June 2019 - Documentation Release Notes (Part II)

Table of Contents

Document Release 3

These release notes detail the scope of the third tranche of technical documentation, released in June 2019 (Document Release 3 - Part II).

It includes additional functional specifications, messaging requirements and updates to some areas of functionality from the prior release (including updated functional specifications for Holder and Account Management). Full details are provided below. Updates to previously published functionality or corrections will be identified in orange on relevant pages.

A summary of Focus Group and Technical Committee feedback for the following topics has been released and reflected accordingly under What’s New for July 2019:

Please note that the content of this release reflects a revised Forward Release Plan, with the May 2019 documentation release has been split in two parts as outlined below.

Part I (May Release Notes)

Part II comprises of:

  • Participant to / from Issuer Sponsored Transfer
  • Participant to / from Issuer Sponsored Conversion
  • SRN Enquiry

A full archive of content prior to this Document Release 3 is available here for reference.

Functional Specifications 

FunctionDescriptionRelease Notes
Transfers & Conversions (NEW)The ability to perform Transfers and Conversions for both Participant to Issuer and Issuer to Participant directions. Documentation Release 3 includes end-to-end workflow for this transaction type. The document outlines both Participant to Issuer and Issuer to Participant workflows for transfers and conversions. It also outlines the changes between current CHESS and the new CSP. 
SRN Enquiry (NEW)

The ability to perform an Enquiry on SRNs or SRN Holding Balances.

Documentation Release 3 includes the end-to-end workflow for this transaction type. This document outlines the workflow for enquiring about SRNs or SRN Holding Balances, the housekeeping of SRN Enquiries, and the changes from CHESS to CSP.



Messaging

DocumentDescriptionRelease Notes
FIX MessagingFIX Messaging - MC - Trade Capture (Update)

Updated: FIX Messaging - MC - Trade Capture Report (Type AE)

The following updates have been made:

  • NEW addition to tag 448 PartyID Valid Values "Secondary Account Number(45) data type: text {1,10}"

Updated: FIX Messaging - MC - Trade Capture Report Ack (Type AR)

The following updates have been made:

  • Updated tag 1328 RejectText from Mandatory to Optional ("M" → "O")

Updated: FIX Messaging - MC - MarketDataSnapshotFullRefresh W

The following updates have been made:

  • Changed the order of tag 15 Currency
ISO 20022 Messaging - MC - Participant to Issuer Transfers & ConversionsExplains how to create Participant to Issuer Transfer/Conversions Between Subregisters related messages to communicate with ASX. It covers new 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.

NEW: ISO 20022 Messaging - MC - Participant to Issuer Transfers & Conversions

The following messages have been added:

  • hold_211_sese_023 - Transfer/Conversion Request
  • hold_216_sese_025 - Transfer / Conversion Confirmation

The following messages have been updated:

  • acct_001_acmt_001 - Account Creation Request
  • acct_002_acmt_002 - Account Notification
ISO 20022 Messaging - MC - Issuer to Participant Transfers & ConversionsExplains how to create Issuer to Participant Transfer/Conversions Between Subregisters related messages to communicate with ASX. It covers new 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.

NEW: ISO 20022 Messaging - MC - Issuer to Participant Transfers & Conversions

The following messages have been added:

  • hold_211_sese_023 - Transfer/Conversion Request
  • hold_212_sese_023 - Transfer / Conversion Authorisation Request
  • hold_213_sese_024 - Transfer / Conversion Request Status Advice
  • hold_214_sese_024 - Transfer / Conversion Authorisation Response
  • hold_215_semt_020 - Securities Message Cancellation Advice
  • hold_216_sese_025 - Transfer / Conversion Confirmation

The following messages have been updated:

  • acct_001_acmt_001 - Account Creation Request
  • acct_002_acmt_002 - Account Notification
ISO 20022 Messaging - MC - SRN EnquiryExplains how to create SRN Enquiry-related messages to communicate with ASX. It covers new 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. 

