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.

 

Pre-investment Decision

Business Process ISO 20022 Business Area

Equities, Listed derivatives

Fixed Income

OTC DerivativesFunds
 

Existing messages

Business Justification

Existing messages

Business Justification

Existing messages

Business Justification

Existing messages

Business Justification

Filing Fundamental Data with the Regulator N/A N/A
Analytical Models N/A N/A

Pre-Trade

Business Process ISO 20022 Business Area

Equities, Listed derivatives

Fixed Income

OTC DerivativesFunds
 

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

Trade

Business Process ISO 20022 Business Area

Equities, Listed derivatives

Fixed Income

OTC DerivativesFunds
 

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
Trade Execution setr 10(1) 10(1) 2
Trade Date Position Reporting setr 2
Reference Data reda 42 42 32

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
Allocation setr 21 21 N/A N/A
Matching setr 21 21 N/A N/A
Confirmation/Affirmation setr 21 21 21 21 2
Position Management setr 2
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 DerivativesFunds
 

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 58 42 58 42 N/A N/A 32

Asset Servicing

Business Process ISO 20022 Business Area

Equities, Listed derivatives

Fixed Income

OTC DerivativesFunds
 

Existing messages

Business Justification

Existing messages

Business Justification

Existing messages

Business Justification

Existing messages

Business Justification

Issuance - Registration seis N/A  N/A 2
Corporate Actions seev 28, 16 , 96 28, 16, 96 28, 96 
Proxy Voting seev 12 12 N/A N/A 12
Securities Lending secl 27, 96

 

27, 96

 

N/A N/A

Reconciliation

Business Process ISO 20022 Business Area

Equities, Listed derivatives

Fixed Income

OTC DerivativesFunds
 

Existing messages

Business Justification

Existing messages

Business Justification

Existing messages

Business Justification

Existing messages

Business Justification

Portfolio Reconciliation semt 27, 96, 79  

 

27, 9679  27 27, 96, 79
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 DerivativesFunds
 

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, 96 

 

27, 96        2, 2796   
Settlement Notification sese 27, 96    27, 96        2, 27, 96  
Settlement sese 27, 96    27, 96    27, 96    2, 27, 96  
Transaction Management sese,semt 27, 41, 42*, 96   27, 41, 42*, 96   27, 96    2, 27, 96  
Fail and Claim Management semt 27, 96    27, 96       27, 96   
* Securities Settlement Transaction Audit Trail Report message is published

Pricing/Risk/Reporting

Business Process ISO 20022 Business Area

Equities, Listed derivatives

Fixed Income

OTC DerivativesFunds
  Existing messages Business Justification Existing messages Business Justification Existing messages Business Justification Existing messages Business Justification
Tax Management
Income Collection
Risk Management
Pricing & Valuation semt 11 11 11
Reporting semt 27, 42, 96 27, 42, 96 2, 27, 96
Position Management semt 27, 96  27, 96  27, 96

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, 96    27, 96   N/A  N/A  N/A  N/A 
Trade Surveillance Reporting auth  24, 98  108, 123 24, 98  108, 123 98  108, 123 24,98  108
Position Management Reporting semt 27, 96  123 27, 96 123 2796  123 2, 27, 96  
Tax Lot Reporting sese,semt 27, 96    27, 96   27, 96    27, 96   

Regulatory Reporting - Issuer

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 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.
Last updated on:
Friday, April 7, 2017