February 2020 - Documentation Release Notes (Part II)

Table of Contents

Document Release 7 (Part II)

These release notes detail the scope of the seventh tranche of technical documentation released in February 2020 (Documentation Release 7 - Part II).

It includes additional functional specifications, messaging requirements and updates to some areas of functionality from a prior release (including updated connectivity documentation). Full details are provided below. Updates to previously published functionality or corrections have been identified in orange on relevant pages. Deletions, code snippets, hyperlinks, images and major updates to pages or tables are not marked in orange.

January Release 7 - Part I (Release Notes)

February Release 7 - Part II comprises of:

New documentation:

  • mFund Applications and Redemptions;
  • Investor Data;
  • Account and Holder Cancellation;
  • Diary Adjustments;
  • Code Change;
  • Class Merger; and
  • Election and Payment for Exercises (excluding RTGS Interface).

“Demand Reporting” was presented to the ISO 20022 Technical Committee meeting on the 25th of February 2020. The feedback period for this Technical Committee will end on the 10th of March 2020. To ensure feedback is appropriately addressed, ASX is targeting a March 2020 technical documentation release for Demand Reporting.

Documentation updated:

  • Account Creation, Modification and Notification;
  • Batch Settlement; and
  • Payment Facility.

A summary of Focus Group and Technical Committee feedback for the following topics has been released:

  • mFund Applications and Redemptions;
  • Investor Data; and
  • Entitlement Elections.

A full archive of content prior to Documentation Release 7 (Part II) is available here for reference.

Functional Specifications 

FunctionDescriptionRelease Notes
mFunds (NEW)

An outline of the mFund Application and Redemption processes which enables the purchase (application) or sale (redemption) of mFund units held on a participant controlled Account (HIN) in the CSP and also facilitates the cash settlement of the mFund units applied.

Documentation Release 7 (Part II) includes an overview of mFund Applications and Redemptions. The document outlines mFund Applications and Redemptions scenarios where mFund parties may send and/or receive messages from the CSP. It also details the changes between current CHESS and the new CSP.

Investor Data (NEW)An outline of the Investor Data processes which enable a Participant to provide or update the Investor Data and Bank Account Details for an Account (HIN) under their control.Documentation Release 7 (Part II) includes an overview of the Investor Data and Foreign Tax Status Submission and Bank Account Details Update/Deletion processes. The document outlines to whom and when Investor Data related messages may be sent between Investor Data parties. It also details the changes between current CHESS and the new CSP.

Account and Holder Cancellation (NEW)

An outline of the Account Cancellation process which enables a controlling participant cancel an Account (HIN).Documentation Release 7 (Part II) includes an overview of the Account Cancellation process. The document outlines to whom and when Account Cancellation related messages may be sent between Account Cancellation parties.
Diary Adjustments (NEW)An outline of the Diary Adjustments Process where Diary Adjustments are triggered by the CSP. Documentation Release 7 (Part II) includes an overview of the Diary Adjustment. The documentation outlines the types of Diary Adjustments which are available in CSP and outlines the Diary Adjustment Process.  It also details the changes between current CHESS and the new CSP.
Code Change and Class Mergers (NEW)An outline of the Code Change and Class Merger Processes where Code Change and Class Mergers are triggered by the CSP. Documentation Release 7 (Part II) includes an overview of Code Changes and Class Mergers. The documentation outlines the types of Code Changes which are available in CSP and outlines the Code Changes and Class Mergers Process. 
Entitlement Elections (NEW)An outline of the Entitlement Elections process which enables the facilitation of Entitlement Elections by Participants on behalf of their Account Holders.

Documentation Release 7 (Part II) includes an overview of the Entitlement Elections process. The document outlines the Participated Initiated Entitlement Elections, Participant Initiated Cancellation of Entitlement Election (Pre-Payment) and Issuer (Registry) Initiated Corporate Action Refund processes. Further detail is also provided regarding the the Participant Initiated Entitlement Election Payment Instruction and Issuer (Registry) Initiated Payment for Rejected Applications or Oversubscription Scaleback process.

