SECTION 5. MESSAGE INTERDEPENDENCIES

Transcription

1 5.1. SETION 5. MESSAGE INTEDEPENDENIES 5.1. Introduction The purpose of sub-section 5.2 is to describe the interdependencies between HESS 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 HESS 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 HESS 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 ejected 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. EXTENAL INTEFAE SPEIFIATION

2 5.2. The following table describes the symbols used in the diagrams: Symbol P AMO B U F/IM Admin OF ASX lear WI Description HESS Participant egistry Product Issuer Settlement Participant Market Operator Payment provider involved in transferring funds User of the HESS system Fund/Investment Manager epresents the manual data entry functions of the learing House Offeror in a takeover offer ASX lear Pty Ltd 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. EXTENAL INTEFAE SPEIFIATION

3 HESS Message Interdependency Diagrams Demand Single Entry HESS to HESS Transfer (efer also to section 6.1 for Transaction Id usage.) 001. Transfer equest 002. Effected Transfer Transferor Submitted Demand Transfer (efer also to section 6.2 for Transaction Id usage.) 003. Transferor Submitted Demand Transfer 004. Effected Transferor Submitted Transfer 010. Applied Transferor Submitted Transfer EXTENAL INTEFAE SPEIFIATION

4 Demand HESS to Issuer Sponsored Transfer 007. Transfer equest 008. Effected HESS to egistry Movement 418. HESS to Issuer Sponsored Transfer Demand HESS to ertificated Transfer 009. Transfer equest 008. Effected HESS to egistry Movement 414. HESS to ertificated Transfer EXTENAL INTEFAE SPEIFIATION

5 Issuer Sponsored to HESS Transfer (efer also to section 6.3 for Transaction Id usage.) 015. Transfer equest 016. Accepted egistry to HESS Movement equest 408. Authorisation equest (followed by) 405. egistry to HESS Transfer Authorisation O 407. egistry to HESS Transfer ejection 174. Effected egistry to HESS Transfer 426. Applied egistry esponse 076. ejected egistry to HESS Movement 426. Applied egistry esponse EXTENAL INTEFAE SPEIFIATION

6 ertificated to HESS Transfer (efer also to section 6.3 for Transaction Id usage.) 021. Transfer equest 016. Accepted egistry to HESS Movement equest 406. Authorisation equest (followed by) 405. egistry to HESS Transfer Authorisation O 407. egistry to HESS Transfer ejection 174. Effected egistry to HESS Transfer 426. Applied egistry esponse 076. ejected egistry to HESS Movement 426. Applied egistry esponse EXTENAL INTEFAE SPEIFIATION

7 HESS to Issuer Sponsored onversion (efer also to section 6.2 for Transaction Id usage.) 011. onversion equest 008. Effected HESS to egistry Movement 416. HESS to Issuer Sponsored onversion HESS to ertificated onversion (efer also to section 6.2 for Transaction Id usage.) 013. onversion equest 008. Effected HESS to egistry Movement 412. HESS to ertificated onversion EXTENAL INTEFAE SPEIFIATION

8 Issuer Sponsored to HESS onversion (efer also to section 6.3 for Transaction Id usage.) 017. onversion equest 016. Accepted egistry to HESS Movement equest 404. Authorisation equest (followed by) 401. egistry to HESS onversion Authorisation O 403. egistry to HESS onversion ejection 172. Effected egistry to HESS onversion 426. Applied egistry esponse 076. ejected egistry to HESS Movement 426. Applied egistry esponse EXTENAL INTEFAE SPEIFIATION

9 ertificated to HESS onversion (efer also to section 6.3 for Transaction Id usage.) 019. onversion equest 016. Accepted egistry to HESS Movement equest 402. Authorisation equest (followed by) 401. egistry to HESS onversion Authorisation O 403. egistry to HESS onversion ejection 172. Effected egistry to HESS onversion 426. Applied egistry esponse 076. ejected egistry to HESS Movement 426. Applied egistry esponse EXTENAL INTEFAE SPEIFIATION

10 Takeover Acceptance (efer also to section 6.17 for Transaction Id usage.) 031. Takeover Acceptance 032. Effected Takeover Acceptance 704. Takeover Acceptance Notification (Optionally, where the Offeror rejects the Takeover Acceptance, ) OF OF 701. Takeover Acceptance ejection 038. eversed Takeover Acceptance 706. Effected Offeror Transaction OF EXTENAL INTEFAE SPEIFIATION

