Updated to incorporate changes reflecting the newly introduced RITS Auto-Responder.

CDE Reserve Bank Information & Transfer System (RITS) (NEW)

NEW Auto-Responder functionality, which will act as RITS for Bilateral Demand Settlement payments, responding to a RITS Payment Request sent by the CSP to RITS based on the Funds Obligation Amount populated in the Funds Obligation Status Advice.

CDE DRP/BSP Election and Election Enquiry (NEW)

NEW Auto-Responder functionality, which will act as the Issuer (Registry), responding to a Controlling Participant initiated DRP/BSP Election, DRP/BSP Election Cancellation or DRP/BSP Election Enquiry.

CDE Test Tools

CDE Market Trade and Batch Settlement (Update)

• Renamed page from CDE Market Trade, Netting and Batch Settlement → CDE Market Trade and Batch Settlement

• Updated to reflect CDE10 Netting and Settlement Workflow changes.

Release Notes

September 2021 - CDE Code Drop Notes (NEW)

NEW page detailing CDE code drop 10.

Forward Release Plan (Update)

Updated to include links to the CDE Code Drop 10 release notes.