ITE1 Self-Service Tools
Overview
Self-Service Tools are provided by ASX to allow CHESS users to simulate an event or workflow that is initiated by another party.
Using the Self-Service Feature
A TLS Certificate must be present to utilise the tool. Refer to the Connectivity Guide for further information.
Transaction ID must be unique for each record within a CSV file, but also unique for the CSP.
Only one CSV file submission is accepted at a time.
Unless stated otherwise in the tool consideration column, the CSV file must not exceed 50 rows and a maximum file size of 50KB.
The CSV file must be encoded in UTF-8 not UTF-8-BOM. For further details refer here.
Date fields must be populated in a yyyy-mm-dd format.
CSV files should be opened with notepad or similar, not Excel, as Excel will auto-format data which may result in errors.
Sample templates are provided for reference only. Users must ensure templates are correctly populated with all of the fields applicable to the message use case before submitting them to the tool.
Self-Service Tools include the ability to specify the User Defined ID component of the Transaction ID. Users are required to populate this value ensuring the Transaction ID is unique for each record within a CSV file as well as for the CSP. For further information refer to Transaction IDs and Reference fields. This is not required for Self-Service Collateral Management where Transaction IDs are automatically generated for both Intra Position Movement Instruction (pldg_301) and Collateral Release Request (pldg_304).
Self-Service Tools will parse the entire CSV file and ensure a summary of errors is available to the CHESS user. The error response will specify the Transaction ID and the number of the row on which the error occurred.
Each Self-Service Tool follows a workflow that is documented in the supporting functional and messaging specification. It is advised that these specifications are viewed prior to initiating a self-service transaction.
If the CSV file submitted is invalid due to business logic validation errors an Invalid Transaction (comm_808) is received from the self-service tool.
If the CSV file submitted is invalid due to errors in the file format or schema validation errors a rejection from the Self-Service Tool is received. These responses are delivered to the REST endpoint, where a rejection from the Self-Service Tool is received.
Additional information on the column names and elements present in the CSV file can be found in the corresponding functional specification.
Performant Tools
The use of Performant Tools requires ASX approval and scheduling and will be performed in accordance with Section 06 - Performance Testing of the Guide to Testing Services.
The maximum CSV file size accepted by the Self-Service Performant Tools are 20MB. The minimum number of records accepted by the Self-Service Performant Tool input via a CSV file is 1 record and the maximum number of records accepted is 100,000 records. If either parameter is violated the CSV file will be rejected and an error message is received from the self-service tool.
Connection details
Prior to establishing connection to ITE1, the CHESS User 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). The CHESS User is also required to populate the CSV file sample in the table below.
CSV files submitted to the CSP must be encoded in UTF-8 not UTF-8-BOM. For further details refer here.
The code snippet below demonstrates how to establish a connection to the Self-Service Tool:
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curl
// Verbose output
-v
// Informs recipients that the client is about to send a message body in this request and wishes to receive a 100 (continue) interim response
-H "Expect: 100-continue"
// ASX’s CA’s public keys in pem format
--cacert /c/path/to/file.pem
// File containing the TLS 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 the Self-Service Tool
"<insert url provided in the table below>"
// 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"The URL for the Self-Service Tool is ite1-test-tool.asx.com.au and is listed for each tool below. The local host DNS needs to be reconfigured to 203.4.179.146 to ensure correct routing. Refer to Section 04 - Networking Details for ITEs for further information.
