29 May 2020 - CDE 7 APG, Browser, Mutual TLS, Testing and Known Issues & Limitations Updates

Date

29 May 2020

Type

Update: APG, Known Issues & Limitations list, Testing, Ledger API Connectivity, Browser and Messaging pages have been revised.

Reason for changes

  1. As a result of CDE Drop 7, the Ledger API Connectivity Guide has been uplifted to include changes related to the DAML SDK update and mutual TLS. Similarly, testing documentation has been updated to reflect new functionality brought in CDE Drop 7, as well as to highlight resolved CDE Drop 6 defects and observed behaviours.

  2. As a result of the May Implementation & Transition working group, the forward release plan and FAQs have been revised to reflect information discussed from this session.

  3. Updates to the Operational Procedure & Guidelines document including new sections of the APG covering functional areas including Account Administration, Transfers and Conversions.

  4. General technical documentation updates including further Browser Interface documentation, additional API Contract references and catalogue entries as well as message collection grouping.

Note

For clarity, deletions, code snippets, hyperlinks, images and major content updates to pages or tables are not highlighted in orange. Changes to APG sections will be accompanied by a page history comparison per 1.7 Maintenance and Updates.

Operational Procedures & Guidelines

Document

Description

Release Notes

Document

Description

Release Notes

Operational Procedures & Guidelines

Section 04 - Account administration (NEW)

The APG sections released include information regarding:

  • a breakdown of account administration concepts, including account (HIN) creation, modification, standards, change of controlling participant, locking, unlocking and cancellation;

  • a breakdown of holding administration lock concepts;

  • a breakdown of conversion concepts, including registration identifier (RGID) and security reference number (SRN), and processes for both issuer to participant and participant to issuer conversions; and

  • a breakdown of transfer concepts and processes, including part settlement and the cancellation of transfers.

Section 05 - Holding administration locks (NEW)

Section 06 - Transfers and conversions between subregisters (NEW)

Section 07 - Transfers between CHESS accounts (NEW)

APG Changes (Update)

Updated to include changes related to Account administration, Holding administration locks, Conversions between Subregisters and Transfers.

Content Pages (Update)

  1. Updated to include a revised explanatory note as well as changes related to Account administration, Conversions between Subregisters and Transfers.

  2. Update to references of the APG document version will now be by the month of release rather than number. This is done to avoid further confusion as each individual APG section has its own numeric version produced by Confluence.

Section 02 - CHESS overview (Update)

Updated to include reference to Section 04 - Account administration and Section 06 - Transfers and conversions between subregisters. Additional details of this change are available here.

Section 03 - Participation in the settlement facility (Update)

Updated to include clarifications to Account Participant actions in sections 3.4.3 and 3.8. Additional details of this change are available here.

Functional Specifications

Function / page

Description

Details of update

Function / page

Description

Details of update

Reporting Overview

Projected Funds Obligation Process (NEW)

NEW page separating details regarding projected funds obligation process from existing functional specifications.

Isolate Counterparty Overview

Isolate Counterparty Process (Update)

  1. Updated the Business Values and Rules for Isolate Counterparty Request (sett_128) to reflect a field mapping change for the ISO 20022 Element for Target Transaction Id from ‘Account Owner Transaction Identification’ → ‘Market Infrastructure Transaction Identification’

  2. Updated the Business Values and Rules for Settlement Transaction Generation Notification (sett_130) to include a new element ‘Originating Obligation Id’. This element is mapped to the ISO 20022 Element ‘Market Infrastructure Transaction Identification’ under the linkages section.

  3. Updated the Business Values and Rules for Settlement Transaction Generation Notification (sett_130) to clarify the message guidelines for Transaction Id.

Change of Controlling Participant Process

Change of Controlling Participant Process - Accepted (Update)

  1. Updated Account Notification Business Values and Rules table to include Transaction Id.

  2. Updated to include information boxes stating which messages may also be sent when the process is initiated by ASX Operations.

Batch Settlement

Batch Settlement Overview (Update)

Updated to clarify Standard Settlement Price (SSP) Examples.

Aggregate Funds Obligation Process (Update)

Updated the Funds Obligation (sett_133) Business Values and Rules table to include Cash Obligation Status.

