ISO 20022 - Securities Dashboard

The purpose of the ISO 20022 dashboards is to show which business processes are already supported either by existing ISO 20022 message definitions or by candidate message definitions covered by an approved Business Justification. Click on the numbered hyperlinks to get more information about the ISO 20022 coverage.

The Securities Dashboard covers messages supporting pre-trade, trade, post-trade, clearing and settlement, securities management, securities account management, reconciliation, asset servicing, collateral management, etc.

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Pre-investment Decision

Pre-Trade

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
IOIs	seti		10⁽¹⁾		10⁽¹⁾			N/A	N/A
Trade advertisements	seti							N/A	N/A
Quotes	seti		10⁽¹⁾		10⁽¹⁾			N/A	N/A
Market Data								2, 32
Short Sale Locate				N/A	N/A	N/A	N/A	N/A	N/A
Reference Data	reda		42		42			2, 32	52

Trade

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Order Routing	setr		10⁽¹⁾		10⁽¹⁾	N/A	N/A	2	37
Trade Execution	setr		10⁽¹⁾		10⁽¹⁾			2	37
Trade Date Position Reporting	setr							2	37
Reference Data	reda		42		42			32	52

Post-Trade

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Trade Capture & Validations	setr		21		21			2	37
Allocation	setr		21		21			N/A	N/A
Matching	setr	21		21				N/A	N/A
Confirmation/Affirmation	setr	21	21	21	21			2	37
Position Management	setr							2	37
Novation/Assignment		N/A	N/A	N/A	N/A			N/A	N/A
Amendments / Modifications		N/A	N/A	N/A	N/A			N/A	N/A
Termination		N/A	N/A	N/A	N/A			N/A	N/A
Increases		N/A	N/A	N/A	N/A			N/A	N/A
Affirmations		N/A	N/A	N/A	N/A			N/A	N/A
Exercise		N/A	N/A	N/A	N/A			N/A	N/A

Clearing & Settlement

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Matching	secl		43⁽²⁾		43 ⁽²⁾			N/A	N/A
Netting	secl		43 ⁽²⁾		43⁽²⁾			N/A	N/A
Funding	pacs, camt	4, 5, 8		4, 5, 8		4, 5, 8		4, 5, 8
Reference Data	reda		42, 58		42, 58	N/A	N/A	32	52

Asset Servicing

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Issuance - Registration	seis					N/A	N/A	2	37
Corporate Actions	seev	28, 16		28, 16				28
Proxy Voting	seev	12		12		N/A	N/A	12
Securities Lending	secl	27		27				N/A	N/A

Reconciliation

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Portfolio Reconciliation	semt	27		27		27		27
Cash Flow Matching		N/A	N/A	N/A	N/A			N/A	N/A

Collateral Management

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Initial Margining	colr		49⁽³⁾		49⁽³⁾		49⁽³⁾	N/A	N/A
Margin Call	colr		49⁽³⁾		49⁽³⁾		49⁽³⁾	N/A	N/A
Substitution	colr		49⁽³⁾		49⁽³⁾		49⁽³⁾	N/A	N/A
Recall	colr		49⁽³⁾		49⁽³⁾		49⁽³⁾	N/A	N/A
Transfer	colr		49⁽³⁾		49⁽³⁾		49⁽³⁾	N/A	N/A
Interest Payment	colr		49⁽³⁾		49⁽³⁾		49⁽³⁾	N/A	N/A

Settlement

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Pre-advisement	sese	27		27				2, 27
Settlement Notification	sese	27		27				2, 27
Settlement	sese	27		27		27		2, 27
Transaction Management	sese,semt	27, 41		27, 41		27		2, 27
Fail and Claim Management	semt	27		27				27

Pricing/Risk/Reporting

Regulatory Reporting - Investor

Business Process	ISO 20022 Business Area	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
		Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Short Sale Reporting	sese,semt	27		27		N/A	N/A	N/A	N/A
Trade Surveillance Reporting	semt	24		24				24
Position Management Reporting	semt	27		27		27		2, 27	37
Tax Lot Reporting	sese,semt	27		27		27		27

Regulatory Reporting - Issuer

Business Process	Equities, Listed derivatives	Fixed Income	OTC Derivatives	Funds
	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification	Existing messages	Business Justification
Short Interest Reporting			N/A	N/A	N/A	N/A
Financial Statement Reporting			N/A	N/A	N/A	N/A
Investment Reporting			N/A	N/A	N/A	N/A

(1) Alternate syntax: the RMG approved that the message definitions be expressed in the FIX syntax instead of the ISO 20022 XML Schemas.

(2) Alternate syntax: the RMG approved that the message definitions be expressed in the FIX syntax in addition to the ISO 20022 XML Schemas.

(3) Alternate syntax: the RMG approved that the message definitions be expressed in the FIX syntax and the FpML syntax in addition to the ISO 20022 XML Schemas.

ISO 20022 Universal financial industry message scheme

Related Information