30 August 2019 - CDE 3 AMQP and Housekeeping Updates

Table of Contents


Date

30 August 2019

Type

New Content: Issuer Sponsored to Participant Transfers and Conversions Housekeeping.

Updates: Content revisions to reflect changes to Testing, Environments, AMQP Connectivity Guide and Account Notification (for Transfers and Conversions and SRN Enquiry).

Reason for changes

New content is being released to detail the Issuer Sponsored to Participant Transfers and Conversions Housekeeping workflow. This content is provided to support functionality that will be available in a subsequent release.

Based on recent Connectivity & Integration Working Group sessions the AMQP connectivity guide has been updated to include relevant and recommended settings and architecture based on current CDE connectivity.

Note

Updates to previously published functionality or corrections have been identified in orange on relevant pages. For clarity, code snippets, hyperlinks, NEW or major content updates are not highlighted in orange.

Functional Specification

Function / page

Description

Details of update

Issuer Sponsored to Participant Transfer and Conversion Housekeeping Process (NEW)

Issuer Sponsored to Participant Transfer and Conversion Housekeeping functionality will be available in a subsequent release.

Outlines the Issuer Sponsored to Participant Transfers and Conversions Housekeeping Process including Process Flow, Detailed Process and Business Values and Rules.

New page.
Transfers and Conversions Overview (Update)Outlines the Participant to Issuer Sponsored and Issuer Sponsored to Participant Transfers and Conversions Process.Minor update to include information about Issuer Sponsored to Participant Transfer and Conversion Housekeeping Process.
Participant to Issuer Sponsored Transfer Process (Update)Outlines the Participant to Issuer Sponsored Transfer Process including Process Flow, Detailed Process and Business Values and Rules.Minor update to include the Account Type, Ownership Type, Account Status, Controlling Participant and Holder Status parameters in the Business Values and Rules table for the Account Notification (acct_002).
Participant to Issuer Sponsored Conversion Process (Update)Outlines the Participant to Issuer Sponsored Conversion Process including Process Flow, Detailed Process and Business Values and Rules.Minor update to include the Account Type, Ownership Type, Account Status, Controlling Participant and Holder Status parameters in the Business Values and Rules table for the Account Notification (acct_002).
Issuer Sponsored to Participant Transfer Process (Update)Outlines the Issuer Sponsored to Participant Transfer Process including Process Flow, Detailed Process and Business Values and Rules.Minor update to include the Account Type, Ownership Type, Account Status, Controlling Participant and Holder Status parameters in the Business Values and Rules table for the Account Notification (acct_002).
Issuer Sponsored to Participant Conversion Process (Update)Outlines the Issuer Sponsored to Participant Conversion Process including Process Flow, Detailed Process and Business Values and Rules.Minor update to include the Account Type, Ownership Type, Account Status, Controlling Participant and Holder Status parameters in the Business Values and Rules table for the Account Notification (acct_002).
SRN Enquiry Process (Update)Outlines the SRN Enquiry Process including Process Flow, Detailed Process and Business Values and Rules.Minor update to include the Account Type, Ownership Type, Account Status, Controlling Participant and Holder Status parameters in the Business Values and Rules table for the Account Notification (acct_002).
Movement of Units Process (Update)Outlines the Movement of Units Process including Process Flow, Detailed Process and Business Values and Rules.Minor update to remove the following disclaimer "The sett_136 - Settlement Movement Confirmation message is currently under review with SWIFT and may be subject to change. ASX will communicate accordingly."
Bilateral Settlement Instruction Cancellation Withdrawal Process (Update)Outlines the Bilateral Settlement Instruction Cancellation Withdrawal Process including Process Flow, Detailed Process and Business Values and Rules.Minor update to the business values and rules table amending "Cancellation Request Reference" → "Target Transaction Id".


Messaging Specification

Function / page

Description

Details of update

ISO 20022 Messaging - MC - Batch Settlement Failures and Movements (Update)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. Includes the functions released in the Functional Specifications.

The following message has been updated:

  • Minor update to remove the following disclaimer "The sett_136 - Settlement Movement Confirmation message is currently under review with SWIFT and may be subject to change. ASX will communicate accordingly."
  • "sett_136_sese_025" → "sett_136_semt_002" - Updated ISO base message from sese_025 to semt_002.
ISO 20022 Messaging - MC - Bilateral Settlement Instruction (Update)Explains how to create a Settlement Instruction Request, Settlement Instruction Update, Cancellation and Cancellation Withdrawal 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. Includes the functions released in the Functional Specifications.

The following UML has been updated:

  • Bilateral Settlement Instruction Matched Cancellation
ISO 20022 Messaging - TM - ASX Proprietary Code List, about

Lists ASX proprietary identification elements.

