5.1.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
SECTION 5. MESSAGE INTERDEPENDENCIES
5.1. Introduction
The purpose of sub-section 5.2 is to describe the interdependencies between CHESS messages, and should be read in conjunction with the prerequisites described for each message in Section 4 of this manual and with the relevant industry procedures.
Each subsection of this section represents a functional area.
Within a functional area, there are one or more 'sets' of messages forming a sequence for that function. A 'set' is a group of messages which are processed together as one event, i.e., a single input directly triggering one or more outputs. For example, messages 015, 016 and 408 within Issuer Sponsored to CHESS Transfer form a set. The set shows the messages involved as well as the type of users sending, processing or receiving those messages. (These examples are shown in a later subsection.) The numbers shown in the diagrams relate to the messages in Section 4, but note that the full name of the message is not always shown.
Where more than one set is involved in the function, e.g., as a result of subsequent processing by a user, the collection of sets is termed a 'sequence'. In some circumstances either of two sets may be the next set within a sequence, e.g., either authorisation or rejection of a request. For example, in Issuer Sponsored to CHESS Transfer, one sequence is the set of messages 015/016/408 with the set 405/174 for a successful request, whereas another sequence is 015/016/408 with 407/076 for a rejected request.
In the diagrams, there is an implied vertical timescale within a set for the receipt, processing and sending of messages. Further, there is also an implied vertical timescale between sets in the sequence.
The generic message type 518 Rejected Transaction is not shown in any set, as it is implied that any incoming transaction which fails edit checks, (e.g. invalid HIN) will be rejected with a 518 message.
5.2.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
The following table describes the symbols used in the diagrams:
Symbol Description
C CHESS
P Participant
R Registry
PISP Product Issuer Settlement Participant
AMO Market Operator
B Payment provider involved in transferring funds
U User of the CHESS system
F/IM Fund/Investment Manager
Admin Represents the manual data entry functions of the Clearing House
OFR Offeror in a takeover offer
ASX Clear ASX Clear Pty Ltd
WI Warrant Issuer Agent
The arrows in the diagrams indicate the sender and receiver of a message. Where two arrows are shown together, this represents the same message being sent to two parties. Where an arrow is shown in dotted form, it indicates that the message is sometimes sent to the relevant party, depending on various circumstances.
The purpose of Section 6 is to provide examples of the various transaction identifiers and their relationships within a sequence. An example is given for each different type of sequence and a reference to the appropriate 'example type' is given with the diagram for each sequence in sub-section 5.2. Note that definitions for the various transaction identifiers are given in section 8.3 of this manual. These definitions should be read carefully prior to examining the transaction type examples.
5.3.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2. CHESS Message Interdependency Diagrams
5.2.1. Demand Single Entry CHESS to CHESS Transfer
(Refer also to section 6.1 for Transaction Id usage.)
5.2.2. Transferor Submitted Demand Transfer
(Refer also to section 6.2 for Transaction Id usage.)
P1
C
P1
001. Transfer Request
002. Effected Transfer
P1
C
P1
001. Transfer Request
002. Effected Transfer
P1
C
P1 P2
003. Transferor Submitted
Demand Transfer
010. Applied Transferor
Submitted Transfer
004. Effected Transferor
Submitted Transfer
P1
C
P1 P2
003. Transferor Submitted
Demand Transfer
010. Applied Transferor
Submitted Transfer
004. Effected Transferor
Submitted Transfer
5.4.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.3. Demand CHESS to Issuer Sponsored Transfer
5.2.4. Demand CHESS to Certificated Transfer
P1
C
P1 R
007. Transfer Request
418. CHESS to Issuer
Sponsored Transfer
008. Effected CHESS to
Registry Movement
P1
C
P1 R
007. Transfer Request
418. CHESS to Issuer
Sponsored Transfer
008. Effected CHESS to
Registry Movement
P1
C
P1 R
009. Transfer Request
414. CHESS to
Certificated Transfer
008. Effected CHESS to
Registry Movement
P1
C
P1 R
009. Transfer Request
414. CHESS to
Certificated Transfer
008. Effected CHESS to
Registry Movement
5.5.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.5. Issuer Sponsored to CHESS Transfer
(Refer also to section 6.3 for Transaction Id usage.)
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
015. Transfer Request
016. Accepted Registry to
CHESS Movement
Request
408. Authorisation Request
405. Registry to CHESS
Transfer Authorisation 407. Registry to CHESS
Transfer Rejection
174. Effected Registry to
CHESS Transfer
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
015. Transfer Request
016. Accepted Registry to
CHESS Movement
Request
408. Authorisation Request
405. Registry to CHESS
Transfer Authorisation 407. Registry to CHESS
Transfer Rejection
174. Effected Registry to
CHESS Transfer
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
5.6.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.6. Certificated to CHESS Transfer
(Refer also to section 6.3 for Transaction Id usage.)
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
021. Transfer Request
016. Accepted Registry to
CHESS Movement
Request
406. Authorisation Request
405. Registry to CHESS
Transfer Authorisation 407. Registry to CHESS
Transfer Rejection
174. Effected Registry to
CHESS Transfer
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
021. Transfer Request
016. Accepted Registry to
CHESS Movement
Request
406. Authorisation Request
405. Registry to CHESS
Transfer Authorisation 407. Registry to CHESS
Transfer Rejection
174. Effected Registry to
CHESS Transfer
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
5.7.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.7. CHESS to Issuer Sponsored Conversion
(Refer also to section 6.2 for Transaction Id usage.)
5.2.8. CHESS to Certificated Conversion
(Refer also to section 6.2 for Transaction Id usage.)
P1
C
P1 R
011. Conversion Request
416. CHESS to Issuer
Sponsored Conversion
008. Effected CHESS to
Registry Movement
P1
C
P1 R
011. Conversion Request
416. CHESS to Issuer
Sponsored Conversion
008. Effected CHESS to
Registry Movement
P1
C
P1 R
013. Conversion Request
412. CHESS to Certificated
Conversion
008. Effected CHESS to
Registry Movement
P1
C
P1 R
013. Conversion Request
412. CHESS to Certificated
Conversion
008. Effected CHESS to
Registry Movement
5.8.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.9. Issuer Sponsored to CHESS Conversion
(Refer also to section 6.3 for Transaction Id usage.)
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
017. Conversion Request
016. Accepted Registry to
CHESS Movement
Request
404. AuthorisationRequest
401. Registry to CHESS
ConversionAuthorisation 403. Registry to CHESS
Conversion Rejection
172. Effected Registry to
CHESS Conversion
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
017. Conversion Request
016. Accepted Registry to
CHESS Movement
Request
404. AuthorisationRequest
401. Registry to CHESS
ConversionAuthorisation 403. Registry to CHESS
Conversion Rejection
172. Effected Registry to
CHESS Conversion
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
5.9.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.10. Certificated to CHESS Conversion
(Refer also to section 6.3 for Transaction Id usage.)
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
019. Conversion Request
016. Accepted Registry to
CHESS Movement
Request
402. AuthorisationRequest
401. Registry to CHESS
ConversionAuthorisation 403. Registry to CHESS
Conversion Rejection
172. Effected Registry to
CHESS Conversion
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
019. Conversion Request
016. Accepted Registry to
CHESS Movement
Request
402. AuthorisationRequest
401. Registry to CHESS
ConversionAuthorisation 403. Registry to CHESS
Conversion Rejection
172. Effected Registry to
CHESS Conversion
426. Applied Registry
Response
076. Rejected Registry to
CHESS Movement
426. Applied Registry
Response
5.10.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.11. Takeover Acceptance
(Refer also to section 6.17 for Transaction Id usage.)
P1
C
P1 OFR
C
P1 OFR
OFR
(Optionally, where theOfferor rejects
the Takeover Acceptance,…)
031. Takeover Acceptance
032. Effected Takeover
Acceptance
704. Takeover Acceptance
Notification
038. Reversed Takeover
Acceptance
706. Effected Offeror
Transaction
701. Takeover Acceptance
Rejection
P1
C
P1 OFR
C
P1 OFR
OFR
(Optionally, where theOfferor rejects
the Takeover Acceptance,…)
031. Takeover Acceptance
032. Effected Takeover
Acceptance
704. Takeover Acceptance
Notification
038. Reversed Takeover
Acceptance
706. Effected Offeror
Transaction
701. Takeover Acceptance
Rejection
5.11.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.12. Takeover Acceptance Removal Request
(Refer also to section 6.3 for Transaction Id usage.)
P1
C
P1 OFR
C
P1 OFR
OFR
(followed by)
C
P1 OFR
OFR
OR
085. Takeover Acceptance
Removal Request
086. Acceptance Removal
Request 702. AuthorisationRequest
703. Removal
Authorisation 705. Removal Rejection
038. Reversed Takeover
Acceptance706. Effected Offeror
Transaction
088. Rejected Removal
Request
706. Effected Offeror
Transaction
P1
C
P1 OFR
C
P1 OFR
OFR
(followed by)
C
P1 OFR
OFR
OR
085. Takeover Acceptance
Removal Request
086. Acceptance Removal
Request 702. AuthorisationRequest
703. Removal
Authorisation 705. Removal Rejection
038. Reversed Takeover
Acceptance706. Effected Offeror
Transaction
088. Rejected Removal
Request
706. Effected Offeror
Transaction
5.12.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.13. Takeover Transfer
(Refer also to section 6.2 for Transaction Id usage.)
5.2.14. Securities Transformation
(Refer also to section 6.2 for Transaction Id usage.)
OFR
C
OFR P1
431. Takeover Transfer
034. Effected Takeover
Transfer
706. Effected Offeror
Transaction
OFR
C
OFR P1
431. Takeover Transfer
034. Effected Takeover
Transfer
706. Effected Offeror
Transaction
R
C
R P1
421. Securities
Transformation
422. Applied Registry
Transaction
018. Effected Securities
Transformation
082. Adjusted
Subposition
R
C
R P1
421. Securities
Transformation
422. Applied Registry
Transaction
018. Effected Securities
Transformation
082. Adjusted
Subposition
5.13.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.15. Holding Adjustment
(Refer also to section 6.2 for Transaction Id usage.)
R
C
R P1
425. Holding
Adjustment
422. Applied Registry
Transaction
022. Effected Holding
Adjustment
082. Adjusted
Subposition
R
C
R P1
425. Holding
Adjustment
422. Applied Registry
Transaction
022. Effected Holding
Adjustment
082. Adjusted
Subposition
5.14.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.16. Collateral Creation
(Refer also to section 6.17 for Transaction Id usage.)
P1
C
P1ASX
Clear
027. Collateral
Creation Request
610. Collateral Request028. Created Collateral
[followed by]
ASX
Clear
ASX
Clear
ASX
Clear
ASX
Clear
C C
P1 P1
CP CP
607. Accepted
Collateral
020. ASX Clear Accepted
Collateral602. Effected ASX Clear
Transaction
108. Collateral Creation
Acceptance Advice
609. Rejected
Collateral
030. Reduced
Collateral
602. Effected ASX Clear
Transaction
OR
176. Collateral Creation
Rejection Advice
5.2.17. Collateral Release
(Refer also to section 6.2 for Transaction Id usage.)
ASX
Clear
C
ASXC P1 &
P2
601. Collateral
Release Request
042. Collateral
Release
602. Effected ASX Clear
Transaction
5.15.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.18. Collateral Removal Request
(Refer also to section 6.18 for Transaction Id usage.)
P1
C
P1ASX
Clear
029. Collateral Removal Request
612. Collateral Removal
Authorisation Request
040. Accepted Collateral
Removal Request
[followed by]
OR
ASX
Clear
C
P1ASX
Clear
603. Collateral
Removal
Authorisation
030. Reduced
Collateral
602. Effected ASX
Clear
Transaction
ASX
Clear
C
P1ASX
Clear
605. Collateral
Removal
Rejection
078. Rejected
Collateral
Removal
602. Effected ASX
Clear
Transaction
5.16.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.19. Collateral Removal Request
(Controlling Participant & Clearing Participant differ)
P1
C
P1 CP
029. Collateral Removal
Request
168. CP Collateral Removal
Authorisation Request
040. Accepted Collateral
Removal Request
[followed by]
OR
CP
C
ASX
ClearCP
103. CP Collateral
Removal
Authorisation
612. Collateral
Removal
Authorisation
Request
144. Effected CP
Transaction
CP
C
P1 CP
109. CP Collateral
Removal
Rejection
078. Rejected
Collateral
Removal
144. Effected ASX
Clear
Transaction
182. CP Collateral Removal
to CP Notification ASX
Clear
ASX
Clear
160. Collateral Removal
Rejection Advice
End of Processing
5.17.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.19. Collateral Removal Request
(Controlling Participant & Clearing Participant differ) continued
[followed by]
OR
ASX
Clear
C
603. Collateral
Removal
Authorisation
030. Reduced
Collateral
602. Effected ASX
Clear
Transaction
ASX
Clear
C
605. Collateral
Removal
Rejection
078. Rejected
Collateral
Removal
602. Effected ASX
Clear
Transaction
120. CP Collateral Removal
Rejection Advice
P1ASX
ClearP1
ASX
Clear
CPCP
110. CP Collateral
Removal Advice
5.18.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.20. Collateral Removal Warning
C
ASX
Clear P1
104. Collateral Removal
Notification
104. Collateral Removal
Notification
5.2.21. ASX Clear Collateral Removal
(Refer also to section 6.2 for Transaction Id usage.)
C
ASXC P1
602. Effected ASX Clear
Transaction082. Adjusted Subposition
ACH
023. ASX Clear Collateral
Removal
Note: This function covers both Expiring Warrant Collateral Removal (which incorporates Collateral Removal Warning) and any other instance where ASX Clear initiate the removal of collateral (refer to APG Section 17).
5.19.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.22. Dual Entry Settlement Notification
(Refer also to section 6.5 for Transaction Id usage.)
P1
C
P1 P2
C
P1 P2
P2
(followed by)
C
P1 P2
P1
OR
101. Dual Entry
Settlement Notification
194. Unmatched Request102. Unmatched Dual Entry
Settlement Notification
101. Dual Entry
Settlement Notification 135. Dual Entry Settlement
Notification Cancellation
166. Scheduled Dual Entry
Settlement Instruction166. Scheduled Dual Entry
Settlement Instruction
116. Cancelled Settlement
Instruction
116. Cancelled Settlement
Instruction
(Optionally, for cancellation of a scheduled instruction, perform the following...)
P1
C
P1 P2
C
P1 P2
P2
(followed by)
C
P1 P2
P1
OR
101. Dual Entry
Settlement Notification
194. Unmatched Request102. Unmatched Dual Entry
Settlement Notification
101. Dual Entry
Settlement Notification 135. Dual Entry Settlement
Notification Cancellation
166. Scheduled Dual Entry
Settlement Instruction166. Scheduled Dual Entry
Settlement Instruction
116. Cancelled Settlement
Instruction
116. Cancelled Settlement
Instruction
(Optionally, for cancellation of a scheduled instruction, perform the following...)
5.20.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
P1
C
P1 P2
C
P1 P2
P2
(followed by)
C
P1 P2
P1
OR
129. Dual Entry Settlement
Cancellation Request
178. Unmatched Cancellation
Request
129. Dual Entry Settlement
Cancellation Request
131. Dual Entry Settlement Instruction
Cancellation Removal
116. Cancelled Settlement
Instruction116. Cancelled Settlement
Instruction
132. Removed Cancellation
Request
132. Removed Cancellation
Request
178. Unmatched Cancellation
Request
P1
C
P1 P2
C
P1 P2
P2
(followed by)
C
P1 P2
P1
OR
129. Dual Entry Settlement
Cancellation Request
178. Unmatched Cancellation
Request
129. Dual Entry Settlement
Cancellation Request
131. Dual Entry Settlement Instruction
Cancellation Removal
116. Cancelled Settlement
Instruction116. Cancelled Settlement
Instruction
132. Removed Cancellation
Request
132. Removed Cancellation
Request
178. Unmatched Cancellation
Request
5.21.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.23. Change Settlement Instruction
(Refer also to section 6.5.2 for Transaction Id usage.)
P1
C
P1 P2
C
P1 P2
P2
(followed by)
C
P1 P2
P1
OR
121. Change Settlement
Instruction Request
122. Unmatched Request 130. Requested Settlement
Instruction Change
121. Change Settlement
Instruction Request 123. Change Settlement Instruction
Cancellation Request
128. Adjusted Settlement
Instruction128. Adjusted Settlement
Instruction
118. Cancelled Change
Settlement Instruction
Request
118. Cancelled Change
Settlement Instruction
Request
P1
C
P1 P2
C
P1 P2
P2
(followed by)
C
P1 P2
P1
OR
121. Change Settlement
Instruction Request
122. Unmatched Request 130. Requested Settlement
Instruction Change
121. Change Settlement
Instruction Request 123. Change Settlement Instruction
Cancellation Request
128. Adjusted Settlement
Instruction128. Adjusted Settlement
Instruction
118. Cancelled Change
Settlement Instruction
Request
118. Cancelled Change
Settlement Instruction
Request
5.22.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.24. Maintain Settlement Instruction
(Refer also to section 6.6 for Transaction Id usage.)
P1
C
P1
125. Maintain Settlement
Instruction Request
126. Updated Settlement
Instruction
P1
C
P1
125. Maintain Settlement
Instruction Request
126. Updated Settlement
Instruction
5.23.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.25. Demand Dual Entry CHESS to CHESS Transfer
(Refer also to section 6.5.1 for Transaction Id usage.)
P1
C
P1 P2
OR
005. Transfer Request
194. Unmatched Request
012. Unmatched Transfer
005. Transfer Request
P1
C
P1 P2
037. Transfer Cancellation
Request
048. Cancelled Transfer
Request 048. Cancelled Transfer
Request
P2
C
P1 P2
006. Effected
Transfer
006. Effected
Transfer
OR
P1 P2
024. Rejected Demand
Dual Entry
Transfer
024. Rejected
Demand
Dual Entry
Transfer
P1
C
P1 P2
OR
005. Transfer Request
194. Unmatched Request
012. Unmatched Transfer
005. Transfer Request
P1
C
P1 P2
037. Transfer Cancellation
Request
048. Cancelled Transfer
Request 048. Cancelled Transfer
Request
P2
C
P1 P2
006. Effected
Transfer
006. Effected
Transfer
OR
P1 P2
024. Rejected Demand
Dual Entry
Transfer
024. Rejected
Demand
Dual Entry
Transfer
5.24.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.26. Single Entry Settlement CHESS to CHESS Transfer
(Refer also to section 6.4 for Transaction Id usage.)