NEW: ISO 20022 Messaging - MC - SRN Enquiry

The following messages have been added:

  • hold_217_semt_025 - SRN Enquiry Request
  • hold_218_admi_007 - SRN Enquiry Status Advice
  • hold_219_semt_040 - SRN Enquiry Response
ISO 20022 MessagingISO 20022 Technical Manual (Update)

Updated: ASX Proprietary Code List

The following code lists have been added:

  • 35-MovementRejectedReason_ASX_1
  • 36-RegistryRejectReason_ASX_1
  • 41-RejectionReasonCode_ASX_1

The following code lists have been updated:

  • 10-ConditionCodes_ASX_1
  • 14-CancellationReasonCode_ASX_1

Updated: EIS to ISO 20022 Cross Reference Guide

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

  • NEW Transfers / Conversion and SRN Enquiry message entries
  • NEW "Sender" and "Receiver" columns
  • Updated acct_002 EIS messages to include EIS202, EIS220 and EIS512
  • Updated acct_018 EIS message to include EIS218
  • Updated acct_002 from "Account Status Advice" → "Account Notification"
  • Updated sett_119 from "Demand Settlement Confirmation" → "Settlement Confirmation"
  • New messages related to Transfers / Conversions and SRN Enquiry have been added.

Updated: Message validation and ISO 20022 Error Code List

Removed "Reason Code: Acknowledge Responses (COMP)"

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.

Updated: Collections for CDE2

The following collections have been updated.

  • ASX_AU_CHS_rel2_sett Technical Version 2 → ASX_AU_CHS_rel2_sett Technical Version 3
  • ASX_AU_CHS_rel2_hold Technical Version 2 → ASX_AU_CHS_rel2_hold Technical Version 4

Updated: Collections for CDE3

he following collections have been updated.

  • ASX_AU_CHS_rel3_sett Technical Version 2→ ASX_AU_CHS_rel3_sett Technical Version 3
  • ASX_AU_CHS_rel3_hold Technical Version 1→ASX_AU_CHS_rel3_hold Technical Version 3
  • ASX_AU_CHS_rel3_acct Technical Version 2→ASX_AU_CHS_rel3_acct Technical Version 4

Updated: date type (rel2)

Trade Execution Identification (sett_101_secl_001)

Trade Execution Identification (sett_102_secl_010)

Trade Execution Identification (sett_103_secl_010)

Trade Execution Identification (sett_104_secl_002)

Change the data type of Trade Execution Identification from: Exact10text to: [A-Za-z0-9]{10}

The versions have been updated:

  • "sett_101_001_02_secl_001_001_03" → "sett_101_001_03_secl_001_001_03"
  • "sett_102_001_02_secl_010_001_03" → "sett_102_001_03_secl_010_001_03"
  • "sett_103_001_02_secl_010_001_03" → "sett_103_001_03_secl_010_001_03"
  • "sett_104_001_03_secl_002_001_03" → "sett_104_001_04_secl_002_001_03"
ISO 20022 MessagingISO 20022 Message Catalogue (Update)

General Updates/ Housekeeping of Message Catalogue

  • Sender changes for messages to reflect new convention (i.e." Sender Participant"→ "Participant")
  • Pre-requisite changes for messages to reflect new convention (i.e. "sett.105" → "sett_105") 
    • sett_105 Settlement Instruction Request
    • sett_106 Settlement Instruction Response
    • sett_107 Settlement Instruction Cancellation Request
    • sett_108 Settlement Instruction Cancellation Confirmation
    • sett_109 Settlement Instruction Status Advice
    • sett_110 Settlement Instruction Allegement Notification
    • sett_111 Bilateral Settlement Instruction Cancellation Withdrawal Request
    • sett_112 Bilateral Settlement Instruction Cancellation Withdrawal Response
    • sett_113 Settlement Instruction Update Request
    • sett_114 Settlement Instruction Update Status Advice
    • sett_115 Scheduled Settlement Lock or Unlock Request
    • sett_116 Scheduled Settlement Lock or Unlock Confirmation
    • sett_118 Settlement Instruction Cancellation Status Advice
    • sett_119 Settlement Confirmation
    • sett_123 Bilateral Settlement Instruction Cancellation Withdrawal Notification
    • hold_201 Demand Transfer Request
    • hold_202 Demand Transfer Confirmation
    • hold_207 Demand Transfer Status Advice
    • hold_208 Demand Transfer Allegement Notification
    • hold_209 Demand Transfer Cancellation Request
    • hold_210 Demand Transfer Cancellation Status Advice
    • hold_215 Securities Message Cancellation Advice
    • comm_807 Invalid Transaction
    • comm_808 Rejected Transaction

Updated: Bilateral Demand Settlement Instructions

Change the Message Name of sett_119 message from:

  • "Demand Settlement Confirmation" to "Settlement Confirmation"

Updated: Bilateral Demand Transfer Cancellation Process

Remove the ASX Housekeeping Reference from the Message Definition of hold_210 message. This resulting in the removal of "Either:" in the message prerequisites.