11 Takeover Acceptance emoval equest (efer also to section 6.3 for Transaction Id usage.) 085. Takeover Acceptance emoval equest 086. Acceptance emoval equest 702. Authorisation equest OF (followed by) OF OF 703. emoval Authorisation 705. emoval ejection O 038. eversed Takeover Acceptance 706. Effected Offeror Transaction 088. ejected emoval equest 706. Effected Offeror Transaction OF OF EXTENAL INTEFAE SPEIFIATION

12 Takeover Transfer (efer also to section 6.2 for Transaction Id usage.) OF 431. Takeover Transfer 706. Effected Offeror Transaction 034. Effected Takeover Transfer OF Securities Transformation (efer also to section 6.2 for Transaction Id usage.) 421. Securities Transformation 422. Applied egistry Transaction 018. Effected Securities Transformation 082. Adjusted Subposition EXTENAL INTEFAE SPEIFIATION

13 Holding Adjustment (efer also to section 6.2 for Transaction Id usage.) 425. Holding Adjustment 422. Applied egistry Transaction 022. Effected Holding Adjustment 082. Adjusted Subposition EXTENAL INTEFAE SPEIFIATION

14 ollateral reation (efer also to section 6.17 for Transaction Id usage.) 027. ollateral reation equest 028. reated ollateral 610. ollateral equest 607. Accepted ollateral 020. ASX lear Accepted ollateral ASX lear ASX lear [followed by] 108. ollateral reation Acceptance Advice P 602. Effected ASX lear Transaction ASX lear O 609. ejected ollateral 030. educed ollateral ASX lear 176. ollateral reation ejection Advice ASX lear P 602. Effected ASX lear Transaction ollateral elease (efer also to section 6.2 for Transaction Id usage.) ASX lear 601. ollateral elease equest 602. Effected ASX lear Transaction 042. ollateral elease ASX & EXTENAL INTEFAE SPEIFIATION

15 ollateral emoval equest (efer also to section 6.18 for Transaction Id usage.) 029. ollateral emoval equest 040. Accepted ollateral emoval equest 612. ollateral emoval Authorisation equest 030. educed ollateral 603. ollateral emoval Authorisation ASX lear 602. Effected ASX lear Transaction ASX lear ASX lear [followed by] O 078. ejected ollateral emoval 605. ollateral emoval ejection ASX lear 602. Effected ASX lear Transaction ASX lear EXTENAL INTEFAE SPEIFIATION

16 ollateral emoval equest (ontrolling Participant & learing Participant differ) 029. ollateral emoval equest 182. P ollateral emoval to P Notification ASX lear 040. Accepted ollateral emoval equest 168. P ollateral emoval Authorisation equest P [followed by] 612. ollateral emoval Authorisation equest 103. P ollateral emoval Authorisation P 144. Effected P Transaction O 078. ejected ollateral emoval 109. P ollateral emoval ejection P 160. ollateral emoval ejection Advice 144. Effected ASX lear Transaction ASX lear ASX lear P P End of Processing EXTENAL INTEFAE SPEIFIATION

17 ollateral emoval equest (ontrolling Participant & learing Participant differ) continued 603. ollateral emoval Authorisation ASX lear 110. P ollateral emoval Advice [followed by] P O 605. ollateral emoval ejection ASX lear 120. P ollateral emoval ejection Advice P 030. educed ollateral 602. Effected ASX lear Transaction 078. ejected ollateral emoval 602. Effected ASX lear Transaction ASX lear ASX lear EXTENAL INTEFAE SPEIFIATION

18 ollateral emoval Warning 104. ollateral emoval Notification 104. ollateral emoval Notification ASX lear ASX lear ollateral emoval (efer also to section 6.2 for Transaction Id usage.) AH 023. ASX lear ollateral emoval 602. Effected ASX lear Transaction 082. Adjusted Subposition ASX Note: This function covers both Expiring Warrant ollateral emoval (which incorporates ollateral emoval Warning) and any other instance where ASX lear initiate the removal of collateral (refer to APG Section 17). EXTENAL INTEFAE SPEIFIATION

