April 2022 - Documentation Release Notes

April 2022 Document Release

The April 2022 documentation release, includes updates to some areas of functionality and messaging from a prior release. Full details are provided below.

Updates to previously published functionality or corrections have been identified in orange on relevant pages. Changes to APG sections will be accompanied by a page history comparison per 1.7 Maintenance and Updates. Deletions, code snippets, hyperlinks, images, name changes, updates to API Contract Catalogues and major updates to pages or tables are not marked in orange.

New Documentation:

  • Operational Readiness Scenarios, including:

    • Batch Settlement; and

    • Payment Provider Exception Handling.

  • FIX Messaging Sequence Number Gap Management.

Documentation updated:

  • Functional Specifications, including Account Management to include clarification on Account Type Change.

  • General documentation amendments, including error corrections and clarifications.

Refer to the 28 March 2022 CHESS Replacement Project Update for further information on key project milestones.

A full archive of content prior to the April 2022 Documentation Release is available here for reference.

Functional Specifications

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Accounts

ASX Operations Initiated Account Type Change (NEW)

NEW functional specification detailing the ASX Operations Initiated Account Type Change process.

Common Business Values

Address (Update)

Updated the Address Business Values section to correct the value of ASCII 94 Char “^” from Y to N (i.e. it is not valid for an address).

Payment Facilities

Payment Facilities Changes (Update)

Updated to include an entry detailing changes related to Payment Facility Suspension. In the CSP, it is no longer possible to suspend a Payment Facility.

Settlement Locks

Unlock Settlement Lock Process (Update)

Updated the Unlock Settlement Lock Process page to correct and clarify the information relating to the functionality of step 4 of the process.

Settlement Instruction Management

Market Settlement Instruction Cancellation Process (Update)

  1. Updated step 6 of the process to include an information box detailing the Counterparty change for Isolated Novated Rescheduled Instructions.

  2. Updated the Business Values and Rules of the following sections:

    • Settlement Instruction Cancellation Request

    • Settlement Instruction Cancellation Status Advice

    • Settlement Instruction Status Advice

    • Settlement Instruction Cancellation Confirmation.

Messaging

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ISO 20022 Messaging

ISO 20022 Messaging - Message Catalogue (MC) (Update)

NEW: ISO 20022 Messaging - MC - ASX Operations Initiated Account Type Change Messaging

Updated: ISO 20022 Messaging - MC - Change of Controlling Participant

  • Updated and corrected UML diagram. The correction reflects the Change of Controlling Participant functional specification where the Account Notification (acct_002), Holding Balance Report (rptg_604) and Corporate Action Election (evnt_742) is sent to the new Controlling Participant, not the old.

Updated: ISO 20022 Messaging - MC - Participant Initiated Entitlement Elections Payment Instruction

ISO 20022 Messaging - Technical Manual (TM) (Update)

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

  • Updated and corrected the name of acct_003 from Account Modification Request → Account Modification Instruction;

  • Updated and corrected the name of sett_122 from Settlement Instruction Notification Cancellation → Settlement Instruction Message Cancellation Advice;

  • Updated and corrected the name of hold_229 from Corporate Actions Related Transfer Request → Corporate Actions Related Transfer; and

  • Updated and corrected the name of evnt_749 from Corporate Action Enquiry Election → Corporate Action Election Enquiry.

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

  • Updated and corrected 23-PaymentFacilitiesChangeReason, including:

    • Striking through Cancel Future Instruction (CFIN). This code was deactivated 20/Nov/20 and was incorrectly listed as an available code.

Updated: ISO 20022 Messaging - TM - Business Error Code List

  • Updated and corrected error code 1084 the Business Event and Ingress Message IDs from Intra Position Movement (hold_203) → all.

FIX Messaging

FIX Messaging - FS - Sequence Number Gap Management (NEW)

NEW page detailing how the CSP uses message sequence numbers to maintain an orderly exchange of messages between the CSP and the Approved Market Operator (AMO).

FIX Messaging - Message Catalogue (MC) (Update)

Updated: FIX Messaging - MC - Standard Header

  • Updated to include a new optional tag, LastMsgSeqNumProcessed (Tag 369).

Updated: FIX Messaging - MC - Logout (Type 5)

  • Updated SessionStatus (Tag 1409) to include the following valid value; 9 - sequence number too low.

  • Updated SessionStatus (Tag 1409) to remove the following valid value; 7 - Logons are not allowed at this time.

Updated: FIX Messaging - MC - Logon (Type A)

  • Updated the description of NextExpectedMsgSeqNum (Tag 789) to include the following “This tag is optional for CHESS’s inbound messages but mandatory for CHESS’s outbound messages (Logon A acknowledge by CHESS).“

Updated: FIX Messaging - MC - Error Code List

  • Updated to include error code 99 (Mandatory Field not populated).

