September 2021 - Documentation Release Notes

September 2021 Document Release

The September 2021 documentation 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, updates to API Contract Catalogues and major updates to pages or tables are not marked in orange.

New Documentation:

  • Guide to Testing Services;

  • Failover and Recovery Guide; and

  • Approved Market Operator Landing Page.

Documentation updated:

  • Operational Procedures & Guidelines, including:

    • Section 11 - Corporate actions, to include DRP/BSP Elections and Enquiry;

    • Section 22 - Issuer (registry) procedures, to include DRP/BSP Elections and Enquiry; and

    • Section 23 - mFund settlement service, to include Distribution Advice Notification.

  • CHESS UI User Guide, including sections on:

    • mFund and Investor Data; and

    • Form Submission.

  • General Documentation Updates including:

    • Functional and Messaging Specifications Updates and Clarifications; and

    • CDE Self-Service Updates and Grouping.

  • Connectivity Guide updates incorporating ITE2 and ITE-M details; and

  • Cutover and Migration updates incorporating the mFund Blackout period.

This documentation release is separate and in addition to the 27 September 2021 - What's New supporting documentation release. For further information regarding CDE Code Drop 10, refer to the September 2021 - CDE Code Drop Notes.

A full archive of content prior to the September 2021 Documentation Release and September 2021 CDE Drop Notes is available here for reference.

Operational Procedures & Guidelines

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Operational Procedures & Guidelines

Content Pages (Update)

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

Section 10 - Corporate action principles (Update)

Updated links and references to the reordered sections of Section 11 - Corporate Actions.

Additional details of this change are available here.

Section 11 - Corporate actions (Update)

Updated to include 11.8 - Dividend Reinvestment Plan and Bonus Share Plan Elections. Subsequent sections have been reordered to incorporate this inclusion.

Additional details of this change are available here.

Section 22 - Issuer (registry) procedures (Update)

Updated to include 22.8 - Dividend Reinvestment Plan and Bonus Share Plan Elections and Enquiries. Subsequent sections have been reordered to incorporate this inclusion.

Additional details of this change are available here.

Section 23 - mFund settlement service (Update)

Updated to include 23.10 - Distribution Advice Notifications. Subsequent sections have been reordered to incorporate this inclusion.

Additional details of this change are available here.

CHESS User Interface

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CHESS User Interface

CHESS User Interface Overview (Update)

  1. Updated the CHESS UI Features table to include the “View aggregate Funds Obligations for Batch Settlement and RTGS Funds Movement” functionality for Payments.

  2. Updated the Documentation column of the mFund attribute in the CHESS UI Features table.

CHESS UI - User Management Overview (Update)

  1. Updated the Permissions columns of the Write Access attribute in the CHESS UI User Account Permissions table from “Ability to submit instructions to the ledger” to “Ability to submit instructions to the CSP”.

  2. Updated the Permissions column of the Enterprise Administrator attribute in the CHESS UI User Account Permissions table from “Ability to create and manage CHESS UI user accounts pertaining to all active Entities in CHESS…” to “Ability to create and manage CHESS UI user accounts pertaining to all permitted Entities in CHESS”.

  3. Updated the UIC Context Swtiching section to replace references to “the ledger” with “the CSP”.

CHESS UI - mFund and Investor Data Overview (NEW)

NEW document that details functionality pertaining to mFund Application Orders and mFund Redemption Orders. The document covers:

  • CHESS UI - mFund View and Query;

  • CHESS UI - mFund Application Order Creation and Cancellation (Participant);

  • CHESS UI - mFund Application Order - PISP Management;

  • CHESS UI - mFund Application Order - Investor Data;

  • CHESS UI - mFund Redemption Order Creation and Cancellation (Participant); and

  • CHESS UI - mFund Redemption Order - PISP Management .

CHESS UI - Payment Provider Authorisation (Update)

Updated the Payments Detail View section to provide additional information on the Authorisation Reasons for Payments.

CHESS UI - Common Functionality Overview (Update)

Updated to include the Global Status Bar functionality available to CHESS UI users.

CHESS UI - Form Submission (NEW)

NEW page detailing the Form Submission functionality available to CHESS UI users.

Functional Specifications

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SRN Enquiry Process

SRN Enquiry Process - Issuer Acceptance (Update)

Remove the Requesting Participant field from the SRN Enquiry Response (hold_219) Business Values and Rules tables. This change updates this specification to reflect the same removal from the schema detailed in the 29 May 2020 - What’s New.

