SRN Enquiry Overview

Table of Contents


SRN Enquiry and SRN Balance Enquiry

There are two types of Securityholder Reference Number (SRN) Enquiries that a Participant is able to perform through an SRN Enquiry Request, these are detailed in the table below.

SRN Enquiry TypeDescriptionSRN Provided by Participant
SRN EnquiryA request by the Participant to an Issuer to validate the registration details against the Issuer Sponsored Sub-Register and return an SRN (if existing).
SRN Holding Balance EnquiryA request by the Participant to an Issuer to provide the holding balance of an SRN.

Prior to the submission of an SRN Enquiry Request, of either type, the Participant is required to create a Registration Identifier (RGID) on the CSP with the registration details of the Issuer Sponsored holding. Refer to Account and Holder Creation Overview for the creation of an RGID.

The Registration Reference field on the SRN Enquiry Request must be populated with the Id of the Registration Identifier (RGID) that the SRN Enquiry or SRN Holding Balance Enquiry is being performed on. 

Once the CSP receives a valid SRN Enquiry Request, of either type, the CSP will identify the RGID from the value in the Registration Reference field on the request and populate the registration details of the RGID onto an Account Notification message with notification reason of SRN Enquiry (SRNE). The Account Notification will include the following attributes:

  • Account Identifier (RGID)
  • Account Name
  • Residency Indicator
  • Designation
  • Registered Address
  • Holder Identifier(s) 
  • Holder Name(s)
  • Holder Status

The CSP sends the SRN Enquiry Request to the Issuer (Registry) together with the Account Notification message. The SRN Enquiry Request, of either type, will be in pending status until the Issuer (Registry) accepts or Rejects the request. The Issuer (Registry) will perform matching of the registration details on the Account Notification message against the Issuer Sponsored Sub-Register.

Acceptance

Where the Issuer (Registry) accepts the SRN Enquiry Request, the request type will determine the information that will be provided back to the requesting Participant via the CSP.

Where the SRN Enquiry type was to retrieve the SRN, the Issuer (Registry) must provide the SRN within the response.

Where the SRN Enquiry type was to retrieve the holding balance of the SRN, the Issuer (Registry) must provide the holding balance and holding balance date/time within the response.

Rejection

Where the Issuer (Registry) rejects the SRN Enquiry Request, of either type, the Issuer (Registry) must provide a valid Rejection Reason as per the below table. The CSP will then notify the Participant that their SRN Enquiry Request was Rejected.

Rejection ReasonCode
SRN not foundNSRN
No Matching Registration DetailsNRGO
SRN and Registration Details Do Not MatchSNRG
Duplicate Registration Details FoundDRGO
Invalid Holder StatusIHDS

Within an Acceptance or Rejection response, the Issuer (Registry) is able to provide a registry reference for the SRN Enquiry. This can be used by the requesting Participant to follow-up with the Issuer (Registry) as a separate business process (not involving the CSP).

Housekeeping

Unactioned SRN Enquiries, of either type, will be housekept by the CSP at the end of the 2nd business day after the request was submitted. This will result in all SRN Enquiry Requests having their status updated to cancelled where:

  • The SRN Enquiry, of either type, is in a pending status, AND;
  • The request was raised on a date that is six days or more before the date housekeeping occurs.

An SRN Status Advice will be generated and sent to the Participant and to the Issuer (Registry) of the Security notifying them that the SRN Enquiry Request that was pending acceptance has been cancelled by ASX Housekeeping.




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