CDE CSP Users



Users who elect SWIFTNet as their method of connectivity will receive their own personalized set of UICs, post application on-boarding. For more information on SWIFTnet, refer to Connectivity to the SWIFTNet Closed User Group (CUG).

ASX has set up UIC 00001, acting as the ASX operator, for CDE customers to submit messages to when performing testing with the CSP. 

The following table explains the functionalities available at each release: 



Trading

Clearing

Market Settlement

Client Settlement

Holding Management

Account Management

mFund Management



Trading

Clearing

Market Settlement

Client Settlement

Holding Management

Account Management

mFund Management

Available Functions (CDE 1)

None

None

None

  • Bilateral Demand Settlement Instruction

  • Unilateral Demand Transfer

  • Bilateral Demand Transfer

Please refer to March 2019 Document Release Notes for further information.

None

Available Functions (CDE 2)

None

  • Market Trade

None

None

None

None

Available Functions (CDE 3)

None

None

None

None

  • Participant To / From Issuer Sponsored Transfer

  • Participant To / From Issuer Sponsored Conversion

  • SRN Enquiry

  • Create Account & Holder

  • Account & Holder Modification

None

Available Functions (CDE4)

None

None

None

  • Unilateral Settlement Instruction

  • Bilateral Settlement Instruction

None

None

None

Available Functions (CDE5)

None

None

None

  • Settlement Lock

  • Issuer Agent Transfer (Warrants)

  • Change of Controlling Participant

None

Available Functions (CDE6)

None

None

None

  • Real-time Payment Facility

  • Collateral Management (ETO & CMM)

  • Holding Adjustments

None

None

Available Functions (CDE7)

None

None

None

None

None

  • Account and Holder Locking and Unlocking

  • Account Cancellation

None

Available Functions (CDE8)

None

  • Cash Market Margin (CMM) Change Margin Settlement Amount

None

  • Payment Provider Authorisation for RTGS Payments for Bilateral Demand Settlement Instructions

  • Holding Administration Locks

None

None

Available Functions (CDE9)

None

  • Daily Margin Settlement Advice

None

  • Payment Provider Authorisation for RTGS Payments for Bilateral Demand Settlement Instructions

None

  • Investor Data

  • Account and Holder changes for migration purposes

None

Available Functions (CDE 9.5 - mFund Release)

None

None

None

None

None

None

  • mFund Applications and Redemptions

Available Functions (CDE10)

None

None

  • Netting and Settlement Workflow Changes

None

None

None





The following table explains the test functions that each CSP user can perform:  



UICs

Description of Functionality

Trading

Clearing

Market Settlement

Client Settlement

Holding Management**

Account Management

Approved Market Operator (AMO)

mFund



UICs

Description of Functionality

Trading

Clearing

Market Settlement

Client Settlement

Holding Management**

Account Management

Approved Market Operator (AMO)

mFund

Trading, Clearing & Settlement Participant *

01011, 01012, 01100, 01102, 01103, 01104, 01105, 01106, 01109, 01110, 01111, 01112, 01113, 01114, 01115, 01116, 01119

These entities are authorised to perform trading, clearing, market settlement, client settlement, holding management and account management for themselves. 

✓***

Trading Participant

1108, 1118

These entities are authorised to perform trading functionality. They require another a third-party to perform clearing, market settlement, client settlement, holding management and account management for them. 

Third Party Clearing & Settlement Participant

01100, 01105, 01112, 01119

These entities are authorised to act as a third-party to perform clearing, market settlement, client settlement, holding management and account management for another participant OR a third-party to perform clearing, market settlement and client settlement for another participant OR a third-party to perform client settlement for another participant.

N.B. These entities are also authorised to perform trading, clearing, market settlement, client settlement, holding management and account management for themselves. 

✓***

Non-Trading Settlement Participant

20000, 20001, 20002, 20003, 20004, 21013

These entities are only able to perform client settlement, holding management and account management.