Code Change and Class Mergers

Class Merger Process (Update)

Updated to include an additional Holding Adjustment Notification (hold_226) to be sent to notify the participant of a class merger related to the pending transaction of Issuer to Participant Transfer or Conversion, with additional Steps 27 and 28 added to the process flow and the process table.

Accounts

Change of Controlling Participant Process - Accepted (Update)

Updated the Change of Controlling Participant Status Advice – Existing Controlling Participant table to include the Cancellation Reason attribute where the Change of Controlling Participant request is cancelled due to failure of secondary validation by the CSP.   

Batch Settlement Overview

Batch Settlement Funds Movement Process (Update)

  1. Updated the Description column of the Batch Settlement Funds Movement Process table for Step 10 from "The CSP sends an individual Funds Movement, for each Payment Facility of the Settlement Participant, advising…" to “The CSP sends an individual Funds Movement, for each Payment Facility of the Settlement Participant, or PISP (where applicable), advising…”.

  2. Updated the Recipient column of the Batch Settlement Funds Movement Process table for Step 10 from "Settlement Participant” to “Settlement Participant/PISP”.

  3. Updated the Description column of the Batch Settlement Funds Movement Process table for Step 13 to include a new information box: “Where the Settlement Notification has been sent to Settlement Participants and PISPs (where applicable), refer to Settlement Notifications and Completion Process (Steps 8 and 9 “Batch Settlement Completion”)”.

  4. Updated the Guidelines column of the Funds Movement table for the Number of Settlement Obligations attribute to include a new information box: “Only settlement obligations that are against payment will be included within the count for number of settlement obligations. Free of payment settlement obligations will not be included within this count”.

Messaging

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FIX Messaging

FIX Messaging - FS - Introduction to FIX Messaging (Update)

Updated: FIX Messaging - FS - Introduction to FIX Messaging

[06/10] Updated to correct reference to the FIX protocol from FIX 5.0 SP2 with extension pack EP186 → FIX 5.0 SP2. FIX 5.0 SP2 with extension pack EP186 supports functionality not applicable to the CHESS Replacement system.

FIX Messaging - Message Catalogue (MC)

FIX Messaging - MC - Common Message Structure (Update)

Updated: FIX Messaging - MC - Logon (Type A)

Updated to include the optional tag 789 (NextExpectedMsgSeqNum), a new mechanism of the recovery process covered by ONIX. This field supports the message flow of the recovery process.

FIX Messaging - MC - Application Messages (Update)

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

  • [06/10] Updated tag 1015 (AsOfIndicator) to correct the reference from OrigTradedate (1126) → OrigTradedate (1125)

  • Updated tag 20003 (TrdConditionCode) to include an info box in the valid values column stating “Condition Code values must be provided in upper case.”

  • Updated tag 20007 (CorporateAction) to include an info box in the valid values column stating “Basis of Quotation values must be provided in upper case.”

Updated: FIX Messaging - MC - Market Data Snapshot Full Refresh (Type W)

Updated tag 20007 (CorporateAction) to include an info box in the valid values column stating “Basis of Quotation values must be provided in upper case.”

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:

  • 61_Adjustment Reason_ASX_1

    • Added the following entries:

      • TSIP - Transfer Settlement Instruction to New Participant.

Connectivity

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Connectivity

Failover and Recovery Guide (NEW)

NEW document that outlines failover and recovery procedures. The document covers:

  • Introduction to the guide;

  • an overview on ledger API node, AMQP broker, FIX Gateway, CHESS UI failure and recovery; and

  • overview of failover and recovery testing in ITE1.

Connectivity Guide

Section 04 - Networking Details for ITEs (Update)

Updated to include networking and security details for ITE2 and ITE-M.

Implementation Phases

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Implementation Phases

Guide to Testing Services (NEW)

NEW document that outlines testing services for ITE1. The document covers:

  • Introduction to the Guide;

  • Test Environment Overview;

  • Access to Industry Test Environments (ITEs);

  • Test Kits for ITE1;

  • Test Tooling;

  • Performance Testing; and

  • Accreditation Testing for ITE1.

Industry Test Strategy

Table of Contents (Update)

Updated Industry Test Strategy section version to reflect the September 2021 Documentation Release.

Section 03 - Software Provider Readiness (Update)

Updated Section 3.3.1 Software Provider Test Data and Kits and 3.3.2 Test Tooling to provide a link to the Testing Services Guide.

Additional details of this change are available here.