ISO 20022 Messages in Scope for CDE Drop 3

Business Message CollectionMessage
ISO 20022 Messaging - MC - Account Management message collection
  • Account Creation Request
  • Account Notification
  • Account Modification Instruction
ISO 20022 Messaging - MC - Holding message collection
  • Transfer / Conversion Request
  • Transfer / Conversion Confirmation
  • Transfer / Conversion Authorisation Request
  • Transfer / Conversion Request Status Advice
  • Transfer / Conversion Authorisation Response
  • Securities Message Cancellation Advice
  • Transfer / Conversion Confirmation
  • SRN Enquiry Request
  • SRN Enquiry Status Advice
  • SRN Enquiry Response


Connectivity

DocumentDescriptionRelease Notes

Ledger API Connectivity to the CSP

The following changes must be implemented before direct ledger users can connect in CDE2.

Connect to the Ledger (Update)Updated the code snippet for ManagedChannel, specifically the MAX_MESSAGE_SIZE from "64" → "128"
Submit the Command (Update)Updated the code snippet for processCreatedEvent, from "String bizMsgIdr = ((BusinessApplicationHeader1__1) ((Some) hold207Out.message.zuAppHdr.zuRltd).aValue).zuBizzMsgIdr;" → "String bizMsgIdr = hold207Out.message.zuAppHdr.zuRltd.get().zuBizzMsgIdr;"
Building the Payload (Update)

Updated code snippets that contain the "None" and "Some" case with the following:

  • "new None<>(Unit.getInstance())" → "Optional.empty()"
  • "new Some<>("TRF200")" → "Optional.of(“TRF200”)"
Advanced Messaging Queuing Protocol (AMQP)AMQP Connectivity to the ASX (Update)Updated the page to include the following statement "Clients need to send text-type messages to ASX via AMQP, to avoid deserialisation challenges."
ConnectivityASX Net (Update)Updated the page to include the following statement "As a material, new service and technology to ASX both a new VRF (Virtual Routing and forward) and Virtual Lan will be implemented to CSP to provide segregation from other ASX services."



Testing

DocumentDescriptionRelease Notes
Cutover and MigrationCDE Market Trade and Batch Settlement (NEW)Information about sample market trades provided for testing.
Test Data (Update)
  1. NEW included Payment Facilities in the Test Data table.
  2. Updated the CSP Users row to include Payment Providers
  3. Updated the Issuer & Securities row to remove Warrants as an excluded part of the release
  4. Updated the Accounts & Holders row to update the sampleseededaccounts.xlsx file
Known Issues & Limitations (Update)
  1. NEW included two CDE2 related defects.
  2. Updated Schema Validation Future Scope item from "Empty elements" → "Empty XML Elements"
  3. Updated page to include "CDE1 Resolved Defects" and moved "Incorrect BAH Creation Date" defect has been resolved. The resolution of this defect will be available in CDE Drop 2. The following has been added to the page " under this new table.
Test DataCSP Users (Update)NEW, included Payment Provders / Banks in the CSP Users table.



Release Notes

DocumentDescriptionRelease Notes
Release Notes

April 2019 - CDE Code Drop Notes (Update)

Updated page to include DA SDK Information column and recommended version number.

June 2019 - CDE Code Drop Notes (NEW)

The notes detail the scope of the second drop of CDE code, released in June 2019. It includes available functionality of the CDE environment.

Forward Release PlanUpdated page to include changes to CDE Release 4 and NEW scope for CDE Release 5.



Frequently Asked Questions

DocumentDescriptionRelease Notes
Frequently Asked Questions


FAQs - Functional Specifications (Update)

Included new question; "What is happening with account & holder creation and modification?"

FAQs - Messaging (Update)

Included new question; "How can I tell what version of message is being used in each release of functionality?"

FAQs - Connectivity (Update)

Included new question; "Which connectivity option should we use?" and "What options do we have to connect over using a Node or AMQP?"

FAQs - Testing (Update)

Included new questions:

  1. "Is there anything we need to be aware of to start testing in the CDE?"
  2. "When might CDE messages not receive a CSP response?"

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