Table of Contents

Account and Holder Locking and Unlocking Process Flow

Account and Holder Locking and Unlocking Process

Step	Description	Party / Observer	Recipient	Message Reference	API Contract
1	The Participant populates the Account Modification Request with the following: Mandatory ISO 20022 elements defined in the Message Usage Guidelines; Optional ISO 20022 elements defined in the Message Usage Guidelines where applicable to the request; Related ASX business values and rules applicable to the request; The Participant sends the Account Modification Request to the CSP. Account Locking and Unlocking Requests should be submitted in accordance with the Operational Procedure and Guidelines. Refer to Section 04 - Account administration for more information.	Participant	CSP	Account Modification Request (acct_003)	-
2	The CSP validates the request against the schema and business validation rules. If schema or business validation fails then refer to step 6; "On Fail".	CSP	-	-	-
On Success
3	If the Account Modification Request is schema and business valid the CSP will update the Holder attributes within the CSP.	CSP	-	-	-
4	The CSP sends a Account Notification to the Participant. This message will also be sent where ASX Operations initiates the process.	CSP	Participant	Account Notification (acct_002)	Account.Account (AccountStandardView) (AccountAdditionalView) (AccountFullView) Account.Holder (HolderStandardView) (HolderFullView)
5	If the account has a holding balance in any security that is greater than zero, the CSP will also send an Account Notification message to the Issuer of each security with a holding balance greater than zero. This message may also be sent where ASX Operations initiates the process.	CSP	Issuer	Account Notification (acct_002)	Account.Account (AccountStandardView) (AccountAdditionalView) Account.Holder (HolderStandardView) (HolderFullView)
On Fail
6	If the Account Modification Request fails schema or business validation, the CSP will send the Participant Invalid Transaction Notification with the relevant error code for schema failure; or A Rejected Transaction for business validation failure.	CSP	Participant	Invalid Transaction Notification (comm_807) Rejected Transaction (comm_808)	-

Business Values and Rules

Account Locking / Unlocking Request

Account Elements

ASX Element Name	ISO 20022 Element	Guidelines
Transaction Id	Message Identifier / Identification	A unique identifier for the Account Locking / Unlocking Request. Further details of Transaction Identifications are detailed here.
Creation Date Time	Creation Date Time	Date and time the account was modified in Zulu time.
Contact Reference	Client Reference	Name, phone number, email address or other identifier used to identify the individual within the Participant organisation for audit purposes.
Account Identifier	Account Identification	Identifier associated to the Account that is being modified.
Account Status	Account Status	Status of the Account, either: Active (ACTV) Locked (LOCK)
Account Status Update Reason	Reason/ Code/ Proprietary/ Identification	The reason for which the lock / unlock has been applied needs to be specified: Non-specific (NOSC) Subject to Court Order (SNCO) Action by ASX Operations (ASXO) Error (ERRO)

Holder Elements

ASX Element Name	ISO 20022 Element	Guidelines
Where ownership type is single holder, holder details are to be populated within Primary Owner <PrmyOwnr>
Where ownership type is joint holder, holder details are to be populated within Joint Owner <JntOwnr>
Organisation holder attributes which are to be updated or removed are to be populated within Organisation <Org>
Date of Death	Death Date	The date of death of a holder type, "Individual".
Holder Identifier	Primary Owner/Client Identification	Identifier associated to the holder requested to be modified.
Holder Status	Status/Proprietary/Identification	Identifies the status for holder by modifying it to: Active (ACTV) Locked (LOCK)
Holder Update Reason	Primary Owner/Additional Information/ Additional Information	Identifies the reason for updating holder. The options for Holder locking are: Notification of death (NODE) Notification of bankruptcy (BKRL) The available options for holder unlocking, dependent on and validated against the type of lock, are: Grant of Probate or Letters of Administration (GPLA) Small Estate Statement (SEST) Transfer Indemnity Bond (TIBD) No holdings (NHLD) Legal Trustee Request (LTRQ) Annulment (ANNT) Error (ERRO)
Date of Bankruptcy	Additional Information /Period /From Date Time	Date of Bankruptcy to be populated when the holder status is 'Bankrupt'.