Available ITE1 Self-Service Tools
The tables below detail the available ITE1 Self-Service Tools for each individual CHESS User:
Clearing & Settlement Participants
Function | Description | Egress | URL | Impersonating | Sample CSV File | Tool Considerations |
Trade Ingest API (non-performant version) | The Trade Ingest API tool allows Participants to send trade information to the CSP as if it had originated from an Approved Market Operator (AMO). This enables the Participant to create their own set of trade data resulting in the creation of market settlement obligations. | FIX <AE> Trade Capture Report | https://ite1-test-tool.asx.com.au:5005/tradeingest/csvfix | AMOs |
| When populating the CSV file, the tester is required to ensure:
CHESS Users must use the TradeID convention outlined below for Trade Capture Reports to avoid conflict with other trades submitted by other CHESS Users who are testing in the ITE1 environment:
CHESS Users will be required to use the ITE1 Participant Code list to ascertain their Assigned Participant Code. For example: Referring to the ITE1 Participant Code list, a Participant with tradingID 1103 registering a trade through NSX:
TradeID: ‘NZ35648758’ |
The Collateral Management tool allows Participants to act as the Collateral Manager (ASX Clear) to initiate and facilitate the testing of collateral management workflows. | pldg_301_semt_013 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/pldg301 | ASX Clear | Self-Service Removal of CMM and ETO Collateral.zip
| The CSV file must not exceed 1 row and a maximum file size of 50KB. | |
pldg_304_sese_023 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/pldg304 | ASX Clear | Self-Service Release and Transfer of CMM and ETO Collateral.zip | |||
Holding Adjustments (non-performant version) | The Holding Adjustments tool allows Participants to act as the Share Registry to perform holding adjustment workflows. | hold_226_seev_036 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/hold226 | Issuer (Registry) | Self-Service Holding Adjustments.zip
| The CSV file must not exceed 1 row and a maximum file size of 50KB. Observe and utilise codes from the ISO 20022 Messaging - TM - ASX Proprietary Code List (43-HoldingAdjustmentReason). |
This tool allows Controlling Participants to act as an Issuer (Registry) to cancel a DRP/BSP election. | evnt_745_seev_040 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/evnt745Participant | Issuer (Registry) | Self-Service DRP Election Cancellation.zip
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Self-Service tools available in a subsequent release - Please refer to Section 06 - Performance Testing for more details. | ||||||
The maximum CSV file size accepted by the Self-Service Performant Tools are 20MB. The minimum number of records accepted by the Self-Service Performant Tool input via a CSV file is 1 record and the maximum number of records accepted is 100,000 records. If either parameter is violated the CSV file will be rejected and an error message is received from the self-service tool. | ||||||
Trade Ingest (Performant) | The Trade Ingest API tool allows Participants to send trade information to the CSP as if it had originated from an Approved Market Operator (AMO). This enables the Participant to create their own set of trade data resulting in the creation of market settlement obligations. The tool enables Participants to submit high volumes of trade registration messages so that the Participant can receive high volumes of notification messages that indicate that the trade is received and scheduled for future settlement.
| FIX <AE> Trade Capture Report | https://ite1-test-tool.asx.com.au:5005/tradeingest/csvfix | AMOs | Sample to be made available in a subsequent release. | The Trade Ingest API will not accept any uploads beyond 6pm AEST on any business date (this is to align to the FIX session cut-off at 7pm AEST). The same tool considerations apply per the Trade Ingest API Tool (non-performant version). Each Holder created within the CSP will be identified using a Universally Unique Identifier (UUID). The UUID will be generated by the CSP and provided to the Participant on the successful creation of the Holder. Clearing and Settlement Participants will be able to enquire about the progress of the CSV file upload by submitting the UUID to the Self-Service Performant Tool. The Tool will verify the UUID and provide real-time progress of the CSV file upload, including details of the total number of records, the number of records for which a response has been received and the number of erroneous records. The Self-Service Performant Tool will provide a weblink to a downloadable CSV file containing the following error details for all erroneous records:
The Reason will include the error description in the case of failure to convert the CSV file into a FIX Message or where a Technical NACK or Business NACK response is received from the CSP. |