Connectivity

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Ledger API Connectivity to the CSP

Obtaining a Ledger API Token (Update)

Updated and clarification to the format of the Authorisation control type in the Multi-Factor Authentication and Authorisation table. The format must include the word ‘Bearer’ immediately before the token.

Implementation Phases

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ITE1 Auto-responders

ITE1 Collateral Creation / Removal (Update)

Updated the Collateral Manager Response reject reason table to strikethrough no longer applicable reason codes (SNAC, MNSC, LSFP), refer to ASX Proprietary Code List (28-CollateralRejectionRemovalReason) for further information.

Accreditation Guide

Section 06 - Messaging Accreditation Scenarios (Update)

  1. Updated the following Scenario File: Clearing and Settlement & Settlement Participant (v1.2 → v1.3).

    • Scenarios: CS-DS-17

      • Change: Pre-requisite updated to include, “Create Bilateral Settlement Instruction that must be in matched state”.

      • Reason for change: Correction.

    • Scenarios: CS-BS-09

      • Change: Pre-requisite updated to include sentence, “USSI must be created with Part Settlement field value as Partial Settlement Allowed (PART)”

      • Reason for change: Prerequisite explained further.

    • Scenarios: CS-AC-09 and CS-AC-10

      • Change: Scenario description updated to include Residency Indicator and Registered Address with Holder Name. No change in Required Fields.

      • Reason for change: To make it consistent with Required Fields

  2. Updated the following Scenario File: Settlement Participant (v1.2 → v1.3).

    • Scenarios: SP-DS-16

      • Change: Pre-requisite updated to include, “Create Bilateral Settlement Instruction that must be in matched state”

      • Reason for change: Correction

    • Scenarios: SP-BS-05

      • Change: Pre-requisite updated to include sentence, “USSI must be created with Part Settlement field value as Partial Settlement Allowed (PART)”

      • Reason for change: Prerequisite explained further

    • Scenarios: SP-AC-09 and SP-AC-10

      • Change: Scenario description updated to include Residency Indicator and Registered Address with Holder Name. No change in Required Fields.

      • Reason for change: To make it consistent with Required Fields

  3. Updated the following Scenario File: Account Participant (v1.2 → v1.3).

    • Scenarios: AP-AC-08 and AP-AC-09

      • Change: Scenario description updated to include Residency Indicator and Registered Address with Holder Name. No change in Required Fields.

        Reason for change: To make it consistent with Required Fields

Section 07 - CHESS User by Feature, Message (Update)

  • Updated and corrected the SRN Request Status Advice (hold_218) entry to include Issuer (Registries).

  • Updated and corrected the Funds Movement (sett_137), Cancelled Funds Obligation (sett_138) and Event Notification (sett_170) entries to include PISPs.

Section 04 - Supplementary Information

Operational Readiness - CHESS User by Feature, Message (Update)

Operational Readiness Guide

Section 04 - Supplementary Information (Update)

Updated: Operational Readiness Scenarios

  • Updated to include the following operational readiness scenarios:

    • Batch Settlement; and

    • Payment Provider Exception Handling.

  • Updated Operational Readiness Scenarios to baseline versions to 1.0. Changes made to operational readiness scenarios from April onwards will be version controlled and result in a increment to the version number.

  • Updated the following Scenario File: Issuer (Registry) (Sheet: Corporate Actions).

    • Scenarios: IR-CA-07

      • Change:

        • Action - Remove reference to DRP and amend reason code from DRP to DRIP.

        • Pre condition - Amend event type from DVOP to DRIP and added BSP (DRP/BSP).

    • Scenarios: IR-CA-08

      • Change:

        • Action - Update wording to be consistent 'Issue of securities in accordance with corporate action'.

    • Scenarios: IR-CA-07

      • Change:

        • Description - update to Interest Payment - Scrip Dividend.

        • Action - Update wording to be consistent 'Issue of securities in accordance with corporate action'.

        • Action - Update reason code from INTR to DVSC.

        • Pre condition - update event type code from INTR to DVSC.

    • Scenarios: IR-CA-16

      • Change:

        • ISO Message - Removed sett_139 and hold_226 (which has been replaced with hold_228).

    • Scenarios: IR-CA-17

      • Change:

        • ISO Message - Removed hold_226, comm_809 and added admn_852, rptg_605 and rptg_607.

    • Reason for change:

      • Update event type code and amend ISO message references.

  • Updated the following Scenario File: Clearing and Settlement & Settlement Participant (Sheet: Settlement Instruction Mgt).

    • Scenarios: CS-SM-01

      • Change:

        • ISO Message - Add sett_136

      • Reason for change:

        • Added missing ISO message.