Section 06 - Documentation Release Plan (Update)

Updated the table in 6.2 Software Provider Readiness Timeline to provide links to the Failover and Recovery Guide and Testing Services Guide.

Additional details of this change are available here.

Section 07 - Summary of Industry Testing (Update)

Updated the table in 7.1 Summary of Industry Testing to provide links to the Failover and Recovery Guide and Testing Services Guide.

Additional details of this change are available here.

Industry Test Environment (ITE)

ITE1 Application Forms

Minor amendments to the ITE1 application form. Changes include:

  • Updated option for organisations to indicate if they wish to use BIC rather than UIC;

  • Relabeled of the customer application/system name field; and

  • Updated FIX access to include a request to indicate the number of CompIDs to be used for ITE1 testing.

CDE Test Tools

CDE Self-Service Tools (Update)

Updated to include information regarding available self-service tools based on user type, information on feature enrolment and general usage tips and guidance.

CDE Self-Service Tools

CDE Self-Service for Clearing Participants (NEW)

NEW parent categories grouping Self-Service Tools by user type.

CDE Self-Service for Sponsoring Participants (NEW)

CDE Self-Service for Issuer (Registries)

CDE Self-Service Holding Admin Lock (NEW)

NEW page linked (identical) to CDE Self-Service Holding Administration Lock. This page has been created to support the parent category grouping of Self-Service Tools by user type.

CDE Self-Service Broadcast (NEW)

NEW page linked (identical) to CDE Self-Service Broadcast Request. This page has been created to support the parent category grouping of Self-Service Tools by user type.

CDE Self-Service DRP Election & Enquiry (NEW)

NEW page linked (identical) to CDE Self-Service DRP Election and Enquiry. This page has been created to support the parent category grouping of Self-Service Tools by user type.

CDE Self-Service Account Management (Update)

Can we please get the sample data file

  1. Updated the sample templates to include the bank_account_transactionId CSV. This sample template has been included to demonstrate the user defined aspect of the Transaction Id.

  2. Removed information on Self-Service feature enrolment and general usage tips and guidance. This information duplicates information now present on the CDE Self-Service Tools overview page.

CDE Self-Service Bulk Account Creation (Update)

Removed information on Self-Service feature enrolment and general usage tips and guidance. This information duplicates information now present on the CDE Self-Service Tools overview page.

CDE Self-Service SRN Enquiry (Update)

CDE Self-Service Transfers and Conversions (Update)

CDE Self-Service for Clearing Participants

CDE Self-Service Trade Ingest (Update)

CDE Self-Service for Sponsoring Participants

CDE Self-Service Holding Adjustments (Update)

CDE Self-Service Collateral Management (Update)

CDE Self-Service Holding Administration Lock (Update)

CDE Self-Service Broadcast Request (Update)

CDE Self-Service DRP Election and Enquiry (Update)

CDE Self-Service for Payment Providers

CDE Self-Service Real Time Pre-Payment Authorisation and Post Payment Notifications (Update)

CDE Self-Service for PISPs

CDE Self-Service mFund Application (Update)

CDE Self-Service mFund Redemption (Update)

Messaging Accreditation

Messaging Accreditation Scripts (Update)

  1. Updated Batch Settlement as well as Reporting and Notifications scenarios for PISPs; and

  2. Updated to include a new scenario for Holding Transfers (Class Merger).

Cutover and Migration

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Cutover and Migration

Cutover and Migration - Inflight Transactions (Update)

Updated to incorporate information regarding the mFund Blackout period. This information is also available as part of the 28 July 2021 - Implementation & Transition Webinar (Slides 11 and 12).

Approved Market Operator (AMO)

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Approved Market Operator (AMO)

An update to the previously published AMO overview page to include further grouping of AMO specific documentation.

Moved from Functional Specifications to its own parent category.

AMO FAQs (NEW)

NEW page capturing AMO frequently asked questions.

Frequently Asked Questions (FAQs)

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Frequently Asked Questions (FAQs)

FAQs - Functional Specification (Update)

Updated to include the following question: “When a NRI fails settlement and no units are settled, what is the settlement amount of the rescheduled component and is it adjusted for the SSP that has been paid or received in the batch settlement cycle in which the NRI fully failed?”

FAQs - Messaging (Update)

Updated to include a mapping of mFund Order Status from CHESS and CHESS Replacement.

FAQs - Implementation and Transition (Update)

Updated to include Software Provider Readinesss Webinar - Question & Answers from 15 September 2021.