19 Dual Entry Settlement Notification (efer also to section 6.5 for Transaction Id usage.) 101. Dual Entry Settlement Notification 194. Unmatched equest 102. Unmatched Dual Entry Settlement Notification (followed by) 101. Dual Entry Settlement Notification O 135. Dual Entry Settlement Notification ancellation 166. Scheduled Dual Entry Settlement Instruction 116. ancelled Settlement Instruction 166. Scheduled Dual Entry Settlement Instruction 116. ancelled Settlement Instruction (Optionally, for cancellation of a scheduled instruction, perform the following...) EXTENAL INTEFAE SPEIFIATION

20 Dual Entry Settlement ancellation equest 178. Unmatched ancellation equest 178. Unmatched ancellation equest (followed by) 129. Dual Entry Settlement ancellation equest 131. Dual Entry Settlement Instruction ancellation emoval O 116. ancelled Settlement Instruction 132. emoved ancellation equest 116. ancelled Settlement Instruction 132. emoved ancellation equest EXTENAL INTEFAE SPEIFIATION

21 hange Settlement Instruction (efer also to section for Transaction Id usage.) 121. hange Settlement Instruction equest 122. Unmatched equest 130. equested Settlement Instruction hange (followed by) 121. hange Settlement Instruction equest O 123. hange Settlement Instruction ancellation equest 128. Adjusted Settlement Instruction 128. Adjusted Settlement Instruction 118. ancelled hange Settlement Instruction equest 118. ancelled hange Settlement Instruction equest EXTENAL INTEFAE SPEIFIATION

22 Maintain Settlement Instruction (efer also to section 6.6 for Transaction Id usage.) 125. Maintain Settlement Instruction equest 126. Updated Settlement Instruction EXTENAL INTEFAE SPEIFIATION

23 Demand Dual Entry HESS to HESS Transfer (efer also to section for Transaction Id usage.) 005. Transfer equest 194. Unmatched equest 012. Unmatched Transfer 005. Transfer equest O 037. Transfer ancellation equest 006. Effected Transfer 006. Effected Transfer 048. ancelled Transfer equest 048. ancelled Transfer equest O 024. ejected Demand Dual Entry Transfer 024. ejected Demand Dual Entry Transfer EXTENAL INTEFAE SPEIFIATION

24 Single Entry Settlement HESS to HESS Transfer (efer also to section 6.4 for Transaction Id usage.) 105. Transfer equest 106. Scheduled Transfer (Optionally, for cancellation of a scheduled instruction, perform the following ) 119. Transfer ancellation equest 116. ancelled Settlement Instruction EXTENAL INTEFAE SPEIFIATION

25 Funds Notification (efer also to section 6.12 for Transaction Id usage for message 300.) 150. Projected Funds Obligation 350. learing Account Transfer equest 300. Participant Funds Notification 302. Payment Provider Funds Notification B1 B1 HESS ESA Funds Authorisation (efer also to section 6.12 for Transaction Id usage for messages 310, 311 and 313.) 350. learing Account Transfer equest 312. Payment Provder Funds Obligation B Projected Funds Obligation 310. Participant Funds Obligation B1 B Participant Funds Obligation Ack. O 313. Participant Funds Obligation ejection HESS ESA Note: HESS payment provider messages are no longer used. HESS ESA handles all postings and reconciliation. EXTENAL INTEFAE SPEIFIATION

26 Funds Transfer (efer also to section 6.13 for Transaction Id usage.) 360. learing Account Transfer equest HESS ESA B1 & B Payment Provider Funds Transfer esponse 362. HESS DvP Notification B1 & B Funds ancellation (efer also to section 6.14 for Transaction Id usage.) 398. Settlement ancellation Notification B1, B2. & HESS ESA 399. Settlement ancellation Acknowledgement Note: HESS payment provider messages are no longer used. HESS ESA handles all postings and reconciliation. EXTENAL INTEFAE SPEIFIATION

27 New egistration Details (efer also to section 6.1 for Transaction Id usage.) 201. New egistration Details 202. Accepted New egistration Details Update egistration Details (efer also to section 6.16 for Transaction Id usage.) 203. Update equest Accepted egistration Details Update 1 [followed by] Admin Admin OF 546. evised egistration Details 220. Accepted egistration Details Accepted 512. Holding egistration Details O 080. ejected egistration Details Update 1 EXTENAL INTEFAE SPEIFIATION

