July 2019 - Documentation Release Notes

Table of Contents

Document Release 4

These release notes detail the scope of the fourth tranche of technical documentation, released in July 2019 (Document Release 4).

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:

A full archive of content prior to Document Release 4 is available here for reference.

Functional Specifications 

FunctionDescriptionRelease Notes
Batch Settlement (NEW)An outline of Batch Settlement including Funds Obligations, Cancellation of Scheduled Batch Settlement, Movement of Units, Settlement Confirmation and Batch Settlement Completion.

Documentation Release 4 includes an overview of Batch Settlement. The document outlines Batch Settlement and the scenarios during Batch Settlement where Settlement parties may receive messages from the CSP. It also details the changes between current CHESS and the new CSP.

Settlement Instruction Management (NEW)

An outline of Instruction Management including Settlement Instruction Rescheduling, Settlement Instruction Suspension and Suspended Settlement Instruction Cancellation.

Documentation Release 4 includes an overview of Instruction Management. The document outlines Instruction Management and the Instruction Management scenarios where Settlement parties may receive messages due to Settlement Rescheduling, Suspensions and Cancellations by the CSP.

Change of Controlling Participant (NEW)

An outline of a Change of Controlling Participant Request Acceptance, Rejection and Cancellation, Housekeeping and a Controlling Participant Enquiry.

Documentation Release 4 includes the end-to-end workflow for this transaction type. The document outlines the workflow for performing Change of Controlling Participant requests, Controlling Participant Enquiries and Change of Controlling Participant Request Cancellation. It also details the change between current CHESS and the new CSP with regards to the housekeeping of Change of Controlling Participant requests.

Security Sub-register Status Notification (NEW)An outline of the Security Sub-register Status Notification process.Documentation Release 4 includes an overview of Security Sub-register Status Notification.
Corporate Actions (Updates)Corporate Actions (Updates)Updated page title Corporate Action Principles → Corporate Actions.
Basis of Movement (Update)Added content outlining Events with an Ex Period and Cum Entitlement Balances.
Corporate Action Changes (NEW)Documentation Release 4 includes the Corporate Action Changes page, which outlines the key changes between current CHESS and the new CSP.
Accounts (Update)Account and Holder Locking and Unlocking Process (Update)

Removed "Action" field from the Account and Holder Locking and Unlocking Business Values and Rules table.

General UpdateBusiness Values and Rules (Update)Functional specifications will no longer include the 'Condition' and 'Type' columns in the Business Values and Rules tables. This information can be found in the published Usage Guidelines.



Messaging

DocumentDescriptionRelease Notes

ISO 20022 Messaging - MC - Batch Settlement Aggregate Funds Obligation and Funds Movement

Explains how to create Batch Settlement Funds Obligations 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 - Batch Settlement Aggregate Funds Obligation and Funds Movement

The following messages have been added:

  • sett_133_DRAFT1camt_089 - Funds Obligation
  • sett_134_camt_052 - Participant Funds Notification
  • sett_135_DRAFT1camt_090 - Funds Obligation Status Advice
ISO 20022 Messaging - MC - Batch Settlement Failures and MovementsExplains how to create Batch Settlement Movement of Units, Confirmation and Completion 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 - Batch Settlement Failures and Movements

The following messages have been added:

  • sett_130_sese_032 - Rescheduled Settlement Instruction
  • sett_134_camt_052 - Participant Funds Notification
  • sett_136_sese_025 - Settlement Movement Confirmation
  • sett_137_camt_054 - Funds Movement

The following messages have been updated:

  • sett_119_sese_025 - Settlement Confirmation
  • acct_002_acmt_002 - Account Notification
  • sett_170_admi_004 - Event Notification
ISO 20022 Messaging - MC - Cancellation of Scheduled Batch SettlementExplains how to create Cancellation of Scheduled Batch Settlement 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 - Cancellation of Scheduled Batch Settlement

The following messages have been added:

  • sett_131_camt_056 - Settlement Cancellation Notification
  • sett_170_admi_004 - Event Notification

The following messages have been updated:

  • sett_170_admi_004 - Event Notification
ISO 20022 Messaging - MC - Settlement Instruction SuspensionExplains how to create Settlement Instruction Suspension 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 - Settlement Instruction Suspension

The following messages have been added:

  • sett_129_sese_024 - Suspended Settlement Instruction

The following messages have been updated:

  • sett_109_sese_024 - Settlement Instruction Status Advice
ISO 20022 Messaging - MC - Security Sub-register Status NotificationExplains how to create Sub-register Status 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 - Security Sub-register Status Notification

The following messages have been added:

  • admn_851_reda_007 - Securities Notification
ISO 20022 Messaging - MC - Change of Controlling ParticipantExplains how to create Change of Controlling Participant related messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), send and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.

