CDE Self-Service Holding Administration Lock

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 All information related to CDE was at a point in time only, but continues to be made available for historical reference purposes.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


The Self-Service Holding Administration Lock Tool is provided to Issuer (Registries) and Controlling Participants to facilitate and manage their internal test use cases acting on behalf of ASX Operations via upload of a configurable CSV file, which will be consumed and validated by the CSP.

By updating the field details of an Intra Position Movement Instruction (hold_203) message in the CSV file, developers are able to perform different holding administration lock test scenarios.

This service allows developers to submit a fixed CSV file containing the holding administration lock 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 (hold_203)) which is then submitted to the CSP.

The Self-Service Tool will be provided to Participants and Issuer (Registries) to act on behalf of ASX Operations to perform the following requests:

  • Apply a Holding Administration Lock;

  • Apply a Holding Administration Unlock for a holding that had previously been locked;

The CSV upload must be performed by a Controlling Participant.

For Holding Administration Unlock, the above still applies. In addition, while unlocking locked holdings, the unlock reason must match the reason present in the lock request. It is the responsibility of the user submitting the request to ensure a matching reason is present for both the lock and subsequent unlock of same holding. If the reason does not match, the CSP will generate and send a business rejection to the Self-Service Tool (acting as ASX Ops).

The Self-Service Tool will support developers internal use cases by acting on behalf of ASX Operations.  This can be achieved by the following:

  • Upload 'CSV' file to submit a Holding Administration Lock request; or

  • Upload 'CSV' file to submit a Holding Administration Unlock request

Although both Issuer (Registries) and Controlling Participants can use the Self-Service Tool to submit holdings lock/unlock requests, the accounts used in the requests can only be controlled by a Participant i.e. Account Sponsor.

On success, an Securities Balance Report (hold_228) will be sent by the CSP to Issuer (Registry) and Controlling Participant.

If the CSV submitted by the Issuer (Registry) / Controlling 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) / Controlling 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 Holding Administration Lock 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 Holding Administration Lock

Connection details

Prior to establishing connection to the CDE, Issuer (Registries) and Controlling Participants 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)Issuer (Registries) and Controlling Participants are 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 Holding Administration Lock:

Self Service Holding Administration Lock
    // Verbose output
    // 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 Issuer (Registries) / Controlling Participant's self-service holding administration lock
    // 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 Holding Administration Lock is the same as the Trade Ingest API, The local host DNS needs to be reconfigured to 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 Issuer (Registries) and Controlling Participants via email.

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This document provides general information only. ASX Limited (ABN 98 008 624 691) and its related bodies corporate (“ASX”) makes no representation or warranty with respect to the accuracy, reliability or completeness of the information. To the extent permitted by law, ASX and its employees, officers and contractors shall not be liable for any loss or damage arising in any way (including by way of negligence) from or in connection with any information provided or omitted or from anyone acting or refraining to act in reliance on this information.

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