Stakeholder Feedback and ASX Response – Australian Payments Network Equity Settlement Payment Provider Sub-Committee (ESPPSC) (Update)

  1. Updated to clarify EIS message references for Funds Projections from EIS 332 and EIS 333 → EIS 300 and EIS 302.

  2. Updated to clarify Focus Group date from 10 March 2021 → 10 March 2020.

Payment Provider Authorisation for RTGS Payments Overview

Accounts

Account and Holder Creation Overview (Update)

Updated to include an information box under Tax Details stating ‘Tax details in this circumstance only apply to an RGID.’

Account Cancellation Overview (Update)

Updated to include an information box under the list of validations stating 'Account Cancellations cannot be requested until the next business day after a Settlement Instruction, in which the Account (HIN) exists, is fully settled.'

Account and Holder Creation Process (Update)

Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Account and Holder Modification Process (Update)

Account and Holder Locking and Unlocking Process (Update)

  1. Updated to include information boxes stating which messages may also be sent when the process is initiated by ASX Operations.

  2. Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Account Cancellation Process (Update)

Remove Pending Account Cancellation Process (Update)

Registration Identifier (RGID) Housekeeping Process (Update)

Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Change of Controlling Participant Overview (Update)

Updated Authorisation section to include details on the details provided to the Requesting Participant.

Change of Controlling Participant Process (Update)

Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Change of Controlling Participant Process - Accepted (Update)

  1. Updated to include information boxes stating which messages may also be sent when the process is initiated by ASX Operations.

  2. Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Change of Controlling Participant Process - Rejected (Update)

Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Change of Controlling Participant - Cancellation Process (Update)

  1. Updated to include information boxes stating which messages may also be sent when the process is initiated by ASX Operations.

  2. Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Change of Controlling Participant - Housekeeping Process (Update)

Updated API Contract information simplify and clarify contract references. These updates include the following cosmetic and structural changes:

  • Removal of ‘DA.ASX.API.’ prefix;

  • Removal of _V001 and _DRAFT suffix; and

  • Added a namespace categorisation, for example; ‘Account (AccountStandardView)’ → ‘Account.Account (AccountStandardView)’.

Change of Controlling Participant Notification (Update)

Market Trade

Market Trade Overview (Update)

Updated to include details on ASX Clear removal of Cash CCP Transactions.

Trade Capture (New) Process (Update)

Transfers and Conversions Overview

Participant to Issuer Sponsored Transfer Process (Update)

Updated Functional Specification process table to include Observer and API Contract information.

Participant to Issuer Sponsored Conversion Process (Update)

Issuer Sponsored to Participant Transfer Process (Update)

Issuer Sponsored to Participant Conversion Process (Update)

Issuer Sponsored to Participant Transfer and Conversion Housekeeping Process (Update)

SRN Enquiry Overview

SRN Enquiry Process (Update)

Updated Functional Specification process table to include Observer and API Contract information.

SRN Enquiry Process - Issuer Acceptance (Update)

SRN Enquiry Process - Issuer Rejection (Update)

SRN Enquiry Housekeeping Process (Update)

DRP/BSP Election and Distribution Advice Notification

Dividend Reinvestment Plan and Bonus Share Plan Elections Overview (Update)

Updated to include information regarding DRP/BSP Election Enquiry registry reject reason code.

DRP/BSP Election Enquiry Process (Update)

Updated to include Registry Reject Reason in the Transaction Acknowledgement Advice - Controlling Participant (comm_809) and Transaction Acknowledgement Advice - Rejection (comm_809) Business Values and Rules tables.

Payment Facilities

Update Payment Provider Process (Update)

Updated the Guidelines of Payment Facility Change Reason and Account Identifier in the Business Values and Rules table.

Common Business Values

Designation (Update)

Updated to reflect the release of Section 04 of the APG.

Messaging

Function / page

Description

Details of update

Function / page

Description

Details of update

ISO 20022 Messaging

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.

Update: ISO 20022 Messaging - MC - Isolate Counterparty

  • Updated UML to include changes to sett_128 and sett_130 and the addition of the related block to sett_122 and sett_139.

Update: ISO 20022 Messaging - MC - Settlement Transaction Generation Notification

  • Updated UML to include details regarding Novated Rescheduled (NRIN) and Settlement Failure Instructions (NSFI).

 

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

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

The following code list has been amended:

  • 4-EventType

    • Added a CHESS Allowable Value of 'S' to Completion of Scheduled Batch Settlement (CSBS).

  • 8-TradeReason

    • Removed the following entry as Isolated Counterparty is not be applicable for Trade Confirmation (sett_101):

      • Isolated Counterparty (ICPT)

  • 23-PaymentFacilitiesChangeReason

    • Added the following entry:

      • Change Bank Account (CHBA)

  • 36-RegistryRejectReason

    • Added the following entries to support DRP Enquiry Rejection by the Registry:

      • No DRP Election Recorded (NDRP); and

      • DRP Election Not Supported (NADR).