Common Business ValuesTax File Number (TFN) Exemption Codes (NEW)Documentation Release 7 (Part II) includes a new Common Business Values page to support Investor Data and Foreign Tax Status Submission and Bank Account Details Update/Deletion processes
Holding TransfersUnilateral Settlement Instruction Overview (Update)Updated the link to the Trust Amount Common Business Values page.
Bilateral Demand Settlement Instruction Process (Update)Updated to reflect the addition of the Payment Provider Authorisation RTGS Payments process.
Payment FacilitiesPayment Provider Authorisation for RTGS Payments (NEW)Documentation Release 7 (Part II) includes an overview of the Payment Provider Authorisation RTGS Payments process. The document outlines to whom and when Payment Provider Authorisation is required.
Payment Facilities Overview (Update)

Updated to reflect that Corporate Action Entitlements are only applicable to Nominated Payment Facilities.

Updated to reflect the addition of the Corporate Action Payments Participant.

Payment Facilities Changes (Update)Updated to reflect the addition of the Corporate Action Payments Participant.
Create Payment Facility Process (Update)
Update Payment Facility Process (Update)
Cancel Payment Facility Process (Update)
Update Payment Provider Process (Update)
AccountsAccount and Holder Changes (Update)

This release introduces a schema upgrade for account modification to version acct_003_001_06_acmt_003_001_07, including address lines and communication preference. Note that as the consultation is still in progress, depending on the outcome of that process, this schema is subject to change.

Updated to align with existing functionality in CHESS. Updates include:

  • Supporting Lines 4 and 5 in address during migration only; and
  • Holder type of 'unknown' is used for all sponsored accounts during migration only.

Update of communication preference to provide additional email communication options, allowing users to choose whether email address is disclosed to Issuer (Registry).  

Account and Holder Creation Overview  (Update)
Account and Holder Creation Process  (Update)
Account and Holder Modification Overview  (Update)
Account and Holder Modification Process  (Update)
Change in Holding Balance (Update) 
SRN Enquiry Process (Update)
Transfer / Conversions Between SubregistersParticipant to Issuer Sponsored Conversion Process (Update)
Issuer Sponsored to Participant Conversion Process (Update)
Takeovers and Buy-backs (Bid Offers)Controlling Participant Bid Election Process (Update)
Common Business ValuesAddress (Update)
Designation (Update)
Holder Type (Update)
Settlement Instruction ManagementSettlement Instruction Rescheduling Process (Update)Updated Settlement Transaction Generation Notification (sett_130) to incorporate Batch Settlement changes.
Corporate ActionsCode Change and Class Merger Lifecycle (NEW)New Corporate Action Lifecycle to support the release of Code Change and Class Merger documentation.
Corporate Actions Overview (Update)

Updated Corporate Action sections to include information related to:

  • Entitlement Elections;
  • Diary Adjustments; and
  • Code Change and Class Merger.



Rights Issue Lifecycle (Update)
Bonus, Capital Return, Dividend, Interest Payment Lifecycle (Update)
Call Payment (Partly Paid Securities) Lifecycle (Update)
Reconstruction Lifecycle (Update)



Messaging

DocumentDescriptionRelease Notes
ISO 20022 MessagingExplains the Batch Settlement Unit Fails related messages that will be communicated from ASX. It covers the messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Account Cancellation

The following messages have been added:

  • acct_002_acmt_002 - Account Notification
  • acct_003_acmt_003 - Account Modification Instruction
  • acct_018_acmt_006 - Account Modification Instruction Acknowledgement

NEW: ISO 20022 Messaging - MC - Investor Data

The following messages have been added:

  • acct_002_acmt_002 - Account Notification
  • acct_012_acmt_003 - Investor Data and Foreign Tax Status Details
  • acct_013_acmt_003 - Bank Account Notification
  • acct_018_acmt_006 - Account Modification Instruction Acknowledgement

NEW: ISO 20022 Messaging - MC - Participant Initiated Entitlement Elections

The following messages have been added:

  • evnt_742_seev_033 - Corporate Action Election
  • evnt_743_seev_034 - Corporate Action Election Status Advice

NEW: ISO 20022 Messaging - MC - Participant Initiated Cancellation of Entitlement Election (Pre-Payment)

The following messages have been added:

  • evnt_745_seev_040 - Corporate Action Election Cancellation
  • evnt_746_seev_041 - Corporate Action Election Cancellation Status Advice

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

The following messages have been added:

  • evnt_742_seev_033 - Corporate Action Election
  • evnt_743_seev_034 - Corporate Action Election Status Advice
  • sett_133_DRAFT1camt_089 - Funds Obligation
  • sett_135_DRAFT1camt_090 - Funds Obligation Status Advice
  • sett_137_camt_054 - Funds Movement
  • sett_141_pain_001 - Real Time Payment Instruction
  • sett_142_pain_002 - Real Time Payment Status Advice
  • comm_809_admi_007 - Transaction Acknowledgement Advice

