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:

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 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

Self-Service Trade Ingest.zip

 

When populating the CSV file, the tester is required to ensure:

  • The prices of the Securities are close to the current market price. This will ensure Standard Settlement Price (SSP) adjustments are correctly accounted for. SSP functionality will be available in a subsequent release.

  • Supplied dates are valid business dates.

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:

  • MIC prefix – 1 or 2 (ASX), C (Cboe), N (NSX)

  • Assigned Participant Code [A-Z 0-9]{2}

  • Trade number [0-9]{7}

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:

  • MIC prefix - N

  • Assigned Participant Code - Z3

  • Trade number - 5648758

TradeID: ‘NZ35648758’

Collateral Management

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).

DRP and BSP Election Cancellation Request

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

 

 

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:

  • Row number; 

  • Trade Id; 

  • Status (default is 'Fail');

  • Technical ACK;

  • Business ACK; and 

  • Reason. 

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.

mFund Application Order Confirmation

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

Self-Service mFund Application Order Confirmation.zip

Prior to submitting the CSV file to the CSP, the Participant must ensure the following conditions are met:

  • The mFund Application Order to be completed is in an ‘Awaiting Unit Issue’ state; and

  • The Participant has received the mFund Order Status Notification (mfnd_402) with a Reminder Count.

mFund Redemption Order Confirmation

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

Self-Service mFund Redemption Order Confirmation.zip

The key data elements that are to be supplied in the CSV file will depend on the redemption type:

Full and Unit Quantity Redemption:

  • Unit_Quantity: The number of units equal to the available balance of the matching Security on the Account Identifier (HIN) to the the specified unit precision for mFund of 6 decimal places.

  • Payment_Date: Where batch settlement has commenced for the current business date:

    • Must be a valid business date greater than the current business date; or else

    • Must be a valid business date greater than or equal to the current business date.

Net Amount Redemption:

  • Net Amount: The Net Amount provided on the mFund Redemption Order Request.

  • Payment_Date: Where batch settlement has commenced for the current business date:

    • Must be a valid business date greater than the current business date; or else

    • Must be a valid business date greater than or equal to the current business date.

Distribution Advice Notification

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)

Self-Service Distribution Status Advice Notification.zip

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:

  • Row number; 

  • Trade Id; 

  • Status (default is 'Fail');

  • Technical ACK;

  • Business ACK; and 

  • Reason. 

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

Account Locking and Unlocking

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

Self-Service Account Locking and Unlocking.zip

The CSV file must not exceed 1 row and a maximum file size of 50KB.

Investor Data

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.

Bank Account Update/Delete

acct_013_acmt_003

https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct013

Participant

Self-Service Bank Account Notification.zip

 

Bulk Account Creation

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:
https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct001Single

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).

SRN Enquiry

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

Self-Service SRN Enquiry.zip


Self-Service SRN Balance Enquiry.zip

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).

Transfers and Conversions

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

Self-Service Transfers and Conversions.zip

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).

DRP and BSP Election Request

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.

DRP and BSP Election Cancellation Request

evnt_745_seev_040

https://ite1-test-tool.asx.com.au:5000/xmlIngest/evnt745Issuer

Participants

Self-Service Controlling Participant initiated DRP Election Cancellation.zip

 

DRP Corporate Action Election Enquiry Request

evnt_749_semt_021

https://ite1-test-tool.asx.com.au:5000/xmlIngest/evnt749

Participants

Self-Service DRP Enquiry.zip

 

Payment Providers

Function

Description

Egress

URL

Impersonating

Sample CSV

Tool Considerations

Unilateral Settlement Instruction Request (USSI)

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

Self-Service Unilateral Settlement Instruction Request.zip

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:

  • CRDT (Credit); or

  • DBIT (Debit).

Where the Trust Amount is zero, the Trust Credit Debit Indicator provided must be CRDT.

For further details, refer to Trust Amount.

Bilateral Settlement Instruction Request (BSSI)

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

Self-Service Bilateral Settlement Instruction Request.zip

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

Self-Service Bilateral Demand Settlement Instruction.zip

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

Bulk Account Creation

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:
https://ite1-test-tool.asx.com.au:5000/xmlIngest/acct001Single

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).

mFund Application

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

 

mFund Redemption

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

Self-Service mFund Redemption.zip