The following changes have been made:
  • Code list name changed "RejectionReasonCode_ASX_1" → ''RejectedReasonCode_ASX_1"
  • Code list name changed "CollateralRejectionReason_ASX_1" → "CollateralRejectionRemovalReason_ASX_1"
  • Code list name changed "BasisOfMovement_ASX_1" → "BasisOfMovementCode_ASX_1"
  • Added ‘ASXD’ as a new code in the ‘CollateralRejectionRemovalReason_ASX_1’ code list.

ISO 20022 Messaging - TM - Business Message Parameters - Release 3 (Update)

ISO 20022 Messaging - TM - Business Message Parameters - Release 4 (Update)

Details individual message by release to assist CDE subscribers with business message naming convention.

Minor updates including the following messaging changes:

Business Message Parameters Release 3 (Update)

  • "acct_004_001_02" → "acct_004_001_03
  • "hold_214_001_01" → "hold_214_001_02
  • "hold_219_001_01" → "hold_219_001_02
  • "sett_170_001_01" → "sett_170_001_02"

Business Message Parameters Release 4 (Update)

  • "acct_004_001_02" → "acct_004_001_03"
  • "hold_214_001_01" → "hold_214_001_02
  • "hold_219_001_01" → "hold_219_001_02
  • "sett_136_001_01" → "sett_136_001_02"
  • "sett_170_001_01" → "sett_170_001_02"
EIS to ISO 20022 Cross Reference Guide (Update)

The EIS to ISO 20022 Cross Reference Guide is a list of CHESS message numbers (EIS) and their corresponding ISO 20022 base message numbers.

Minor updates including the following messaging changes:

  • Updated sett_122 message name from Settlement Instruction Allegement Notification Cancellation → Settlement Instruction Message Cancellation Advice.
  • Updated sett_136 ISO base message from sese_025 to semt_002.
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.

CDE3  (Update Schema)

  • "acct_004_001_02" → "acct_004_001_03" - Updated Organisation / Organisation Identification / Any BIC from mandatory to optional.
  • "hold_214_001_01" → "hold_214_001_02" - Updated data type of Rejected Movement Reason.
  • "hold_219_001_01" → "hold_219_001_02" - Updated Balance for Account from optional to mandatory and Requesting Participant has been removed.
  • "sett_170_001_01" → "sett_170_001_02"- Updated the Event Information/Event Parameter and Event Information/Event Time from mandatory to optional.

CDE4  (Update Schema)

  • "acct_004_001_02" → "acct_004_001_03" - Updated Organisation / Organisation Identification / Any BIC from mandatory to optional.
  • "hold_214_001_01" → "hold_214_001_02" - Updated data type of Rejected Movement Reason.
  • "hold_219_001_01" → "hold_219_001_02" - Updated Balance for Account from optional to mandatory.
  • "sett_136_001_01" → "sett_136_001_02"- Changed the ISO base message from: sese_025 to semt_002.
  • "sett_170_001_01" → "sett_170_001_02"- Updated the Event Information/Event Parameter and Event Information/Event Time from mandatory to optional.
  • "admn_851_001_01"→"admn_851_001_02"  - Updated ISIN and Security Code from optional to mandatory.

The following collections have been updated.

Updated: Collections for CDE3

  • ASX_AU_CHS_rel3_sett Technical Version 3→ ASX_AU_CHS_rel3_sett Technical Version 4
  • ASX_AU_CHS_rel3_hold Technical Version 4→ ASX_AU_CHS_rel3_hold Technical Version 5
  • ASX_AU_CHS_rel3_acct Technical Version 5→ ASX_AU_CHS_rel3_acct Technical Version 6

Updated: Collections for CDE4

he following collections have been updated.

  • ASX_AU_CHS_rel4_sett Technical Version 1→ ASX_AU_CHS_rel4_sett Technical Version 3
  • ASX_AU_CHS_rel4_hold Technical Version 1→ASX_AU_CHS_rel4_hold Technical Version 2
  • ASX_AU_CHS_rel4_acct Technical Version 1→ASX_AU_CHS_rel4_acct Technical Version 2
  • ASX_AU_CHS_rel4_admnTechnical Version 1→ASX_AU_CHS_rel4_admn Technical Version 2


Connectivity

Function / page

Description

Details of update

Building the Payload (Update)

This update must be implemented before Ledger API users compile their CDE3 applications.

Details sample connectivity code snippets for building Ledger API payloads.

The page corresponds to the following release candidate versions:

  • DAML SDK 0.13.18
  • Bindings Rx Java 100.13.18
  • DAML LF Archive 100.13.18
  • CSP Java Stubs 1.10.190

Minor update to code snippet addressing native Java enums support provided by DAML SDK 0.13.18.