NEW: ISO 20022 Messaging - MC - Issuer (Registry) Initiated Payment for Rejected Applications or Oversubscription Scaleback

The following messages have been added:

  • evnt_747_seev_036 - Corporate Action Refund
  • sett_133_DRAFT1camt_089 - Funds Obligation
  • sett_135_DRAFT1camt_090 - Funds Obligation Status Advice
  • sett_137_camt_054 - Funds Movement
  • sett_141_pain_001 - Real Time Payment Instruction
  • sett_142_pain_002 - Real Time Payment Status Advice
  • comm_809_admi_007 - Transaction Acknowledgement Advice

NEW: ISO 20022 Messaging - MC - Payment Provider Authorisation for RTGS Payments

The following messages have been added:

  • sett_133_DRAFT1camt_089 - Funds Obligation
  • sett_135_DRAFT1camt_090 - Funds Obligation Status Advice
  • sett_137_camt_054 - Funds Movement

NEW: ISO 20022 Messaging - MC - Diary Adjustments

The following messages have been added:

  • sett_139_sese_032 - Adjusted Settlement Instruction
  • sett_140_sese_032 - Accrual Settlement Instruction

NEW: ISO 20022 Messaging - MC - Code Changes

The following messages have been added:

  • admn_852_DRAFT2reda_007 - Applied Code Change
  • hold_226_seev_036 - Holding Adjustment Notification
  • sett_139_sese_032 - Adjusted Settlement Instruction

NEW: ISO 20022 Messaging - MC - Class Merger

The following messages have been added:

  • admn_852_DRAFT2reda_007 - Applied Code Change
  • hold_226_seev_036 - Holding Adjustment Notification
  • hold_228_semt_002 - Securities Balance Report
  • sett_139_sese_032 - Adjusted Settlement Instruction

NEW: ISO 20022 Messaging - MC - mFund Application

The following messages have been added:

  • mfnd_401_setr_010 mFund Application Order Request
  • mfnd_402_setr_016 mFund Order Status Notification
  • mfnd_404_setr_011 mFund Application Order Cancellation Request
  • mfnd_405_setr_017 mFund Order Cancellation Status Advice
  • mfnd_406_setr_012 mFund Application Order Confirmation
  • hold_228_semt_002 - Securities Balance Report
  • comm_809_admi_007 - Transaction Acknowledgement Advice

NEW: ISO 20022 Messaging - MC - mFund Redemption

The following messages have been added:

  • mfnd_402_setr_016 mFund Order Status Notification
  • mfnd_405_setr_017 mFund Order Cancellation Status Advice
  • mfnd_407_setr_004 mFund Redemption Order Request
  • mfnd_408_setr_005 mFund Redemption Order Cancellation Request
  • mfnd_409_setr_006 mFund Redemption Order Confirmation
  • acct_002_acmt_002 - Account Notification
  • comm_809_admi_007 - Transaction Acknowledgement Advice

NEW: ISO 20022 Messaging - MC - mFund Application & Redemption Rescheduling

The following message has been added:

  • mfnd_402_setr_016 mFund Order Status Notification

NEW: ISO 20022 Messaging - MC - mFund message collection

The following messages have been added:

  • mfnd_401_setr_010 mFund Application Order Request
  • mfnd_402_setr_016 mFund Order Status Notification
  • mfnd_404_setr_011 mFund Application Order Cancellation Request
  • mfnd_405_setr_017 mFund Order Cancellation Status Advice
  • mfnd_406_setr_012 mFund Application Order Confirmation
  • mfnd_407_setr_004 mFund Redemption Order Request
  • mfnd_408_setr_005 mFund Redemption Order Cancellation Request
  • mfnd_409_setr_006 mFund Redemption Order Confirmation

Update: ISO 20022 Messaging - MC - Bilateral Demand Settlement Instruction

The following change has been made:

  • Updated UML to include Payment Service Providers.

