1

The Participant / Issuer (Registry) populates the Reporting Request (Cum Entitlement Balance), with the following:

1. Mandatory ISO 20022 elements defined in the Message Usage Guidelines;

2. Optional ISO 20022 elements defined in the Message Usage Guidelines where applicable to the request; and

3. Related ASX business values and rules applicable to the request.

The Participant / Issuer (Registry) sends the Reporting Request to the CSP, requesting the generation of a Holding Balance Report (Cum Entitlement Balance).

Participant / Issuer (Registry)

CSP

Reporting Request (rptg_601)

2

The CSP validates the Reporting Request (Cum Entitlement Balance) against the schema and business validation rules.

If the Report Request is schema and business valid, then refer to Step 3.

If the Report Request is not schema or business valid, then refer to Step 10; "On Fail".

CSP

-

-

3

The CSP sends a Transaction Acknowledgement Advice to the Participant / Issuer (Registry).

CSP

Participant / Issuer (Registry)

Transaction Acknowledgement Advice (comm_809

4

The CSP determines when to generate the requested report.

If the Report Request As At Date parameter is specified with the current business date, the demand report will be generated at the end of day. Then, refer to Step 5; “End of Day Report Generation“.

If the Report Request As At Date parameter is not specified or specified with a date prior to the current business date, the demand report will be immediately generated. Then, refer to Step 7; “Report Generation“.

CSP

-

-

End of Day Report Generation

5

The End of Day process is triggered to perform report generation.

CSP

-

-

6

The CSP validates the Reporting Request (Cum Entitlement Balance) against the business validation rules.

If the Report Request is business valid, then refer to Step 7; “Report Generation”.

If the Report Request is not business valid, then refer to Step 10; "On Fail".

CSP

-

-

Report Generation

7

The CSP generates the Holding Balance Report (Cum Entitlement Balance).

CSP

-

-

8

The CSP sends the Holding Balance Report (Cum Entitlement Balance) to the Participant / Issuer (Registry).

CSP

Participant / Issuer (Registry)

Holding Balance Report (rptg_604)

9

The CSP sends an End of Report notification to the Participant / Issuer (Registry), indicating the generation of the requested report is complete.

CSP

Participant / Issuer (Registry)

End of Report (rptg_607)

On Fail

10

If the Reporting Request (Cum Entitlement Balance) fails schema or business validation, the CSP will send the Participant / Issuer (Registry):

• An invalid Transaction Notification with the relevant error code for schema failure; or

• A rejected Transaction for business validation failure.

CSP

Participant / Issuer (Registry)

Invalid Transaction Notification (comm_807)

Rejected Transaction (comm_808)

Transaction Id

Statement Requested / Number / Proprietary Number

The unique identifier of the Holding Balance Report Request. Further details of Transaction Identifications are detailed here.

Report Type

Statement Identification

Identifies the type of report being requested. In this case, Cum Entitlement Balance (CEBL) must be populated.

Account Identifier (HIN)

Safekeeping Account / Identification

Identifies the Account (HIN) for which a Cum Entitlement Balance Report is requested. If populated with 'ALL' then the reporting request applies to all Account (HINs) the requesting Participant / Issuer (Registry) is authorised to view.

As At Date

Statement General Details / Statement Date Or Period / Statement Date

Identifies the date which the report relates to.

Where As At Date is not populated then the current cum entitlement balances is requested.

Where As At Date is populated then the cum entitlement balances as per the date provided is requested.

Where As At Date is populated with the current date then the cum entitlement balance as at the end of the current business date is requested.

Security Code

Financial Instrument Identification

Identifies the Financial Product for which a Cum Entitlement Balance on the selected Account (HIN) is requested.

Either a Security Code and/or an ISIN may be provided. Where it is not populated then the Cum Entitlement Balances will be returned for all financial products for the selected Account (HIN) that the requesting Participant / Issuer (Registry) is authorised to view.

Further details of Security Code and ISIN are detailed here.

Corporate Action Event Id

Additional Request Parameters / Corporate Action Event Identification

The unique numeric identifier of the Corporate Action that Cum Entitlement Balance Reporting request pertains to. Where it is not populated then request applies to all current Corporate Actions that the requesting Participant / Issuer (Registry) is authorised to view.