The mFund Application Order Confirmation tool is provided to Participants to act as a PISP to initiate an mFund Application Order Confirmation. | mfnd_406_setr_012 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/mfnd406 | PISPs | Prior to submitting the CSV file to the CSP, the Participant must ensure the following conditions are met:
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The mFund Redemption Order Confirmation tool is provided to Participants to act as a PISP to initiate an mFund Redemption Order Confirmation. | mfnd_409_setr_006 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/mfnd409 | PISPs | The key data elements that are to be supplied in the CSV file will depend on the redemption type: Full and Unit Quantity Redemption:
Net Amount Redemption:
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The Distribution Advice Notification tool allows Participants to act as an Issuer (Registry) to submit and receive a distribution advice notification. | evnt_744_seev_036 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/evnt744Participant | Issuer (Registry) | Controlling Participants will be responsible for ensuring the correct timing for submission of messages within the respective workflow. This includes ensuring the correct conditional criteria (including the existence of the required corporate actions) for triggering the workflow has been met in order for the correct downstream process step to be actioned by the CSP. | ||
Holding Adjustment (Performant) | The Holding Adjustment performant Self-Service tool is provided to Controlling Participants to act as an Issuer (Registry) to test the receipt of high volume of Holding Adjustment Notification messages. | hold_226_seev_036 hold_228_semt_002(which is generated only in specific scenarios) | https://ite1-test-tool.asx.com.au:5000/xmlIngest/hold226 | Issuer (Registry) | Sample to be made available in a subsequent release. | The same tool considerations apply per the Holding Adjustments Tool (non-performant version). Each Holder created within the CSP will be identified using a Universally Unique Identifier (UUID). The UUID will be generated by the CSP and provided to the Participant on the successful creation of the Holder. Controlling Participants will be able to enquire about the progress of the CSV file upload by submitting the UUID to the Self-Service Performant Tool. The Tool will verify the UUID and provide a real-time progress of the CSV file upload, including details of the total number of records, the number of records for which a response has been received and the number of erroneous records. The Self-Service Performant Tool will provide a weblink to a downloadable CSV file containing the following error details for all erroneous records:
The Reason will include the error description in the case of failure to convert the CSV file into a FIX Message or where a Technical NACK or Business NACK response is received from the CSP. |
Issuer (Registries)
Function | Description | Egress | URL | Impersonating | Sample CSV | Tool Considerations |
The Account Management tools enable Share Registries to act as a Participant and generate messages resulting from a Participant initiated account maintenance workflow. | acct_003_acmt_003 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct003 | Participant | The CSV file must not exceed 1 row and a maximum file size of 50KB. | ||
acct_012_acmt_003 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct012 | Participant | Self-Service Investor Data and Foreign Tax Status Advice.zip | The CSV file must not exceed 1 row and a maximum file size of 50KB. | ||
acct_013_acmt_003 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct013 | Participant |
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The Bulk Account Creation tool enables Share Registries to submit multiple account creation requests acting as a Participant, as an alternative to manually creating individual accounts via the CHESS UI. | acct_001_acmt_001 | Single: Single RGID: https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct001SingleRGID Joint: https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct001Joint Joint RGID: https://ite1-test-tool.asx.com.au:5000/xmlIngest/acctJointRGID | Participant | Self-Service Bulk Account Creation.zip
| 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 response. The tool supports the creation of individual and non-individual holder types (e.g. company, trust, etc). | |
The SRN Enquiry tool is provided to Share Registries to impersonate a Participant initiating an SRN Enquiry Request (hold_217). | hold_217_semt_025 | SRN Enquiry: https://ite1-test-tool.asx.com.au:5000/xmlIngest/hold217SRNEnquiry SRN Balance Enquiry: https://ite1-test-tool.asx.com.au:5000/xmlIngest/hold217SRNBalanceEnquiry | Participant | A Registration Identifier (RGID) is required to leverage the Self-Service SRN Enquiry Tool. An RGID can be generated through Account and Holder Creation via the Self-Service Bulk Account Creation Tool (above). | ||