Update: ISO 20022 Messaging - MC - Administration message collection

The following message has been added:

  • admn_852_DRAFT2reda_007 - Applied Code Change

Update: ISO 20022 Messaging - MC - Settlement message collection

The following message has been added:

  • sett_139_sese_032 - Adjusted Settlement Instruction

Update: ISO 20022 Messaging - MC - Account Management message collection

The following messages have been added:

  • acct_012_acmt_003 - Investor Data and Foreign Tax Status Details
  • acct_013_acmt_003 - Bank Account Notification

Update: ISO 20022 Messaging - MC - Common message collection

The following change has been made:

  • The 'Requirements that include this message' column for Invalid Transaction (comm_807) and Rejected Transaction Notification (comm_808) have been updated to 'All message flows'.
ISO 20022 MessagingISO 20022 Messaging - Technical Manual (Update)

NEW: ISO 20022 Messaging - TM - Country codes and descriptions

NEW: ISO 20022 Messaging - TM - Currency codes

NEW: ISO 20022 Messaging - TM - Exchanges and market identification codes

Updated: ASX Proprietary Code List

The following code list has been amended:

  • NEW Code Lists to support CDE7 functionality including:
    • 49-CancellationOrderReason;
    • 50-RejectionOrderReason;
    • 51-TransactionAdviceReason;
    • 53-RejectedBankAccountReason;
    • 54-UpdateOrderReason;
    • 55-CorporateActionElectionCancellationReason;
    • 56-CorporateActionElectionRejectionReason;
    • 57-CorporateActionElectionPaymentStatus; and
    • 58-ConfigurationTypeCode.
  • ReceivingResidencyIndicator - Updated and clarified code for Mixed Residency from MXED → MIXD.
  • SubpositionType - Added Settlement Lock (SETL).
  • HolderAccountUpdateReason - Added Account Cancellation (CNCL).
  • HoldingAdjustmentReason - Added the following entries:
    • Order Correction (MCOR);
    • Application Order Issue (MAPP).
  • HolderAccountStatus - Added Reactivate (REAC).
  • NotificationReason - Account Cancellation (CNCL).
  • RescheduleReasonCodes - Isolate Counterparty (ISOL).

Updated: EIS to ISO 20022 Cross Reference Guide

The Cross Reference table has been updated to include the following revisions:

  • Added Investor Data and Foreign Tax Status Details (acct_012).
  • Added Bank Account Notification  (acct_013).
  • Added Adjusted Settlement Instruction (sett_139).
  • Added Accrual Settlement Instruction (sett_140).
  • Added Real Time Payment Instruction (sett_141).
  • Added Real Time Payment Status Advice (sett_142).
  • Added Applied Code Change (admn_852).
  • Added mFund Application Order Request (mfnd_401).
  • Added mFund Order Status Notification (mfnd_402).
  • Added mFund Application Order Cancellation Request (mfnd_404).
  • Added mFund Order Cancellation Status Advice (mfnd_405).
  • Added mFund Application Order Confirmation (mfnd_406).
  • Added mFund Redemption Order Request (mfnd_407).
  • Added mFund Redemption Order Cancellation Request (mfnd_408).
  • Added mFund Redemption Order Confirmation (mfnd_409).
  • Updated acct_002, acct_003 and acct_018 to include related Account Cancellation message references.
  • Updated Account Notification (acct_002) to include related mFund Redemption and Investor Data message references.
  • Updated acct_018 to include related EIS message page references; EIS536, EIS720, EIS740, EIS758, EIS759, EIS761, EIS762, EIS764 and EIS766.
  • Updated sett_133, sett_135 and sett_137 to include related Payment Provider Authorisation for RTGS Payments, Participant Initiated Entitlement Elections Payment Instruction and Issuer (Registry) Initiated Payment for Rejected Applications or Oversubscription Scaleback message references.
  • Updated Holding Adjustment Notification (hold_226) to include related Issuer Name and Code Changes as well as Class Merger message references.
  • Updated Securities Balance Report (hold_228) to include related Class Merger and mFund Application message references.
  • Updated evnt_742 and evnt_743 to include related Participant Initiated Entitlement Elections and Participant Initiated Entitlement Elections Payment Instruction message references.
  • Updated evnt_745 and evnt_746 to include related Participant Initiated Cancellation of Entitlement Election (Pre-Payment) message references.
  • Updated Transaction Acknowledgement Advice (comm_809) to include related Participant Initiated Entitlement Elections Payment Instruction and Issuer (Registry) Initiated Payment for Rejected Applications or Oversubscription Scaleback message references.
  • Removed EIS218 from the Descoped Messages table.
  • Added the following messages to the Descoped Messages list:

52 Full Dual Entry CHESS to CHESS Transfer
60 Full Issuer Sponsored to CHESS Transfer
62 Full Issuer Sponsored to CHESS Conversion
68 Full CHESS to Issuer Sponsored Transfer
72 Full CHESS to Issuer Sponsored Conversion
74 Full Single Entry CHESS to CHESS Transfer
90 Full Transferor Submitted Demand Transfer
96 Security Detail
180 Full Settlement Instruction
188 Full Adjusted Settlement Instruction
224 Holder History
234 Reporting Request Detail
505 Reporting Request Cancellation
514 Aggregated Foreign to Foreign Allocations
530 Cancelled Reporting Request
556 Cancelled Payment Set Notification
560 Top Security Holder Report
806 Switch Request
807 Switch Order Request
808 Switch Order Response
809 Effected Switch Order Request
813 Income Statement
816 Income Statement Advice
834 Full Issuer Sponsored Fund to CHESS Conversion
835 Full CHESS to Issuer Sponsored Fund Conversion
836 Full CHESS to CHESS Fund Transfer

844 Top Security Fund Holder Report
845 Unit Reversal Notification
846 Effected Unit Reversal Notification
851 Single Entry CHESS to CHESS Fund Transfer Request
852 Effected Fund Transfer
853 Dual Entry CHESS to CHESS Fund Transfer Request
854 Unmatched Dual Entry CHESS to CHESS Fund Transfer
855 Issuer Sponsored Fund to CHESS Transfer Request
856 Issuer Sponsored Fund to CHESS Transfer Authorisation Request
857 Registry Fund Transfer Authorisation
858 CHESS to Issuer Sponsored Fund Transfer Athorisation Request
859 Registry Fund Transfer Rejection
860 Rejected Registry Authorisation
861 CHESS to Issuer Sponsored Fund Transfer Request
862 CHESS Fund Transfer Notification
868 Income Statement Authorisation Request
869 Income Statement Request
881 Income Statement Authorisation
884 Accepted Income Statement Request
907 Income Statement Rejection

957 Registry Income Statement Part A
958 Accepted Registry Income Statement Set
959 Registry Income Statement Part B
960 Rejected Registry Income Statement Set
961 Registry Income Statement Part C AI
962 Participant Income Statement Part A
963 Registry Income Statement Part C CG
964 Participant Income Statement Part B
965 Registry Income Statement Part C FI
966 Participant Income Statement Part C AI
967 Registry Income Statement Part C NA
968 Participant Income Statement Part C CG
969 Registry Income Statement Part C OD
970 Participant Income Statement Part C FI
971 End Registry Income Statement Set
972 Participant Income Statement Part C NA
974 Participant Income Statement Part C OD
976 End Participant Income Statement Set

ISO 20022 Messaging - TM - Business Error Code List (Update)

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

The Business Error Code list has been updated to include the following revisions:

  • Added entries for the following reason codes; 1173, 1174 and 1175.
ISO 20022 Usage Guidelines (Update)Usage Guidelines (or schemas for each message) will be accessible from the SWIFT MyStandards web platform. Each guideline provides field definitions that include meanings, allowable data values, message samples and schemas.

This release introduces a schema upgrade for account modification to version acct_003_001_06_acmt_003_001_07, including address lines and communication preference. Note that as the consultation is still in progress, depending on the outcome of that process, this schema is subject to change.

Update: Business Message Parameters - Release 6

  • "acct_002_001_05" → "acct_002_001_06" - Updated to include the following:
    • Remove Date of Bankruptcy <Period><From Date and Time>
  • "acct_003_001_05" → "acct_003_001_06" - Updated to include the following:
    • Communication Preference' changed from from Electronic (ONLI) to Electronic 'ELEC';

    • Two additional values inserted for communication reference.  Electronic ASX Only (ELEA) and Electronic Issuer Only (ELEI);

    • Inserted ModifiedAccountParties/PrincipalAccountParty/PrimaryOwner/Party/Organisation/TypeOfOrganisation to allow holder type change as part of account modification request;

    • Inserted ModifiedAccountParties/PrincipalAccountParty/JointOwner/Party/Organisation/TypeOfOrganisation to allow holder type change as part of account modification request; and

    • Moved Valid To Date and Valid From Date higher in the message structure (under ModifiedInvestmentAccount/UpdateInstructionReason/Reason/AdditionalInformation).

