ITE2 Test Tools for Clearing & Settlement Participants
Further details on ITE2 Test Tool availability have been provided in the April Code Drop Notes.
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Self-Service Tools
Self-Service Tools are provided by ASX to allow the CHESS user to simulate an event or workflow that is initiated by another party.
Using the Self-Service Feature
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 ITE2, 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:
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 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 ite2-test-tool.asx.com.au and is listed for each tool below. The local host DNS needs to be reconfigured to 203.4.179.152 to ensure correct routing. Refer to Section 04 - Networking Details for ITEs for further information.
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://ite2-test-tool.asx.com.au:5005/tradeingest/csvfix | AMOs |
| When populating the CSV file, the tester is required to ensure:
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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://ite2-test-tool.asx.com.au:5000/xmlIngest/pldg301 | ASX Clear | Self-Service Removal of CMM and ETO Collateral.zip
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pldg_304_sese_023 | https://ite2-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://ite2-test-tool.asx.com.au:5000/xmlIngest/hold226 | Issuer (Registry) | Self-Service Holding Adjustments.zip
| 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://ite2-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. | ||||||
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://ite2-test-tool.asx.com.au:5005/tradeingest/csvfix | AMOs | 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://ite2-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://ite2-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://ite2-test-tool.asx.com.au:5000/xmlIngest/evnt744Participant | Issuer (Registry) |
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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://ite2-test-tool.asx.com.au:5000/xmlIngest/hold226 | Issuer (Registry) | 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. | |
Auto-responders
An Auto-responder is a feature provided by ASX to help CHESS users simulate events where a Counter-party response is required. The table below details the Auto-responders available to Clearing & Settlement Participants in ITE2:
Auto-responder / Function | Description | Ingress | Egress | Impersonating |
|---|---|---|---|---|
The Auto-responder will generate a transfer confirmation response for Bilateral Demand Transfers. The Participant should nominate the Auto-responder as the Counterparty in their Demand Transfer Request (hold_201), resulting in a Demand Transfer Allegement Notification (hold_208) to the Auto-responder. The Auto-responder will generate and send a Demand Transfer Request (hold_201) using details received on the Demand Transfer Allegement Notification (hold_208). The Demand Transfer Request (hold_201) will then be validated by the CSP. If matching is successful, a Demand Transfer Confirmation (hold_202) will be generated and sent to the Participant and the Auto-responder to indicate that a Free of Payment (FoP) unit transfer has been effected. Descriptions of Bilateral Demand Transfer messages can be found here. | hold_208_sese_028 | hold_201_sese_023 | Participant | |
The Auto-responder will generate a Matched response for Bilateral Demand Settlement Instruction. The participant should nominate the Auto-responder as a Counterparty in a Settlement Instruction Request (sett_105), resulting in a Settlement Instruction Allegement Notification (sett_110) to the Auto-responder. The Auto-responder will send a Settlement Instruction Request (sett_105) using the details received on the Settlement Instruction Allegement Notification (sett_110). The Settlement Instruction Request (sett_105) will then be validated by the CSP. If matching is successful, a Settlement Instruction Response (sett_106) will be generated and sent to the Participant and the Auto-responder. Following Matching, the business process will continue with a "Request for Payment" to the Payment Service Provider. The CSP will generate and send a Funds Obligation Request (sett_133) to the Payment Provider. In non-Payment Provider environments, the Payment Provider Auto-responder will then be required to act as the Payment Provider to authorise, reject or ignore the Funds Obligation (sett_133) based on the Auto-responder workflow. In Payment Provider environments, the Payment Provider Auto-responder will not respond to the request for payment and Payment Providers are expected to respond. For further details, refer to ITE2 Payment Provider Authorisation Auto-responder below. Descriptions of Bilateral Settlement Instruction messages can be found here. | sett_110_sese_028 | sett_105_sese_023 | Participant | |
The Auto-responder will act as the Issuer Registry and determine if a response is to be generated back to the CSP as a result of the Auto-responder receiving a Transfer / Conversion Authorisation Request (hold_212) which resulted from a Participant sending a valid Transfer / Conversion Request (hold_211). The rules governing the Auto-responder behaviour are detailed in the diagram below: 
