CDE Self-Service Collateral 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 All information related to CDE was at a point in time only, but continues to be made available for historical reference purposes.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 Collateral Management Tool is provided to Participants to act as the Collateral Manager (ASX Clear) via upload of a configurable CSV file, which will be consumed and validated by the CSP.

By updating the field details of the Intra Position Movement Instruction (pldg_301) or Collateral Release Request (pldg_304) messages in the CSV file, developers are able to perform different collateral management test scenarios.

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

The REST endpoint translates the CSV file to a ISO XML message (Intra Position Movement Instruction (pldg_301) or Collateral Release Request (pldg_304)), which is then submitted to the CSP.

The Self-Service Tool will be provided to the Participants to act as the Collateral Manager (ASXCL) to perform the following initiated requests:

  • Removal of Cash Market Margining (CMM) and Exchange Trade Options (ETO) Collateral; and 
  • Release and Transfer of Cash Market Margining (CMM) and Exchange Trade Options (ETO) Collateral.

The Self-Service Tool will allow the Participant to manage their own internal use cases acting on behalf of the Collateral Manager.  This can be achieved by the following:

  • Upload 'CSV' file for the Removal of CMM & ETO Collateral;
  • Upload 'CSV' file for the Release and Transfer of CMM & ETO Collateral; or
  • Participants can update the field details in the 'CSV' file which provides them flexibility for their own testing purposes. (Note: Transaction ID must be unique for each record within a CSV file, but also unique for the CSP).

On success of an Intra Position Movement Instruction (pldg_301), a Transaction Acknowledge Advice (comm_809) will be sent by the CSP to the Collateral Manager (via the Self-Service Tool) and Intra Position Movement Confirmation (pldg_303) to the controlling participant.

On success of a Collateral Release Request (pldg_304), a Transaction Acknowledge Advice (comm_809) will be sent by the CSP to the Collateral Manager (via the Self-Service Tool) and Collateral Release Confirmation (pldg_305) to the controlling participant.

If the CSV submitted by the Participant acting as the Collateral Manager (ASX Clear) is invalid due to errors in the business validity, an Invalid Transaction (comm_808) is received.

If the CSV submitted by the Participant acting as the Collateral Manager (ASX Clear) 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 Collateral Management 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 Collateral Management Templates.zip

Connection details

Prior to establishing connection to the CDE, the Participant acting as the Collateral Manager (ASX Clear) 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 Participant acting as the Collateral Manager (ASX Clear) 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 Collateral Management:

Self Service Collateral 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 Participant's self-service collateral management. Only one template may be loaded at a time, for pldg_301, it will be pldg301 and for pldg_304 it will be pldg304.
    "https://cde-trade-ingest.asx.com.au:5XXX/xmlIngest/pldg30X" 
                 
    // 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 Collateral 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 participant via email.




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