28 Tax File Number / Australian Business Number Advice (efer also to section 6.2 for Transaction Id usage.) 533. Tax File Number / Australian Business Number Advice 536. Accepted Tax File Number / Australian Business Number Advice 534. Notified Tax File Number / Australian Business Number Notified Trades and ancellations (efer also to section 6.7 for Transaction Id usage.) ASX Trade ASX Trade 164. Notified Trade 164. Notified Trade 116. ancelled Settlement Instruction 116. ancelled Settlement Instruction EXTENAL INTEFAE SPEIFIATION

29 Blocked Trade (efer also to section 6.8 for Transaction Id usage.) 195. Block Trade equest 196. Blocked Trade 196. Blocked Trade Unblocked Trade (efer also to section 6.8 for Transaction Id usage.) 197. Unblock Trade equest 198. Unblocked Trade 198. Unblocked Trade EXTENAL INTEFAE SPEIFIATION

30 Netting (efer also to section 6.9 for Transaction Id usage.) Netting 134. Scheduled Net Obligation 542. HESS Event Notification 138. Netted Trade Netting eversal (efer also to section 6.9 for Transaction Id usage.) eversed Netting 140. ancelled Net Obligation 542. HESS Event Notification 136. einstated Trade EXTENAL INTEFAE SPEIFIATION

31 Identify Short Positions 148. Projected UM Entitlement Position Indentify Short Positions 150. Projected Funds Obligation 152. Projected Securities Position orporate Actions (efer also to section 6.10 for Transaction Id usage.) 124. escheduled Settlement Instruction orporate Actions 276. Accrued Loan Br, SLS 128. Adjusted Settlement Instruction 142. Accrued Settlement Instruction 162. Suspended Settlement Instruction 274. Adjusted Loan Br, SLS EXTENAL INTEFAE SPEIFIATION

32 Settlement (efer also to section 6.11 for Transaction Id usage.) 124. escheduled Settlement Instruction 146. Effected Net Settlement Movement 154. ancelled Funds Obligation 156. Settled Settlement Instruction Settlement 170. Effected Net Funds Movement 190. Predicted Partial Fail Advice 192. Part-Settled Settlement Instruction 542. HESS Event Notification, 116. ancelled Settlement Instruction Payment Facility Administration (Example for Transaction Id usage to be advised.) Payment Facility Admin 240. reated Payment Facility 244. ancelled Payment Facility 242. Applied Payment, B1 Facility Update, B1 EXTENAL INTEFAE SPEIFIATION

33 eporting equest (efer also to section 6.1 for Transaction Id usage.) U eporting equest 526. Accepted eporting equest U eporting equest ancellation (efer also to section 6.15 for Transaction Id usage.) U eporting equest ancellation 530. ancelled eporting equest U1 EXTENAL INTEFAE SPEIFIATION

34 Loan Application (efer also to section 6.19 for Transaction Id usage.) Br 271. Loan Application 272. Accepted SLS Loan Instruction Br (followed by) Br 273. Loan Application ancellation equest O 278. Scheduled Loan Instruction O 282. ejected Loan Application 284. ancelled Loan Instruction Br Br Br EXTENAL INTEFAE SPEIFIATION

35 Loan eturn (efer also to section 6.20 for Transaction Id usage.) Br 275. Loan eturn Notification 272. Accepted SLS Loan Instruction Br (Followed by.) Br 277. Loan eturn ancellation equest O 278. Scheduled Loan Instruction 278. Scheduled Loan Instruction 284. ancelled SLS Loan Instruction Br SLS Br EXTENAL INTEFAE SPEIFIATION

36 Bulk Loan Application (efer also to section 6.21 for Transaction Id usage.) 280. Bulk Loan Application SLS 281. Bulk Loan Approval 272. Accepted SLS Loan Instruction SLS (Subject to Bulk Loan Approval being non-zero, followed by ) 278. Scheduled Loan Instruction SLS EXTENAL INTEFAE SPEIFIATION

37 Levy Notification and eversal (efer also to section 6.22 for Transaction Id usage.) 544. Levy Notification U1 (Optionally, where Settlement Administration reverses the Levy) 548. eversed Levy Notification U Isolate ounterparty (efer also to section 6.24 for Transaction Id usage.) 139. Isolate ounterparty equest 164. Notified Trade 164. Notified Trade 116. ancelled Settlement Instruction 116. ancelled Settlement Instruction 128. Adjusted Settlement Instruction 128. Adjusted Settlement Instruction, P3... EXTENAL INTEFAE SPEIFIATION