The Auto-Responder will determine the Rejection Movement Reason in accordance with the rules outlined in table below: The Rejection Movement Reason values presented in the table above may not be indicative of the Participants specific test scenario. They have been defined to allow for all types of Rejection Movement Reasons to be received within the Transfer / Conversion Request Status Advice (hold_213). For example, if the Unit Quantity is even and between 700 and 798, the Rejection Movement Reason received is "Insufficient cum entitlement" (INCM) but this value can be received even where a Corporate Action event didn't exist. Descriptions of Issuer to Participant Transfer / Conversion messages can be found here. | hold_212_sese_023 | hold_214_sese_024 | Registry | |
The Auto-responder will act as the Issuer Registry and determine if a response is to be generated back to the CSP as a result of the Auto-responder receiving an SRN Enquiry Request (hold_217) which resulted from the Participant sending a valid SRN Enquiry Request (hold_217). The rules governing the Auto-responder behaviour are detailed in the diagram below:  The Auto-Responder will determine the Registry Reject Reason in accordance with the rules outlined in table below: Due to the limited mFund securities available in ITE1, the 'Rejected' response for an SRN Enquiry will always carry the rejection code 'NSRN' for an mFund security. The Registry Reject Reason values presented in the table above may not be indicative of the Participants specific test scenario. They have been defined to allow for all types of Registry Reject Reasons to be received within the SRN Enquiry Status Advice (hold_218). For example, if the security code starts with V, the Registry Reject Reason received is SRN Not Found (NSRN). Where the Auto-responder receives an SRN Enquiry Request and the Issuer Registry is required to advise of the Securityholder Reference Number (SRN) for the related registration details submitted by the Participant, the SRN will be derived using the algorithm of I + UIC + Timestamp (e.g. I12345162025) Descriptions of each SRN / SRN Balance Enquiry message can be found here. | hold_217_semt_025 | hold_219_semt_040 | Registry | |
This workflow requires the collateral manager and/or clearing participant to respond where a participant sends a request. For a detailed breakdown of available functionality, refer to the Collateral Management Functional Specifications. The auto-responder provides two functions in this workflow; - Responds to collateral removal requests as if actioned to by the Collateral Manager Where the controlling participant and ETO clearing participant are different; - the auto-responder will automatically respond to requests sent to clearing members 01xx0, 01xx1, 01xx2, 01xx3, 03xx0 The rules governing the auto-responder behaviour are detailed in the diagrams below:
The Auto-responder will automatically generate a Collateral Reject Response for eligible requests according to a set of defined rules: | pldg_301_semt_013 | pldg_302_semt_014 | ASX Clear | |
pldg_307_colr_017 | pldg_308_colr_018 | ASX Clear | ||
sett_110_sese_028 | sett_105_sese_023 | Participant | ||
acct_013_acmt_003 | acct_018_acmt_006 | Registry | ||
Payment Provider Authorisation | sett_133_camt_089 | sett_135_camt_090 | Payment Provider | |
evnt_742_seev_033 | evnt_743_seev_034 |
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evnt_745_seev_040 | evnt_746_seev_041 | Bid Offeror | ||
Payment Service- RITS (Reserve Bank Information & Transfer System) | pacs.009.001.08 | pacs.002.001.10 | RBA | |
Payment Service - RITS (Reserve Bank Information & Transfer System) Recall - Payment Request | pacs.009.001.08 | pacs.002.001.10 | RBA | |
pacs.009.001.08 | camt.029.001.09 | RBA | ||
mFund_401_setr_010 | mfund_402_setr_016 | PISP | ||
mFund_407_setr_004 | mfund_402_setr_016 | PISP | ||
evnt_742_seev_033 | evnt_743_seev_034 | Share Registry | ||
DRP Cancellation - Corporate Action Election Cancellation Advice | evnt_745_seev_040 | evnt_746_seev_041 | Share Registry | |
evnt_749_semt_021 | evnt_742_seev_033 | Share Registry |
Auto Injectors
Auto-injectors are scheduled functional workflows. These tools are designed to automate the workflow progress for completion of bid finalisation of takeovers and buybacks, code changes and daily margin settlement advice. The tools are setup on a periodic basis to generate messages consumed by the CSP on behalf of the impersonated user (in this case, ASX Operations/ASX Clear). These messages allow the CSP to proceed with the workflow, sending out any corresponding egress messages to the CHESS user it is available for, without the need for the impersonated party’s direct intervention.
Auto Injectors | Schedule | Egress | Impersonating | Function/Description |
|---|---|---|---|---|
Every Thursday | inte_933_seev_032 | ASX Operations | ||
evnt_726_seev_031 | ||||
Day before the effective date of a corporate action | inte_903_cdm_instrument | ASX Operations | ||
Daily & Intra Daily on Wednesdays | pldg_309_secl_005 | ASX Clear |
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