ITE2 Test Tools for Issuer (Registries)

Further details on ITE2 Test Tool availability have been provided in the April Code Drop Notes.

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.

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:

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 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

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://ite2-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://ite2-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://ite2-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://ite2-test-tool.asx.com.au:5000/xmlIngest/acct001Single

Single RGID:

https://ite2-test-tool.asx.com.au:5000/xmlIngest/acct001SingleRGID

Joint:

https://ite2-test-tool.asx.com.au:5000/xmlIngest/acct001Joint

Joint RGID:

https://ite2-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://ite2-test-tool.asx.com.au:5000/xmlIngest/hold217SRNEnquiry

 

SRN Balance Enquiry:

https://ite2-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://ite2-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://ite2-test-tool.asx.com.au:5000/xmlIngest/evnt742

Participants

Self-Service Controlling Participant initiated DRP Election.zip

CHESS Users can use their ITE2 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://ite2-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://ite2-test-tool.asx.com.au:5000/xmlIngest/evnt749

Participants

Self-Service DRP Enquiry.zip

 

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 Issuers (Registries) in ITE2:

Auto-responder / Function

Description

Ingress

Egress

Impersonating

Auto-responder / Function

Description

Ingress

Egress

Impersonating

Payment Provider Authorisation

In ITE2, only UIC is permitted.

The workflows below apply to a Paying Payment Provider where the CSP sends a Funds Obligation (sett_133) message as a part of Batch Settlement or Bilateral Demand Settlement. For a detailed breakdown of available functionality, refer to the Batch Settlement Aggregate Funds Obligation, Batch Settlement Funds Movement and Bilateral Demand Settlement Functional Specifications.

Non-Payment Providers

Participants are encouraged to submit any BDSI Settlement Instruction Request (sett_105) messages prior to 6:15pm in order to ensure completion of a scenario within the same business day.

Refer to ITE2 Reserve Bank Information & Transfer System (RITS) for further details.

For non-Payment Providers, the Auto-responder will act in the role of a Paying Payment Provider.

The rules governing the Auto-responder behaviour are detailed in the diagrams below:

Non-Payment Providers: Batch Settlement

Non-Payment Providers: Bilateral Demand Settlement

Non-Payment Provider: Batch Settlement Bank Funds Transfer

sett_133_camt_089

sett_135_camt_090

Payment Provider

Bid Election / Election Withdrawal

The workflows below apply to the Controlling Participant where the CSP sends a Corporate Action Election (evnt_742) message or Corporate Action Election Cancellation (evnt_745) message to the Offeror as a part of a Controlling Participant initiated Bid Election or Bid Election Withdrawal.

For a detailed breakdown of available functionality, refer to the Controlling Participant Bid Election Process and Controlling Participant Bid Withdrawal Process Functional Specifications.

Where a Controlling Participant initiates a Bid Election or Bid Election Withdrawal the Auto-responder will act as the Offeror. The rules governing the Auto-responder behaviour are detailed in the diagrams below:

Controlling Participant Initiated Bid Election

Controlling Participant Initiated Bid Election Withdrawal

The workflow below applies to the Offeror where the CSP sends a Corporate Action Election (evnt_742) message to the Controlling Participant as a part of an Offeror initiated Bid Election.

For a detailed breakdown of available functionality, refer to the Controlling Participant Bid Election ProcessControlling Participant Bid Withdrawal Process and Offeror Initiated Bid Election Process Functional Specifications.

Where an Offeror initiates a Bid Election, the Auto-responder will act as the Controlling Participant. The rules governing the Auto-responder behaviour are detailed in the diagram below:

 

evnt_742_seev_033

evnt_743_seev_034

  • Participants

  • Bid Offeror

Auto Injectors

These are automated tools which do not require any action or input from the CHESS user.

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

Auto Injectors

Schedule

Egress

Impersonating

Function/Description

Bid Finalisation of Takeovers and Buybacks

Every Thursday

inte_933_seev_032

ASX Operations

Each Thursday, as part of end of day processing, a trigger on behalf of ASX Operations will be received by the CSP and the CSP will process that trigger to establish if an eligible set of Corporate Action data exists. This will prompt the CSP to generate a Corporate Action Election Status Advice (evnt_743) for eligible requests according to the following rule:

- When the CSP is ready to process Takeover and Buyback events that have an option offer close date in the past 7 days (including the current business day), a trigger on behalf of ASX Operations is automatically generated and sent to the CSP. The CSP will process that trigger and identify eligible Takeover and Buyback events according to the rules mentioned earlier. If the criteria is met then the CSP will generate and send a Corporate Action Election Status Advice (evnt_743) to the Controlling Participant of the Account (HIN) where a Locked Balance exists for the related Option Number of the Corporate Action Event Id.

evnt_726_seev_031

Code Change

Day before the effective date of a corporate action

inte_903_cdm_instrument

ASX Operations

Corporate Action events will be loaded into ITE2 to enable subscribers to test code change procedures.

When the CSP is ready to process a code change (a day prior to the effective date) for a corporate action event, a trigger is automatically generated and subsequently received by the CSP acknowledging the amendment. At end of day, the CSP will cease processing transactions in the old code. Outstanding transactions and holdings will have the old code changed to the new code.

On the effective date for a code change:

- the Delivering and Receiving Participants receive an Adjusted Settlement Instruction (sett_139);

- the Controlling Participant receives a Holding Adjustment Notification (hold_226); and

- the Issuer (Registry) receives an Applied Code Change (admn_852).