CHESS User Interface

CHESS UI - Settlement Instruction Search (Update)

Updated the Description column of the Settlement Instruction Search table for the Settlement Instruction Status attribute to include an information box with additional detail regarding the ‘NONE’ status.

Operational Procedures & Guidelines

Content Pages (Update)

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

Section 04 - Account administration (Update)

Updated to include 4.2.3 - Permitted ASCII Characters per Field. Subsequent sections have been reordered to incorporate this inclusion.

Additional details of this change are available here.

Accounts

Account & Holder Creation Overview (Update)

Updated to align this page with APG Section 04 - Account administration | Section-04---Account-administration.

Code Change and Class Mergers

Code Changes Process (Update)

1. Updated the Code Changes Process table to swap step 7 and step 8. These steps were not correctly sequenced to align to the process flow diagram.

2. Removed references to Net Broker Obligations (NBOs). This adjustment is a clarification related to the Netting and Settlement Workflow Changes and was previously published related pages such as the Class Mergers Process page.

Dividend Reinvestment Plan and Bonus Share Plan Elections

DRP/BSP Election Enquiry Process (Update)

Updated the Transaction Acknowledgement Advice (Controlling Participant and Rejection) Business Values and Rules tables for Registry Reject Reason. This element has been amended to include the proprietary code returned for when multiple elections are recorded (MDRP).

Settlement Instruction Management

Settlement Instruction Rescheduling Overview (Update)

Updated the Settlement Instruction Rescheduling table to include details regarding ASX Operation’s ability to initiate the Settlement Instruction Rescheduling Process.

Settlement Instruction Suspension Overview (Update)

Updated to include details regarding ASX Operation’s ability to the initiate Settlement Instruction Suspension Process.

ASX Initiated Settlement Instruction Cancellation Process (NEW)

New documentation outlining to whom and when Settlement Instruction Cancellation related messages may be sent between parties where ASX initiates the process.  

Holding Transfers

Settlement Link ID (Update)

Updated to include a new ‘ASX Initiated Settlement Instruction Unlinking’ section.

Unlink Settlement Link Process (NEW)

New documentation outlining to whom and when Settlement Instruction Unlinking related messages may be sent between parties where ASX initiates the process.

Settlement Locks

Unlock Settlement Lock Process (Update)

Updated the Description column for Step 4 of the Unlick Settlement Lock Process table to include the information box: “When the state of a security has changed to suspended or closed, the CSP will trigger the removal of the existing settlement lock. ASX Operations may also initiate the process to remove a settlement lock. When this occurs, the CSP will send a Scheduled Settlement Unlock Confirmation to the Delivering Participant containing an Account Servicer Transaction Id allocated by the CSP.”

Default Management

Default Management Overview (Update)

Updated to include a new ‘ASX Initiated Transfer of Settlement Instructions’ section.

ASX Initiated Settlement Instruction Transfer Process (NEW)

New documentation outlining to whom and when Settlement Instruction Transfer related messages may be sent between parties where ASX initiates the process.

mFund

mFund Application & Redemption Rescheduling Overview (Update)

Updated the mFund Application & Redemption Rescheduling Overview table to include details regarding ASX Operation’s ability to initiate the mFund Application & Redemption Rescheduling Process.

ASX Initiated mFund Application & Redemption Cancellation Process (NEW)

New documentation outlining to whom and when mFund Order Cancellation related messages may be sent between parties where ASX initiates the process.

ISO 20022 Messaging

ISO 20022 Messaging - Message Catalogue (MC)

NEW: ISO 20022 Messaging – MC – Unlink Settlement Link

The following messages have been added:

• sett_139_sese_032 – Adjusted Settlement Instruction

NEW: ISO 20022 Messaging – MC – ASX Initiated Settlement Instruction Transfer

The following messages have been added:

• sett_109_sese_024 – Settlement Instruction Status Advice

• sett_122_semt_020 – Settlement Instruction Message Cancellation Advice

• sett_130_sese_032 – Settlement Transaction Generation Notification

• sett_139_sese_032 – Adjusted Settlement Instruction

NEW: ISO 20022 Messaging – MC – ASX Initiated Settlement Instruction Cancellation

The following messages have been added:

• sett_109_sese_024 – Settlement Instruction Status Advice

• sett_122_semt_020 – Settlement Instruction Message Cancellation Advice

NEW: ISO 20022 Messaging – MC – ASX Initiated mFund Application & Redemption Cancellation

The following messages have been added:

• mfnd_402_setr_016 – mFund Order Status Notification

ISO 20022 Messaging - Technical Manual (TM)

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

Updated the Descoped functionality/message table for EIS 096 (Security Detail) to include a link to the AMO Security Details Report functional specification.