Trading & Account Participant *

01101, 01107, 01117, 01120

These entities are able to perform trading, holding management and account management. However they require a third-party to perform clearing, market settlement and client settlement for them.

***

Account Participant

20005

This entities are only able to perform holding management and account management. They will require a third party to perform client settlement for them. 

Payment Providers

19001, 19002, 19003, 19004, 19005, 19099

These entities are able to perform Payment Provider services. 

Issuer Registry

55000 to 65999, 75000 to 78999, 89000 to 89999

These entities are able to perform Issuer Registry functions. 

✓****

Approved Market Operator (AMO)

For further information regarding FIX messaging MIC Codes, refer to the FIX Appendix.

These entities are able to execute and report market trades into the CSP via FIX Gateway. For further information refer to Approved Market Operator (AMO).

Participants can report trades via the CDE Self-Service Trade Ingest API.

Bid Offeror

15000 to 15015

These entities are authorised to act as a party that is offering to acquire shares ("Target securities"), either:

  • in the case of a Takeover; the bidding company, or an agent of the bidding company proposing the Takeover; or

  • in the case of a Buy-back; an Issuer (Registry), or an agent of the Issuer that is buying back securities from an eligible Account Holder.

Product Issuer Settlement Participant

10009, 10010, 10011, 10012, 10013, 10014, 10015, 10016, 10017, 10018, 10019, 10020, 10021, 10022

These entities are able to perform PISP functions.

* When performing trading, a 4 digit trading identifier is used to denote entities. However these same entities will be denoted using a 5 digit UIC when performing clearing, market settlement, client settlement, holding management and account management mFund management functions. For example, a trading participant represented by trading identifier 1100 will be represented by UIC 01100 when performing clearing, market settlement, client settlement, holding management or account management mFund management  functions. 

**Collateral management applies to UIC’s with Holding management excluding Issuer Registry and Bid Offeror.

***mFund orders placed by UIC 01107 will settle through UIC 01100. UICs 01100 and 01119 can both place and settle mFund orders.

****Applicable for mFund related securities only.

Holding Adminstration Lock is performed by ASX Operations, however the Self-Service Holding Administration Lock Tool allows both the Controlling Participant and Issuer (Registry), to act as ASX operations to lock a holding and subsequently unlock.

For CDE, the UICs 01101 & 01112; 01107 & 01100; 01117 & 01112; 01120 & 01119; and 20005 & 1105 are Actors that may be used to facilitate Unilateral Demand Transfer between related participants. The UIC 01103 acts as the Issuer Agent for Issuer UIC 59824 (Citi) that may be used to facilitate Issuer Agent Transfers (Warrants), e.g. ANZKOV.





The following table provides a mapping of trading identifiers to UICs available for the pre-seeded information in CDE:

To test the workflow whereby the Controlling Participant is the same as the Clearing Participant then the associated 'ETO Clearing Member' value is to be used for that Clearing Participant.

To test the workflow whereby the Controlling Participant is different to the Clearing Participant then the 'ETO Clearing Member' for any Clearing Participant is to used (i.e. ETO Clearing Member must be the same for a related Clearing Participant but is not the same as the Controlling Participant).

*In the below example:

  • 01101 submits the message and the Account Identifier (accountId) on the message must be controlled by UIC 01101; and

  • The ETO Clearing Member for that same message should be 01112.***

**or any UIC under the Clearing column

***when a request is sent to 01112 the auto-responder will not act as the ETO Clearing Member. This provides participants with the ability to act as the Clearing Participant.