NEW: ISO 20022 Messaging - MC - Change of Controlling Participant

The following messages have been added:

  • acct_019_acmt_004 - Controlling Participant Enquiry
  • hold_215_semt_020 - Securities Message Cancellation Advice
  • hold_220_sese_023 - Change of Controlling Participant Request
  • hold_221_sese_024 - Change of Controlling Participant Status Advice
  • hold_222_sese_025 - Change of Controlling Participant Confirmation
  • hold_223_sese_020 - Change of Controlling Participant Cancellation Request
  • hold_224_sese_027 - Change of Controlling Participant Cancellation Confirmation
ISO 20022 MessagingISO 20022 Messaging - MyStandards (NEW)

NEW: MyStandards - Bulk Export of Schemas

Added content outlining how to bulk export schemas in MyStandards.

ISO 20022 MessagingISO 20022 Messaging - Technical Manual (Updates)

Updated: ASX Proprietary Code List

The following code lists have been updated:

  • 4-EventType
  • 8-TradeReason
  • 14-CancellationReasonCode
  • 35-MovementRejectedReason now known as 35-RejectedMovementReason

Updated: EIS to ISO 20022 Cross Reference Guide

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

  • NEW Batch Settlement, Instruction Management, Sub-Register and Change of Controlling Participant message entries
  • Updated hold_215 message to include Change of Controlling Participant
  • Updated sett_119 message to include Batch Settlement Movement of Units, Confirmation and Completion
  • Updated sett_170 message to include Cancellation of Scheduled Batch Settlement
  • Updated acct_002 message to include Batch Settlement Movement of Units, Confirmation and Completion

Updated: ISO 20022 field format and data type

The following updates have been made:

  • NEW table describing the data type for quantity, amount and price.
  • Updated page title ISO 20022 field format → ISO 20022 Messaging - TM - ISO 20022 field format and data type.
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.

NEW: Collections for CDE4

  • ASX_AU_CHS_rel4_admn Technical Version 1
  • ASX_AU_CHS_rel4_sett Technical Version 1
  • ASX_AU_CHS_rel4_hold Technical Version 1
  • ASX_AU_CHS_rel4_acct Technical Version 1
  • ASX_AU_CHS_rel4_comm Technical Version 1

NEW: Business Message Parameters Release 4

A new list has been added for business message parameters for rel 4 including:

  • Messages for Batch Settlement, Instruction Management, Change of Controlling Participant and Sub-Register Status.

Updated: Collections for CDE3

The following collections have been updated.

  • ASX_AU_CHS_rel3_hold Technical Version 3→ASX_AU_CHS_rel3_hold Technical Version 4
  • ASX_AU_CHS_rel3_acct Technical Version 4→ASX_AU_CHS_rel3_acct Technical Version 5

Updated: Annotation in Account Messages for (rel4)

Remove EIS Bit Position (59) and EIS Field (NameRegistration Details) from the annotation of holder address as this is not a existing EIS field but a new functionality

Message Impacted (no update in the schema):

  • acct_001_001_06_acmt_001_001_07

  • acct_002_001_05_acmt_002_001_07

  • acct_003_001_05_acmt_003_001_07

Updated: Naming convention (rel.3) (including on Business Message Parameters Release 3)

Add DRAFT in the Naming Convention and Business Message Identifier of hold_217 and hold_219.

  • "hold217_001_01_semt_025_001_01" → "217_001_01_DRAFT5semt_025_001_01"
  • "hold219_001_01_semt_040_001_01" → "hold219_001_01_DRAFT3semt_040_001_01"

ISO 20022 Messages in Scope for CDE Drop 4

Business Message CollectionMessage Catalogue Entry
ISO 20022 Messaging - MC - Account Management message collection
  • Change of Controlling Participant
ISO 20022 Messaging - MC - Holding message collection
  • Change of Controlling Participant
ISO 20022 Messaging - MC - Settlement message collection
  • Batch Settlement Movement of Units, Confirmation and Completion
  • Settlement Instruction Suspension
  • Settlement Instruction Rescheduling
  • Cancellation of Scheduled Batch Settlement
  • Batch Settlement Funds Obligations


Connectivity

DocumentDescriptionRelease Notes

Ledger API Integration

DAML SDK Overview (Update)Updated the DAML SDK link.
Ledger API (Update)Remove the reference to 'registration' for the SDK.
Submit the Command (Update)

Updated the DAML SDK link referencing the client.getCommandCompletionClient method.

Advanced Messaging Queuing Protocol (AMQP)AMQP Connectivity to the ASX (Update)
  1. Removed the reference to TLS for AMQP connectivity.
  2. Updated the page to include ASX reasons for using the Qpid library.

AMQP v1.0 Example Client (Update)

Corrected the reference on line 67 and 74 from 'form' to 'from'.


Testing

DocumentDescriptionRelease Notes

Implementation Phases

CDE Application Forms (Update)Updated the CDE User Application Form (page 2) to include Daily Market Trades option.


Frequently Asked Questions

DocumentDescriptionRelease Notes
Frequently Asked Questions


FAQs - Connectivity (Update)

Included new question; "What will be the most likely replacement for CHESS PC?"

FAQs - Messaging (Update)

Included new question; "Is there a bulk download message functionality in the SWIFT MyStandards portal?"


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