P1
C
P1
(Optionally, for cancellation of a scheduled instruction,
perform the following…)
105. Transfer Request
106. Scheduled Transfer
P1
C
P1
119. Transfer Cancellation
Request
116. Cancelled Settlement
Instruction
P1
C
P1
(Optionally, for cancellation of a scheduled instruction,
perform the following…)
105. Transfer Request
106. Scheduled Transfer
P1
C
P1
119. Transfer Cancellation
Request
116. Cancelled Settlement
Instruction
5.25.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.27. Funds Notification
(Refer also to section 6.12 for Transaction Id usage for message 300.)
C
B1 B1
300. Participant
Funds
Notification
302. Payment Provider
Funds Notification
P1 CHESS ESA
150. Projected Funds
Obligation
350. Clearing Account
Transfer Request
5.2.28. Funds Authorisation
(Refer also to section 6.12 for Transaction Id usage for messages 310, 311 and 313.)
C
P1 B1
310. Participant Funds
Obligation
CHESS ESA
150. Projected Funds
Obligation
312. Payment Provder Funds
Obligation
B1
350. Clearing Account
Transfer Request
C
311. Participant Funds
Obligation Ack.
C
313. Participant Funds
Obligation Rejection
B1
OR
Note: CHESS payment provider messages are no longer used. CHESS ESA handles all postings and reconciliation.
5.26.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.29. Funds Transfer
(Refer also to section 6.13 for Transaction Id usage.)
C
B1 & B2
CHESS ESA
C
B1 & B2
C
333. Payment Provider
Funds Transfer
Response
362. CHESS DvP
Notification
360. Clearing Account Transfer Request
5.2.30. Funds Cancellation
(Refer also to section 6.14 for Transaction Id usage.)
Note: CHESS payment provider messages are no longer used. CHESS ESA handles all postings and reconciliation.
C
B1, B2 …. & CHESS ESA
398. Settlement Cancellation
Notification
C
399. Settlement Cancellation
Acknowledgement
5.27.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.31. New Registration Details
(Refer also to section 6.1 for Transaction Id usage.)
5.2.32. Update Registration Details
(Refer also to section 6.16 for Transaction Id usage.)
P1
C
P1
1
203.
.
Update Request
218. Accepted Registration Details Update
[followed by]
Admin
C
P1
220. Accepted
Accepted Registration
Details R
512. Holding Registration
Details
Admin
C
080. Rejected Registration Details Update
OR
P1
1
546. Revised Registration
Details
OFR
P1
C
P1
201. New Registration
Details
202. Accepted New
Registration Details
P1
C
P1
201. New Registration
Details
202. Accepted New
Registration Details
5.28.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.33. Tax File Number / Australian Business Number Advice
(Refer also to section 6.2 for Transaction Id usage.)
5.2.34. Notified Trades and Cancellations
(Refer also to section 6.7 for Transaction Id usage.)
ASX Trade
C
P1
164. Notified
Trade
P2
164. Notified
Trade
ASX Trade
C
116. Cancelled
Settlement
Instruction
P1 P2
116. Cancelled
Settlement
Instruction
P1
C
P1 R
533. Tax File Number / Australian
Business Number Advice
534. Notified Tax File Number /
Australian Business Number
536. Accepted Tax File Number /
Australian Business Number
Advice
P1
C
P1 R
533. Tax File Number / Australian
Business Number Advice
534. Notified Tax File Number /
Australian Business Number
536. Accepted Tax File Number /
Australian Business Number
Advice
5.29.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.35. Blocked Trade
(Refer also to section 6.8 for Transaction Id usage.)
C
P1
196. Blocked Trade
P2
196. Blocked Trade
P1
195. Block Trade Request
5.2.36. Unblocked Trade
(Refer also to section 6.8 for Transaction Id usage.)
C
P1
198. Unblocked Trade
P2
198. Unblocked Trade
P1
197. Unblock Trade Request
5.30.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.37. Netting
(Refer also to section 6.9 for Transaction Id usage.)
P1P1
134. Scheduled
Net
Obligation
P1
138. Netted Trade
542. CHESS
Event
Notification
Netting
5.2.38. Netting Reversal
(Refer also to section 6.9 for Transaction Id usage.)
P1P1
140. Cancelled
Net
Obligation
P1
136. Reinstated Trade
542. CHESS
Event
Notification
Reversed
Netting
5.31.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.39. Identify Short Positions
P1P1
148. Projected CUM
Entitlement
Position
P1
152. Projected
Securities
Position150. Projected
Funds
Obligation
Indentify
Short
Positions
5.2.40. Corporate Actions
(Refer also to section 6.10 for Transaction Id usage.)
P1
P1 Br, SLS
128. Adjusted Settlement
Instruction274. Adjusted Loan
Corporate
Actions124. Rescheduled Settlement
Instruction 276. Accrued Loan
Br, SLSP1
P1
142. Accrued
Settlement
Instruction
162. Suspended
Settlement
Instruction
P1
P1 Br, SLS
128. Adjusted Settlement
Instruction274. Adjusted Loan
Corporate
Actions124. Rescheduled Settlement
Instruction 276. Accrued Loan
Br, SLSP1
P1
142. Accrued
Settlement
Instruction
162. Suspended
Settlement
Instruction
5.32.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.41. Settlement
(Refer also to section 6.11 for Transaction Id usage.)
Settlement P1
170. Effected Net Funds Movement
124. Rescheduled Settlement Instruction
146. Effected Net Settlement
Movement
154. Cancelled Funds Obligation
156. Settled Settlement Instruction
P1
P1
P1
P1
190. Predicted Partial Fail Advice
192. Part-Settled Settlement
Instruction
542. CHESS Event Notification
116. Cancelled Settlement Instruction
P1
P1
P1
P1, PISP
5.2.42. Payment Facility Administration
(Example for Transaction Id usage to be advised.)
P1
P1, B1 P1, B1
240. Created Payment
Facility244. Cancelled Payment
Facility
Payment Facility
Admin
242. Applied Payment
Facility Update
P1
P1, B1 P1, B1
240. Created Payment
Facility244. Cancelled Payment
Facility
Payment Facility
Admin
242. Applied Payment
Facility Update
5.33.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.43. Reporting Request
(Refer also to section 6.1 for Transaction Id usage.)
5.2.44. Reporting Request Cancellation
(Refer also to section 6.15 for Transaction Id usage.)
U1
C
U1
503. Reporting Request
526. Accepted Reporting
Request
U1
C
U1
503. Reporting Request
526. Accepted Reporting
Request
U1
C
U1
505. Reporting Request
Cancellation
530. Cancelled Reporting
Request
U1
C
U1
505. Reporting Request
Cancellation
530. Cancelled Reporting
Request
5.34.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.45. Loan Application
(Refer also to section 6.19 for Transaction Id usage.)
C
Br
278. Scheduled Loan
Instruction
OR
Br
282. Rejected Loan
Application
C
Br
C
Br
271. Loan Application
272. Accepted SLS
Loan Instruction
(followed by)
Br
C
Br
273. Loan Application
Cancellation Request
284. Cancelled Loan
Instruction
OR
C
Br
278. Scheduled Loan
Instruction
OR
Br
282. Rejected Loan
Application
C
Br
C
Br
271. Loan Application
272. Accepted SLS
Loan Instruction
(followed by)
Br
C
Br
273. Loan Application
Cancellation Request
284. Cancelled Loan
Instruction
OR
5.35.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.46. Loan Return
(Refer also to section 6.20 for Transaction Id usage.)
C
Br
278. Scheduled Loan
Instruction
Br
C
Br
275. Loan Return
Notification
272. Accepted SLS
Loan Instruction
(Followed by ….)
Br
C
Br
277. Loan Return
Cancellation Request
284. Cancelled SLS
Loan Instruction
OR278. Scheduled Loan
Instruction
SLS
C
Br
278. Scheduled Loan
Instruction
Br
C
Br
275. Loan Return
Notification
272. Accepted SLS
Loan Instruction
(Followed by ….)
Br
C
Br
277. Loan Return
Cancellation Request
284. Cancelled SLS
Loan Instruction
OR278. Scheduled Loan
Instruction
SLS
5.36.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.47. Bulk Loan Application
(Refer also to section 6.21 for Transaction Id usage.)
C
SLS
C
280. Bulk Loan
Application
281. Bulk Loan
Approval
SLS
272. Accepted SLS
Loan Instruction
(Subject to Bulk Loan Approval being non-zero,
followed by …)
C
SLS
278. Scheduled Loan
Instruction
C
SLS
C
280. Bulk Loan
Application
281. Bulk Loan
Approval
SLS
272. Accepted SLS
Loan Instruction
(Subject to Bulk Loan Approval being non-zero,
followed by …)
C
SLS
278. Scheduled Loan
Instruction
5.37.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.48. Levy Notification and Reversal
(Refer also to section 6.22 for Transaction Id usage.)
5.2.49. Isolate Counterparty
(Refer also to section 6.24 for Transaction Id usage.)
P1
C
P1
139. Isolate Counterparty
Request
164. Notified Trade 164. Notified Trade
116. Cancelled Settlement
Instruction
128. Adjusted Settlement
Instruction P2, P3...
116. Cancelled Settlement
Instruction
128. Adjusted Settlement
Instruction
C
U1
544. Levy Notification
(Optionally, where Settlement Administration reverses the Levy)
C
U1
548. Reversed Levy
Notification
C
U1
544. Levy Notification
(Optionally, where Settlement Administration reverses the Levy)
C
U1
548. Reversed Levy
Notification
5.38.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.50. Change Controlling Participant and Cancel Change Controlling Participant
(Refer also to section 6.23 for Transaction Id usage)
(Diagram is continued on next page)
(followed by)
C
P2
P1 P2
251. Change Controlling Participant Authorisation
252. Effected Change Controlling Participant
252. Effected Change Controlling Participant
222. Holder Detail
832. Holding Fund Balance
520. Cum Entitlement Balance
502. Holding Subposition Detail
522. Holding Balance
C
P1
P1 P2
245. Change Controlling Participant Request
248. Change Controlling Participant Authorisation Request
246. Accepted Change Controlling Participant Request
5.39.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram continued from previous page)
C
P1
P1 P2
247. Change Controlling Participant Cancellation Request
250. Cancelled Change Controlling Participant Request
250. Cancelled Change Controlling Participant Request
OR
C
P2
P1 P2
253. Change Controlling Participant Rejection
256. Applied Change Controlling Participant Rejection
254. Rejected Change Controlling Participant
OR
5.40.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.51. Advising a Fund/Investment Manager of a Block Trade
(Refer also to section 6.25 for Transaction Id usage.)
5.2.52. Cancelling an ETC Trade
(Refer also to section 6.25 for Transaction Id usage.)
5.2.53. Rejecting a Block Trade
(Refer also to section 6.25 for Transaction Id usage
F/IM
C
F/IM Br
655. ETC Trade Rejection
Advice
660. ETC Trade
Rejection662. ETC Trade Rejection
Acknowledgement
F/IM
C
F/IM Br
655. ETC Trade Rejection
Advice
660. ETC Trade
Rejection662. ETC Trade Rejection
Acknowledgement
Br
C
Br F/IM
651. ETC Trade Advice
652. ETC Trade654. ETC Trade Advice
Acknowledgement
Br
C
Br F/IM
651. ETC Trade Advice
652. ETC Trade654. ETC Trade Advice
Acknowledgement
Br
C
Br F/IM
667. ETC Trade Cancellation
Advice
684. ETC Trade
Cancellation
686. ETC Trade Cancellation
Acknowledgement
Br
C
Br F/IM
667. ETC Trade Cancellation
Advice
684. ETC Trade
Cancellation
686. ETC Trade Cancellation
Acknowledgement
5.41.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.54. Allocating a Block Trade
(Refer also to section 6.25 for Transaction Id usage.)
F/IM
C
F/IM P1
653. ETC Trade Allocation
Advice
656. ETC Trade
Allocation
658. ETC Trade Allocation
Acknowledgement
5.2.55. Cancelling a Block Trade Allocation
(Refer also to section 6.25 for Transaction Id usage.)
F/IM
C
F/IM P1
661. Allocation Cancellation
Advice
672. Allocation
Cancellation 674. Allocation Cancellation
Acknowledgement
5.42.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.56. Advising a Fund/Investment Manager of Contract Note details
(Refer also to section 6.25 for Transaction Id usage.)
P1
C
P1 F/IM
657. Contract Note
Advice
664. Contract Note 666. Contract Note Advice
Acknowledgement
5.2.57. Cancelling a Contract Note
(Refer also to section 6.25 for Transaction Id usage.)
P1
C
P1 F/IM
669. ETC Contract Note
Cancellation Advice
688. ETC Contract Note
Cancellation 690. ETC Contract Note
Cancellation
Acknowledgement
5.43.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.58. Rejecting a Contract Note
(Refer also to section 6.25 for Transaction Id usage.)
F/IM
C
F/IM P1
659. Contract Note
Rejection Advice
668. Contract Note
Rejection 670. Contract Note
Rejection
Acknowledgement
5.44.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.59. Advising a Settlement Agent of Settlement Details
(Refer also to section 6.25 for Transaction Id usage.)
F/IM
C
F/IM P
663. ETC Settlement
Advice
676. ETC Settlement 678. ETC Settlement
Advice
Acknowledgement
5.2.60. Advising Settlement Agent of Cancelled Settlement Details
(Refer also to section 6.25 for Transaction Id usage.)
F/IM
C
F/IM P
665. ETC Settlement
Cancellation Advice
680. ETC Settlement
Cancellation
682. ETC Settlement
Cancellation
Acknowledgement
5.45.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.61. Issuer Sponsored SRN Enquiry
(Refer also to section 6.26 for Transaction Id usage.)
P1
C
P1 R
C
P1 R
R
C
P1 R
R
451. Participant to CHESS
SRN Request
452. CHESS to
Participant
SRN Request
Acknowledgement 454. CHESS to Registry
SRN Request
453. Registry to CHESS
SRN Response 455. Registry to
CHESS
SRN Reject
458. CHESS to
Participant SRN
Response
456. CHESS to Registry
SRN Response
Acknowledgement
462. CHESS to
Participant
SRN
Reject
460. CHESS to Registry
SRN Reject
Acknowledgement
(followed by)
OR
5.46.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.62. Issuer Sponsored Holding Balance Enquiry
(Refer also to section 6.27 for Transaction Id usage.)
P1
C
P1 R
C
P1 R
R
C
P1 R
R
457. Participant to CHESS
Holding Balance
Request
464. CHESS to Participant
Holding Balance
Acknowledgement
466. CHESS to Registry
Holding Balance
Request
459. Registry to CHESS
Holding Balance
Response 461. Registry
to CHESS
Holding
Balance
Reject
470. CHESS to Participant
Holding
Balance
Response
468. CHESS to Registry
Holding Balance
Response
Acknowledgement
474. CHESS to
Participant
Holding
Balance
Reject
472. CHESS to Registry
Holding Balance
Reject
Acknowledgement
(followed by)
OR
5.47.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.63. Create Net Position Record
(Refer also to section 6.28 for Transaction Id usage.)
P
C
P B
C
P B
B
C
P B
B
341. Create Net Position Request
344. Accepted Create
Net Position
Response
342. Create
Net Position
Authorisation Request
343. Create Net Position
Authorisation 345. Create Net
Position
Rejection
340. Effected Create
Net Position
346. Applied Create
Net Position
Response
348. Rejected Create
Net Position
346. Applied Create
Net Position
Response
Function: Accept Create Net Position Record Request
Function: Authorise Create Net Position Record Request
(followed by)
OR
5.49.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.64. Create Cash Subrecord
P
C
P B
C
P B
B
C
P B
B
351. Create Cash Subrecord Request
354. Accepted
Create Cash
Subrecord
Response
352. Create Cash
Subrecord
Authorisation
Request
353. Create Cash Subrecord
Authorisation
357. Create Cash
Subrecord
Rejection
356. Effected
Create Cash
Subrecord
358. Applied Create
Cash Subrecord
Response
360. Rejected
Create Cash
Subrecord
358. Applied
Create Cash
Subrecord
Response
Function: Authorise Create Cash
Subrecord Attributes Request
(followed by)
OR
Function: Reject Create Cash
Subrecord Attributes Request
Function: Accept Create Cash
Subrecord Attributes Request
5.50.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.65. RTGS Bank-Initiated Change to Net Position Record
B
C
B P
371. Change Net Position
Attributes Request
374. Change Net Position
Attributes Confirmation 372. Changed Net Position
Attributes Notification
Function: Accept Change Net Position Record
5.2.66. RTGS Bank-Initiated Change to Cash Subrecord
B
C
B
373. Bank Change Cash Subrecord
Attributes Request
376. Bank Change Cash
Subrecord Attributes
Confirmation
Function: Accept Change Cash Subrecord Attributes
5.2.67. Participant-Initiated Change to Cash Subrecord
5.51.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
P
C
P B
C
P B
B
C
P B
B
375. Participant Change Cash
Subrecord Attributes Request
378. Accepted Participant
Change Cash
Subrecord Attributes
380. Participant Change
Cash Subrecord Attributes
Authorisation Request
377. Participant Change
Cash Subrecord
Attributes Authorisation
379. Participant Change Cash
Subrecord Attributes
Rejection
382. Effected
Participant
Change Cash
Subrecord
Attributes
386. Rejected
Participant
Change Cash
Subrecord
Attributes
384. Applied
Participant
Change Cash
Subrecord
Attributes
Function: Authorise Participant
Change Cash Subrecord Attributes
(followed by)
OR
Function: Reject Participant Create
Cash Subrecord Attributes
Function: Accept Participant Change
Cash Subrecord Attributes Request
384. Applied
Participant
Change Cash
Subrecord
Attributes
5.52.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.68. Creation of RTGS Settlement Instruction
P1
C
P1 P2
C
P1 P2
P2
481. RTGS Dual Entry
Notification
484. Unmatched RTGS Dual
Entry Request
482. Unmatched RTGS Dual
Entry Notification
481. RTGS Dual Entry
Notification
166. Scheduled Dual Entry
Settlement Instruction
Note: 500 message will be sent to
both P1 and P2 in the event that both
parties have selected ‘ready to settle’
when submitting the 481 message.
