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
10009	935578	AXW02	AU60AAP01045	AAP0104AU
10010	756034	AQY01	AU60ETL00600	ETL0060AU
10011	875520	KAP01	AU60HOW00528	HOW0052AU
10011	916415	MLO02	AU60HBC00113	HBC0011AU
10012	945558	BAM05	AU60CSA00450	CSA0045AU
10013	756036	APF01	AU60APN00081	APN0008AU
10013	756038	APF02	AU60APN00230	APN0023AU
10014	755831	EAP03	AU60ETL03901	ETL0390AU
10014	755829	EAP01	AU60ETL03919	ETL0391AU
10015	777685	PLM01	AU60PLA00176	PLA0017AU
10016	915872	AET01	AU60AUG00200	AUG0020AU
10016	915873	AET02	AU60AUG00234	AUG0023AU
10017	928607	IAL02	AU60GTU01026	GTU0102AU
10018	755742	IBB01	AU60INT00524	INT0052AU
10018	755744	IBB03	AU60INT00771	INT0077AU
10019	962958	CFM02	AU60CRM00283	CRM0028AU
10020	883345	HYN01	AU60BNT00032	BNT0003AU
10020	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