****01119 is the only actorId that can be used within self service tool when a PISP is acting as a participant to initiate application and redemption orders



Trading

Clearing

Market Settlement

Client Settlement

Holding Management

Account Management

ETO Clearing Members

mFund Management

Trading

Clearing

Market Settlement

Client Settlement

Holding Management

Account Management

ETO Clearing Members

mFund Management

1100

01100

01100

01100

01100

01100

01100

01100

1101

01112

01112

01112

01101

01101

01112*

n/a

1102

01102

01102

01102

01102

01102

01102

n/a

1103

01103

01103

01103

01103

01103

01103

n/a

1104

01104

01104

01104

01104

01104

01104

n/a

1105

01105

01105

01105

01105

01105

01105

n/a

1106

01106

01106

01106

01106

01106

01106

n/a

1107

01100

01100

01100

01107

01107

01100*

01107

1108

01112

01112

01112

01112

01112

n/a

n/a

1109

01109

01109

01109

01109

01109

01109

n/a

1110

01110

01110

01110

01110

01110

01110

n/a

1111

01111

01111

01111

01111

01111

01111

n/a

1112

01112

01112

01112

01112

01112

01112

n/a

1113

01113

01113

01113

01113

01113

01113

n/a

1114

01114

01114

01114

01114

01114

01114

n/a

1115

01115

01115

01115

01115

01115

01115

n/a

1116

01116

01116

01116

01116

01116

01116

n/a

1117

01112

01112

01112

01117

01117

01112*

n/a

1118

01100

01100

01100

01100

01100

n/a

n/a

1119

01119

01119

01119

01119

01119

01119

01119****

1120

01119

01119

01119

01120

01120

01119*

n/a

n/a

n/a

n/a

20001

20001

20001

01105**

n/a

n/a

n/a

n/a

20002

20002

20002

01105**

n/a

n/a

n/a

n/a

20003

20003

20003

01105**

n/a

n/a

n/a

n/a

20004

20004

20004

01105**

n/a

n/a

n/a

n/a

01105

20005

20005

01105**

n/a

The following table provides a mapping of mFund PISPs and Securities available for the pre-seeded information in CDE:

mFund PISP

Security Id

Security Code

ISIN

APIR Code

mFund PISP

Security Id

Security Code

ISIN

APIR Code

10009

935577

AXW01

AU60AAP01037

AAP0103AU

935578

AXW02

AU60AAP01045

AAP0104AU

10010

756034

AQY01

AU60ETL00600

ETL0060AU

10011

875520

KAP01

AU60HOW00528

HOW0052AU

916415

MLO02

AU60HBC00113

HBC0011AU

10012

945558

BAM05

AU60CSA00450

CSA0045AU

10013

756036

APF01

AU60APN00081

APN0008AU

756038

APF02

AU60APN00230

APN0023AU

10014

755831

EAP03

AU60ETL03901

ETL0390AU

755829

EAP01

AU60ETL03919

ETL0391AU

10015

777685

PLM01

AU60PLA00176

PLA0017AU

10016

915872

AET01

AU60AUG00200

AUG0020AU

915873

AET02

AU60AUG00234

AUG0023AU

10017

928607

IAL02

AU60GTU01026

GTU0102AU

10018

755742

IBB01

AU60INT00524

INT0052AU

755744

IBB03

AU60INT00771

INT0077AU

10019

962958

CFM02

AU60CRM00283

CRM0028AU

10020

883345

HYN01

AU60BNT00032

BNT0003AU

883346

HYN02

AU60BNT01014

BNT0101AU

10021

902585

PLI01

AU60WHT00394

WHT0039AU

10022

898069

SPC01

AU60ETL04107

ETL0410AU

The following table provides a mapping of UIC to BIC mapping available for the pre-seeded information in CDE:

The below BICs support testing and do not represent production BICs. Refer to ISO 20022 Messaging - TM - Party Identification (UIC and BIC) for further information.



UIC

BIC

UIC

BIC

01011

XASXAU2S008

01012

XASXAU2S010

19001

XASXAU2S001

19002

XASXAU2S002

19003

XASXAU2S003

19004

XASXAU2S004

19005

XASXAU2S005

19099

XASXAU2S006

21013

XASXAU2S010