Notifications

Participant notifications

An account notification is sent to the Participant to confirm the Account and Holder has been updated.

Account Elements

ASX Element Name	ISO 20022 Element	Guidelines
Transaction Id	Related Reference / Reference	The Transaction Id per the Account Locking / Unlocking Request. Further details of Transaction Identifications are detailed here.
Creation Date and Time	Creation Date Time	Date and time the account was modified in Zulu time.
Notification Reason	Confirmation Details / Identification	Indicates the reason the account details are sent to the Participant as: Registration Details Change (CHNG).
Account Identifier	Investment Account / Identification	Indicates the identifier associated to the Account that has been modified.
Account Name	Other Party Details / Party / Organisation / Name	Identifies the Account name and can be used as the name for the purpose of the register of members. It is the concatenation of all Holder names separated with a plus symbol.
Account Status	Account Status	Status of the Account, either: Active (ACTV) Locked (LOCK)
Account Status Update Reason	Account Status / Other/ Reason/ Identification	Reason for account details update, either: Notified as deceased (NODE) Notified as bankrupt (BKRL) Subject to court order (SNCO) Non-specific (NOSC) Action by ASX Operations (ASXO) Error (ERRO)

Holder Elements

ASX Element Name	ISO 20022 Element	Guidelines
Where ownership type is single holder, holder details are to be populated within Primary Owner <PmryOwnr>
Where ownership type is joint holder, holder details are to be populated within Joint Owner <JntOwnr>
Holder Identifier	Client Identification	Identifier associated to the holder that has been modified.
Holder Name	Name	Identifies the name for the holder.
Holder Status	Additional information/ Status/ Proprietary/ Identification	Indicates the status for holder: Active (ACTV) Locked (LOCK)
Holder Status Update Reason	Additional Information/ Additional Information	Indicates the reason for updating holder. The options for Holder locking are: Notification of death (NODE) Notification of bankruptcy (BKRL) The options for Holder unlocking are: Error (ERRO)

Issuer notifications

An account notification is sent to each Issuer to confirm the Account and Holder has been updated.

Account Elements

ASX Element Name	ISO 20022 Element	Guidelines
Transaction Id	Related Reference / Reference	The Transaction Id per the Account Locking / Unlocking Request. Further details of Transaction Identifications are detailed here.
Creation Date and Time	Creation Date Time	Date and time the account was modified in Zulu time.
Notification Reason	Confirmation Details / Identification	Indicates the reason the account details are sent to the Issuer, either: Participant request (PREQ) if the lock / unlock was requested by the controlling participant ASX Operations (ASXO) if the lock / unlock was requested by ASX Operations
Account Identifier	Investment Account / Identification	Indicates the identifier associated to the Account that was locked / unlocked.
Account Name	Other Party Details / Party / Organisation / Name	Identifies the Account name and can be used as the name for the purpose of the register of members. It is the concatenation of all Holder names separated with a plus symbol.
Account Status	Account Status	Status of the Account, either: Active (ACTV) Locked (LOCK)
Account Status Update Reason	Account Status / Other/ Reason/ Identification	Reason for Account details update, either: Notified as deceased (NODE) Notified as bankrupt (BKRL) Subject to court order (SNCO) Non-specific (NOSC) Action by ASX Operations (ASXO) Error (ERRO)
Security Code	Financial Instrument Details / Identification	Populated on Account Notification to Issuers with Security Code and ISIN. Further details of Security Identification are detailed here.

Holder Elements

ASX Element Name	ISO 20022 Element	Guidelines
Where ownership type is single holder, holder details are to be populated within Primary Owner <PmryOwnr>
Where ownership type is joint holder, holder details are to be populated within Joint Owner <JntOwnr>
Holder Identifier	Client Identification	Indicates associated to the holder that has been modified.
Holder Name	Name	Identifies the name for the holder.
Holder Status	Joint Owner / Additional Information / Status / Proprietary / Identification	Indicates the status for holder by modifying it to: Active (ACTV) Locked (LOCK)
Holder Status Update Reason	Additional Information/ Additional Information	Indicates the reason for updating holder. The options for Holder locking are: Notification of death (NODE) Notification of bankruptcy (BKRL) The options for Holder unlocking are: Error (ERRO)

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