  • 43-HoldingAdjustmentReason

    • Added the following entry to support rights lapsed:

      • Lapse (LAPS)

    • Changed the following entry code to better align with related Corporate Action Event Notifications:

      • Non-Renounceable Issue (NREI) → Non-Renounceable Issue (NRNI);

      • Renounceable Rights Issue (RHTS) → Renounceable Rights Issue (RENI);

    • Removed the following entries to better align with related Corporate Action Event Notifications:

      • Non-Renounceable Rights Entitlement (NRRE);

      • Renounceable Rights Entitlement (RNRE);

      • Settlement Lock / Unlock (SETT);

      • Issuer Initiated Holding Adjustment (ISSU);

      • Subregister Suspended (SUSP); and

      • Subregister Closed (CLOS).

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

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

  • Added EIS 116 and EIS 178 to Settlement Instruction Status Advice (sett_109)

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

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

  • Added entry for the following reason code; 1183.

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.

Update: Collections for Release 7 and ISO 20022 Messaging - TM - Business Message Parameters - Release 7

  • Updated the following entries:

    • 'Hold_219_001_02_draft3semt_040_001_01' → 'Hold_219_001_03_DRAFT3semt_040_001_01' updated to include the removal of Account Owner/identification from SRN Enquiry Response (hold_219); and

    • 'Sett_140_001_02_sese_032_001_07' -> 'Sett_140_001_03_sese_032_001_07' - updated to include changes related to restriction changes including:

      • Changed element 'AccountServicerTransactionIdentification' to Mandatory;

      • Changed element 'MarketInfrastructureTransactionIdentification' to Mandatory;

      • Changed element 'ISIN' to Mandatory;

      • Changed element 'OtherIdentification' to Mandatory;

      • Changed element 'QuantityAndAccountDetails' multiplicity to mandatory single usage.

      • Changed element ‘Identification' datatype from ‘Max35Text’ to 'Exact10NumericText’;

      • Changed element ‘GeneratedReason’ multiplicity to mandatory single usage; and

      • Changed element 'AdditionalReasonInformation' to Mandatory.

  • The following entries have been revised as they now form part of Collections for Release 8.

    • Downgraded the version of the following entries:

      • ‘Acct_001_001_07_acmt_001_001_07’ → ‘Acct_001_001_06_acmt_001_001_07’

      • ‘Acct_002_001_07_acmt_002_001_07’ → 'Acct_002_001_06_acmt_002_001_07';

      • ‘Acct_018_001_02_acmt_006_001_06’ → 'Acct_018_001_01_acmt_006_001_06';

      • ‘Comm_809_001_03_admi_007_001_01’ → 'Comm_809_001_02_admi_007_001_01';

      • ‘Evnt_742_001_04_seev_033_001_08’ → 'Evnt_742_001_03_seev_033_001_08';

      • ‘Evnt_743_001_04_seev_034_001_09’ → 'Evnt_743_001_03_seev_034_001_09';

      • ‘Sett_133_001_03_DRAFT1camt_089_001_01’ → 'Sett_133_001_01_draft1camt_089_001_01';

      • ‘Sett_135_001_02_DRAFT1camt_090_001_01’ → 'Sett_135_001_01_draft1camt_090_001_01'; and

      • ‘Sett_137_001_02_camt_054_001_08’ → 'Sett_137_001_01_camt_054_001_08'.

    • Removed the following entries:

      • 'Acct_012_001_01_acmt_003_001_07';

      • ‘Acct_013_001_01_acmt_003_001_07’;

      • 'Admn_852_001_02_reda_007_001_01';

      • ‘Comm_801_001_01_head_001_001_01’;

      • ‘Evnt_744_001_01_seev_036_001_10’;

      • ‘Evnt_747_001_01_seev_036_001_10’;

      • ‘Evnt_749_001_01_semt_021_001_06’;

      • ‘Pldg_309_001_01_secl_005_001_02’;

      • ‘Sett_120_DRAFT1camt_091_001_01’;

      • ‘Sett_121_DRAFT1camt_092_001_01’;

      • ‘Sett_141_001_01_pain_001_001_09’;

      • ‘Sett_142_001_01_pain_002_001_10’;

      • ‘Rptg_601_001_01_semt_021_001_06';

      • ‘Rptg_602_001_01_acmt_004_001_05’;

      • ‘Rptg_603_001_01_camt_060_001_05’;

      • ‘Rptg_604_001_01_semt_002_001_10’;

      • ‘Rptg_605_001_01_semt_017_001_07’;

      • ‘Rptg_606_001_01_camt_052_001_08’; and

      • ‘Rptg_607_001_01_semt_023_001_01’.

