CDE Self-Service Account Management

CDE was decommissioned at the end of February 2022 and is no longer an active test environment. All information related to CDE was at a point in time only, but continues to be made available for historical reference purposes.

Table of Contents


Overview

The Self-Service Account Management Tool is provided to the Issuer (Registries) to act as a Participant via upload of a configurable CSV file, which will be consumed and validated by the CSP.

By updating the field details of an Account Modification Instruction (acct_003), Investor Data and Foreign Tax Status Details (acct_012) and Bank Account Notification (acct_013) message in the CSV file, developers are able to perform different account management test scenarios.

This service allows developers to submit a fixed CSV file containing the account management information using a cURL command to a REST endpoint.

The REST endpoint translates the CSV file to a ISO XML message (Account Modification Instruction (acct_003), Investor Data and Foreign Tax Status Details (acct_012) and Bank Account Notification (acct_013)) which is then submitted to the CSP.

The Self-Service Tool will be provided to the Issuer (Registries) to act as a Participant to:

  • receive an “Account Notification” (acct_002) where a holding balance existed for the account that was either locked or unlocked;

  • receive an “Investor Data and Foreign Tax Status Advice” (acct_012) for a TFN that was added; and

  • receive a “Bank Account Notification” (acct_013) for a Bank Account that was added.

The Self-Service Tool will allow the Issuer (Registries) to facilitate and manage their own internal test use cases acting on behalf of a Participant.  This can be achieved by the following:

  • Upload 'CSV' file to receive an “Account Notification” (acct_002) where a holding balance existed for the account that was either locked or unlocked;

  • Upload 'CSV' file to receive an “Investor Data and Foreign Tax Status Advice” (acct_012) for a TFN that was added; and

  • Upload 'CSV' file to receive a “Bank Account Notification” (acct_013) for a Bank Account that was added.

CDE10 introduces enhancements to the Self-Service Tool for Bank Account Notifications. These enhancements include:

  • the ability to specify the User Defined ID component of the Transaction ID. Previously this was automatically generated. This is no longer the case and requires users to populate this - to support this, a sample template CSV (bank_account_transactionId) has been included to demonstrate this. For further information, refer to Transaction IDs and Reference fields; and
  • the ability to specify a Foreign Bank Account.

On success:

  • the related Issuer (Registry) will receive an “Account Notification” (acct_002) where a holding balance existed for the account that was either locked or unlocked;
  • the related Issuer (Registry) will receive an “Investor Data and Foreign Tax Status Advice” (acct_012) for a TFN that was added; or
  • the related Issuer (Registry) will receive a “Bank Account Notification” (acct_013) for a Bank Account that was added. This will allow the Issuer (Registry) to accept/reject the Bank Account Notification. Where no action from Issuer (Registry), then the Bank Account Notification will be housekept per defined business rules.

If the CSV submitted by the Issuer (Registry) acting as a Participant is invalid due to errors in the business validity, an Invalid Transaction (comm_808) is received.

If the CSV submitted by the Issuer (Registry) acting as a Participant is invalid due to errors in the file format or schema validity, a rejection from the Self-Service Tool is received. 

These responses are delivered to the REST endpoint, where it is converted to a JSON response. 

The sample below is provided as a reference; additional information on the column names and elements present in the CSV can be found on the Account Locking and Unlocking functional specification and Investor Data functional specification.

Sample Template

The file below contains a Excel file template which is used to build the CSV submitting to the cURL. 

When populating the CSV, the developer is required to ensure:

  • The message includes the appropriate fields as populated in the attached template; and
  • Supplied dates are valid business dates.
 Download Sample Data

CSV files submitted to the CSP must be encoded in UTF-8 not UTF-8-BOM. For further details refer here.

Self-Service Account Management Templates.zip

Connection details

Prior to establishing connection to the CDE, the Share Registry will need to generate and submit a Certificate Signing Request and acquire the ASX root / issuing CA public key (instructions are available on the FTP). The Share Registry is also required to populate the CSV sample file above.

CSV files submitted to the CSP must be encoded in UTF-8 not UTF-8-BOM. For further details refer here.

The below code snippet demonstrates how to establish connection to the Self-Service Account Management:

Self Service Account Management
curl
    // Verbose output
    -v
                 
    // ASX’s CA’s public keys in pem format
    --cacert /c/path/to/file.pem
                
    // File containing the certificate of the client machine
    --cert /c/path/to/file.cer
     
    // Private key of the client certificate provided in cert option
    --key /c/path/to/file.key
             
    // The URL of Share Registry's self-service account management (acct003 / acct012 / acct013)
    "https://cde-trade-ingest.asx.com.au:5XXX/xmlIngest/acct003"
                 
    // Header option to accept json format (not the same as the CSV file)
    -H "accept: application/json"
                 
    // Header option to tell curl command that it will be form-data in other words file as input
    -H "Content-Type: multipart/form-data"
                 
    // The input CSV file to be sent as part of the request
    -F "file=@/c/path/to/file.csv"

In the above code fragment:  

  • URL: The URL for Self-Service Account Management is the same as the Trade Ingest API, cde-trade-ingest.asx.com.au. The local host DNS needs to be reconfigured to 203.4.179.118 to ensure correct routing.  
  • Port: The port number exposed for the Self-Service toolThe port will take the format of 5XXX and will be provided to the share registry via email.




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