  • "evnt_745_001_03" → "evnt_745_001_04" - Added elements for Share Purchase Plan and Rights Issue Elections:
    • Event type codes:
      • PRIO (Share Purchase Plan); and
      • RHTS Rights Issue.
    • Corporate Action Instruction Codes:
      • EXER (Exercise); and
      • OVER (Oversubscribe);
    • Instructed Quantity.
  • "evnt_746_001_03" → "evnt_746_001_04" - Added elements for Share Purchase Plan and Rights Issue Elections:
    • Event type codes:
    • PRIO (Share Purchase Plan); and
    • RHTS Rights Issue.
    • Corporate Action Instruction Codes:
      • EXER (Exercise); and
      • OVER (Oversubscribe).
    • Status Cash Amount.
  • "hold_229_001_02" → "hold_229_001_04" - Updated to include the following:
    • Changed the data type of Trade Identification field from ‘/(PRTY|UNDR)/[\S]{1,29}’ to ‘/(PRTY|UNDR)/.{1,29}’ to allow spaces in the field; and
    • Consolidated Delivering Account (HIN) and Account (HIN) fields into a single mandatory field.
  • "hold_230_001_02" → "hold_230_001_04"Changed the data type of Trade Identification field from ‘/(PRTY|UNDR)/[\S]{1,29}’ to ‘/(PRTY|UNDR)/.{1,29}’ to allow spaces in the field; and
  • "pldg_301_001_02" → "pldg_301_001_04"Updated to include the following:
    • Changed the data type of Clearing Account element from ‘[0-9]{1,12}’ to ‘[a-zA-Z0-9]{1,12}’ to allow characters in the field; and

    • Changed the message name and the XSD file name according to the standard naming convention from: pldg_301_01_03 → pldg_301_001_04.

  • "pldg_302_001_02" → "pldg_302_001_03"Changed the message name and the XSD file name according to the standard naming convention from: pldg_302_01_03 → pldg_302_001_03.
  • "pldg_303_001_02" → "pldg_303_001_04"Updated to include the following:
    • Changed the data type of Clearing Account element from ‘[0-9]{1,12}’ to ‘[a-zA-Z0-9]{1,12}’ to allow characters in the field.
    • Changed the message name and the XSD file name according to the standard naming convention from: pldg_303_01_03 → pldg_303_001_04.
  • "pldg_305_001_01" → "pldg_305_001_02" - Changed the data type of Clearing Account element from ‘[0-9]{1,12}’ to ‘[a-zA-Z0-9]{1,12}’ to allow characters in the field.
  • "sett_119_001_04" → "sett_119_001_05"Updated to include the following:
    • Changed the data type of Trade Identification field from ‘/(PRTY|UNDR)/[\S]{1,29}’ to ‘/(PRTY|UNDR)/.{1,29}’ to allow spaces in the field;
    • Added the element ‘Receiving Account Identifier’ under ‘ReceivingSettlementParties/Party1/SafekeepingAccount' element for the purpose to use 'Receiving Account Identifier’ in scope of Unilateral Settlement scenario;
    • Updated the following element 'TransactionIdentificationDetails/ProcessorTransactionIdentification' from Mandatory → Optional;
    • Updated the following element 'AdditionalParameters/PartialSettlement' from Optional → Mandatory;
    • Updated the following element 'OtherAmounts/Other' from Optional → Mandatory
    • Updated the following element 'SettlementParameters/SettlementTransactionCondition' from Optional → Mandatory as well as included 2 new values added NSFI, NROB to the list; and
    • Changed supplementary data from Mandatory → Optional.
  • "sett_122_001_01" → "sett_122_001_02"Updated to include the following:
    • Added the Other Message Identification '<OthrMsgId>';
    • Changed the Date Type of Safekeeping Account> Identification from: DEFAULTFixedText to:[0-9]{10}|DEFAULT;
    • Corrections were made within the ASX ISO Message Definition annotation, these changes did not result in schema changes.
  • "sett_130_001_03" → "sett_130_001_05" - Updated to include the following:
    • Updated the following element 'OtherAmounts/Other/CreditDebitIndicator' from Optional → Mandatory;
    • Added the following element 'TransactionIdentificationDetails/AccountServicerTransactionIdentification' as Optional;
    • Added the following element 'SettlementParameters/SettlementTransactionCondition' as Mandatory; and
    • Added the following element 'TradeTransactionCondition' as Optional.