If one or both parties have not
selected ‘ready to settle’ on the 481,
then neither P1 nor P2 will receive
the 500 message when the
settlement instruction is scheduled.
Instead, both P1 & P2 receive a 500
message when the party (parties)
required to submit authorisation
messages have done so.
166. Scheduled Dual Entry
Settlement Instruction
500. RTGS Instruction
Ready to Settle
Advice
(followed by, if P2 proceeds)
5.53.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.69. Cancellation of RTGS Settlement Instruction
(Refer also to section 6.29 for Transaction Id usage.)
P1
C
P1 P2
483. RTGS Notification
Cancellation Request
116. Cancelled Settlement
Instruction
If P1 cancels before P2 has sent
481 ‘RTGS Dual Entry Notification’ matching message
116. Cancelled Settlement
Instruction
P1
C
P1 P2
485. RTGS Dual Entry
Cancellation Request
490. Unmatched RTGS
Instruction
Cancellation
Request
490. Unmatched RTGS
Instruction
Cancellation
Request
(followed by)
If either party decides to cancel after settlement
instruction has been scheduled
(Diagram is continued on next page)
5.54.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram continued from previous page)
(followed by)
P1
C
P1 P2
C
P2
487. RTGS Dual Entry
Cancellation Removal
492. Removed RTGS
Instruction
Cancellation
Request
485. RTGS Dual Entry
Cancellation Request
492. Removed RTGS
Instruction
Cancellation
Request
OR
If P1 removes cancellation before P2
has sent matching message
If P2 proceeds with cancellation
P1 P2
496. Checking
RBA Funds
Queue
Advice
RBA
(no EIS number)
Request to
recall from
RBA funds
queue
If instruction no longer
in Testing Processing
C 496. Checking
RBA Funds
Queue
Advice
P1 P2
116. Cancelled
Settlement
Instruction
If securities not yet reserved in
CHESS Testing Processing
C
OR
116. Cancelled
Settlement
Instruction
End of Processing
(Diagram is continued on next page)
5.55.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram continued from previous page)
P1 P2
518. Rejected
Transaction
RBA
If transaction not in
RITS/RTGS funds queue (i.e. settled)
C
518. Rejected
Transaction
P1 P2
116. Cancelled
Settlement
Instruction
If transaction still in
RITS/RTGS funds queue
C
OR
116. Cancelled
Settlement
Instruction
(no EIS number)
Recalled response
successful
Note: Where a recall has
been rejected because a
transaction has settled,
CHESS will have also sent
the Participant an advice
that settlement has been
successfully completed.
*Movement Type in the
754 message will indicate
that the seller’s securities
have been released from
reservation. Seller (P1 or P2)
754. RTGS
Settlement
Movement*
RBA
(no EIS number)
Recalled response
successful
5.56.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.70. Authorisation of RTGS Settlement Instruction
(Refer also to section 6.30 for Transaction Id usage.)
P1
C
P1
495. Authorise Scheduled
RTGS Instruction
476. Authorise RTGS
Instruction
Confirmation
P1
C
P1 P2
495. Authorise Scheduled
RTGS Instruction
500. RTGS Instruction
Ready to
Settle
Advice
500. RTGS
Instruction
Ready to
Settle Advice
C
P1 P2
P2
495. Authorise Scheduled
RTGS Instruction
500. RTGS
Instruction
Ready to
Settle
Advice
500. RTGS
Instruction
Ready to
Settle
Advice
Where P1 and P2 have each
requested authorisation
(followed by)
Where P1 (or P2) is only P to have requested
authorisation on original settlement instruction
When P2 authorises
5.57.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.71. Dual Entry Change of RTGS Settlement Instruction
(Refer also to section 6.31 for Transaction Id usage.)
P1
C
P1 P2
489. Change RTGS Instruction
Request
478. Unmatched Change
RTGS Instruction
Request
480. Requested RTGS
Instruction Change
491. Change RTGS Instruction
Cancellation Request
442. Cancelled Change
RTGS Instruction
Request
P1
C
P1 P2
442. Cancelled Change
RTGS Instruction
Request
If P2 proceeds
(followed by)
OR
If P1 cancels before P2 has sent
matching message
C
P2
489. Change RTGS
Instruction Request
P1 P2
518. Rejected
Transaction
If securities already reserved
C
518. Rejected
Transaction
P1 P2
128. Adjusted
Settlement
Instruction
If securities not yet reserved
(i.e. not yet sent to RBA)
C
OR
128. Adjusted
Settlement
Instruction
5.58.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.72. Single Sided Change of RTGS Settlement Instruction
(Refer also to section 6.32 for Transaction Id usage.)
P1
C
P1
493. Maintain RTGS
Instruction Request
446. Updated RTGS
Instruction
5.59.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.73. Change of Settlement Type (Dual Entry)
(Refer also to section 6.33 for Transaction Id usage.)
P1
C
P1 P2
497. Settlement Type
Change Request
444. Unmatched Change
Settlement Type
Request
410. Requested Settlement
Type Change
441. Cancel Settlement Type
Change Request
450. Cancelled Request
to Change
Settlement
Type
P1
C
P1 P2
450. Cancelled Request
to Change
Settlement
Type
If P2 proceeds
(followed by)
OR
If P1 cancels before P2 has sent matching message
C
P2
497. Settlement Type
Change Request
P1 P2
410. Requested
Settlement
Type
Change
If destination settlement system is closed*
C 444. Unmatched
Change
Settlement
Type
Request
P1 P2
448. Adjusted
Settlement
Type
If destination settlement system is open*
C
OR
448. Adjusted
Settlement
Type
End of Processing
If default date is used or specified
settlement date is future date
C
518. Rejected
Transaction
If specified settlement
date is today’s date
P2
*Note:
Contingent upon Settlement
Date.
See Participant Procedure
Guidelines.
Market transactions may not
be switched net to RTGS once
NBOs are created(before
beginning of T+ 2).
OR
5.60.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.74. Settle RTGS Transaction
(Refer also to section 6.34 for Transaction Id usage.)
RBA
(no EIS number) Settlement Response
of unsuccessful
settlement
C
P1 P2
752. Requesting
Funds
Approval
Initiating Settlement:
Send CHESS-Processed Transaction to RBA
752. Requesting
Funds
Approval
Seller (P1 or P2)
754. RTGS
Settlement
Movement*
*Sent to seller to indicate reservation of securities.
**Sent to buyer and seller to indicate transfer of securities.
***Sent to seller to indicate un-reservation of securities.
****If the transaction was not settled at RBA because of a system problem, CHESS may send a 754 message to the seller re un-
eservation of securities, and ‘reinject’ transaction into processing once problem is corrected.
C
P1 P2
124. Rescheduled
Settlement
Instruction
Finalising Settlement: Fail in CHESS
If the transaction has failed settlement at CHESS level
(funds/securities unavailability or required
authorisation/snot received)
(no EIS number)
Settlement
Response of
unsuccessful
settlement
124. Rescheduled
Settlement
Instruction
P1 P2
756. RTGS Funds
Movement
If transaction in RBA Queue has settled (i.e. RBA) has
irrevocably transferred funds from buyer to seller)
C
RBA
(no EIS number) Settlement Response
of successful
settlement
P1 P2
124. Rescheduled
Settlement
Instruction
C
If transaction could not be settled at RBA because the
transaction has failed settlement for today****
756. RTGS Funds
Movement
754. RTGS Settlement
Movement
124. Rescheduled
Settlement
Instruction
Seller (P1 or P2)
754. RTGS
Settlement
Movement***
RBA
Finalising Settlement: Receive Advice from RBA and
Complete Processing in CHESS
OR
5.61.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.75. Warrant Processing
C
WI P1
022. Holding Adjustment 022. Holding Adjustment
025. Single Entry Transfer Request
WI
Note: The Warrant Issuer Registry & the Underlying Security Registry are
notified of security movements via CHESS Overnight Reporting Message
Holding Net Movement (510)
5.2.76. Real Time Payment of Derivatives Settlements
ACH
C
ACH P1, P2, …
553. Payment Set Total
Record
552. Accepted
Payment 550. Scheduled Payment
Instruction
551. Aggregated
Payment Request
5.62.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.77. Unactioned Transfer or Conversion
694. Cancelled Transfer or Conversion Request
C
P1 R
694. Cancelled Transfer or Conversion Request
5.2.78 Controlling PID Disclosure
P1
C
P1
691. Controlling PID and Holder Status Request
692. Controlling PID and Holder Status Response
5.63.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.79 Offeror Takeover Acceptance
C
OFR P1
P1
C
OFR P1
P1
OR
OFR
C
OFR P1
711. Offeror Takeover Acceptance
706. Effected Offeror
Transaction
036. Offeror Takeover Acceptance Notification
031. Takeover Acceptance
035. Offeror Takeover Acceptance Rejection
704. Takeover Acceptance Notification
032. Effected Takeover
Acceptance
710. Rejected Offeror Takeover Acceptance
084. Effected Participant Transaction
(followed by)
5.64.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.80 Takeover Acceptance Removal by Offeror
5.2.81 Cancelled Offeror Initiated TKO Acceptance Request
C
R P1
432. Cancelled Offeror Initiated TKO Acceptance Request
432. Cancelled Offeror Initiated TKO Acceptance Request
OFR
C
OFR P1
707. Offeror Takeover Acceptance Removal
092. Offeror Takeover Acceptance Removal Notification
706. Effected Offeror
Transaction
5.65.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.82 Holding Advice
C
P1 R
R
C
P1 R
R
OR
P1
C
P1 R
757. Holding Advice
758. Holding Advice Acknowledgement
760. Holding Advice
Notification
759. Holding Advice Acceptance
761. Holding Advice
Rejection
764. Accepted Holding Advice
762. Effected Registry Transact
766. Rejected Holding Advice
762. Effected Registry Transaction
(followed by)
5.70.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.91. Price Registration
5.2.92. Application for Fund Units
(Refer also to section 6.44 for Transaction Id usage)
C
P1
P1 PISP
726. Application Request
727. Application Order Request
720. Accepted Participant Request
(optionally followed by)
MO
MO C
093. Price Registration
098. Price Notification Acceptance
5.71.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued on next page)
C
PISP
P1 PISP
729. Application Order / Payment Plan Application Response
722. Fund Response
730. Effected Application Order / Payment Plan Application Response
731. Scheduled Settlement Payment Instruction
PISP 731. Scheduled Settlement Payment Instruction
P1
Note: 729 message allows the PISP to either accept or reject the P1 request. If rejected, the workflow is completed. Where the PISP has accepted the initial application a 731 is generated.
5.72.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued from previous page)
(optionally followed by)
C
PISP
P1 PISP
732. Unit Adjustment
722. Fund Response 733. Effected Fund Unit Adjustment
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
5.73.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.93. Fund Units Allotment Reminder
(Refer also to section 6.45 for Transaction Id usage)
C
P1 PISP
812. Reminder Notice 812. Reminder Notice
Note: 812 messages only apply to Applications for Fund Units and to Switches of Fund Units where units have not been allotted by the Allotment Date.
5.74.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.94 Redemption of Fund Units
(Refer also to section 6.46 for Transaction Id usage)
(Diagram is continued on next page)
C
PISP
P1 PISP
802. Redemption Order Response
722. Fund Response 803. Effected Redemption Order Request
C
P1
P1 PISP
800. Redemption Request
801. Redemption Order Request
720. Accepted Participant Request
(followed by)
Note: 802 message allows the PISP to either accept or reject the P1 request. If rejected, the workflow is completed
5.75.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued from previous page)
(optionally followed by)
C
P1 PISP
731. Scheduled Settlement Payment Instruction
731. Scheduled Settlement Payment Instruction
(followed by)
C
PISP
P1 PISP
732. Unit Adjustment
722. Fund Response 733. Effected Fund Unit Adjustment
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
5.76.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.95 Switch of Fund Units
(Refer also to section 6.47 for Transaction Id usage)
(Diagram is continued on next page)
C
PISP
P1 PISP
808. Switch Order Response
722. Fund Response 809. Effected Switch Order Request
C
P1
P1 PISP
806. Switch Request
807. Switch Order Request
720. Accepted Participant Request
(followed by)
Note: 808 message allows the PISP to either accept or reject the P1 request. If rejected, the workflow is completed
5.77.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued from previous page)
(optionally followed by)
(optionally followed by)
C
PISP
P1 PISP
732. Unit Adjustment
722. Fund Response 733. Effected Fund Unit Adjustment
C
PISP
P1 PISP
732. Unit Adjustment
722. Fund Response 733. Effected Fund Unit Adjustment
Application Leg
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
Redemption Leg
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
5.78.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.96. Fund Order Cancellation
(Refer also to section 6.48 for Transaction Id usage)
C
P1 PISP
822. Cancelled Funds Settlement Payment Instruction
822. Cancelled Funds Settlement Payment Instruction
C
PISP
PISP P1
810. Update Order
811. Effected Update Order
722. Fund Response
(followed by - where instruction is prior to settlement)
Note: Available to cancel Application, Redemption and Switch orders.
Note: May be instructed both prior to and post settlement. If post settlement funds must be affected outside of CHESS.
5.79.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.97. Fund Order Cancellation (On-Hold state)
(Refer also to section 6.17 for Transaction Id usage)
C
PISP
P1 PISP
810. Update Order Request
722. Fund Response 811. Effected Update Order
C
P1
P1 PISP
804. Fund Order Cancellation Request
805. Order Cancellation Request 720. Accepted
Participant Request
(followed by)
Note: 810 message allows the PISP to either accept or reject the P1 request.
Note: Available to cancel Redemption and Switch orders.
5.80.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.98. Fund Order Unit Allotment / Payment Date Update
(Refer also to section 6.2 for Transaction Id usage)
C
P1 PISP
824. Change Settlement Date
824. Change Settlement Date
(followed by - where Payment date has been modified
C
PISP
PISP P1
810. Update Order
811. Effected Update Order
722. Fund Response
Note: Applies to Redemptions only
5.81.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.99. Fund Order Unit Adjustment
(Refer also to section 6.2 for Transaction Id usage)
C
PISP
PISP P1
732. Unit Adjustment
733. Effected Fund Unit Adjustment 722. Fund Response
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS.
5.82.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.100. Fund Order Reversal
(Refer also to section 6.49 for Transaction Id usage)
(optionally followed by)
C
PISP
PISP P1
732. Unit Adjustment
733. Effected Fund Unit Adjustment 722. Fund Response
C
PISP
PISP P1
845. Unit Reversal Notification
846. Effected Unit Reversal Notification
722. Fund Response
Note: To rectify orders initiated by the PISP post order completion, by initiating unit adjustments.
Note: All Fund Order Reversals must be run as two sets of 845/732 transactions; one to reverse the original order and one to reapply the correct unit values.
Note: Applies to Applications, Redemptions and Switches. For Switches this message suite may apply to each leg of a Switch
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
5.83.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.101. Fund Distribution Reinvestment Advice
(Refer also to section 6.17 for Transaction Id usage)
(optionally followed by)
C
PISP
PISP P1
732. Unit Adjustment
733. Effected Fund Unit Adjustment 722. Fund Response
C
PISP
PISP P1
817. Distribution Reinvestment Notification
846. Effected Distribution Reinvestment Plan Advice
722. Fund Response
Note: Preceded by a DRP arrangement being concluded between the holder (HIN) and the Product Issuer Settlement Participant (PISP)
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
5.84.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.102. Fund Payment Plan Advice
(Refer also to section 6.2 for Transaction Id usage)
(optionally followed by)
C
PISP
PISP P1
732. Unit Adjustment
733. Effected Fund Unit Adjustment 722. Fund Response
C
PISP
PISP P1
729. Application Order / Payment Plan Application Response
730. Effected Application Order / Payment Plan Application Response
722. Fund Response
Note: Preceded by a Payment Plan arrangement being concluded between the holder (HIN) and the Product Issuer Settlement Participant (PISP)
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
5.85.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.103. Issuer Sponsored to CHESS Conversion of Fund Units
(Refer also to section 6.3 for Transaction Id usage)
C
PISP P1
721. Conversion Authorisation Issuer Sponsored Fund to CHESS
723. Effected Conversion Issuer Sponsored Fund to CHESS
722. Fund Response
OR
PISP
C
PISP P1
722. Fund Response 725. Rejected Conversion Issuer Sponsored Fund to CHESS
724. Conversion Rejection Issuer Sponsored Fund to CHESS
PISP
(followed by)
C
P1
P1 PISP
718. Issuer Sponsored Fund to CHESS Conversion Request
719. Issuer Sponsored Fund to CHESS Conversion Authorisation Request
720. Accepted Participant Request
5.86.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.104. CHESS to Issuer Sponsored Conversion of Fund Units
(Refer also to section 6.2 for Transaction Id usage)
5.2.105. CHESS to Issuer Sponsored Conversion of Fund Units (CHESS Initiated)
(Refer also to section 6.2 for Transaction Id usage)
C
R
716. CHESS Conversion Request to Issuer Sponsored Fund
Note: Under certain circumstances there may be a requirement for C&S Operations to initiate CHESS to Issuer Sponsored conversions. In this instance the 716 is directed to the issuer registry
C
P1
P1 PISP
715. CHESS to Issuer Sponsored Fund Conversion Request
716. CHESS Conversion Request to Issuer Sponsored Fund
717. Effected CHESS Conversion Request to Issuer Sponsored Fund
5.87.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.106. Issuer Sponsored Fund Holding Balance Enquiry
(Refer also to section 6.3 for Transaction Id usage)
C
R P1
839. Registry to CHESS Fund Balance Response
840. CHESS to Participant Fund Balance Response
722. Fund Response
OR
R
C
R P1
722. Fund Response 842. CHESS to Participant Fund Balance Reject
841. Registry to CHESS Fund Balance Rejection
R
(followed by)
C
P1
P1 R
837. Participant to CHESS Fund Balance Request
838. CHESS to Registry Fund Balance Request 720. Accepted
Participant Request
5.88.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.107. Scheduled Settlement CHESS to CHESS Transfer Request
-------------------- (Optionally, for cancellation of a scheduled instruction) ------------------
C
P1
119 Single Entry CHESS to CHESS Transfer Cancellation
P1
116 Cancelled Settlement Instruction
C
P1
MT107-01 Scheduled Settlement CHESS to CHESS Transfer Request
P1
MT106-01Scheduled Single Entry Settlement CHESS to CHESS Transfer
5.89.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.108. Income Statement Selection
C
R P1
881. Income Statement Authorisation
884. Accepted Income Statement Request 762. Effected Registry
Transaction
OR
R
C
R P1
762. Effected Registry Transaction
860. Registry Authorisation Rejection
841. Income Statement Rejection
R
(followed by)
C
P1
P1 R
869. Income Statement Request
868. Income Statement Authorisation Request 720. Accepted
Participant Request
5.57
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.109. Periodic Income Statement
C
R
R P1
813. Income Statement
816. Income Statement Advice 762. Effected Registry Transaction
Note: Preceded by a Participant request, on behalf of the client (HIN) for an Periodic Income Statement to be supplied by a Registry. Refer 5.2.108
5.57
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.110. Annual Income Statement
(Refer also to section 6.3 for Transaction Id usage)
(Where acceptance - continued on the following page)
C
R R
958. Accepted Registry Income Statement Set
960. Rejected Registry Income Statement Set
(followed by )
C
R 957. Registry Income Statement Part A
Note: The Origin Tx Id for all messages within the sets is the TX Id of the requesting
869. Income Statement Request
Note: Preceded by a Participant request, on behalf of the client (HIN) for an Annual Income Statement to be supplied by a Registry. Refer 5.2.108
959. Registry Income Statement Part B
963. Registry Income Statement Part C CG
961. Registry Income Statement Part C AI
965. Registry Income Statement Part C FI
967. Registry Income Statement Part C NA
969. Registry Income Statement Part C OD
R
R
R
R
R
R
R
971. End Registry Income Statement Set
5.57
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
C
P 962. Registry Income Statement Part A
964. Registry Income Statement Part B
968. Registry Income Statement Part C CG
966. Registry Income Statement Part C AI
970. Registry Income Statement Part C FI
972. Registry Income Statement Part C NA
976. End Registry Income Statement Set
P
P
P
P
P
P
974. Registry Income Statement Part C OD P
Note: Where accepted:
6.1
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
5.2.111. Distribution Election
C
R P1
885. Distribution Election Registry Authorisation
866. Accepted Distribution Election Request
762. Effected Registry Transaction
OR
R
C
R P1
762. Effected Registry Transaction
860. Registry Authorisation Rejection
867. Distribution Election Rejection
R
(followed by)
C
P1
P1 R
863. Distribution Election Request
864. Distribution Election Authorisation Request 720. Accepted
Participant Request
6.1
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
SECTION 6. TRANSACTION ID USAGE EXAMPLES
The purpose of this section is to provide examples of the various transaction identifiers used throughout CHESS and their relationship with each other across different messages.