Software Provider Readiness (ITE1)

ITE1 Known Issues & Limitations (Update)

Updated to include the following Observed Behaviours:

  • SSP Adjustment is observed to be always calculated as zero.

Updated to include the following Defects:

  • Confirmation Ack (Type AU) incorrect message format - Fix Message Standard Header generating with the message body included;

  • CHESS UI unable to make changes to account details;

  • CHESS UI account activation link expiry; and

  • Obligation Status Report can be requested for both the pre and post reconstruction security code after a stock split.

Updated to resolve the following Defects:

  • Enterprise Administrators (EA) are unable to create new users with specific UIC actor IDs;

  • Users cannot be authenticated in CHESS UI if using an international phone number;

  • Holding Movements not displayed in CHESS UI;

  • Message Enquiry not retrieving messages sent using BIC identifier;

  • ‘Four Eyes’ Approval is not being applied to the Message Centre;

  • Submitting a transaction which is not permitted for the current UIC may result in an error;

  • CHESS UI browser becomes stale; and

  • Application acknowledgements are delayed in being displayed to users.

ITE1 SRN / SRN Balance Enquiry (Update)

Updated the logic within the rules table which is used to identify the expected rejected response/s from the SRN / SRN Balance Enquiry Auto-responder.

CHESS User Readiness (ITE2)

ITE2 Known Issues & Limitations (Update)

Updated to include the following Defects:

  • Confirmation Ack (Type AU) incorrect message format - Fix Message Standard Header generating with the message body included;

  • CHESS UI unable to make changes to account details; and

  • Information not found pop-up error message appears intermittently when using CHESS UI.

ITE2 Test Tools for Clearing & Settlement Participants (Update)

The wording of the ITE2 Test Tool pages have been updated to provide greater clarification regarding tool connectivity and functionality.

ITE2 Test Tools for Issuer (Registries) (Update)

ITE2 Test Tools for Payment Providers (Update)

ITE2 Test Tools for PISPs (Update)

Cutover & Migration

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Cutover and Migration Supporting Documentation

Cutover and Migration - Customer Migration Reports (Update)

  1. Updated to include Sample Customer Migration Reports. These reports have been grouped by CHESS user type.

  2. Added the following customer migration reports:

    • Account Email and Communication Preference Changes Report - Share Registry; and

    • Account Email and Communication Preference Changes Report - Controlling Participant.

  3. General clarification to existing customer migration reports and associated report fields.

Cutover and Migration - Inflight Transaction (Update)

  1. Updated the overview of inflight transactions to provide greater clarification.

  2. Updated the image supporting the ‘Gross Market Trades’ section which displays an example of how a GMT with a Trade Date of Thursday prior to the cutover weekend and an initial intended settlement date of Monday post the cutover weekend will be migrated to the CSP.

Customer and Migration - Ledger API (Update)

  1. Updated the information relating to Ledger API applications during the cutover and migration.

Customer and Migration - Accounts (Dormant) (Update)

  1. Updated the page heading to ‘Cutover and Migration - Accounts (Dormant)’ from ‘Cutover and Migration - Dormant Accounts’.

Cutover and Migration

Section 05 - Market Dress Rehearsals (Update)

  1. Updated section '5.1 Objectives and Guiding Principles' to correctly identify the mandatory nature of Market Dress Rehearsals (MDRs).

  2. Updated the information box in section ‘5.4 MDR data snapshots’ to note that each MDR will now follow a current dated data snapshot approach.

  3. Removed section '5.4.1 If a prior date MDR snapshot is chosen' has been removed as it is no longer applicable due to the new dated data snapshot approach.

Section 06 - Post MDR Day 1 Testing (Update)

  1. Updated the wording of section 6.1 to change the nature of MDRs from singular to multiple.

Approved Market Operators (AMO)

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Approved Market Operator (AMO)

A landing page that groups AMO specific documentation.

Updated to include a reference to FIX Messaging - FS - Sequence Number Gap Management.

Release Notes

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Release Notes 2022

April 2022 - ITE2 Drop Notes (NEW)

NEW code drop note to support ITE2 (v1.2).

What’s New

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What's New 2022

27 April 2022 - ITE2 Onboarding (NEW)

NEW what’s new update incorporating the following:

  1. NEW ITE2 Onboarding information page.

  2. NEW message collection supporting the ITE2 (v1.2) release.

  3. Updates to the Connectivity Guide to amend Section 06 - CSAM Security Details.

  4. General documentation updates, clarifications and corrections.

Frequently Asked Questions (FAQs)

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Frequently Asked Questions (FAQs)

FAQs - Implementation and Transition (Update)

Updated to include the I&T working group 7 April 2022 – webinar questions and answers.