When constructing a command argument, some fields are now available as native Java enums instead of classes that must be instantiated with a Unit.getInstance() argument. The compiler will notify users of such instances.

  • References of "(Unit.getInstance())" have been removed for some fields in the Example code snippet. For example:

From (CDE2):
new SettlementTypeAndAdditionalParameters19__1(
new ReceiveDelivery1Codez_RECE(Unit.getInstance()),


new SettlementTransactionCondition16Choice__1(
new GenericIdentification30__4(new TransactionCondition_ASX_1z_BDTR(Unit.getInstance()),

To (CDE3):
new SettlementTypeAndAdditionalParameters19__1(
ReceiveDelivery1Code.RECEIVEDELIVERY1CODEZ_RECE,


new SettlementTransactionCondition16Choice__1(
new GenericIdentification30__4(TransactionCondition_ASX_1.TRANSACTIONCONDITION_ASX_1Z_BDTR,

AMQP Overview (Update)

Details a high level summary and introduction of Advanced Messaging Queuing Protocol (AMQP).

Minor update to include differences between AMQP and CHESS.
AMQP Architecture (Update)Details the ASX architecture implementation stages over time.Minor update to include further detail on the Stage 1 implementation as well as a new table detailing common AMQP architecture patterns.
AMQP Connectivity to the ASX (Update)Details the requirements to connect to the ASX leveraging AMQP.Minor update to include information regarding duplicate detection and the types of duplication.
AMQP Settings (NEW)Details recommended client, link session and message expiry settings.New page.
Acknowledgements (NEW)Details the acknowledgements process including types of acknowledgements (broker to client and client to broker), error conditions (negative acknowledgements), as well as how flow control prevents an overflow in memory, storage, network and CPU.New page.
AMQP v1.0 Example Client (Update)Details an example AMQP v1.0 Client Properties Setup File and Client Code.Minor updated to include a link to additional supporting Apache Qpid documentation.
AMQP External Resources (NEW)Lists additional external supporting documentation that could help with connecting via AMQP. New page.

Testing

Function / page

Description

Details of update

CDE Market Trade and Batch Settlement (Update)

Details information about sample market trades provided for testing.

  1. Minor update to attached sample market trade data file. This list of sample trades has been expanded to support a number of different netting scenarios.
Test Data (Update)

Details seeded test data provided by ASX in CDE.

  1. Minor update to attached Issuer & Securities sample data file. Data file now includes Issuer UICs for each security listed.
  2. Minor update to include Issuer Registry as a type of CSP user available for testing in CDE.
Known Issues & Limitations (Update)

Details known CDE issues & limitations, their impact and where applicable, an identified workaround.

  1. Minor update to include three known defects in CDE3.
  2. Minor update to format and structure of Known Issues & Limitations.
  3. Minor update to reflect the fixes CDE3 resolves from CDE2.
CDE CSP Users (Update)Details CSP users and their associated test functions.
  1. Minor updates to Account Management functions to match CDE3 functionality.
  2. Minor updates to Holding Management functions to match CDE3 functionality.
  3. Minor updates to SRN Enquiry functions to match CDE3 functionality.
CDE Auto-responders (Update)

Details of the Auto-responder to enable the testing of bilateral events, transfers and conversions as well as SRN enquiry by a single party in CDE.

Minor updates to include CDE Drop 3 auto-responder functionality.
CDE Issuer to Participant Transfer / Conversion (NEW)Details how the Auto-responder will act in the role of the Registry in a Transfer/Conversion workflow.New Page.
CDE SRN / SRN Balance Enquiry (NEW)Details how the Auto-responder will act in the role of the Registry in a SRN Enquiry workflow.New Page.
CDE Instances for Issuer Registries (NEW)

Details information to support Issuer (Registry) testing based on functionality made available in CDE code drop 3.

New Page.

Release Notes

Function / page

Description

Details of update

Forward Release Plan (Update)

Details both documentation and code capabilities/features.

Minor update to include changes to Technical Documentation Release 5 and NEW scope for CDE Release 6.
August 2019 - CDE Code Drop Notes (New) Details the scope of the third drop of CDE code, released in August 2019. It includes available functionality of the CDE environment.New Page.
July 2019 - Documentation Release NotesDetails the scope of the fourth tranche of Technical Documentation, released in July 2019. It includes available documentation for future the CDE releases.Minor update to remove the following disclaimer "The sett_136 - Settlement Movement Confirmation message is currently under review with SWIFT and may be subject to change. ASX will communicate accordingly."

Glossary

Function / page

Description

Details of update

Glossary (Update)

Lists and defines terms used in technical documentation. This glossary is for general guidance only. It does not amend or replace any definitions used in any ASX rulebooks.

New connectivity term and definition; 'Idempotent'.




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