Section 5.2 shows various relationships between messages, but the use of
the transaction identifiers within these is common across many of those diagrams. Hence a representative example has been chosen from section 5.2 to illustrate the different types of transaction identifier usage. The subsections below are referenced from section 5.2.
To understand the usage of transaction identifiers in a given message in a
diagram from section 5.2, relate that message to the one in the referenced example in section 6 which occupies the same physical position in the corresponding diagram.
The following conventions have been adopted in the examples:
The UIC for Participant 1 is 11111; The UIC for Participant 2 is 22222; The UIC for the Registry is 33333 (assuming that the same registry is
used throughout all of these examples); The UIC for ASX Clearing Corporation is 44444; The UIC for Payment Provider 1 is 55555; and
The UIC for Approved Market Operators is 66666
The descriptions of transaction identifiers and their usage in section 8.3
should be read prior to analysing the following examples. The values for the 9 character user component of the transaction identifiers in
the following examples have been chosen randomly and have no significance other than to demonstrate the relationship between identifiers on different messages within a sequence.
6.2.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.1. Type 1 (Demand Single Entry CHESS to CHESS Transfer)
6.2. Type 2 (Transferor Submitted Demand Transfer)
P1
C
P1
001. Transfer Request
Tx Id = 1111100012201300
002. Effected Transfer
Tx Id = 1111100012201300
Origin Tx Id = 1111100012201300
P1
C
P1
001. Transfer Request
Tx Id = 1111100012201300
002. Effected Transfer
Tx Id = 1111100012201300
Origin Tx Id = 1111100012201300
P1
C
P1 P2
003. Transferor Submitted
Demand Transfer
Tx Id = 1111100012202700
010. Applied Transferor
Submitted Transfer
Tx Id = 1111100012202700
Origin Tx Id = 1111100012202700
004. Effected Transferor
Submitted Transfer
Tx Id = 1111100012202700
Origin Id = 1111100012202700
P1
C
P1 P2
003. Transferor Submitted
Demand Transfer
Tx Id = 1111100012202700
010. Applied Transferor
Submitted Transfer
Tx Id = 1111100012202700
Origin Tx Id = 1111100012202700
004. Effected Transferor
Submitted Transfer
Tx Id = 1111100012202700
Origin Id = 1111100012202700
6.3.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.3. Type 3 (Issuer Sponsored to CHESS Transfer)
P1
C
P1 R
C
P1 R
R
(Followed By ..)
015.
.
Transfer Request Tx Id = 1111100012351400
016. Accepted Registry to CHESS Movement Request Tx Id = 1111100012351400 Origin Tx Id = 1111100012351400
408. Authorisation Request Tx Id = 1111100012351400 Origin Tx Id = 1111100012351400
405. Registry to CHESS Transfer Authorisation Tx Id = 3333300005427300 Target Tx Id = 1111100012351400
174. Effected Registry to CHESS Transfer Target Tx Id = 1111100012351400 Origin Tx Id =
426. Applied Registry Response Tx Id = 3333300005427300 Origin Tx Id = 3333300005427300
OR
C
P1 R
R
407. Registry to CHESS Transfer Rejection Tx Id = 3333300005427500
Target Tx Id = 1111100012351400
076. Rejected Registry to CHESS Movement Origin Tx Id = 3333300005427500
426. Applied Registry Response Tx Id =3333300005427500 Origin Tx Id = 3333300005427500
P1
C
P1 R
C
P1 R
R
(Followed By ..)
015.
.
Transfer Request Tx Id = 1111100012351400
016. Accepted Registry to CHESS Movement Request Tx Id = 1111100012351400 Origin Tx Id = 1111100012351400
408. Authorisation Request Tx Id = 1111100012351400 Origin Tx Id = 1111100012351400
405. Registry to CHESS Transfer Authorisation Tx Id = 3333300005427300
174. Effected Registry to CHESS Transfer T Origin Tx Id = 3333300005427300
426. Applied Registry Response Tx Id = 3333300005427300 Origin Tx Id = 3333300005427300
OR
C
P1 R
R
407. Registry to CHESS Transfer Rejection Tx Id = 3333300005427500
076. Rejected Registry to CHESS Movement
Target Tx Id = 1111100012351400
426. Applied Registry Response Tx Id =3333300005427500 Origin Tx Id = 3333300005427500
6.4.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.4. Type 4 (Single-Entry Settlement CHESS to CHESS Transfer)
P1
C
P1
(Optionally, for cancellation of a scheduled instruction,
perform the following ….)
105. Transfer Request
Tx Id = 1111100012462800
106. Scheduled Transfer
Tx Id = 1111100012462800
Origin Tx Id = 1111100012462800
P1
C
P1
119. Transfer Cancellation Request
Tx Id = 1111100012463500
Target Tx Id = 1111100012462800
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012463500
Target Tx Id = 1111100012462800
Origin Tx Id = 1111100012463500
P1
C
P1
(Optionally, for cancellation of a scheduled instruction,
perform the following ….)
105. Transfer Request
Tx Id = 1111100012462800
106. Scheduled Transfer
Tx Id = 1111100012462800
Origin Tx Id = 1111100012462800
P1
C
P1
119. Transfer Cancellation Request
Tx Id = 1111100012463500
Target Tx Id = 1111100012462800
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012463500
Target Tx Id = 1111100012462800
Origin Tx Id = 1111100012463500
6.5.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.5. Type 5 (Dual Entry Settlement Notification)
6.5.1. Type 5.1 (Entry of Matching Dual Entry Data)
P1
C
P1 P2
C
P1 P2
P2
(Followed By)
101. Dual Entry Settlement
Notification
Tx Id = 1111100012345600
194. Unmatched Request
Tx Id = 1111100012345600
Origin Tx Id = 1111100012345600
102. Unmatched Dual Entry
Settlement Notification
Tx Id = 1111100012345600
OriginTx Id = 1111100012345600
101. Dual Entry Settlement Notification
Tx Id = 2222200000078900
166. Scheduled Dual Entry Settlement Instruction
Tx Id = 1111100012345600
OriginTx Id = 2222200000078900
Matching Tx Id = 2222200000078900
OR
P1
C
P1 P2
135. Dual Entry Settlement Notification Cancellation
Tx Id = 1111100012347200
Target Tx Id = 1111100012345600
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012347200
OriginTx Id = 1111100012347200
Target Tx Id = 1111100012345600
166. Scheduled Dual Entry Settlement Instruction
Tx Id = 1111100012345600
Origin Tx Id = 2222200000078900
Matching Tx Id = 2222200000078900
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012347200
OriginTx Id = 1111100012347200
Target Tx Id = 1111100012345600
P1
C
P1 P2
C
P1 P2
P2
(Followed By)
101. Dual Entry Settlement
Notification
Tx Id = 1111100012345600
194. Unmatched Request
Tx Id = 1111100012345600
Origin Tx Id = 1111100012345600
102. Unmatched Dual Entry
Settlement Notification
Tx Id = 1111100012345600
OriginTx Id = 1111100012345600
101. Dual Entry Settlement Notification
Tx Id = 2222200000078900
166. Scheduled Dual Entry Settlement Instruction
Tx Id = 1111100012345600
OriginTx Id = 2222200000078900
Matching Tx Id = 2222200000078900
OR
P1
C
P1 P2
135. Dual Entry Settlement Notification Cancellation
Tx Id = 1111100012347200
Target Tx Id = 1111100012345600
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012347200
OriginTx Id = 1111100012347200
Target Tx Id = 1111100012345600
166. Scheduled Dual Entry Settlement Instruction
Tx Id = 1111100012345600
Origin Tx Id = 2222200000078900
Matching Tx Id = 2222200000078900
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012347200
OriginTx Id = 1111100012347200
Target Tx Id = 1111100012345600
6.6.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.5.2. Type 5.2 (Entry of Matching Cancellation Requests for Matched Data)
The transaction identifiers in this example refer to those used in Type 5.1. That is, this example follows on from the point of successfully matching initial dual entry details.
For optional Matched Trade Cancellation ….
P1
C
P1 P2
C
P1 P2
P2
(Followed By ..)
129. Dual Entry Settlement
Cancellation Request
Tx Id = 1111100012348900
Target Tx Id = 1111100012345600
178. Unmatched Cancellation Request
Cancelling Tx Id = 1111100012348900
OriginTx Id = 1111100012348900
Target Tx Id = 1111100012345600
129. Dual Entry Settlement
Cancellation Request
Tx Id = 2222200000079300
Target Tx Id = 1111100012345600
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012348900
OriginTx Id = 2222200000079300
Target Tx Id = 1111100012345600
Matching Tx Id = 2222200000079300
OR
P1
C
P1 P2
131. Dual Entry Settlement
Cancellation Removal
Tx Id = 1111100012350200
Target Tx Id = 1111100012348900
132. Removed Cancellation Request
Cancelling Tx Id = 1111100012350200
OriginTx Id = 1111100012350200
Target Tx Id = 1111100012348900
178. Unmatched Cancellation Request
Cancelling Tx Id = 1111100012348900
OriginTx Id = 1111100012348900
Target Tx Id = 1111100012345600
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012348900
OriginTx Id = 2222200000079300
Target Tx Id = 1111100012345600
Matching Tx Id = 2222200000079300
132. Removed Cancellation Request
Cancelling Tx Id = 1111100012350200
OriginTx Id = 1111100012350200
Target Tx Id = 1111100012348900
P1
C
P1 P2
C
P1 P2
P2
(Followed By ..)
129. Dual Entry Settlement
Cancellation Request
Tx Id = 1111100012348900
Target Tx Id = 1111100012345600
178. Unmatched Cancellation Request
Cancelling Tx Id = 1111100012348900
OriginTx Id = 1111100012348900
Target Tx Id = 1111100012345600
129. Dual Entry Settlement
Cancellation Request
Tx Id = 2222200000079300
Target Tx Id = 1111100012345600
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012348900
OriginTx Id = 2222200000079300
Target Tx Id = 1111100012345600
Matching Tx Id = 2222200000079300
OR
P1
C
P1 P2
131. Dual Entry Settlement
Cancellation Removal
Tx Id = 1111100012350200
Target Tx Id = 1111100012348900
132. Removed Cancellation Request
Cancelling Tx Id = 1111100012350200
OriginTx Id = 1111100012350200
Target Tx Id = 1111100012348900
178. Unmatched Cancellation Request
Cancelling Tx Id = 1111100012348900
OriginTx Id = 1111100012348900
Target Tx Id = 1111100012345600
116. Cancelled Settlement Instruction
Cancelling Tx Id = 1111100012348900
OriginTx Id = 2222200000079300
Target Tx Id = 1111100012345600
Matching Tx Id = 2222200000079300
132. Removed Cancellation Request
Cancelling Tx Id = 1111100012350200
OriginTx Id = 1111100012350200
Target Tx Id = 1111100012348900
6.7.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.6. Type 6 (Maintain Settlement Instruction)
The transaction identifiers in this example refer to those used in Type 5.1. That is, this example follows on from the point of successfully matching initial dual entry details.
P1
C
P1
125. Maintain Settlement Instruction
Tx Id = 1111100012354700
Target Tx Id = 1111100012345600
126. Updated Settlement Instruction
Updating Tx Id = 1111100012354700
Target Tx Id = 1111100012345600
OriginTx Id = 1111100012354700
P1
C
P1
125. Maintain Settlement Instruction
Tx Id = 1111100012354700
Target Tx Id = 1111100012345600
126. Updated Settlement Instruction
Updating Tx Id = 1111100012354700
Target Tx Id = 1111100012345600
OriginTx Id = 1111100012354700
6.8.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.7. Type 7 (Notified Broker Broker Trade and Cancellation)
The transaction identifier in this example refers to the unique identifier allocated by CHESS.
C
P1
164. Notified Trade
TxId=9023001234302300
OriginTxId=9023001234302300
P2
ITS
164. Notified Trade
TxId=9023001234302300
OriginTxId=9023001234302300
C
P1
116. Cancelled Settlement
Instruction
TxId=9023001234302300
OriginTxId=9023001234302300
CancellingTxId=000188004632400
P2
ITS
116. Cancelled Settlement
Instruction
TxId=9023001234302300
OriginTxId=9023001234302300
CancellingTxId=000188004632400
6.9.
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.8. Type 8 (Blocked / Unblocked Trade)
C
P1 P2
P1
195. Block Trade Request
TxId=1111100032654700
TargetTxId=9023001234302300
196. Blocked Trade
TxId=1111100032654700
OriginTxId=1111100032654700
TargetTxId=9023001234302300
196. Blocked Trade
TxId=1111100032654700
OriginTxId=1111100032654700
TargetTxId=9023001234302300
[Optionally, followed by]
C
P2
P1
197. Unblock Trade Request
TxId=1111100032654700
TargetTxId=9023001234302300
198. Unblocked Trade
TxId=1111100032654700
OriginTxId=1111100032654700
TargetTxId=9023001234302300
198. Unblocked Trade
TxId=1111100032654700
OriginTxId=1111100032654700
TargetTxId=9023001234302300
6.10
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.9. Type 9 (Netting/Netting Removal)
C
P1 P1
134. Scheduled Net Obligation
TxId=0000100004352100
OriginTxId=0000199006473200
[Optionally, followed by]
C
P1P1
138. Netted Trade
TxId=0000100004352100
TargetTxId=9023001234302300
OriginTxId=0000199006473200
140. Cancelled Net Obligation
TxId=0000100004352100
CancellingTxId=000199004359600
OriginTxId=0000199004359600
136. Reinstated Trade
TargetTxId=90230001234302300
TxId=000199004359600
OriginTxId=0000199004359600
6.11
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.10. Type 10 (Corporate Actions)
The settlement instruction with Transaction Id of 2222200057436300 has been rescheduled due to a corporate action. Transaction Id 0000199006491600 has been allocated by CHESS to the transaction that recorded the rescheduling action.
The settlement instruction with Transaction Id of 2222200057436300 has been diary adjusted due to a corporate action. Transaction Id 0000199006497400 has been allocated by CHESS to the transaction that performed the adjustment. There is no Matching Transaction Id in this situation.
The settlement instruction with Transaction Id of 2222200057436300 has been diary adjusted resulting in an accrued settlement instruction with Transaction Id of 2222200057436301 being generated. Transaction Id 0000199006497400 has been allocated by CHESS to the transaction that recorded the adjustment. A message 142 will always have a corresponding message 128 and they will have the same Origin and Updating Transaction Ids. In the above example, the Parent Transaction Id of the message 142 is the same as the Target Transaction Id of the message 128. (Note that the reverse is not true - a message 128 does not always have a corresponding message 142.)
