December 2020 - Documentation Release Notes

These release notes detail the scope of the December 2020 documentation release. Updates to previously published functionality or corrections have been identified in orange on relevant pages. Changes to APG sections will be accompanied by a page history comparison per 1.7 Maintenance and Updates. Deletions, code snippets, hyperlinks, images, name changes and major updates to pages or tables are not marked in orange.

New documentation:

  • Cutover and Migration - Dormant Account Cancellation

  • Other Information & Publications

Documentation updated:

  • ASX Settlement Procedure Guidelines (APG), including:

    • Section 23 - mFund settlement service.

  • Functional specifications, including:

    • Dividend Reinvestment Plan and Bonus Share Plan Elections;

    • API Contract adjustments for:

      • Settlement Locks; and

      • Collateral Management.

  • General Messaging Updates to reflect changes to Dividend Reinvestment Plan and Bonus Share Plan Elections; and

  • Business Message Parameters - Release 10.

A full archive of content prior to the December 2020 Documentation Release is available here for reference.

Operational Procedures & Guidelines

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Release Notes

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Release Notes

Operational Procedures & Guidelines

Content Pages (Update)

Updated APG section version to reflect the December 2020 Documentation Release.

Section 23 - mFund settlement service (Update)

  1. Numbering changes due to moving section 23.7.1 → 23.5 - mFund Coding Guide

  2. Name change of section 23.7.7 - Unit Adjustment and Advices → Unit Adjustment and Confirmations

  3. Minor updates to:

    • Section 23.5 - mFund Coding Guide;

    • Section 23.8 - mFund Change of PISP and Unit Registry;

    • Section 23.8.1 - Notification of Request to Change PISP and/or Unit Registry;

    • Section 23.8.2 - Timetable for Change of PISP/Registry;

    • Section 23.8.3 - Creation of a New PISP UIC; and

    • Section 23.7.7 - Unit Adjustment and Confirmations.

Additional details of this change are available here.

APG Changes (Update)

Minor update to Section 23 - mFund settlement service to reflect a numbering change.

Functional Specifications

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Reporting

Reporting Overview (Update)

Updated to include sample reports for the Daily Interest Earned and Collateral Statement Report. These reports will be made available via sFTP in a subsequent release.

Holding Net Movement (HMVT) (Update)

Minor updates to the Summary and Net Holding Movement Report (Holding Net Movement) business values table to address foreign to foreign movements.

Holding Net Movement (HMVT) (EOD) (Update)

Default Management

Default Management Overview (Update)

Updated to expand and clarify the following terms; ASX CCPs → Central Counterparties (CCPs) and SSFs → Settlement Facilities (SFs).

Settlement Locks

Settlement Lock Process (Update)

Updated Functional Specification Process tables to include Observer and API Contract information.

Unlock Settlement Lock Process (Update)

Collateral Management

Collateral Management Process - Creation for ETO and CMM (Update)

Collateral Management Process - Removal for ETO (Update)

Collateral Removal for ETO Sub-process (Update)

Collateral Removal for CMM Process (Update)

Collateral Removal by ASX Clear Process (Update)

Collateral Transfer and Release by ASX Clear Process (Update)

Dividend Reinvestment Plan and Bonus Share Plan Elections

Controlling Participant Initiated DRP/BSP Election Process (Update)

  1. Updated to reflect the September 2020 Tranche 2 Rule Amendments Response to Consultation Feedback:

    • Updated to remove Step 9 (“The CSP records the election against the holding”) and renumber remaining steps from the Controlling Participant Initiated DRP/BSP Election Cancellation Process Flow and table.

    • Updated to replace references to DRP/BSP Election from “Acceptance” terminology to “Acknowledgement” terminology.

    • Updated to replace references from “Accepted (ACCP)” to “Acknowledged Accepted (PACK)” in the Accepted for Further Processing field of the Corporate Action Election Status Advice Business Values and Rules tables.

    • Updated to remove references to CSP processing of DRP/BSP Elections.

    • Updated the housekeeping time-frame from within two business days to within one business day.

  2. Updated to replace reference from “Option Code” to “Option Number” in the Business Values and Rules Tables.

  3. Minor wording updates to Steps 7, 10, and 13 of the Controlling Participant Initiated DRP/BSP Election Process table.

  4. Updated to clarify and correct the Unit Quantity field’s ISO 20022 Element in the Corporate Action Election - Controlling Participant Business Values and Rules table.

  5. Updated to clarify and correct the Accepted for Further Processing field’s ASX Element Name and ISO 20022 Element in the Corporate Action Election Status Advice tables.

  6. Updated to reflect the updated ASX Element Name and ISO 20022 Element for the ‘Accepted Pending Authorisation’ and ‘Cancelled’ fields in the Corporate Action Election Status Advice - Pending Acknowledgement, Acknowledgement, Rejection and Housekept table. This includes a change to the guidelines of the Accepted Pending Authorisation field.

  7. Updated to remove the Status Quantity field from the Corporate Action Election Status Advice - Issuer (Registry) Acknowledgement and Rejection Business Values and Rules table.

Issuer (Registry) Initiated DRP/BSP Election Process (Removed)

This process has been removed following the September 2020 Tranche 2 Rule Amendments Response to Consultation Feedback.

Issuer (Registry) Initiated DRP/BSP Election Cancellation Process (Update)

Major update to the Issuer (Registry) Initiated DRP/BSP Election Cancellation Process to reflect that it is now a standalone process.

Controlling Participant Initiated DRP/BSP Election Cancellation Process (Update)

Major update to the Controlling Participant Initiated DRP/BSP Election Cancellation Process to reflect that it is now a standalone process.