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

Updated RegistryRejectReason_ASX_1 to include the following code; Multiple DRP Election Not Supported (MDRP).

Connectivity Guide

Section 04 - Networking Details for ITEs (Update)

1. Updated Section 4.2 to remove information on FIX password management to avoid confusion as this is out of scope for ITE1 open. The password specifications are still available on the FIX Messaging - MC - Logon (Type A) page

2. Updated Section 4.4 to include additional port for CHESS UI users for authentication.

3. Addition of Section 4.6 to include information on Certificate Revocation List (CRL)

Section 06 - CSAM Security Details (Update)

1. Updated to include additional user type of standard user.

2. Updated screenshots in step 5 of 6.4.2, step 5 of 6.4.2, step 5 of 6.4.3 and step 8 of 6.4.3.

Messaging Connectivity

AMQP Architecture (Update)

Updated to include additional information on reporting queues and multiple queues.

Industry Test Environment (ITE)

Accreditation Guide (NEW)

New guide to assist Software Providers with accreditation. This guide includes the checklists for accreditation, additional information on connectivity and messaging accreditation.

As part of this release, a previous section titled “Technical Accreditation” was removed and any relevant information was integrated into the guide. Pages that were removed include:

• Technical Accreditation

• Connectivity Accreditation Overview

• Messaging Accreditation Overview

• Optional Criteria

• Re-accreditation requirements

• Messaging Accreditation Scripts Overview

• Performing Message Accreditation

Customer Development Environment (CDE)

CDE Known Issues & Limitations (Update)

Updated to include link to ITE1 Known Issues & Limitations page.

Section 06 - Supplementary Information for Messaging Accreditation

Messaging Accreditation Scenarios (Update)

Updated scenarios to include the following changes:

• Updated page name from Message Accreditation Scripts → Message Accreditation Scenarios.

• Moved page under Section 06 - Supplementary Information for Messaging Accreditation.

• Added a header section to all tabs;

• Updated the Supplementary Information section to include further detail related to prerequisites, test tools and other information that will help users to understand and execute the scenarios

• Moved RGID related scenarios from Accounts → Holding Transfers (for Clearing and Settlement, Settlement and Account Participants); and

• Moved the BDSI Payment Facility scenario → BDSI scenarios (for Clearing and Settlement, Settlement Participants).

CHESS User by Feature, Message (Update)

Moved page under Section 06 - Supplementary Information for Messaging Accreditation.

Cutover and Migration

Cutover and Migration - Inflight Transactions (Update)

Updated to include further information regarding the Migration of Inflight Settlement Obligations. The following sections have been updated:

• Obligation Ids in the CSP;

• Scheduled Settlement Obligations;

• Failed Settlement Obligations;

• Suspended Settlement Obligations; and

• General consistency and clarification updates have been made.

The following new section has been added:

• Transaction Id to new Obligation Id Mapping and Business Event.

Approved Market Operator (AMO)

A landing page that groups AMO specific documentation.

Updated to include reference to the Accreditation Guide and ITE1 Supporting Documentation.

Payment Provider

A landing page that groups Payment Provider specific documentation.

Updated to include reference to the Accreditation Guide and ITE1 Supporting Documentation.

Product Issuer Settlement Participant (PISP)

A landing page that groups PISP specific documentation.

Updated to include reference to the Accreditation Guide and ITE1 Supporting Documentation.

Frequently Asked Questions (FAQs)

FAQs - Software Provider Readiness

Updated to include 17 November 2021 – webinar questions and answers.