C P1
124. Rescheduled Settlement Instruction
Target Tx Id = 2222200057436300
Updating Tx Id = 0000199006491600
OriginTx Id = 0000199006491600
C P1
124. Rescheduled Settlement Instruction
Target Tx Id = 2222200057436300
Updating Tx Id = 0000199006491600
OriginTx Id = 0000199006491600
C P1
128. Adjusted Settlement Instruction
Target Tx Id = 2222200057436300
UpdatingTx Id = 0000199006497400
OriginTx Id = 0000199006497400
C P1
128. Adjusted Settlement Instruction
Target Tx Id = 2222200057436300
UpdatingTx Id = 0000199006497400
OriginTx Id = 0000199006497400
C P1
142. Accrued Settlement Instruction
Tx Id = 2222200057436301
Parent Tx Id = 2222200057436300
OriginTx Id = 0000199006497400
UpdatingTx Id = 0000199006497400
C P1
142. Accrued Settlement Instruction
Tx Id = 2222200057436301
Parent Tx Id = 2222200057436300
OriginTx Id = 0000199006497400
UpdatingTx Id = 0000199006497400
C P1
162. Suspended Settlement Instruction
Target Tx Id = 2222200057412100
UpdatingTx Id = 0000199006498900
OriginTx Id = 0000199006498900
C P1
162. Suspended Settlement Instruction
Target Tx Id = 2222200057412100
UpdatingTx Id = 0000199006498900
OriginTx Id = 0000199006498900
6.12
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
The settlement instruction with Transaction Id of 2222200057412100 has been suspended due to a corporate action. Transaction Id 0000199006498900 has been allocated by CHESS to the transaction that performed the suspension.
The loan instruction with Transaction Id of 2222200057495500 has been diary adjusted due to a corporate action. Transaction Id 0000199006497400 has been allocated by CHESS to the transaction that performed the adjustment.
The loan instruction with Transaction Id of 2222200057495500 has been diary adjusted resulting in an accrued loan instruction with Transaction Id of 2222200057495501 being generated. Transaction Id 0000199006497400 has been allocated by CHESS to the transaction that recorded the adjustment. A message 276 will always have a corresponding message 274 and they will have the same Origin and Updating Transaction Ids. In the above example, the Parent Transaction Id of the message 276 is the same as the Loan Transaction Id of the message 274. (Note that the reverse is not true - a message 274 does not always have a corresponding message 276.)
C P1
274. Adjusted Loan
LoanTx Id = 2222200057495500
Updating Tx Id = 0000199006497400
OriginTx Id = 0000199006497400
C P1
274. Adjusted Loan
LoanTx Id = 2222200057495500
Updating Tx Id = 0000199006497400
OriginTx Id = 0000199006497400
C P1
276. Accrued Loan
LoanTx Id = 2222200057495501
Parent Tx Id = 2222200057495500
OriginTx Id = 0000199006497400
Updating Tx Id = 0000199006497400
C P1
276. Accrued Loan
LoanTx Id = 2222200057495501
Parent Tx Id = 2222200057495500
OriginTx Id = 0000199006497400
Updating Tx Id = 0000199006497400
6.13
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.11. Type 11 (Settlement)
The above diagram indicates that the settlement instruction with Transaction Id 2222200063485300 was settled as part of a Net Settlement Movement with a Delivering Transaction Id of 0000100045763200 and Net Funds Movement with Transaction Id 0000100033657100. As shown above, the settlement instruction was delivering units. The settlement instruction with Transaction Id 2222200006382500 could not be settled and has been rescheduled. All the above messages, other than the Rescheduled Settlement Instruction and Predicted Partial Fail Advice, were sent as a result of the settlement process which was allocated a Transaction Id of 0000199008471100 (which changes daily). The other messages were sent as part of a pre-settlement process with a Transaction Id of 0000199008451100. The part-settlement example shows the settlement instruction with Transaction Id 2222200063496600 was part-settled - the identifier 0000100042223100 was allocated to the part settlement which was part of a Net Settlement Movement with a Receiving Transaction Id of 0000100045764500 and Net Funds Movement with Transaction Id 0000100033657100. The settlement instruction was receiving units.
C
124. Rescheduled Settlement Instruction
Target Tx Id = 2222200006382500
Updating Tx Id = 0000199008451100
OriginTx Id = 0000199008451100P1
P1
P1
P1
P1
P1
P1
P1
146. Effected Net Settlement Movement
Target Tx Id = 0000100045763200
OriginTx Id = 0000199008471100
154. Cancelled Funds Obligation
(This message is only used if settlement
is cancelled, in which case…
OriginTx Id = 0000199008471100)
170. Effected Net Funds Movement
OriginTx Id = 0000199008471100
Net Funds Tx Id = 0000100033657100
190. Predicted Partial Fail Advice
Target Tx Id = 2222200063496600
OriginTx Id = 0000199008451100
192. Part-Settled Settlement Instruction
Tx Id = 2222200063496600
OriginTx Id = 0000199008471100
Receiving Net Movement Tx Id = 0000100045764500
Net Funds Tx Id = 0000100033657100
Part-Settled Tx Id = 0000100042223100
156. Settled Settlement Instruction
Tx Id = 2222200063485300
OriginTx Id = 0000199008471100
Delivering Net Movement Tx Id = 00001000045763200
Net Funds Tx Id = 0000100033657100
542. CHESS Event Notification
OriginTx Id = 0000199008471100
C
124. Rescheduled Settlement Instruction
Target Tx Id = 2222200006382500
Updating Tx Id = 0000199008451100
OriginTx Id = 0000199008451100P1
P1
P1
P1
P1
P1
P1
P1
146. Effected Net Settlement Movement
Target Tx Id = 0000100045763200
OriginTx Id = 0000199008471100
154. Cancelled Funds Obligation
(This message is only used if settlement
is cancelled, in which case…
OriginTx Id = 0000199008471100)
170. Effected Net Funds Movement
OriginTx Id = 0000199008471100
Net Funds Tx Id = 0000100033657100
190. Predicted Partial Fail Advice
Target Tx Id = 2222200063496600
OriginTx Id = 0000199008451100
192. Part-Settled Settlement Instruction
Tx Id = 2222200063496600
OriginTx Id = 0000199008471100
Receiving Net Movement Tx Id = 0000100045764500
Net Funds Tx Id = 0000100033657100
Part-Settled Tx Id = 0000100042223100
156. Settled Settlement Instruction
Tx Id = 2222200063485300
OriginTx Id = 0000199008471100
Delivering Net Movement Tx Id = 00001000045763200
Net Funds Tx Id = 0000100033657100
542. CHESS Event Notification
OriginTx Id = 0000199008471100
6.14
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.12. Type 12 (Funds Notification and Authorisation)
6.13. Type 13 (Funds Transfer)
B1
C
C
332. Payment Provider Transfer Request
TxId=0000199000734500
333. Payment Provider Transfer Response
TargetTxId=0000199000734500
TxId=5555500075842300
C
B1
(Followed next business day by...)
B1
C
OR
300. Participant Funds Notification
Tx Id = 0000199000058700
313. Participant Funds Obligation Rejection
Target Tx Id = 0000199000063500
Tx Id = 5555500076834200
C
B1
C
310. Participant Funds Obligation
Tx Id = 0000199000063500
311. Participant Funds Obligation Ack.
Target Tx Id = 0000199000063500
Tx Id = 5555500076834100
C
B1
(Followed next business day by...)
B1
C
OR
300. Participant Funds Notification
Tx Id = 0000199000058700
313. Participant Funds Obligation Rejection
Target Tx Id = 0000199000063500
Tx Id = 5555500076834200
C
B1
C
310. Participant Funds Obligation
Tx Id = 0000199000063500
311. Participant Funds Obligation Ack.
Target Tx Id = 0000199000063500
Tx Id = 5555500076834100
6.15
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.14. Type 14 (Funds Cancellation)
6.15. Type 15 (Reporting Request Cancellation)
C
B1
C
398. Settlement Cancellation Notification
Tx Id = 0000199004762300
399. Settlement Cancellation Acknowledgement
Target Tx Id = 0000199004762300
Tx Id = 5555500006351200
C
B1
C
398. Settlement Cancellation Notification
Tx Id = 0000199004762300
399. Settlement Cancellation Acknowledgement
Target Tx Id = 0000199004762300
Tx Id = 5555500006351200
U1
C
U1
505. Reporting Request Cancellation
Tx Id = 1111100012684300
Target Tx Id = 1111100012601500
530. Cancelled Reporting Request
Tx Id = 1111100012684300
OriginTx Id = 1111100012684300
(Target Tx Id refers to theTx Id field
of the corresponding initial 503
Reporting Request)
U1
C
U1
505. Reporting Request Cancellation
Tx Id = 1111100012684300
Target Tx Id = 1111100012601500
530. Cancelled Reporting Request
Tx Id = 1111100012684300
OriginTx Id = 1111100012684300
(Target Tx Id refers to theTx Id field
of the corresponding initial 503
Reporting Request)
6.16
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.16. Type 16 (Registration Details Update)
P1
C
P1
C
P1 R
(followed by)
203. Update Request
Tx Id = 1111100012739200
218. Accepted Registration Details Update
Tx Id = 1111100012739200
Origin Tx Id = 1111100012739200
220. Authorised Registration Details
Target Tx Id = 1111100012739200
Origin Tx Id = 9999900011112300
512. Holding Registration Details
Origin Tx Id = 9999900011112300
Admin
OFR
(NB: as part of Registration Detail
Cleansing the 220 will be received
as an unsolicited message. In this
circumstance the Target Tx Id will
be the same as the Origin Tx Id)
546. Revised Holder Registration Details
Origin Tx Id = 9999900011112300
C
P1
080. Rejected Registration Details Update
Target Tx Id = 1111100012739200
Origin Tx Id = 9999900011114600
Admin
OR
P1
C
P1
C
P1 R
(followed by)
203. Update Request
Tx Id = 1111100012739200
218. Accepted Registration Details Update
Tx Id = 1111100012739200
Origin Tx Id = 1111100012739200
220. Authorised Registration Details
Target Tx Id = 1111100012739200
Origin Tx Id = 9999900011112300
512. Holding Registration Details
Origin Tx Id = 9999900011112300
Admin
OFR
(NB: as part of Registration Detail
Cleansing the 220 will be received
as an unsolicited message. In this
circumstance the Target Tx Id will
be the same as the Origin Tx Id)
546. Revised Holder Registration Details
Origin Tx Id = 9999900011112300
C
P1
080. Rejected Registration Details Update
Target Tx Id = 1111100012739200
Origin Tx Id = 9999900011114600
Admin
OR
6.17
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.17. Type 17 (Collateral Creation)
C
P1
P1
027. Collateral Creation Request
TxId=1111100023075400
028. Created Collateral
TxId=1111100023075400
OriginTxId=1111100023075400
610. Collateral Request
TxId=1111100023075400
OriginTxId=1111100023075400
ASXC
[ followed by ]
ASXC
C
607. Accepted Collateral
TxId=4444400534632200
TargetTxId=1111100023075400
CP
108. Collateral Acceptance Advice
TxId=4444400534632200
TargetTxId=1111100023075400
020. ACH Accepted Collateral
OrigianTxId=4444400534632200
TargetTxId=1111100023075400602. Effected ACH Transaction
TxId=4444400534632200
OrigianTxId=4444400534632200
ASXCP1
OR
ASXC
C
609. Rejected Collateral
TxId=5555500534632200
TargetTxId=1111100023075400
CP
176. Collateral Creation Rejection Advice
TxId=5555500534632200
TargetTxId=1111100023075400
030. Reduced Collateral
OrigianTxId=5555500534632200
TargetTxId=1111100023075400602. Effected ACH Transaction
TxId=5555500534632200
OrigianTxId=5555500534632200
ASXCP1
6.18
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
Type 18 (Collateral Removal)
(Controlling Participant & Clearing Participant Differ)
C
P1
P1029. Collateral Removal Request
TxId=1111100023075400
040. Accepted Removal Request
TxId=1111100023075400
OriginTxId=1111100023075400
168. CP Collateral Removal Authorisation
Request
TxId=1111100023075400
OriginTxId=1111100023075400
CP
[ followed by ]
CP
C
103. CP Collateral Removal Authorisation
TxId=4444400534632200
TargetTxId=1111100023075400
612. Collateral Removal Authorisation
Request
OrigianTxId=4444400534632200
TargetTxId=1111100023075400
144. Effected CP Transaction
TxId=4444400534632200
OrigianTxId=4444400534632200
CPASXC
OR
CP
C
109. CP Collateral Removal Rejection
TxId=5555500534632200
TargetTxId=1111100023075400
ASXC
160. Collateral Removal Rejection Advice
TxId=5555500534632200
OriginTxId=5555500534632200
TargetTxId=1111100023075400
078. Rejected Collateral Removal
OrigianTxId=1111100534632200
TargetTxId=1111100023075400 144. Effected ACH Transaction
TxId=5555500534632200
OrigianTxId=5555500534632200
CPP1
ASXC
182. Collateral Removal to CP Notification
TxId=2222200023075400
OriginTxId=1111100023075400
6.19
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.18 Type 18 (Collateral Removal)
(Controlling Participant & Clearing Participant Differ)
(continued)
[ followed by ]
ASXC
C
603. Collateral Removal Authorisation
TxId=6666600534632200
TargetTxId=1111100023075400
030. ReducedCollateral
OrigianTxId=6666600534632200
TargetTxId=1111100023075400
110. CP Collateral Removal Acceptance
Advice
TxId=6666600534632200
OrigianTxId=6666600534632200
TargetTxId=1111100023075400
ASXCP1
OR
ASXC
C
605. Collateral Removal Rejection
TxId=7777700534632200
TargetTxId=1111100023075400
CP
120. CP Collateral Removal Rejection Advice
TxId=7777700534632200
OriginTxId=7777700534632200
TargetTxId=1111100023075400
078. Rejected Collateral Removal
OrigianTxId=7777700534632200
TargetTxId=1111100023075400 602. Effected ACH Transaction
TxId=7777700534632200
OrigianTxId=7777700534632200
ASXCP1
CP
602. Effected ACH Transaction
TxId=6666600534632200
OrigianTxId=6666600534632200
6.20
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.19. Type 19 (Loan Application)
C
Br
282. Rejected Loan Application
OriginTx Id = 0000100007431800
Target Tx Id = 1111100006327100
Br
C
Br
271. Loan Application
Tx Id = 1111100006327100
272. Accepted SLS Loan Instruction
Tx Id = 1111100006327100
OriginTx Id = 1111100006327100
(Followed by ….)
Br
C
Br
273. Loan Application Cancellation Request
Tx Id = 1111100006328200
Target Tx Id = 1111100006327100
284. Cancelled SLS Loan Instruction
Origin Tx Id = 1111100006328200
Cancelling Tx Id = 1111100006328200
Target Tx Id = 1111100006327100
OR
OR
C
Br
278. Scheduled Loan Instruction
LoanTx Id = 1111100006327100
Tx Id = 0000100007441100
Origin Tx Id = 0000100007431800
(Followed by ….)
C
Br
282. Rejected Loan Application
OriginTx Id = 0000100007431800
Target Tx Id = 1111100006327100
Br
C
Br
271. Loan Application
Tx Id = 1111100006327100
272. Accepted SLS Loan Instruction
Tx Id = 1111100006327100
OriginTx Id = 1111100006327100
(Followed by ….)
Br
C
Br
273. Loan Application Cancellation Request
Tx Id = 1111100006328200
Target Tx Id = 1111100006327100
284. Cancelled SLS Loan Instruction
Origin Tx Id = 1111100006328200
Cancelling Tx Id = 1111100006328200
Target Tx Id = 1111100006327100
OR
OR
C
Br
278. Scheduled Loan Instruction
LoanTx Id = 1111100006327100
Tx Id = 0000100007441100
Origin Tx Id = 0000100007431800
(Followed by ….)
Br
Br Br
156. Settled Settlement Instruction
Tx Id = 0000100007441100192. Part-Settled Settlement Instruction
Tx Id = 0000100007441100
Part-Settled Tx Id = 0000100007441200
Settlement
124. Rescheduled
Settlement
Instruction
Tx Id = 0000100007441100
OR OR
Br
Br Br
156. Settled Settlement Instruction
Tx Id = 0000100007441100192. Part-Settled Settlement Instruction
Tx Id = 0000100007441100
Part-Settled Tx Id = 0000100007441200
Settlement
124. Rescheduled
Settlement
Instruction
Tx Id = 0000100007441100
OR OR
6.20
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Refer to section 5.3.11 for full example of Transaction Id usage in Settlement Process)
6.21
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.20. Type 20 (Loan Return)
(Continued on the following page)
Br
C
Br(Followed by …)
275. Loan Return Notification
LoanTx Id = 1111100006327100
Tx Id = 1111100006114500
272. Accepted SLS Loan Instruction
OriginTx Id = 1111100006114500
Tx Id = 1111100006114500
Br
C
Br
277. Loan Return Cancellation Request
Tx Id = 1111100006134100
Target Tx Id = 1111100006114500
284. Cancelled SLS Loan Instruction
Target Tx Id = 1111100006114500
Cancelling Tx Id = 1111100006134100
OriginTx Id = 1111100006134100
C
Br SLS
278. Scheduled Loan Instruction
Loan Tx Id = 0000100005552100
Tx Id = 0000100007441600
OriginTx Id = 0000100000778800
OR
278. Scheduled Loan Instruction
Loan Tx Id = 1111100006327100
Tx Id = 1111100006114500
OriginTx Id = 0000100000778800
(Followed by ….)
Br
C
Br(Followed by …)
275. Loan Return Notification
LoanTx Id = 1111100006327100
Tx Id = 1111100006114500
272. Accepted SLS Loan Instruction
OriginTx Id = 1111100006114500
Tx Id = 1111100006114500
Br
C
Br
277. Loan Return Cancellation Request
Tx Id = 1111100006134100
Target Tx Id = 1111100006114500
284. Cancelled SLS Loan Instruction
Target Tx Id = 1111100006114500
Cancelling Tx Id = 1111100006134100
OriginTx Id = 1111100006134100
C
Br SLS
278. Scheduled Loan Instruction
Loan Tx Id = 0000100005552100
Tx Id = 0000100007441600
OriginTx Id = 0000100000778800
OR
278. Scheduled Loan Instruction
Loan Tx Id = 1111100006327100
Tx Id = 1111100006114500
OriginTx Id = 0000100000778800
(Followed by ….)
6.22
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.20. Type 20 (Loan Return) - (continued...)