Update: Collections for Release 8 and ISO 20022 Messaging - TM - Business Message Parameters - Release 8

  • Updated the following entries:

    • ‘Pldg_308_001_01_secl_005_001_02’ → ‘Pldg_309_001_01_secl_005_001_02' - correction and clarification of pldg_309 command choice;

    • 'Sett_120_DRAFT1camt_091_001_01' → ‘Sett_120_001_01_DRAFT1camt_091_001_01’ - correction and clarification of sett_120 command choice;

    • 'Sett_121_DRAFT1camt_092_001_01' → ‘Sett_121_001_01_DRAFT1camt_092_001_01’ - correction and clarification of sett_121 command choice;

    • ‘Acct_002_001_07_acmt_002_001_07’ → ‘Acct_002_001_08_acmt_002_001_07’ - updated to include change related to to Communication Preference for Account Creation, Modification, Notification and to Holder Type and mandatory/optional of registration details fields including:

      • Communication Preference' changed from from Electronic (ONLI) to Electronic (ELEC);

      • Added ‘Electronic ASX Only (ELEA)’ and ‘Electronic Issuer Only (ELEI)’ for communication reference;

      • Changed element ‘TownName’ to Optional;

      • Changed element ‘AddressLine’ to increase multiplicity from 3 to 5;

    • 'Comm_809_001_02_admi_007_001_01' → 'Comm_809_001_03_admi_007_001_01' - updated to include changes related to DRP Enquiry including:

      • Added ‘Rejected (REJT)’ and ‘Cancelled by System (CANS)’ to the ‘StatusCode’ element;

      • Mapped 'Registry Reject Reason' to ‘Report / RequestHandling / Description' element and marked as Optional.

      • Updated Message Definition and Sender/Receiver information within the ASX ISO Message Definition Annotation;

    • 'Hold_219_001_02_DRAFT3semt_040_001_01' → 'Hold_219_001_03_DRAFT3semt_040_001_01' - updated to include the removal of Account Owner/identification from SRN Enquiry Response (hold_219);

    • ‘Rptg_604_001_01_semt_002_001_10' → 'Rptg_604_001_02_semt_002_001_10' - updated to include the removal of the allowable value ‘Short’ on the‘Short Long Indicator’ element. 'Long’ remains as an allowable value.;

    • 'Sett_128_001_01_sese_030_001_07' → 'Sett_128_001_02_sese_030_001_07' - update to include a mapping change to element ‘Target Transaction Id’ from ‘MarketInfrastructureTransactionIdentification’ → ‘AccountOwnerTransactionIdentification’;

    • 'Sett_130_001_06_sese_032_001_07’ → 'Sett_130_001_07_sese_032_001_07' - updated to include changes related to the ability for Participants to associate the SSP Adjustment from the NSF to to NRI for accounting purposes including:

      • Changed element ‘Linkages’ multiplicity to multiple;

      • Added element ‘OriginatingObligationId’; and

      • Added element ‘Related Transaction Id’.

    • ‘Sett_140_001_02_sese_032_001_07’ → 'Sett_140_001_03_sese_032_001_07' - updated to include changes related to restriction changes including:

      • Changed element 'AccountServicerTransactionIdentification' to Mandatory;

      • Changed element 'MarketInfrastructureTransactionIdentification' to Mandatory;

      • Changed element 'ISIN' to Mandatory;

      • Changed element 'OtherIdentification' to Mandatory;

      • Changed element 'QuantityAndAccountDetails' multiplicity to mandatory single usage.

      • Changed element ‘Identification' datatype from ‘Max35Text’ to 'Exact10NumericText’;

      • Changed element ‘GeneratedReason’ multiplicity to mandatory single usage; and

      • Changed element 'AdditionalReasonInformation' to Mandatory.

FIX Messaging

FIX Messaging - Message Catalogue (MC) (Update)

Updated: FIX Messaging - MC - Error Code List

The following update has been made:

  • Added entry to the FIX Application Message Validation table to reflect the updates to the Market Trade Functional Specification.