38 hange ontrolling Participant and ancel hange ontrolling Participant (efer also to section 6.23 for Transaction Id usage) 245. hange ontrolling Participant equest 246. Accepted hange ontrolling Participant equest 248. hange ontrolling Participant Authorisation equest (followed by) 251. hange ontrolling Participant Authorisation 832. Holding Fund Balance 222. Holder Detail 522. Holding Balance 520. um Entitlement Balance 502. Holding Subposition Detail 252. Effected hange ontrolling Participant 252. Effected hange ontrolling Participant (Diagram is continued on next page) EXTENAL INTEFAE SPEIFIATION

39 5.39. (Diagram continued from previous page) O 253. hange ontrolling Participant ejection 254. ejected hange ontrolling Participant 256. Applied hange ontrolling Participant ejection O 247. hange ontrolling Participant ancellation equest 250. ancelled hange ontrolling Participant equest 250. ancelled hange ontrolling Participant equest EXTENAL INTEFAE SPEIFIATION

40 Advising a Fund/Investment Manager of a Block Trade (efer also to section 6.25 for Transaction Id usage.) Br 651. ET Trade Advice 654. ET Trade Advice Acknowledgement 652. ET Trade Br F/IM ancelling an ET Trade (efer also to section 6.25 for Transaction Id usage.) Br 667. ET Trade ancellation Advice 686. ET Trade ancellation Acknowledgement 684. ET Trade ancellation Br F/IM ejecting a Block Trade (efer also to section 6.25 for Transaction Id usage F/IM 655. ET Trade ejection Advice 662. ET Trade ejection Acknowledgement 660. ET Trade ejection F/IM Br EXTENAL INTEFAE SPEIFIATION

41 Allocating a Block Trade F/IM (efer also to section 6.25 for Transaction Id usage.) 653. ET Trade Allocation Advice 658. ET Trade Allocation Acknowledgement 656. ET Trade Allocation F/IM ancelling a Block Trade Allocation (efer also to section 6.25 for Transaction Id usage.) F/IM 661. Allocation ancellation Advice 674. Allocation ancellation Acknowledgement 672. Allocation ancellation F/IM EXTENAL INTEFAE SPEIFIATION

42 Advising a Fund/Investment Manager of ontract Note details (efer also to section 6.25 for Transaction Id usage.) 657. ontract Note Advice 666. ontract Note Advice Acknowledgement 664. ontract Note F/IM ancelling a ontract Note (efer also to section 6.25 for Transaction Id usage.) 669. ET ontract Note ancellation Advice 690. ET ontract Note ancellation Acknowledgement 688. ET ontract Note ancellation F/IM EXTENAL INTEFAE SPEIFIATION

43 ejecting a ontract Note F/IM (efer also to section 6.25 for Transaction Id usage.) 659. ontract Note ejection Advice 670. ontract Note ejection Acknowledgement 668. ontract Note ejection F/IM EXTENAL INTEFAE SPEIFIATION

44 Advising a Settlement Agent of Settlement Details (efer also to section 6.25 for Transaction Id usage.) F/IM 663. ET Settlement Advice 678. ET Settlement Advice Acknowledgement 676. ET Settlement F/IM P Advising Settlement Agent of ancelled Settlement Details (efer also to section 6.25 for Transaction Id usage.) F/IM 665. ET Settlement ancellation Advice 682. ET Settlement ancellation Acknowledgement 680. ET Settlement ancellation F/IM P EXTENAL INTEFAE SPEIFIATION

45 Issuer Sponsored SN Enquiry (efer also to section 6.26 for Transaction Id usage.) 451. Participant to HESS SN equest 452. HESS to Participant SN equest Acknowledgement 454. HESS to egistry SN equest 453. egistry to HESS SN esponse (followed by) O 455. egistry to HESS SN eject 458. HESS to Participant SN esponse 456. HESS to egistry SN esponse Acknowledgement 462. HESS to Participant SN eject 460. HESS to egistry SN eject Acknowledgement EXTENAL INTEFAE SPEIFIATION