(Refer to section 5.3.11 for full example of Transaction Id usage in Settlement Process
SLS
SLS156. Settled Settlement Instruction
Broker
Tx Id = 1111100006114500
SLS
Tx Id = 0000100007441600
192. Part-Settled Settlement Instruction
Broker
Tx Id = 1111100006114500
Part-Settled Tx Id = 0000100007441300
SLS
Tx Id = 0000100007441600
Part-Settled Tx Id = 0000100007441700
Settlement
Br
Br SLS Br
124. Rescheduled Settlement Instruction
Broker
Target Tx Id = 1111100006114500
SLS
Target Tx Id = 0000100007441600
OR OR
SLS
SLS156. Settled Settlement Instruction
Broker
Tx Id = 1111100006114500
SLS
Tx Id = 0000100007441600
192. Part-Settled Settlement Instruction
Broker
Tx Id = 1111100006114500
Part-Settled Tx Id = 0000100007441300
SLS
Tx Id = 0000100007441600
Part-Settled Tx Id = 0000100007441700
Settlement
Br
Br SLS Br
124. Rescheduled Settlement Instruction
Broker
Target Tx Id = 1111100006114500
SLS
Target Tx Id = 0000100007441600
OR OR
6.23
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.21. Type 21 (Bulk Loan Application)
C
SLS
C
280. Bulk Loan Application
Tx Id = 0000100005552100
OriginTx Id = 0000100005554300
281. Bulk Loan Approval
Target Tx Id = 0000100005552100
Tx Id = 8888800006844400
SLS
272. Accepted SLS Loan Instruction
OriginTx Id = 8888800006844400
Tx Id = 8888800006844400
(Subject to Bulk Loan Approval being non-zero,
followed by …)
(Followed by ….)
C
SLS
278. Scheduled Loan Instruction
Tx Id = 0000100005552200
Loan Tx Id = 0000100005552100
OriginTx Id = 0000100076422300
SLS
SLS SLS
156. Settled Settlement Instruction
Tx Id = 0000100005552200192. Part-Settled Settlement Instruction
Tx Id = 0000100005552200
Part-Settled Tx Id = 0000100007441800
Settlement
124. Rescheduled
Settlement
Instruction
Tx Id = 0000100005552200
OR OR
C
SLS
C
280. Bulk Loan Application
Tx Id = 0000100005552100
OriginTx Id = 0000100005554300
281. Bulk Loan Approval
Target Tx Id = 0000100005552100
Tx Id = 8888800006844400
SLS
272. Accepted SLS Loan Instruction
OriginTx Id = 8888800006844400
Tx Id = 8888800006844400
(Subject to Bulk Loan Approval being non-zero,
followed by …)
(Followed by ….)
C
SLS
278. Scheduled Loan Instruction
Tx Id = 0000100005552200
Loan Tx Id = 0000100005552100
OriginTx Id = 0000100076422300
SLS
SLS SLS
156. Settled Settlement Instruction
Tx Id = 0000100005552200192. Part-Settled Settlement Instruction
Tx Id = 0000100005552200
Part-Settled Tx Id = 0000100007441800
Settlement
124. Rescheduled
Settlement
Instruction
Tx Id = 0000100005552200
OR OR
6.23
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Refer to section 5.3.11 for full example of Transaction Id usage in Settlement Process)
6.24
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.22. Type 22 (Levy Notification and Reversal)
6.23. Type 23 (Change Controlling Participant and Cancel Change Controlling
Participant)
(Continued on the following page)
P1
C
P1 P2
(followed by)
245. Change Controlling Participant Request
Tx Id = 1111169854121400
246. Accepted Change Controlling
Participant Request
Tx Id = 1111169854121400
Origin Tx Id = 1111169854121400
248. Change Controlling Participant
Authorisation Request
Tx Id = 1111169854121400
Origin Tx Id = 1111169854121400
P1
C
P1 P2
(followed by)
245. Change Controlling Participant Request
Tx Id = 1111169854121400
246. Accepted Change Controlling
Participant Request
Tx Id = 1111169854121400
Origin Tx Id = 1111169854121400
248. Change Controlling Participant
Authorisation Request
Tx Id = 1111169854121400
Origin Tx Id = 1111169854121400
C
U1
544. Levy Notification Tx Id = 0000100098766500
0000100098766500 Origin Tx Id = 0000100098766500
(Optionally, where Settlement Administration reverses the Levy)
C
U1
548. Reversed Levy Notification Tx Id = 0000100057896500
0000100057896500 Target Tx Id = 0000100098766500 Origin Tx Id = 0000100057896500
C
U1
544. Levy Notification Tx Id = 0000100098766500
0000100098766500 Origin Tx Id = 0000100098766500
(Optionally, where Settlement Administration reverses the Levy)
C
U1
548. Reversed Levy Notification Tx Id = 0000100057896500 Origin Tx Id = 0000100057896500
6.25
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.23. Type 23 (Change Controlling Participant and Cancel Change Controlling
Participant) - (continued...)
C
P1
252. Effected Change Controlling Participant
Origin Tx Id = 2222246567981500
Target Tx Id = 1111169654121400
252. Effected Change Controlling Participant
Tx Id = 2222246567981500
Origin Tx Id = 2222246567981500
Target Tx Id = 1111169854121400
P2
222. Holder Detail
Origin Tx Id = 2222246567981500502. Holding Subposition Detail
Origin Tx Id = 2222246567981500520. Cum Entitlement Balance
Origin Tx Id = 2222246567981500522. Holding Balance
Origin Tx Id = 2222246567981500
P2
251. Change Controlling
Participant Authorisation
Tx Id = 2222246567981500
Target Tx Id = 1111169854121400
OR
P1
C
P1 P2
247. Change Controlling Participant
Cancellation Request
Tx Id = 1111111167981500
Target Tx Id = 1111169854121400
250. Cancelled Change Controlling
Participant Request
Origin Tx Id = 1111111167981500
Cancelling Tx Id = 1111111167981500
Target Tx Id = 1111169854121400
C
P1 P2
256. Applied Change Controlling
Participant Rejection
Tx Id = 2222278967981500
Origin Tx Id = 2222278967981500
254. Rejected Change Controlling Participant
Origin Tx Id = 2222278967981500
Target Tx Id = 1111169654121400
P2
253. Change Controlling Participant Rejection
Tx Id = 2222278967981500
Target Tx Id = 1111169854121400
OR
250. Cancelled Change Controlling
Participant Request
Origin Tx Id = 1111111167981500
Cancelling Tx Id = 1111111167981500
Target Tx Id = 1111169854121400
C
P1
252. Effected Change Controlling Participant
Origin Tx Id = 2222246567981500
Target Tx Id = 1111169654121400
252. Effected Change Controlling Participant
Tx Id = 2222246567981500
Origin Tx Id = 2222246567981500
Target Tx Id = 1111169854121400
P2
222. Holder Detail
Origin Tx Id = 2222246567981500502. Holding Subposition Detail
Origin Tx Id = 2222246567981500520. Cum Entitlement Balance
Origin Tx Id = 2222246567981500522. Holding Balance
Origin Tx Id = 2222246567981500
P2
251. Change Controlling
Participant Authorisation
Tx Id = 2222246567981500
Target Tx Id = 1111169854121400
OR
P1
C
P1 P2
247. Change Controlling Participant
Cancellation Request
Tx Id = 1111111167981500
Target Tx Id = 1111169854121400
250. Cancelled Change Controlling
Participant Request
Origin Tx Id = 1111111167981500
Cancelling Tx Id = 1111111167981500
Target Tx Id = 1111169854121400
C
P1 P2
256. Applied Change Controlling
Participant Rejection
Tx Id = 2222278967981500
Origin Tx Id = 2222278967981500
254. Rejected Change Controlling Participant
Origin Tx Id = 2222278967981500
Target Tx Id = 1111169654121400
P2
253. Change Controlling Participant Rejection
Tx Id = 2222278967981500
Target Tx Id = 1111169854121400
OR
250. Cancelled Change Controlling
Participant Request
Origin Tx Id = 1111111167981500
Cancelling Tx Id = 1111111167981500
Target Tx Id = 1111169854121400
6.26
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.24. Type 24 (Isolate Counterparty)
Br1
164. Notified Trade
TxId=0000155669974800
OriginTxId=1111120256981100
Br2,Br3...
Br1
C
139. Isolate Conterparty Request
TxId=1111120256981100
TargetTxId=0000100004352100
116. Cancelled Settlement Instruction
TargetTxId=0000100004352100
OriginTxId=1111120256981100
CancellingTxId=1111120256981100
128. Adjusted Settlement Instruction
TargetTxId=0000100004352100
OriginTxId=1111120256981100
UpdatingTxId=0000174125897400
164. Notified Trade
TxId=0000155669974800
OriginTxId=1111120256981100
116. Cancelled Settlement Instruction
TargetTxId=0000100004442100
OriginTxId=1111120256981100
CancellingTxId=1111120256981100
128. Adjusted Settlement Instruction
TargetTxId=0000100005552100
OriginTxId=1111120256981100
UpdatingTxId=0000196325874100
6.25 Type 25 (ETC Messages)
(a) Advising a Fund Investment Manager of a Block Trade
(b) Allocating a Block Trade
Br
C
Br F/IM
651. ETC Trade Advice
Tx Id = 1111100112345600
654. ETC Trade Advice
Acknowledgement
Tx Id = 1111100112345600
OriginTx Id = 1111100112345600
652. ETC Trade
Tx Id = 1111100112345600
OriginTx Id = 1111100112345600
Br
C
Br F/IM
651. ETC Trade Advice
Tx Id = 1111100112345600
654. ETC Trade Advice
Acknowledgement
Tx Id = 1111100112345600
OriginTx Id = 1111100112345600
652. ETC Trade
Tx Id = 1111100112345600
OriginTx Id = 1111100112345600
6.27
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(c) Advising a Fund/Investment Manager of Contract Note details
F/IM
C
F/IM Br
653. ETC Trade Allocation Advice
Tx Id = 7777700876543200
Target Tx Id = 1111100112345600
658. ETC Trade Allocation Acknowledgement
Tx Id = 7777700876543200
Origin Tx Id = 7777700876543200
656. ETC Trade Allocation
Tx Id = 7777700876543200
Target Tx Id = 1111100112345600
Origin Tx Id = 7777700876543200
F/IM
C
F/IM Br
653. ETC Trade Allocation Advice
Tx Id = 7777700876543200
Target Tx Id = 1111100112345600
658. ETC Trade Allocation Acknowledgement
Tx Id = 7777700876543200
Origin Tx Id = 7777700876543200
656. ETC Trade Allocation
Tx Id = 7777700876543200
Target Tx Id = 1111100112345600
Origin Tx Id = 7777700876543200
Br
C
Br F/IM
657. Contract Note Advice
Tx Id = 1111100654987100
Target Tx Id = 7777700876543200
666. Contract Note Advice Acknowledgement
Tx Id = 1111100654987100
OriginTx Id = 1111100654987100
664. Contract Note
Tx Id = 1111100654987100
Target Tx Id = 7777700876543200
OriginTx Id = 1111100654987100
Note: If an ETC User chooses to utilise the
Contract Note messaging function only then
the Target Transaction Id must be populated
with the Transaction Id of the same message.
Br
C
Br F/IM
657. Contract Note Advice
Tx Id = 1111100654987100
Target Tx Id = 7777700876543200
666. Contract Note Advice Acknowledgement
Tx Id = 1111100654987100
OriginTx Id = 1111100654987100
664. Contract Note
Tx Id = 1111100654987100
Target Tx Id = 7777700876543200
OriginTx Id = 1111100654987100
Note: If an ETC User chooses to utilise the
Contract Note messaging function only then
the Target Transaction Id must be populated
with the Transaction Id of the same message.
6.28
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(d) Advising a Settlement Agent of Settlement Details
6.26. Type 26 (Issuer Sponsored SRN Enquiry)
F/IM
C
F/IM P
663. ETC Settlement Advice
Tx Id = 7777700258963200
678. ETC Settlement Advice Acknowledgement
Tx Id = 7777700258963200
OriginTx Id = 7777700258963200
676. ETC Settlement
Tx Id = 7777700258963200
OriginTx Id = 7777700258963200
F/IM
C
F/IM P
663. ETC Settlement Advice
Tx Id = 7777700258963200
678. ETC Settlement Advice Acknowledgement
Tx Id = 7777700258963200
OriginTx Id = 7777700258963200
676. ETC Settlement
Tx Id = 7777700258963200
OriginTx Id = 7777700258963200
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
451. Participant to CHESS SRN Request
Tx Id = 111110001235400
452. CHESS to Participant SRN
Request Acknowledgement
Tx Id = 111110001235400
OriginTx Id = 111110001235400
454. CHESS to Registry SRN Request
Tx Id = 111110001235400
Target Tx Id = 111110001235400
453. Registry to CHESS SRN Response
Tx Id = 3333300005427300
Target Tx Id = 111110001235400
455. Registry to CHESS SRN Reject
Tx Id = 3333300005427500
Target Tx Id = 111110001235400
458. CHESS to Participant SRN Response
Tx Id = 3333300005427300
OriginTx Id = 3333300005427300
Target Tx Id = 111110001235400
456. CHESS to Registry
SRN ResponseAck.
Tx Id = 3333300005427300
OriginTx Id = 3333300005427300
462. CHESS to Participant
SRN Reject
Tx Id = 3333300005427500
OriginTx Id = 3333300005427500
Target Tx Id = 111110001235400
460. CHESS to Registry SRN
Reject Acknowledgement
Tx Id = 3333300005427500
OriginTx Id = 3333300005427500
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
451. Participant to CHESS SRN Request
Tx Id = 111110001235400
452. CHESS to Participant SRN
Request Acknowledgement
Tx Id = 111110001235400
OriginTx Id = 111110001235400
454. CHESS to Registry SRN Request
Tx Id = 111110001235400
Target Tx Id = 111110001235400
453. Registry to CHESS SRN Response
Tx Id = 3333300005427300
Target Tx Id = 111110001235400
455. Registry to CHESS SRN Reject
Tx Id = 3333300005427500
Target Tx Id = 111110001235400
458. CHESS to Participant SRN Response
Tx Id = 3333300005427300
OriginTx Id = 3333300005427300
Target Tx Id = 111110001235400
456. CHESS to Registry
SRN ResponseAck.
Tx Id = 3333300005427300
OriginTx Id = 3333300005427300
462. CHESS to Participant
SRN Reject
Tx Id = 3333300005427500
OriginTx Id = 3333300005427500
Target Tx Id = 111110001235400
460. CHESS to Registry SRN
Reject Acknowledgement
Tx Id = 3333300005427500
OriginTx Id = 3333300005427500
6.29
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.27. Type 27 (Issuer Sponsored Holding Balance Enquiry)
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
457. Participant to CHESS Holding
Balance Request
Tx Id = 111110001234600
464. CHESS to Participant Holding Balance
Request Acknowledgement
Tx Id = 111110001234600
OriginTx Id = 111110001234600
466. CHESS to Registry Holding Balance Request
Tx Id = 111110001234600
Target Tx Id = 111110001234600
459. Registry to CHESS Holding Balance Response
Tx Id = 3333300005427400
Target Tx Id = 111110001234600
461. Registry to CHESS Holding
Balance Reject
Tx Id = 3333300005421800
Target Tx Id = 111110001234600
470. CHESS to Participant Holding Balance Response
Tx Id = 3333300005427400
OriginTx Id = 3333300005427400
Target Tx Id = 111110001234600
468. CHESS to Registry Holding Balance
Response Acknowledgement
Tx Id = 3333300005427400
OriginTx Id = 3333300005427400
474. CHESS to Participant Holding
Balance Reject
Tx Id = 3333300005421800
OriginTx Id = 3333300005421800
Target Tx Id = 111110001234600
472. CHESS to Registry Holding Balance
Reject Acknowledgement
Tx Id = 3333300005421800
OriginTx Id = 3333300005421800
P1
C
P1 R
C
P1 R
R
(followed by)
C
P1 R
R
OR
457. Participant to CHESS Holding
Balance Request
Tx Id = 111110001234600
464. CHESS to Participant Holding Balance
Request Acknowledgement
Tx Id = 111110001234600
OriginTx Id = 111110001234600
466. CHESS to Registry Holding Balance Request
Tx Id = 111110001234600
Target Tx Id = 111110001234600
459. Registry to CHESS Holding Balance Response
Tx Id = 3333300005427400
Target Tx Id = 111110001234600
461. Registry to CHESS Holding
Balance Reject
Tx Id = 3333300005421800
Target Tx Id = 111110001234600
470. CHESS to Participant Holding Balance Response
Tx Id = 3333300005427400
OriginTx Id = 3333300005427400
Target Tx Id = 111110001234600
468. CHESS to Registry Holding Balance
Response Acknowledgement
Tx Id = 3333300005427400
OriginTx Id = 3333300005427400
474. CHESS to Participant Holding
Balance Reject
Tx Id = 3333300005421800
OriginTx Id = 3333300005421800
Target Tx Id = 111110001234600
472. CHESS to Registry Holding Balance
Reject Acknowledgement
Tx Id = 3333300005421800
OriginTx Id = 3333300005421800
6.30
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.28. Type 28 (Creation of RTGS Settlement Instruction)
P1
C
P1 P2
C
P1 P2
P2
481. RTGS Dual Entry Notification
Tran ID generated by P1 system - eg 008
484. Unmatched RTGS Dual Entry Request
Tran ID - 008
Origin Tran ID - 008
482. Unmatched RTGS Dual Entry Notification
Tran ID - 008
Origin Tran ID - 008
481. RTGS Dual Entry Notification
Tran ID generated by P1 system - eg 009
166. Scheduled Dual Entry Settlement Instruction
Tran ID CHESS Generated
Origin Tran ID - 008
Matching Tran ID - 009
If P2 proceeds
166. Scheduled Dual Entry Settlement Instruction
Tran ID CHESS Generated
Origin Tran ID - 008
Matching Tran ID - 009
500. RTGS Instruction Ready
to Settle Advice
500. RTGS Instruction Ready
to Settle Advice
Target Transaction ID is available on 500
P1
C
P1 P2
C
P1 P2
P2
481. RTGS Dual Entry Notification
Tran ID generated by P1 system - eg 008
484. Unmatched RTGS Dual Entry Request
Tran ID - 008
Origin Tran ID - 008
482. Unmatched RTGS Dual Entry Notification
Tran ID - 008
Origin Tran ID - 008
481. RTGS Dual Entry Notification
Tran ID generated by P1 system - eg 009
166. Scheduled Dual Entry Settlement Instruction
Tran ID CHESS Generated
Origin Tran ID - 008
Matching Tran ID - 009
If P2 proceeds
166. Scheduled Dual Entry Settlement Instruction
Tran ID CHESS Generated
Origin Tran ID - 008
Matching Tran ID - 009
500. RTGS Instruction Ready
to Settle Advice
500. RTGS Instruction Ready
to Settle Advice
Target Transaction ID is available on 500
6.31
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.29. Type 29 (Cancellation of RTGS Settlement Instruction)
(Continued on the following page)
P1
C
P1 P2
483. RTGS Notification Cancellation Request
Tran ID from P1 systemeg - 010
Target Tran ID - 008 (one targeted for cancellation)
P1
C
P1 P2
485. RTGS Dual Entry Cancellation Request
Tran IDeg 011
Target Tran ID - 008
490. Unmatched RTGS Instruction
Cancellation Request
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 011
If P1 cancels before P2 has sent 481 ‘RTGS Dual Entry Notification’ matching message
116. Cancelled Settlement Instruction
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 010
(No Matching Tran ID)
116. Cancelled Settlement Instruction
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 010
(No Matching Tran ID)
If either party decides to cancel after settlement instruction has been scheduled
490. Unmatched RTGS Instruction
Cancellation Request
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 11
(followed by)
(Note: If P2 wishes to initiate the cancellation,
then P1 and P2 are interchanged in the following
cancellation sets.)