Connectivity

Function / page

Description

Details of update

Function / page

Description

Details of update

Ledger API Connectivity to the CSP

This update must be implemented before Ledger API users compile their CDE 7 applications.

Connect to the Ledger (Update)

Updates to code snippets to reflect the security updates rolled out in CDE Code Drop 7:

  • Change in the code fragment under the heading “Java Bindings” due to a change in the maven group ID;

  • Change in the code fragment under the heading “Establishing a Secure Connection to the Ledger” to account for mTLS; and

  • Wording changes are highlighted in orange.

Identify the Master Ingress Contract (Update)

Updates to code snippet to reflect the security updates rolled out in CDE Code Drop 7:

  • Change to the code fragment under “PackageId” to reflect a change from v1.6 → 1.7 and the identification of both the egress contract, in addition to the ingress contract.

Submit the Command (Update)

Updates to code snippet to reflect the security updates rolled out in CDE Code Drop 7:

  • Change to code fragment under “Method 1: Command Service - Synchronous submission” and “Method 2: Command Service - Asynchronous Submission” as the previously referenced stardInstant and endInstant variables in the submitAndWait method are no longer required.

Using Java Classes (Update)

Update to the screenshot under the heading “Egress Message” as the code has been updated.

API Contract Catalogue

Holdings API Contracts (NEW)

NEW chapter of the catalogue including API Contracts related to Holdings, to support Transfers and Conversions.

Entities API Contracts (NEW)

NEW chapter of the catalogue including API Contracts related to Actors, to support settlement entrepots.

Accounts API Contracts (Update)

Updated Accounts API Contracts chapter to syncronise contracts with CDE Code Drop 7.

Browser Connectivity

UI - Accounts Overview (NEW)

NEW page detailing the Accounts functionality available to CHESS Browser UI users.

UI - Message Centre Overview (NEW)

NEW page detailing the Messaging functionality available to CHESS Browser UI users.

UI - User Management Overview (NEW)

NEW page detailing the User Management and UI user account creation and management functionality available to CHESS Browser UI users.

Browser Interface Overview (Update)

Updated to reflect new UI documentation and include a Browser Features section.

Environments

Function / page

Description

Details of update

Function / page

Description

Details of update

Technical Accreditation

CHESS User by Feature, Message (Update)

Updated to include Payment Facility and Demand Transfers and Settlement Instructions information regarding CHESS User types to support each function as it relates to the message for accreditation.

Messaging Accreditation Scripts (Update)

  1. Updated to include Payment Facility and Demand Transfers and Settlement Instructions message accreditation scripts.

  2. Updated to include changes to the forward release plan including links to Payment Facility and Demand Transfers and Settlement Instructions and the scope of the August 2020 technical accreditation release.

Testing

Function / page

Description

Details of update

Function / page

Description

Details of update

Test Data

Self-Service Collateral Management (NEW)

NEW page detailing the self-service collateral management tool available to CDE Subscribers.

Self-Service Account Management (NEW)

NEW page detailing the self-service account management tool available to CDE Subscribers.

CSP Users (Update)

  1. Updated CSP Users CDE functionality table to include Available Functions (CDE7).

  2. Updated to include clarifications to the mapping of trading identifiers to UICs table.

Testing

Bid Finalisation of Takeover and Buybacks (NEW)

NEW page detailing the trigger generated on behalf of ASX Operations to the CSP on an eligible set of Corporate Action data.

Test Data (Update)

Updated sample data to support CDE7 functionality.

Known Issues & Limitations (Update)

  1. Included CDE7 related known issues and observed behaviours; and

  2. Updated page to include defects resolved in CDE7.

Release Notes

Function / page

Description

Details of update

Function / page

Description

Details of update

Release Notes

May 2020 - CDE Code Drop Notes (NEW)

NEW page detailing the functionality available in CDE Code Drop 7.

Forward Release Plan (Update)

  1. Updated to include link to CDE Code Drop 7 release notes.

  2. Major updates to reflect dates discussed in the May Implementation & Transition working group.

Frequently Asked Questions (FAQs)

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Function / page

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Details of update

Frequently Asked Questions (FAQs)

FAQs - Implementation and Transition

Included the following new frequently asked questions from the May 2020 Implementation & Transition working group:

  • When will all the APGs be published?

  • Will the numbering and sequencing of APGs stay the same?

  • How will we know what has changed from former APGs and new ones?

Glossary

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Details of update

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:

  • Validations; and

  • Standards.