46 Issuer Sponsored Holding Balance Enquiry (efer also to section 6.27 for Transaction Id usage.) 457. Participant to HESS Holding Balance equest 464. HESS to Participant Holding Balance Acknowledgement 466. HESS to egistry Holding Balance equest 470. HESS to Participant Holding Balance esponse 459. egistry to HESS Holding Balance esponse 468. HESS to egistry Holding Balance esponse Acknowledgement (followed by) O 474. HESS to Participant Holding Balance eject 461. egistry to HESS Holding Balance eject 472. HESS to egistry Holding Balance eject Acknowledgement EXTENAL INTEFAE SPEIFIATION

47 reate Net Position ecord (efer also to section 6.28 for Transaction Id usage.) P Function: Accept reate Net Position ecord equest 341. reate Net Position equest 344. Accepted reate Net Position esponse 342. reate Net Position Authorisation equest P B (followed by) Function: Authorise reate Net Position ecord equest B B 343. reate Net Position Authorisation O 345. reate Net Position ejection 340. Effected reate Net Position 346. Applied reate Net Position esponse 348. ejected reate Net Position 346. Applied reate Net Position esponse P B P B EXTENAL INTEFAE SPEIFIATION

48 5.48. EXTENAL INTEFAE SPEIFIATION

49 reate ash Subrecord Function: Accept reate ash Subrecord Attributes equest P 351. reate ash Subrecord equest 354. Accepted reate ash Subrecord esponse 352. reate ash Subrecord Authorisation equest P Function: Authorise reate ash Subrecord Attributes equest (followed by) B Function: eject reate ash Subrecord Attributes equest B B 353. reate ash Subrecord Authorisation O 357. reate ash Subrecord ejection 356. Effected reate ash Subrecord 358. Applied reate ash Subrecord esponse 360. ejected reate ash Subrecord 358. Applied reate ash Subrecord esponse P B P B EXTENAL INTEFAE SPEIFIATION

50 TGS Bank-Initiated hange to Net Position ecord B Function: Accept hange Net Position ecord 371. hange Net Position Attributes equest 374. hange Net Position Attributes onfirmation 372. hanged Net Position Attributes Notification B P TGS Bank-Initiated hange to ash Subrecord Function: Accept hange ash Subrecord Attributes B 373. Bank hange ash Subrecord Attributes equest 376. Bank hange ash Subrecord Attributes onfirmation B Participant-Initiated hange to ash Subrecord EXTENAL INTEFAE SPEIFIATION

51 5.51. Function: Accept Participant hange ash Subrecord Attributes equest P 375. Participant hange ash Subrecord Attributes equest 378. Accepted Participant hange ash Subrecord Attributes 380. Participant hange ash Subrecord Attributes Authorisation equest P Function: Authorise Participant hange ash Subrecord Attributes (followed by) B Function: eject Participant reate ash Subrecord Attributes 377. Participant hange ash Subrecord Attributes Authorisation B O 379. Participant hange ash Subrecord Attributes ejection B 382. Effected Participant hange ash Subrecord Attributes 384. Applied Participant hange ash Subrecord Attributes 386. ejected Participant hange ash Subrecord Attributes 384. Applied Participant hange ash Subrecord Attributes P B P B EXTENAL INTEFAE SPEIFIATION

52 reation of TGS Settlement Instruction 481. TGS Dual Entry Notification 484. Unmatched TGS Dual Entry equest 482. Unmatched TGS Dual Entry Notification (followed by, if proceeds) 481. TGS Dual Entry Notification 166. Scheduled Dual Entry Settlement Instruction 500. TGS Instruction eady to Settle Advice 166. Scheduled Dual Entry Settlement Instruction Note: 500 message will be sent to both and 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 nor will receive the 500 message when the settlement instruction is scheduled. Instead, both & receive a 500 message when the party (parties) required to submit authorisation messages have done so. EXTENAL INTEFAE SPEIFIATION

53 ancellation of TGS Settlement Instruction (efer also to section 6.29 for Transaction Id usage.) If cancels before has sent 481 TGS Dual Entry Notification matching message 483. TGS Notification ancellation equest 116. ancelled Settlement Instruction 116. ancelled Settlement Instruction If either party decides to cancel after settlement instruction has been scheduled 485. TGS Dual Entry ancellation equest 490. Unmatched TGS Instruction ancellation equest 490. Unmatched TGS Instruction ancellation equest (Diagram is continued on next page) (followed by) EXTENAL INTEFAE SPEIFIATION

