SecuritiesBalanceCustodyReport002V11 (SctiesBalCtdyRpt)

Scope

An account servicer sends a SecuritiesBalanceCustodyReport to an account owner to provide, at a moment in time, the quantity and identification of the financial instruments that the account servicer holds for the account owner. The account servicer/owner relationship may be: - a central securities depository or another settlement market infrastructure acting on behalf of their participants, or - an agent (sub-custodian) acting on behalf of their global custodian customer, or - a custodian acting on behalf of an investment management institution or a broker/dealer, or - a transfer agent acting on behalf of a fund manager or an account owner's designated agent.

Usage

The message can also include availability and the location of holdings to facilitate trading and minimise settlement issues. The message reports all information per financial instrument, that is, when a financial instrument is held at multiple places of safekeeping, the total holdings for all locations can be provided. The message should be sent at a frequency agreed bi-laterally between the account servicer and the account owner. The message may be provided on a trade date, contractual or settlement date basis. There may be one or more intermediary parties, for example, an intermediary or a concentrator between the account owner and account servicer. The message may also be used to: - re-send a message previously sent, - provide a third party with a copy of a message for information, - re-send to a third party a copy of a message for information using the relevant elements in the Business Application Header.

Outline

The SecuritiesBalanceCustodyReport002V11 MessageDefinition is composed of 10 MessageBuildingBlocks:

Pagination — Page number of the message (within a statement) and continuation indicator to indicate that the statement is to continue or that the message is the last page of the statement.
Statement General Details — Provides general information on the report.
Account Owner — Party that legally owns the account.
Account Servicer — Party that manages the account on behalf of the account owner, that is manages the registration and booking of entries on the account, calculates balances on the account and provides information about the account.
Safekeeping Account — Account to or from which a securities entry is made.
Block Chain Address Or Wallet — Blockchain address or wallet where digital assets are maintained. This is the equivalent of safekeeping account for digital assets.
Intermediary Information — Information about the party that provides services relating to financial products to investors, for example, advice on products and placement of orders for the investment fund.
Balance For Account — Net position of a segregated holding, in a single security, within the overall position held in a securities account.
Sub Account Details — Sub-account of the safekeeping or investment account.
Account Base Currency Total Amounts — Total valuation amounts provided in the base currency of the account.