P1
C
P1 P2
483. RTGS Notification Cancellation Request
Tran ID from P1 systemeg - 010
Target Tran ID - 008 (one targeted for cancellation)
P1
C
P1 P2
485. RTGS Dual Entry Cancellation Request
Tran IDeg 011
Target Tran ID - 008
490. Unmatched RTGS Instruction
Cancellation Request
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 011
If P1 cancels before P2 has sent 481 ‘RTGS Dual Entry Notification’ matching message
116. Cancelled Settlement Instruction
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 010
(No Matching Tran ID)
116. Cancelled Settlement Instruction
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 010
(No Matching Tran ID)
If either party decides to cancel after settlement instruction has been scheduled
490. Unmatched RTGS Instruction
Cancellation Request
Target Tran ID - 008
Origin Tran ID - 010
Cancelling Tran ID - 11
(followed by)
(Note: If P2 wishes to initiate the cancellation,
then P1 and P2 are interchanged in the following
cancellation sets.)
6.32
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.29. Type 29 (Cancellation of RTGS Settlement Instruction) (continued…)
(Continued on the following page)
ORIf P2 proceeds with cancellation If P1 removes cancellation before P2 has sent matching message
487. RTGS Dual Entry Cancellation Removal
Tran ID - 014
Target Tran ID - 011
492. Removed RTGS
Instruction
Cancellation
Request
If securities not yet reserved in CHESS Testing Processing
OR
If instruction no longer in Testing Processing
P2
C
485. RTGS Dual Entry Cancellation Request
Tran ID - eg 012
Target Tran ID - 008
P1
C
P1 P2
P1 P2
P1 P2
496. Checking RBA Funds
Queue Advice
Target Tran ID - 008
Tran ID - 013
492. Removed RTGS Instruction
Cancellation Request
Origin Tran ID - 014
Target Tran ID - 011
Cancelling Tran ID - 014116. Cancelled Settlement
Instruction
Target Tran ID - 008
Origin Tran ID - 011
Cancelling Tran ID - 012
Matching Tran ID - 012
116. Cancelled
Settlement
Instruction
496. Checking RBA
Funds Queue
Advice
RBA
(no EIS number) Request to
recall from RBA funds queue
ORIf P2 proceeds with cancellation If P1 removes cancellation before P2 has sent matching message
487. RTGS Dual Entry Cancellation Removal
Tran ID - 014
Target Tran ID - 011
492. Removed RTGS
Instruction
Cancellation
Request
If securities not yet reserved in CHESS Testing Processing
OR
If instruction no longer in Testing Processing
P2
C
485. RTGS Dual Entry Cancellation Request
Tran ID - eg 012
Target Tran ID - 008
P1
C
P1 P2
P1 P2
P1 P2
496. Checking RBA Funds
Queue Advice
Target Tran ID - 008
Tran ID - 013
492. Removed RTGS Instruction
Cancellation Request
Origin Tran ID - 014
Target Tran ID - 011
Cancelling Tran ID - 014116. Cancelled Settlement
Instruction
Target Tran ID - 008
Origin Tran ID - 011
Cancelling Tran ID - 012
Matching Tran ID - 012
116. Cancelled
Settlement
Instruction
496. Checking RBA
Funds Queue
Advice
RBA
(no EIS number) Request to
recall from RBA funds queue
6.33
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.29. Type 29 (Cancellation of RTGS Settlement Instruction) (continued…)
OR
If transaction still in RITS/RTGS funds queue
P1 P2
116. Cancelled
Settlement
Instruction
Seller (P1 or P2)
(no EIS number) Recalled
response successful
RBA
C
116. Cancelled Settlement
Instruction
Target Tran ID - 008
Origin Tran ID - 011
Cancelling Tran ID - 012
Matching Tran ID - 012
754. RTGS Settlement
Movement*
Tran ID - CHESS generated
*Movement Type in
the 754 message will
indicate that the
seller’s securities have
been released from
reservation.
If transaction not in RITS/RTGS funds queue (i.e. settled)
P1 P2
518. Rejected
Transaction
C
(no EIS number) Recalled
response successful
518. Rejected Transaction
Target Tran ID - 008
Cancelling Tran ID - 012
Matching Tran ID - 012 Note: Where a recall has been rejected because a
transaction has settled, CHESS will have also sent the
Participant an advice that settlement has been
successfully completed.
OR
If transaction still in RITS/RTGS funds queue
P1 P2
116. Cancelled
Settlement
Instruction
Seller (P1 or P2)
(no EIS number) Recalled
response successful
RBA
C
116. Cancelled Settlement
Instruction
Target Tran ID - 008
Origin Tran ID - 011
Cancelling Tran ID - 012
Matching Tran ID - 012
754. RTGS Settlement
Movement*
Tran ID - CHESS generated
*Movement Type in
the 754 message will
indicate that the
seller’s securities have
been released from
reservation.
If transaction not in RITS/RTGS funds queue (i.e. settled)
P1 P2
518. Rejected
Transaction
C
(no EIS number) Recalled
response successful
518. Rejected Transaction
Target Tran ID - 008
Cancelling Tran ID - 012
Matching Tran ID - 012 Note: Where a recall has been rejected because a
transaction has settled, CHESS will have also sent the
Participant an advice that settlement has been
successfully completed.
6.34
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.30. Type 30 (Authorization of RTGS Settlement Instruction)
P1
C
P1
495. AuthoriseScheduled RTGS Instruction
Tran ID - 095
Target Tran ID - 099
476. AuthoriseRTGS Instruction
confirmation
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 095
Where P1 and P2 have each requestedauthorisation
P1
C
P1 P2
495. AuthoriseScheduled RTGS Instruction
Tran ID - 096
Target ID - 099
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 096
Where P1 (or P2) is only P to have requested
authorisationon original settlement instruction
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 096
C
P1 P2
P2
(followed by)
495. AuthoriseScheduled RTGS
Instruction
Tran ID - 097
Target Tran ID - 099
When P2 authorises
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 097
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 097
Note: Unlike other RTGS maintenance messaging, cancelling an authorisation request is not allowed.
P1
C
P1
495. AuthoriseScheduled RTGS Instruction
Tran ID - 095
Target Tran ID - 099
476. AuthoriseRTGS Instruction
confirmation
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 095
Where P1 and P2 have each requestedauthorisation
P1
C
P1 P2
495. AuthoriseScheduled RTGS Instruction
Tran ID - 096
Target ID - 099
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 096
Where P1 (or P2) is only P to have requested
authorisationon original settlement instruction
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 096
C
P1 P2
P2
(followed by)
495. AuthoriseScheduled RTGS
Instruction
Tran ID - 097
Target Tran ID - 099
When P2 authorises
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 097
500. RTGS Instruction Ready to
Settle Advice
Tran ID - CHESS generated
Target Tran ID - 099
Origin Tran ID - 097
Note: Unlike other RTGS maintenance messaging, cancelling an authorisation request is not allowed.
6.35
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.31. Type 31 (Dual Entry Change of RTGS Settlement Instruction)
P1
C
P1 P2
489. Change RTGS Instruction Request
Tran ID - 016
Target Tran ID - 008
478. Unmatched Change RTGS
Instruction Request
Origin Tran ID - 016
Target Tran ID - 008
Updating Tran ID - 016
480. Requested RTGS Instruction Change
Origin Tran ID - 016
Target Tran ID - 008
Updating Tran ID - 016
(followed by)
P1
C
P1 P2
489. Change RTGS Instruction Request
Tran ID - 016
Target Tran ID - 008
478. Unmatched Change RTGS
Instruction Request
Origin Tran ID - 016
Target Tran ID - 008
Updating Tran ID - 016
480. Requested RTGS Instruction Change
Origin Tran ID - 016
Target Tran ID - 008
Updating Tran ID - 016
(followed by)
ORIf P2 proceeds If P1 cancels before P2 has sent matching message
491. Change RTGS Instruction Cancellation Request
Tran ID - 018
Target Tran ID - 016
442. Cancelled Change
RTGS Instruction
Request
If securities not yet reserved (ie not yet sent to RBA
OR
If securities already reserved
P2
C
489. Change RTGS Instruction Request
Tran ID - 017
Target Tran ID - 008
P1
C
P1 P2
P1 P2
P1 P2
128. Adjusted Settlement
Instruction
Target Tran ID - 008
Origin Tran ID - 016
Matching Tran ID - 017
Updating Tran ID - 017
518. Rejection
Transaction
442. Cancelled Change RTGS
Instruction Request
Origin Tran ID - 018
Target Tran ID - 016
Cancelling Tran ID - 018
128. Adjusted Settlement
Instruction
518. Rejection
Transaction
ORIf P2 proceeds If P1 cancels before P2 has sent matching message
491. Change RTGS Instruction Cancellation Request
Tran ID - 018
Target Tran ID - 016
442. Cancelled Change
RTGS Instruction
Request
If securities not yet reserved (ie not yet sent to RBA
OR
If securities already reserved
P2
C
489. Change RTGS Instruction Request
Tran ID - 017
Target Tran ID - 008
P1
C
P1 P2
P1 P2
P1 P2
128. Adjusted Settlement
Instruction
Target Tran ID - 008
Origin Tran ID - 016
Matching Tran ID - 017
Updating Tran ID - 017
518. Rejection
Transaction
442. Cancelled Change RTGS
Instruction Request
Origin Tran ID - 018
Target Tran ID - 016
Cancelling Tran ID - 018
128. Adjusted Settlement
Instruction
518. Rejection
Transaction
6.36
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.32. Type 32 (Single Sided Change of RTGS Settlement Instruction)
P1
C
P1
493. Maintain RTGS Instruction Request
Tran ID - 015
Target Tran ID - 008
446. Updated RTGS Instruction
Target Tran ID - 008
Origin Tran ID - 015
Updating Tran ID - 015
P1
C
P1
493. Maintain RTGS Instruction Request
Tran ID - 015
Target Tran ID - 008
446. Updated RTGS Instruction
Target Tran ID - 008
Origin Tran ID - 015
Updating Tran ID - 015
6.37
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.33. Type 33 (Change of Settlement Type - Dual Entry)
P1
C
P1 P2
497. Settlement Type Change Request
Tran ID - 019
Target Tran ID - 008
444. Unmatched Change Settlement
Type Request
Origin Tran ID - 019
Target Tran ID - 008
410. Requested Settlement Type Change
Origin Tran ID - 019
Target Tran ID - 008
(followed by)
P1
C
P1 P2
497. Settlement Type Change Request
Tran ID - 019
Target Tran ID - 008
444. Unmatched Change Settlement
Type Request
Origin Tran ID - 019
Target Tran ID - 008
410. Requested Settlement Type Change
Origin Tran ID - 019
Target Tran ID - 008
(followed by)
ORIf P2 proceeds If P1 cancels before P2 has sent matching message
441. Cancel Settlement Type Change Request
Tran ID - 021
Target Tran ID - 019
450. Cancelled Request
to Change
Settlement
Type
If destination settlement system is open*
OR
If destination settlement system is closed*
P2
C
497. Settlement Type Change Request
Tran ID - 020
Target Tran ID - 008
P1
C
P1 P2
P1 P2
P1 P2
448. Adjusted Settlement Type
Origin Tran ID - 019
Target Tran ID - 008
Matching Tran ID - 020
Updating Tran ID - 020
410. Requested Settlement
Type Change
Origin Tran ID - 019
Target Tran ID - 008
450. Cancelled Request to Change
Settlement Type
Origin Tran ID - 021
Target Tran ID - 019
Cancelling Tran ID - 021
448. Adjusted Settlement
Type
If default date is used or specified
settlement date is future date
If specified settlement
date is today’s date
444. Unmatched Change
Settlement Type Request
Origin Tran ID - 019
Target Tran ID - 008
OR
P2
518. Rejected
Transaction
*Note:Contingent upon Settlement Date.
See Participant Procedure Guidelines.
Broker-Broker market transactions may not be switched net
to RTGS once NBOsare created (before beginning of T+ 2).
ORIf P2 proceeds If P1 cancels before P2 has sent matching message
441. Cancel Settlement Type Change Request
Tran ID - 021
Target Tran ID - 019
450. Cancelled Request
to Change
Settlement
Type
If destination settlement system is open*
OR
If destination settlement system is closed*
P2
C
497. Settlement Type Change Request
Tran ID - 020
Target Tran ID - 008
P1
C
P1 P2
P1 P2
P1 P2
448. Adjusted Settlement Type
Origin Tran ID - 019
Target Tran ID - 008
Matching Tran ID - 020
Updating Tran ID - 020
410. Requested Settlement
Type Change
Origin Tran ID - 019
Target Tran ID - 008
450. Cancelled Request to Change
Settlement Type
Origin Tran ID - 021
Target Tran ID - 019
Cancelling Tran ID - 021
448. Adjusted Settlement
Type
If default date is used or specified
settlement date is future date
If specified settlement
date is today’s date
444. Unmatched Change
Settlement Type Request
Origin Tran ID - 019
Target Tran ID - 008
OR
P2
518. Rejected
Transaction
*Note:Contingent upon Settlement Date.
See Participant Procedure Guidelines.
Broker-Broker market transactions may not be switched net
to RTGS once NBOsare created (before beginning of T+ 2).
6.38
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.34. Type 34 (Settle RTGS Transaction)
C
P1 P2
752. Requesting Funds Approval
Tran ID - 008 (same as
SIN sent to RBA)
Origin Tran ID - CHESS
generated
Initiating Settlement: Send CHESS-Processed Transaction to RBA
752. Requesting Funds
Approval
Seller (P1 or P2)
754. RTGS Settlement Movement*
Tran ID - 008 (same as SIN sent to RBA)
Origin Tran ID - CHESS generated
*Sent to seller to indicate reservation of securities.
**Sent to buyer and seller to indicate transfer of securities.
***Sent to seller to indicate un-reservation of securities.
****If the transaction was not settled at RBA because of a system problem, CHESS
may send a 754 message to the seller re un-reservation of securities, and ‘reinject’
transaction into processing once problem is corrected.
C
P1 P2
124. Rescheduled Settlement Instruction
Target Tran ID - Settlement Instr Txn ID
Origin Tran ID - CHESS generated
Updating Tran ID - CHESS
generated
FinalisingSettlement: Fail in CHESS
If the transaction has failed settlement at CHESS level
(funds/securities unavailability or required authorisation/s
not received)
(no EIS number)
Settlement Response of
unsuccessful settlement
FinalisingSettlement: Receive Advice from RBA and
Complete Processing in CHESS
OR
P1 P2
756. RTGS Funds Movement
Tran ID - 008 (same as
SIN sent to RBA)
Origin Tran ID -
CHESS generated
If transaction in RBA Queue has settled (i.e. RBA) has
irrevocably transferred funds from buyer to seller)
C
RBA
(no EIS number)
Settlement Response of
successful settlement
P1 P2
124. Rescheduled Settlement
Instruction
Target Tran ID - Settlement
Instr Txn ID
Origin Tran ID - CHESS
generated
Updating Tran ID -
CHESS generated
C
If transaction could not be settled at RBA because the
transaction has failed settlement for today****
756. RTGS Funds
Movement
754. RTGS Settlement
Movement
Tran ID - 008 (same as SIN sent to RBA)
Origin Tran ID - CHESS generated
124. Rescheduled
Settlement
Instruction
Seller (P1 or P2)
754. RTGS
Settlement
Movement***
(no EIS number)
Settlement Response of
unsuccessful settlement
124. Rescheduled Settlement Instruction
Target Tran ID - Settlement Instr Txn ID
Origin Tran ID - CHESS generated
Updating Tran ID - CHESS
generated
C
P1 P2
752. Requesting Funds Approval
Tran ID - 008 (same as
SIN sent to RBA)
Origin Tran ID - CHESS
generated
Initiating Settlement: Send CHESS-Processed Transaction to RBA
752. Requesting Funds
Approval
Seller (P1 or P2)
754. RTGS Settlement Movement*
Tran ID - 008 (same as SIN sent to RBA)
Origin Tran ID - CHESS generated
*Sent to seller to indicate reservation of securities.
**Sent to buyer and seller to indicate transfer of securities.
***Sent to seller to indicate un-reservation of securities.
****If the transaction was not settled at RBA because of a system problem, CHESS
may send a 754 message to the seller re un-reservation of securities, and ‘reinject’
transaction into processing once problem is corrected.