54 5.54. (Diagram continued from previous page) (followed by) If proceeds with cancellation O If removes cancellation before has sent matching message 485. TGS Dual Entry ancellation equest 487. TGS Dual Entry ancellation emoval If securities not yet reserved in HESS Testing Processing 492. emoved TGS Instruction ancellation equest 492. emoved TGS Instruction ancellation equest 116. ancelled Settlement Instruction 116. ancelled Settlement Instruction End of Processing O If instruction no longer in Testing Processing 496. hecking BA Funds Queue Advice 496. hecking BA Funds Queue Advice (no EIS number) equest to recall from BA funds queue BA (Diagram is continued on next page) EXTENAL INTEFAE SPEIFIATION

55 5.55. (Diagram continued from previous page) If transaction still in ITS/TGS funds queue BA (no EIS number) ecalled response successful 116. ancelled Settlement Instruction 116. ancelled Settlement Instruction 754. TGS Settlement Movement* Seller ( or ) *Movement Type in the 754 message will indicate that the seller s securities have been released from reservation. O If transaction not in ITS/TGS funds queue (i.e. settled) BA (no EIS number) ecalled response successful 518. ejected Transaction 518. ejected Transaction Note: Where a recall has been rejected because a transaction has settled, HESS will have also sent the Participant an advice that settlement has been successfully completed. EXTENAL INTEFAE SPEIFIATION

56 Authorisation of TGS Settlement Instruction (efer also to section 6.30 for Transaction Id usage.) Where and have each requested authorisation Where (or ) is only P to have requested authorisation on original settlement instruction 495. Authorise Scheduled TGS Instruction 495. Authorise Scheduled TGS Instruction 476. Authorise TGS Instruction onfirmation 500. TGS Instruction eady to Settle Advice 500. TGS Instruction eady to Settle Advice (followed by) When authorises 495. Authorise Scheduled TGS Instruction 500. TGS Instruction eady to Settle Advice 500. TGS Instruction eady to Settle Advice EXTENAL INTEFAE SPEIFIATION

57 Dual Entry hange of TGS Settlement Instruction (efer also to section 6.31 for Transaction Id usage.) 489. hange TGS Instruction equest 478. Unmatched hange TGS Instruction equest 480. equested TGS Instruction hange If proceeds (followed by) If cancels before has sent matching message 489. hange TGS Instruction equest O 491. hange TGS Instruction ancellation equest 128. Adjusted Settlement Instruction If securities not yet reserved (i.e. not yet sent to BA) 128. Adjusted Settlement Instruction 442. ancelled hange TGS Instruction equest 442. ancelled hange TGS Instruction equest O If securities already reserved 518. ejected Transaction 518. ejected Transaction EXTENAL INTEFAE SPEIFIATION

58 Single Sided hange of TGS Settlement Instruction (efer also to section 6.32 for Transaction Id usage.) 493. Maintain TGS Instruction equest 446. Updated TGS Instruction EXTENAL INTEFAE SPEIFIATION

59 hange of Settlement Type (Dual Entry) (efer also to section 6.33 for Transaction Id usage.) 497. Settlement Type hange equest 444. Unmatched hange Settlement Type equest 410. equested Settlement Type hange If proceeds (followed by) If cancels before has sent matching message 497. Settlement Type hange equest O 441. ancel Settlement Type hange equest If destination settlement system is open* 450. ancelled equest to hange Settlement Type 450. ancelled equest to hange Settlement Type 448. Adjusted Settlement Type 448. Adjusted Settlement Type End of Processing If destination settlement system is closed* 410. equested Settlement Type hange O If default date is used or specified settlement date is future date 444. Unmatched hange Settlement Type equest O If specified settlement date is today s date 518. ejected Transaction *Note: ontingent upon Settlement Date. See Participant Procedure Guidelines. Market transactions may not be switched net to TGS once NBOs are created(before beginning of T+ 2). EXTENAL INTEFAE SPEIFIATION