NEW: ISO 20022 Messaging - TM - Business Message Parameters - Release 7 

The following updates from Business Message Parameters - Release 6 → Release 7 have been made:

  • NEW: included new entry for the following:
    • "acct_012_001_01_acmt_003_001_07";
    • "acct_013_001_01_acmt.003_001_07";
    • "sett_139_001_01_sese_032_001_09";
    • "sett_140_001_02_sese_032_001_07";
    • "sett_141_001_01_pain_001_001_09"; and
    • "sett_142_001_01_pain_002_001_10".
  • "acct_001_001_06_acmt_001_001_07" → "acct_001_001_07_acmt_001_001_07"- Updated to include the following:
    • Changed the Communication Preference from Electronic (ONLI) to Electronic 'ELEC'; and

    • Added values for Communication Preference;

      • Electronic ASX Only (ELEA); and

      • Electronic Issuer Only (ELEI).

  • "acct_002_001_06_acmt_002_001_07" → "acct_002_001_07_acmt_002_001_07"Updated to include the following:
    • Added APIR code for Security Code;
    • Removed Date of Bankruptcy <Period><From Date and Time> from the <AccountParties><PrincipalAccountParty><JointOwner><AdditionalInformation>;
  • "acct_003_001_06_acmt_003_001_07" → "acct_003_001_07_acmt_003_001_07"Updated to include the following:
    • Inserted new element: PreviousReference/Reference as an optional element to indicate the Previous Account cancellation request to be cancelled.
  • "acct_018_001_01_acmt_006_001_06" → "acct_018_001_02_acmt_006_001_06" - Updated to incorporate changes related to Investor Data and Foreign Tax Status Advice.
  • "evnt_742_001_03_seev_033_001_08" → "evnt_742_001_04_seev_033_001_08"Added elements for Share Purchase Plan and Rights Issue Elections:
      • Customer Entitlement Number;

      • Additional event type codes:

        • PRIO (Share Purchase Plan); and

        • RHTS Rights Issue;

      • Corporate Action Instruction Codes:

        • EXER (Exercise); and

        • OVER (Oversubscribe);

      • Instructed Amount; and

      • Payment Reference.

  • "evnt_743_001_03_seev_034_001_09" → "evnt_743_001_04_seev_034_001_09"Added elements for Share Purchase Plan and Rights Issue Elections:
    • Customer Entitlement Number

    • Additional event type codes:

      • PRIO (Share Purchase Plan); and

      • RHTS Rights Issue.

    • Proprietary Payment Statuses:

      • Authorised (AUPP);

      • Cancelled (CANC);

      • Complete (COMP);

      • Initiated (INIT);

      • Pending (PEND); and

      • Reject (RJCT);

    • Corporate Action Instruction Codes:

      • EXER (Exercise); and

      • OVER (Oversubscribe).

    • Status Cash Amount.

  • "pldg_304_001_01_sese_023_001_07" → "pldg_304_001_02_sese_023_001_07"- Change the data type of Clearing Account element from ‘[0-9]{1,12}’ to ‘[a-zA-Z0-9]{1,12}’ to allow characters in the field.
  • "pldg_306_01_01_semt_014_01_06" → "pldg_306_001_02_semt_014_001_06"Updated to include the following:
    • Changing the message name and the XSD file name according to the standard naming convention; and
    • Updated message name from: 'pldg_306_01_01' to 'pldg_306_001_02'.
  • "sett_133_001_01_draft1camt_089_001_01" → "sett_133_001_02_draft1camt_089_001_01"Updated to include the following:
    • Added a rule to indicate the use of Transaction Id in case of batch and Real Time funds authorisations (SettlementAccountNetPosition/NetPositionIdentification);

    • Changed type of element 'CashAccount/Identification/Other/Identification' from 'Exact6NumericText' to 'Max34Text' to cater the Bank Account length ;

    • Changed the field name of element 'CashAccount/Identification/Other/Identification' from ‘Payment Facility Id' to 'Cash Account’;

    • Changed element name of 'SettlementAccountNetPosition/Amount/Amount' from 'Net Fund Obligation' to 'Amount';

    • Updated the following element 'SettlementAccountNetPosition/TrustAmount' from Mandatory to Optional;

    • Added new Real Time Payment authorisation reasons for the element 'SettlementAccountNetPosition/AuthorisationReason':

      • Real Time Payment Authorisation (RPAU); and

      • Real Time Payment Notification RPNO.