C
P1 P2
124. Rescheduled Settlement Instruction
Target Tran ID - Settlement Instr Txn ID
Origin Tran ID - CHESS generated
Updating Tran ID - CHESS
generated
FinalisingSettlement: Fail in CHESS
If the transaction has failed settlement at CHESS level
(funds/securities unavailability or required authorisation/s
not received)
(no EIS number)
Settlement Response of
unsuccessful settlement
FinalisingSettlement: Receive Advice from RBA and
Complete Processing in CHESS
OR
P1 P2
756. RTGS Funds Movement
Tran ID - 008 (same as
SIN sent to RBA)
Origin Tran ID -
CHESS generated
If transaction in RBA Queue has settled (i.e. RBA) has
irrevocably transferred funds from buyer to seller)
C
RBA
(no EIS number)
Settlement Response of
successful settlement
P1 P2
124. Rescheduled Settlement
Instruction
Target Tran ID - Settlement
Instr Txn ID
Origin Tran ID - CHESS
generated
Updating Tran ID -
CHESS generated
C
If transaction could not be settled at RBA because the
transaction has failed settlement for today****
756. RTGS Funds
Movement
754. RTGS Settlement
Movement
Tran ID - 008 (same as SIN sent to RBA)
Origin Tran ID - CHESS generated
124. Rescheduled
Settlement
Instruction
Seller (P1 or P2)
754. RTGS
Settlement
Movement***
(no EIS number)
Settlement Response of
unsuccessful settlement
124. Rescheduled Settlement Instruction
Target Tran ID - Settlement Instr Txn ID
Origin Tran ID - CHESS generated
Updating Tran ID - CHESS
generated
6.39
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.35. Type 35 (Trade Registration Request – Acceptance (Non-Crossing))
6.36. Type 36 (Trade Registration Request – Cancellation (Non-Crossing))
AMO
AMO
C
161. Trade Registration Request
184. Trade Registration Acceptance
P2
164. Notified Trade P1
164. Notified Trade
Tx Id = 6666600000000100
Tx Id = 9qqqqssssssddd00 Origin Tx Id = 6666600000000100 Tx Id = 6666600000000100
Origin Tx Id = 6666600000000100
AMO
AMO
C
161. Trade Registration Request
184. Trade Registration Acceptance
P2
116. Cancelled Settlement Instruction
P1
116. Cancelled Settlement Instruction
Tx Id = 6666600000000200
Target Tx Id = 9qqqqssssssddd00 Origin Tx Id = 6666600000000200 Cancelling Tx Id =6666600000000200
Tx Id = 6666600000000200 Origin Tx Id = 6666600000000200
6.40
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.37. Type 37 (Trade Registration Request – Acceptance (Crossing1))
6.38. Type 38 (Trade Registration Request – Cancellation (Crossing2))
1 Relates to same CP/SP as P1 2 Relates to same CP/SP as P1
AMO
AMO
C
161. Trade Registration Request
184. Trade Registration Acceptance
P1
164. Notified Trade
Tx Id = 6666600000000300
Tx Id = 9qqqqssssssddd00 Origin Tx Id = 6666600000000300
Tx Id = 6666600000000300 Origin Tx Id = 6666600000000300
AMO
AMO
C
161. Trade Registration Request
184. Trade Registration Acceptance
P1
116. Cancelled Settlement Instruction Tx Id = 6666600000000400 Origin Tx Id = 6666600000000400
Tx Id = 6666600000000400
Target Tx Id = 9qqqqssssssddd00 Origin Tx Id = 6666600000000400 Cancelling Tx Id =6666600000000400
6.40
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.39 Type 39 (Trade Registration Request – Rejection)
AMO
AMO C
161. Trade Registration Request
518. Rejected Transaction
Tx Id = 6666600000000500
Tx Id = 6666600000000500 Origin Tx Id = 6666600000000500
6.41
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.40. Type 40 (Trade Removal Notification)
P2
P1
116. Cancelled Settlement
Instruction
AMO
116. Cancelled Settlement Instruction
100. Trade Removal Notification (new)
ADMIN
Target Tx Id = 9qqqqssssssddd00 Origin Tx Id = 0011100000000400 Cancelling Tx Id =0011100000000400
Tx Id = 0011100000000400 Origin Tx Id = 6666600000001000
6.42
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.41. Type 41 (Price Notification Registration – Acceptance)
6.42. Type 42 (Price Notification Registration – Rejection)
AMO
AMO C
097. Price Notification Registration
098. Price Notification Acceptance
Tx Id = 6666600000000600 Origin Tx Id = 6666600000000600
Tx Id = 6666600000000600
AMO
AMO C
097. Price Registration Request
518. Rejected Transaction
Tx Id = 6666600000000700 Origin Tx Id = 6666600000000700
Tx Id = 6666600000000700
6.43
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.43. Type 43 (Price Registration)
6.44. Type 44 (Application for Fund Units)
C
P1
P1 PISP
726. Application Request Tx Id = 1111100032654700
727. Application Order Request Tx Id = 1111100032654700 Origin Tx Id = 1111100032654700
720. Accepted Participant Request Tx Id = 1111100032654700 Origin Tx Id = 1111100032654700
(optionally followed by)
MO
MO C
093. Price Registration
098. Price Notification Acceptance
Tx Id = 666660000MT09300 Origin Tx Id = 666660000MT09300
Tx Id = 666660000MT09300
6.43
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued on next page)
C
PISP
P1 PISP
729. Application Order / Payment Plan Application Response Tx Id = 3333300005694000 Origin Tx Id = 111110032654700
722. Fund Response Tx Id = 3333300005694000 Orign Tx Id = 3333300005694000
731. Scheduled Settlement Payment Instruction (see below for trans id references)
PISP
731. Scheduled Settlement Payment Instruction (see below for trans id reference)
P1
730. Effected Application Order / Payment Plan Application Response Tx Id = 3333300005694000 Origin Tx Id = 1111100032654700
Note: 729 message allows the PISP to either accept or reject the 726 request. If rejected, the workflow is completed
6.44
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued from previous page)
(followed by)
(optionally followed by)
C
P1 PISP
731. Scheduled Settlement Payment Instruction Tx Id = 1111100032654700 Origin Tx Id = 1111100032654700
731. Scheduled Settlement Payment Instruction Tx Id = 1111100032654700 Origin Tx Id = 1111100032654700
C
PISP
P1 PISP
732. Unit Adjustment Tx Id = 3333300005694100 Origin Tx Id = 1111100032654700
722. Fund Response Tx Id = 3333300005694100 Origin Tx Id = 1111100032654700
733. Effected Fund Unit Adjustment Tx Id = 3333300005694100 Origin Tx Id = 1111100032654700
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustments must be affected outside of CHESS
6.45
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.45. Type 45 (Fund Units Allotment Reminder)
C
P1 PISP
812. Reminder Notice Tx Id = 0030100001100000 Target Tx Id = 1111100032654700
812. Reminder Notice Tx Id = 0030100001100000 Target Tx Id = 1111100032654700
Note: 812 messages only apply to Applications for Fund Units and to Switches of Fund Units where units have not been allotted by the Allotment Date.
6.46
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.46. Type 46 (Redemption of Fund Units)
(Diagram is continued on next page)
C
PISP
P1 PISP
802. Redemption Order Response Tx Id = 3333300005695000 Origin Tx Id = 1111100032654800
722. Fund Response Tx Id = 3333300005695000 Origin Tx Id = 3333300005695000
803. Effected Redemption Order Request Tx Id = 3333300005695000 Origin Tx Id = 1111100032654800
Note: 802 message allows the PISP to either accept or reject the 800 request. If rejected, the workflow is completed
C
P1
P1 PISP
800. Redemption Request Tx Id = 1111100032654800
801. Redemption Order Request Tx Id = 1111100032654800 Origin Tx Id = 1111100032654800
720. Accepted Participant Request Tx Id = 1111100032654800 Origin Tx Id = 1111100032654800
(followed by)
6.47
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued from previous page)
(optionally followed by)
C
P1 PISP
731. Scheduled Settlement Payment Instruction Tx Id = 1111100032654800 Origin Tx Id = 1111100032654800
731. Scheduled Settlement Payment Instruction Tx Id = 1111100032654800 Origin Tx Id = 1111100032654800
(followed by)
C
PISP
P1 PISP
732. Unit Adjustment Tx Id = 3333300005695100 Origin Tx Id = 1111100032654800
722. Fund Response Tx Id = 3333300005695100 Origin Tx Id = 1111100032654800
733. Effected Fund Unit Adjustment Tx Id = 3333300005695100 Origin Tx Id = 1111100032654800
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustments must be affected outside of CHESS
6.48
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.47. Type 47 (Switch of Fund Units)
(Diagram is continued on next page)
C
PISP
P1 PISP
808. Switch Order Response Tx Id = 3333300005696000 Origin Tx Id = 1111100032654900
722. Fund Response Tx Id = 3333300005696000 Origin Tx Id = 3333300005696000
809. Effected Switch Order Request Tx Id = 3333300005696000 Origin Tx Id = 1111100032654900
Note: 808 message allows the PISP to either accept or reject the 806 request. If rejected, the workflow is completed
C
P1
P1 PISP
806. Switch Request Tx Id = 1111100032654900
807. Switch Order Request Tx Id = 1111100032654900 Origin Tx Id = 1111100032654900
720. Accepted Participant Request Tx Id = 1111100032654900 Origin Tx Id = 1111100032654900
(followed by)
6.49
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
(Diagram is continued from previous page)
(optionally followed by)
(optionally followed by)
C
PISP
P1 PISP
732. Unit Adjustment Tx Id = 3333300005696100 Origin Tx Id = 1111100032654900
722. Fund Response Tx Id = 3333300005696100 Origin Tx Id = 1111100032654900
733. Effected Fund Unit Adjustment Tx Id = 3333300005696100 Origin Tx Id = 1111100032654900
Redemption Leg
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustments must be affected outside of CHESS
C
PISP
P1 PISP
732. Unit Adjustment Tx Id = 3333300005696200 Origin Tx Id = 1111100032654900
722. Fund Response Tx Id = 3333300005696200 Origin Tx Id = 1111100032654900
733. Effected Fund Unit Adjustment Tx Id = 3333300005696200 Origin Tx Id = 1111100032654900
Application Leg
Note: 732 message only applies to CHESS sponsored holdings. Issuer Sponsored holding adjustments must be affected outside of CHESS
6.49
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.48. Type 48 (Fund Order Cancellation)
C
P1 PISP
822. Cancelled Funds Settlement Payment Instruction Tx Id = 0025300011100000 Origin Tx Id = 1111100032654700
822. Cancelled Funds Settlement Payment Instruction Tx Id = 0025300011100000 Origin Tx Id = 1111100032654700
C
PISP
PISP P1
810. Update Order Tx Id = 3333300005697000 Target Tx Id = 1111100032654700
811. Effected Update Order Tx Id = 3333300005697000 Target Tx Id = 1111100032654700
722. Fund Response Tx Id = 3333300005697000 Origin Tx Id = 3333300005697000
Note: Available to cancel Application, Redemption and Switch orders.
Note: May be instructed both prior to and post settlement. If post settlement funds must be affected outside of CHESS.
(followed by - where instruction is prior to
settlement)
6.50
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.49. Type 49 (Order Reversal – Reversal)
C
PISP
PISP P1
732. Unit Adjustment Tx Id = 3333300005698100 Origin Tx Id = 1111100032654800
733. Effected Fund Unit Adjustment Tx Id = 3333300005699100 Origin Tx Id = 1111100032654800
722. Fund Response Tx Id = 3333300005698100 Origin Tx Id = 1111100032654800
C
PISP
PISP P1
845. Unit Reversal Notification Tx Id = 3333300005698000 Origin Tx Id = 1111100032654800
846. Effected Unit Reversal Notification Tx Id = 3333300005698000 Origin Tx Id = 1111100032654800
722. Fund Response Tx Id = 3333300005698000 Origin Tx Id = 1111100032654800
(followed by )
Note: Allows a PISP to rectify an order post order completion. There are 2 stages: the first (Reversal) removes the original order values; the second (Reapply) reapplies the correct values
Note: The origin Transaction ID in the 845 & 732 is that of the order to be rectified
6.51
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.50. Type 50 (Order Reversal – Reapply)
C
PISP
PISP P1
732. Unit Adjustment Tx Id = 33333000056989100 Origin Tx Id = 1111100032654800
733. Effected Fund Unit Adjustment Tx Id = 3333300005699100 Origin Tx Id = 1111100032654800
722. Fund Response Tx Id = 3333300005699100 Origin Tx Id = 1111100032654800
C
PISP
PISP P1
845. Unit Reversal Notification Tx Id = 3333300005699000 Origin Tx Id = 1111100032654800
846. Effected Unit Reversal Notification Tx Id = 3333300005699000 Origin Tx Id = 1111100032654800
722. Fund Response Tx Id = 3333300005699000 Origin Tx Id = 1111100032654800
Note: The origin Transaction ID in the 845 & 732 is that of the order to be rectified
(followed by )
7.1
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.51. Type 51 (Unit Adjustment – Reason ADJ)
C
PISP
P1 PISP
732. Unit Adjustment Tx Id = 33333000A5694100 Origin Tx Id = 33333000A5694100
722. Fund Response Tx Id = 33333000A5694100 Origin Tx Id = 33333000A5694100
733. Effected Fund Unit Adjustment Tx Id = 33333000A5694100 Origin Tx Id = 33333000A5694100
Note: Where the 732 message only applies to an adjustment not related to an order e.g. a miscellaneous adjustment the Origin Trans Id and Trans Id’s are the same. CHESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of CHESS
7.1
EXTERNAL INTERFACE SPECIFICATION
VERSION 10.5 – AUG 2016
6.52. Type 52 (Annual Income Statement)
(Continued on the following page)
(followed by )
C
R 957. Registry Income Statement Part A Tx Id = 3333300005699000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
Note: The Origin Tx Id for all messages within the sets is the TX Id of the requesting
869. Income Statement Request
Note: Preceded by a Participant request, on behalf of the client (HIN) for an Annual Income Statement to be supplied by a Registry.
959. Registry Income Statement Part B Tx Id = 3333300005700000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
963. Registry Income Statement Part C CG Tx Id = 3333300005702000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
961. Registry Income Statement Part C AI Tx Id = 3333300005701000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
965. Registry Income Statement Part C FI Tx Id = 3333300005703000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
967. Registry Income Statement Part C NA Tx Id = 3333300005704000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
969. Registry Income Statement Part C OD Tx Id = 3333300005705000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
R
R
R
R
R
R
R
971. End Registry Income Statement Set Tx Id = 3333300005706000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
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(Continued on the following page)
C
R R
958. Accepted Registry Income Statement Set Tx Id = 3333300005707000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
960. Rejected Registry Income Statement Set Tx Id = 3333300005708000 Origin Tx Id = 1111100032654800 Set Tx Id = 4444400067533300
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C
P 962. Registry Income Statement Part A Tx Id = 3333300005709000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300
964. Registry Income Statement Part B Tx Id = 3333300005710000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300
968. Registry Income Statement Part C CG Tx Id = 3333300005712000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300
966. Registry Income Statement Part C AI Tx Id = 3333300005711000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300
970. Registry Income Statement Part C FI Tx Id = 3333300005713000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300
972. Registry Income Statement Part C NA Tx Id = 3333300005714000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300
976. End Registry Income Statement Set Tx Id = 3333300005716000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300
P
P
P
P
P
P
974. Registry Income Statement Part C OD Tx Id = 3333300005715000 Origin Tx Id = 1111100032654800 Set Tx Id = 5555500067533300 P
Note: Where accepted:
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SECTION 7. DATA REPRESENTATION
7.1 Data Representation Principles
Data representation defines the way that message fields are described within CHESS. It covers the format of fields (numeric, etc.) and the methods of justification and filling the various fields. The data representation standard adopted here is based on that of similar communications standards.
7.2 Field Presentation
Non-binary data is represented by ASCII characters in accordance with the following table.
Class Description Format
Alphabetic Alphabetic characters (A-Z) 1 symbol/byte
Numeric Numeric characters (0, 1...9) 1 symbol/byte
Alphanumeric Alphabetic and Numeric characters 1 symbol/byte
Character Alphabetic, Numeric and Special Characters (,.?% etc.). i.e. > 31 and < 127 decimal in the ASCII character set.
1 symbol/byte
Signed Numeric (or ±Numeric)
Character '+' or '-' preceding the numeric characters (0,1...9)
1 symbol/byte
Bitmapped fields are described as streams of bits. In general, all fields are defined by their class and length. Unless otherwise indicated, all decimal points are implied. The number of decimal places is indicated explicitly in the definition of a field. Note that although five types of data are described above, only the 'character', 'numeric' and 'signed numeric' types are used throughout section 4 and 8 of the specification. Where more stringent definition is required (e.g., some special characters are not allowed within a character field), this is given in the definition for the field in section 8.
Examples:
A field describing the ISIN code is a character field and has a size of 12 bytes.
A field containing the holding balance for a security in CHESS is a
numeric field of 11 bytes.
A field describing an amount may have a total length of 14 characters with two decimal places and an implied decimal point. It would be
described as a numeric field of 14 bytes with 2 decimal places (included in the 14).
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Another type of field describing an amount to settle a trade has a total
length of 15 characters with a sign, two decimal places and an implied
decimal point. It would be described as a signed numeric field of 15
bytes with 2 decimal places (i.e., the sign character takes one position, the dollar amount takes the next 12 positions, and the cents occupy the remaining 2 positions of the total of 15). Note that in Section 4 these
fields are shown as 15 ±Numeric, 2 decimal.
Both bit and byte numbering begin at one.
7.3 Justification, Filling and Order
Each field is justified and filled in accordance with the following rules: All fields start on a byte boundary and are filled to a byte boundary. Numeric fields are right justified and filled with leading numeric zeros. Alphabetic and alphanumeric fields are left justified and filled with trailing
spaces. Bitmap fields, described as bit streams, are a multiple of 8 bits and have
no filler bits. The order of transmission is leftmost bit or byte first. For greater discussion of bitmap representation see section 3. For example, a bitmap defined as 32 bits represented by the hexadecimal number X'ABC3FF12" would be represented in bit representation as
" 1010 A
1011 B
1100 C
0011 3
1111 F
1111 F
0001 1
0010 2
The field would be transmitted as the leftmost bit first and then through to the right most bit. A name field defined as 10 character containing the name "SMITH" would be transmitted in order as SMITH^^^^^ where ^ represents a space.
7.4 Character Data
Alphabetic, numeric and special symbols follow Australian Standard 1776 (equivalent to the ANSI standard) with the leftmost bit of each byte set to zero.