The Transfer and Conversion tool is provided to Share Registries to impersonate a Participant initiating a Transfer / Conversion Request (hold_211). | hold_211_sese_023 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/hold211 | Participant | A Registration Identifier (RGID) is required to leverage the Self-Service SRN Enquiry Tool. An RGID can be generated through Account and Holder Creation via the Self-Service Bulk Account Creation Tool (above). | ||
These tools enable Share Registries to test the DRP Election workflow by acting as the Controlling Participant and triggering the election, cancellation and enquiry request. | evnt_742_seev_039 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/evnt742 | Participants | Self-Service Controlling Participant initiated DRP Election.zip | CHESS Users can use their ITE1 reference file and look at the issuer actor CSV to identify any securities with DRP flag = “Y” for testing. | |
evnt_745_seev_040 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/evnt745Issuer | Participants | Self-Service Controlling Participant initiated DRP Election Cancellation.zip |
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evnt_749_semt_021 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/evnt749 | Participants |
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Payment Providers
Function | Description | Egress | URL | Impersonating | Sample CSV | Tool Considerations |
The Unilateral Settlement Instruction Request (USSI) Tool is provided to Payment Providers to act as a Participant to initiate a Settlement Instruction Request. | sett_105_sese_023 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/sett105ussi | Participants | The Self-Service CSV file must be populated with a Trust Amount where the Settlement Participant is a Broker (i.e. Clearing and Settlement Participant). The Trust Amount provided may be null, where applicable. If the Trust Amount is populated, the Trust Credit Debit Indicator for the trust amount must also be provided and be one of the following values:
Where the Trust Amount is zero, the Trust Credit Debit Indicator provided must be CRDT. For further details, refer to Trust Amount. | ||
The Bilateral Settlement Instruction Request (BSSI) Tool is provided to Payment Providers to act as a Participant to initiate a Settlement Instruction Request. | sett_105_sese_023 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/sett105bssi | Participants | The Self-Service CSV files must be populated with a Settlement Amount that is greater than zero, where the Payment is ‘AMPT’, indicating the transaction is ‘Against Payment Settlement’. Where the Payment is populated with ‘FREE’, the transaction is Free of Payment (FOP) and a separate cash settlement may be completed outside the CSP. In this case the Settlement Amount should not be populated. | ||
Real Time Pre-payment Authorisation and Post Payment Notifications (see also Bilateral Demand Settlement Instruction) | The Real Time Pre-Payment Authorisation and Post Payment Notifications Tool is provided to Payment Providers to act as a Participant to initiate a Bilateral Demand Settlement Instruction (BDSI). | sett_105_sese_023 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/sett105 | Participant | The CSV file must not exceed 1 row and a maximum file size of 50KB. |
PISPs
Function | Description | Egress | URL | Impersonating | Sample CSV | Tool Considerations |
The Bulk Account Creation tool enables Share Registries to submit multiple account creation requests acting as a Participant, as an alternative to manually creating individual accounts via the CHESS UI. | acct_001_acmt_001 | Single: Single RGID: https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct001SingleRGID Joint: Joint RGID: https://ite1-test-tool.asx.com.au:5000/xmlIngest/acctJointRGID | Participant | Self-Service Bulk Account Creation.zip
| 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 response. The tool supports the creation of individual and non-individual holder types (e.g. company, trust, etc). | |
The PISP Application tool enables the initiation of the application for mFund units purchased (application) to be held on a Participant controlled account (HIN) in the CSP and facilitates the cash settlement of the mFund units applied. | mfund_401_setr_010 | Initial: https://ite1-test-tool.asx.com.au:5000/xmlIngest/mfndInitFlow Subsequent: https://ite1-test-tool.asx.com.au:5000/xmlIngest/mfndSubsequentFlow | Participants | Self-Service Initial mFund Application Order.zip Self-Service Subsequent mFund Application Order submission.zip |
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The PISP Redemption tool enables the initiation of the redemption of mFund units held on a Participant controlled account (HIN) in the CSP and facilitates the cash settlement of the mFund units redeemed. | mfund_407_setr_004 | https://ite1-test-tool.asx.com.au:5000/xmlIngest/mfnd407 | Participants |
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