  • "sett_135_001_01_draft1camt_090_001_01" → "sett_135_001_02_draft1camt_090_001_01"- Changed from 'Exact6NumericText' to 'Max34Text' to cater to Bank Account length (CashAccount/Identification).
  • "sett_137_001_01_camt_054_001_08" → "sett_137_001_02_camt_054_001_08"Updated to include the following:
    • Creation Date Time data type changed from 'ISODateTime_ASX_1 (Date Time)' to 'ISODateTime (Date Time)'

    • 'Account' field (Notification/Account/Identification/Other/Identification) expanded from Exact6Numeric to Max34Text

    • 'Amount' (Notification/Entry/Amount) field name changed from 'Settlement Amount' to 'Amount'

    • 'ValueDate' element (Notification/Entry/Value date). ASX Element Name changed from 'Settlement Date' to 'Value Date'

    • Transactions Summary (Notification/Transaction Summary/Total Entries/Number Of Entries) element became Optional.

    • Additional Entry Information (Notification/Entry/Additional Entry Information) changed from Mandatory to Optional element.

    • Added new element Notification/Additional Notification Information

NEW: Collections for CDE7

  • ASX_AU_CHS_rel7_admn Technical Version 1
  • ASX_AU_CHS_rel7_sett Technical Version 1
  • ASX_AU_CHS_rel7_hold Technical Version 1
  • ASX_AU_CHS_rel7_acct Technical Version 1
  • ASX_AU_CHS_rel7_comm Technical Version 1
  • ASX_AU_CHS_rel7_pldg Technical Version 1
  • ASX_AU_CHS_rel7_evnt Technical Version 1
FIX MessagingFIX Messaging - Message Catalogue (MC)

Updated: FIX Messaging - MC - Reject (Type 3)

The following update has been made:

  • Updated Valid Values for tag 373 (SessionRejectReason) including:
    • Change from '0 - Other' → '0 - Invalid Tag Number'; and
    • Added 99- Other.

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

The following update has been made:

  • Updated tag 553 (Username) and tag 554 (Password) from Optional (O) to Mandatory (M). 

Updated: FIX Messaging - MC - Trade Capture Report AE

The following update has been made:

  • Updated tag 64 (SettlDate) to from Mandatory (M) to Optional (O)

ISO 20022 Messages in Scope for CDE Drop 7

Business Message CollectionMessage Catalogue Entry
ISO 20022 Messaging - MC - Account Management message collection
  • Account Notification
ISO 20022 Messaging - MC - Common message collection
  • Transaction Acknowledgement Advice
  • Invalid Transaction
  • Rejected Transaction Notification
ISO 20022 Messaging - MC - Corporate Action Event message collection
  • Corporate Action Election
  • Corporate Action Election Status Advice
  • Distribution Advice Notification
  • Corporate Action Election Cancellation
  • Corporate Action Election Cancellation Status Advice
ISO 20022 Messaging - MC - Holding message collection
  • Holding Adjustment Notification
  • Corporate Actions Related Transfer
  • Corporate Actions Related Transfer Confirmation
ISO 20022 Messaging - MC - Pledge and Lodgement message collection
  • Intra Position Movement Instruction
  • Intra Position Movement Status Advice
  • Intra Position Movement Confirmation
  • Collateral Release Confirmation
  • Collateral Removal Notification



Connectivity

DocumentDescriptionRelease Notes
Ledger API Connectivity to the CSPIdentify the Master Ingress Contract (Update)Updated to include the following note; "Each UIC has its own Ingress Master Contract."



Release Notes

DocumentDescriptionRelease Notes
Release NotesForward Release Plan (Update)

Update: Forward Release Plan

  • Updated Demand Reporting from February 2020 → March 2020.
  • Updated Batch Settlement Failure Levy (Part 4 of 4) to include Failure Levy, moving from CDE6 → CDE7.



Frequently Asked Questions (FAQs)

DocumentDescriptionRelease Notes
Frequently Asked Questions (FAQs)FAQs - Testing (Update)

Updated Testing FAQs to include answers to the following question:

  • How do we test for a new payment facility message?



Glossary

DocumentDescriptionRelease Notes
Glossary Terms

Lists and defines terms used in technical documentation. This glossary is for general guidance only. It does not amend or replace any definitions used in any ASX rulebooks.

Included the following new terms and definitions:

  • RTGS Participant
  • Corporate Action Payment Participant

Updated the following terms and definitions:

  • Payment Facility
  • Payments Provider




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