DRP/BSP Election Cancellation Process (Replaced)

This process previously covered both an Issuer (Registry) and Controlling Participant initiated DRP/BSP Election cancellation. Following the September 2020 Tranche 2 Rule Amendments Response to Consultation Feedback, this process has been replaced by two separate processes:

DRP/BSP Election Enquiry Process (Update)

  1. Updated to reflect the September 2020 Tranche 2 Rule Amendments Response to Consultation Feedback:

    • Updated the housekeeping time-frame from within two business days to within one business day.

  2. Updated to remove references to the CSP recording a DRP/BSP Election against a holding.

  3. Updated to clarify and correct the message references in Steps 9 and 10 of the DRP/BSP Election Enquiry Process table from “Corporate Action Election Status Advice (evnt_743)” to “Corporate Action Election (evnt_742)”.

  4. Updated to replace reference from “Option Code” to “Option Number” in the Business Values and Rules Tables.

  5. Updated to replace reference from “Accepted (ACCP)” to “Acknowledged Accepted (PACK)” in the Accepted for Further Processing field of the Corporate Action Election Status Advice Business Values and Rules table.

  6. Updated to replace reference from “Request” to “Corporate Action Election Enquiry” in the Transaction Acknowledgement Advice Business Values and Rules tables.

  7. Updated to remove “there is no DRP plan active for the issuer (NADR)”. This code is not applicable to this process.

  8. Minor wording updates from “Corporate Action Election” to “Corporate Action Election Enquiry” and “DRP/BSP Election” to “DRP/BSP Election Enquiry”.

Dividend Reinvestment Plan and Bonus Share Plan Elections Overview (Update)

Updated to reflect the above changes.

Messaging

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ISO 20022 Messaging

ISO 20022 Messaging - Technical Manual (TM) (Update)

Updated: ISO 20022 Messaging - TM - ISO 20022 field format and data type

The following updates have been made:

  • Added the Data Type table to include the Data type (application validation) column; and

  • Clarified the ISO 20022 data type (schema validation) heading.

ISO 20022 Messaging - Message Catalogue (MC) (Update)

Updated: ISO 20022 Messaging - MC - DRP Elections - Controlling Participant Initiated DRP Election Cancellation

The following messages have been added:

  • evnt_745_seev_040 - Corporate Action Election Cancellation

  • evnt_746_seev_041 - Corporate Action Election Cancellation Status Advice

  • comm_809_admi_007 - Transaction Acknowledgement Advice

Updated: ISO 20022 Messaging - MC - DRP Elections - Issuer (Registry) Initiated DRP Election Cancellation

The following messages have been added:

  • evnt_745_seev_040 - Corporate Action Election Cancellation

  • evnt_746_seev_041 - Corporate Action Election Cancellation Status Advice

Replaced: ISO 20022 Messaging - MC - DRP Elections - DRP Election Cancellation

Following the September 2020 Tranche 2 Rule Amendments Response to Consultation Feedback, this messaging catalogue has been replaced by:

ISO 20022 Usage Guidelines

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 Release 10 and ISO 20022 Messaging - TM - Business Message Parameters - Release 10

  • Updated the following entries:

    • ‘evnt_742_001_04’ → 'evnt_742_001_05' - Updated to include the following changes:

      • Added corporateActionInstruction/AdditionalInformation/DeliveryDetails with a ’Payment status' as optional;

      • Updated corporateActionInstruction/AdditionalInformation/InstructionAdditionalInformation from Mandatory → Optional;

    • ‘evnt_743_001_04’ → 'evnt_743_001_05' - Updated to include new status: <Accepted> Acknowledged Accepted [PACK];

    • ‘evnt_746_001_04’ → 'evnt_746_001_05' - Updated to include new status: <Proprietary Status> Acknowledged Accepted [PACK]; and

    • ‘rptg_605_001_01’ → 'rptg_605_001_02' - Updated TransactionDetails/TransactionActivity/Proprietary/Identification to include additional movement type values. These include:

      • GFON: Guaranteed Foreign Net Ons;

      • GFOF: Guaranteed Foreign Net Offs;

      • GFFR: Guaranteed Foreign Movement from Registry; and

      • GFTR: Guaranteed Foreign Movement to Registry.

Connectivity

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Contracts Overview

Collateral Management API Contracts (NEW)

NEW catalogue page including collateral management API Contracts.

Environments

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Cutover and Migration

Cutover and Migration - Dormant Accounts (NEW)

NEW page detailing information regarding the cancellation of Dormant Accounts.

Cutover and Migration Overview (Update)

Updated to include a new sub-section introducing the Cancellation of Dormant Accounts documentation.

Testing

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Testing

Test Data (Update)

Updated Corporate Action test data to correspond to the CDE reset on Dec 17, 2020. This revised file removes events that correspond to a date in the past to ensure corporate action lifecycles complete.

Known Issues & Limitations (Update)

  1. Updated the CDE9 Observed Behaviours to include “Security Code and Account (HIN) are not filtered when provided in the Holding Balance Reporting Request for a Cum Entitlement Balance (CEBL) report“.

  2. Updated the CDE9 Defects to include “Historical CEB Balance is not reported if there has been a holding movement on an Account (HIN)“.

Trade Ingest API

Self-Service Bulk Account Creation (Update)

Updated samples to separate each template as a UTF-8 encoded CSV file and a separate readme text file. These files have been bundled as a compressed zip folder.

Self-Service Account Management (Update)

Self-Service Holding Adjustments (Update)

Self-Service Collateral Management (Update)

Self-Service Holding Administration Lock (Update)

Self-Service Real Time Pre-Payment Authorisation and Post Payment Notifications (Update)

Homepage

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Homepage

Other Information & Publications (NEW)

NEW page including ancillary CHESS Replacement documentation.