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

Function	Description	Release 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 Update	Business 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

Document	Description	Release 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 Movements	Explains 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 Settlement	Explains 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 Suspension	Explains 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 Notification	Explains 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 Participant	Explains 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 Messaging	ISO 20022 Messaging - MyStandards (NEW)	NEW: MyStandards - Bulk Export of Schemas Added content outlining how to bulk export schemas in MyStandards.
ISO 20022 Messaging	ISO 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 Collection	Message 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

Document	Description	Release 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)	Removed the reference to TLS for AMQP connectivity. Updated the page to include ASX reasons for using the Qpid library.
Advanced Messaging Queuing Protocol (AMQP)	AMQP v1.0 Example Client (Update)	Corrected the reference on line 67 and 74 from 'form' to 'from'.

Testing

Document	Description	Release Notes
Implementation Phases	CDE Application Forms (Update)	Updated the CDE User Application Form (page 2) to include Daily Market Trades option.

Frequently Asked Questions

Document	Description	Release Notes
Frequently Asked Questions	FAQs - Connectivity (Update)	Included new question; "What will be the most likely replacement for CHESS PC?"
Frequently Asked Questions	FAQs - Messaging (Update)	Included new question; "Is there a bulk download message functionality in the SWIFT MyStandards portal?"

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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.}

July 2019 - Documentation Release Notes