Corporate Action Type

Additional Query Parameters / Status / Corporate Action Event Stage

Identifies the type of corporate action. A specific corporate action can be identified when used in conjunction with Ex Date. Only a cum value (starts with “C”) that exists in the Basis of Movement table may be provided. For further details refer to the Proprietary Code List (BasisOfMovementCode). Where it is not populated then request applies to all current corporate actions that the requesting Participant / Issuer (Registry) is authorised to view.

Ex Date

Additional Request Parameters / Ex Date Parameter

Identifies the date at which the cum entitlement balance that pertains to a corporate action is generated for holders of the financial product. Where it is not populated then request applies to all current corporate actions that the requesting Participant / Issuer (Registry) is authorised to view.

Transaction Id

Related Reference / Reference

Indicates the Transaction Id provided on the Reporting Request. Further details of Transaction Identifications are detailed here.

Status Code

Status Code

Indicates the status of the Reporting Request. In this case, Accepted (ACCP) will be present.

Pagination

Pagination / Page Number
Pagination / Last Page Indicator

Indicates the page number of the message (within a report) and continuation indicator to indicate that the report is to continue or that the message is the last page of the report. When multiple pages do not apply Page Number (PgNb) is populated with ‘1' and Last Page Indicator (LastPgInd) is populated with 'true’. Further details regarding Pagination are detailed here.

Transaction Id

Query Reference

Indicates the Transaction Id provided on the Reporting Request. Further details of Transaction Identifications are detailed here.

Report Type

Statement Identification

Indicates the type of report generated. In this case, Cum Entitlement Balance (CEBL) will be populated.

Date

Statement Date Time / Date

Indicates the date for which the report is generated.

Frequency

Frequency

Indicates how the report request was processed. In this case, it will be populated with Ad-hoc (ADHO).

Advice Reason

Statement Basis

Indicates the reason for the transmission of information. In this case, it will be populated with Reporting (RPTG).

Account Identifier (HIN)

Safekeeping Account / Identifier

Indicates the Account (HIN) the cum entitlement balance pertains to. If the Cum Entitlement Balance Report was requested for ‘ALL’ Account (HINs), it will be populated with the fixed value 'NONREF' as Account (HIN) will be part of the repeating group.

The following attributes will be repeated for each Account (HIN) and Corporate Action that a cum entitlement balance is reported.

Security Code

Financial Instrument Identification

Indicates the Financial Product for which the Cum Entitlement Balance is being reported. Both Security Code and ISIN will always be present on the Holding Balance Report. Further details of Security Code and ISIN are detailed here. 

If the Financial Product has an APIR Code, then it will be provided. 

Unit Quantity

Aggregate Balance / Quantity

Indicates the number of cum entitlement units allocated to the Account (HIN) for the corporate action.

Account Identifier (HIN)

Holding Additional Details

Indicates the Account (HIN) the cum entitlement balance pertains to.

Corporate Action Event

Financial Instrument Attributes / Financial Instrument Attribute Additional Details

Indicates the corporate action for which the balance is being reported.

The value provided is a concatenation of the following:

• Corporate Action Event Id - the unique numeric identifier of the corporate action;

• Corporate Action Type - a code beginning with “C” present in the Proprietary Code List (BasisOfMovementCode) that indicates the type of corporate action; and

• The Ex Date of the corporate action.

The value will be constructed as: “<Corporate Action Event Id>|<Corporate Action Type>|<Ex Date>".

Report Type

Report Identification

Indicates the type of report generated. In this case, Cum Entitlement Balance (CEBL) will be populated.

Event Type

Notice Type

Indicates the reporting request has been processed to completion. In this case, End of Report (ENRE) will be present.

Transaction Id

Query Reference

The Transaction Id of the Reporting Request this notification pertains to.

Report Entries Count

Supplementary Data / Additional Report Parameters / Report Entries Count

Indicates the number of repeating group entries per report with the same Transaction Id. In this case, an entry will exist for each Account (HIN) and Corporate Action where a cum entitlement balance is reported.