60 Settle TGS Transaction (efer also to section 6.34 for Transaction Id usage.) Initiating Settlement: Send HESS-Processed Transaction to BA Finalising Settlement: eceive Advice from BA and omplete Processing in HESS 752. equesting Funds Approval 754. TGS Settlement Movement* 752. equesting Funds Approval If transaction in BA Queue has settled (i.e. BA) has irrevocably transferred funds from buyer to seller) BA (no EIS number) Settlement esponse of successful settlement Seller ( or ) 756. TGS Funds Movement 756. TGS Funds Movement Finalising Settlement: Fail in HESS If the transaction has failed settlement at HESS level (funds/securities unavailability or required authorisation/snot received) 754. TGS Settlement Movement O 124. escheduled Settlement Instruction BA *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. (no EIS number) Settlement esponse of unsuccessful settlement 124. escheduled Settlement Instruction 124. escheduled Settlement Instruction BA (no EIS number) Settlement esponse of unsuccessful settlement ****If the transaction was not settled at BA because of a system problem, HESS may send a 754 message to the seller re uneservation of securities, and reinject transaction into processing once problem is corrected. If transaction could not be settled at BA because the transaction has failed settlement for today**** 124. escheduled Settlement Instruction 754. TGS Settlement Movement*** Seller ( or ) EXTENAL INTEFAE SPEIFIATION

61 Warrant Processing WI 025. Single Entry Transfer equest 022. Holding Adjustment 022. Holding Adjustment WI Note: The Warrant Issuer egistry & the Underlying Security egistry are notified of security movements via HESS Overnight eporting Message Holding Net Movement (510) eal Time Payment of Derivatives Settlements AH 551. Aggregated Payment equest 553. Payment Set Total ecord 552. Accepted Payment 550. Scheduled Payment Instruction AH,, EXTENAL INTEFAE SPEIFIATION

62 Unactioned Transfer or onversion 694. ancelled Transfer or onversion equest 694. ancelled Transfer or onversion equest ontrolling PID Disclosure 691. ontrolling PID and Holder Status equest 692. ontrolling PID and Holder Status esponse EXTENAL INTEFAE SPEIFIATION

63 Offeror Takeover Acceptance OF 711. Offeror Takeover Acceptance 706. Effected Offeror Transaction 036. Offeror Takeover Acceptance Notification OF (followed by) 031. Takeover Acceptance O 035. Offeror Takeover Acceptance ejection 704. Takeover Acceptance Notification 032. Effected Takeover Acceptance 710. ejected Offeror Takeover Acceptance 084. Effected Participant Transaction OF OF EXTENAL INTEFAE SPEIFIATION

64 Takeover Acceptance emoval by Offeror OF 707. Offeror Takeover Acceptance emoval 706. Effected Offeror Transaction 092. Offeror Takeover Acceptance emoval Notification OF ancelled Offeror Initiated TKO Acceptance equest 432. ancelled Offeror Initiated TKO Acceptance equest 432. ancelled Offeror Initiated TKO Acceptance equest EXTENAL INTEFAE SPEIFIATION

65 Holding Advice 757. Holding Advice 758. Holding Advice Acknowledgement 760. Holding Advice Notification (followed by) 759. Holding Advice Acceptance 761. Holding Advice ejection O 764. Accepted Holding Advice 762. Effected egistry Transact 766. ejected Holding Advice 762. Effected egistry Transaction EXTENAL INTEFAE SPEIFIATION

66 5.66. EXTENAL INTEFAE SPEIFIATION

67 5.67. EXTENAL INTEFAE SPEIFIATION

68 5.68. EXTENAL INTEFAE SPEIFIATION

69 5.69. EXTENAL INTEFAE SPEIFIATION

70 Price egistration MO 093. Price egistration 098. Price Notification Acceptance MO Application for Fund Units (efer also to section 6.44 for Transaction Id usage) 726. Application equest 720. Accepted Participant equest 727. Application Order equest (optionally followed by) EXTENAL INTEFAE SPEIFIATION

71 Application Order / Payment Plan Application esponse 730. Effected Application Order / Payment Plan Application esponse 731. Scheduled Settlement Payment Instruction 731. Scheduled Settlement Payment Instruction 722. Fund esponse Note: 729 message allows the to either accept or reject the request. If rejected, the workflow is completed. Where the has accepted the initial application a 731 is generated. (Diagram is continued on next page) EXTENAL INTEFAE SPEIFIATION

72 5.72. (Diagram is continued from previous page) (optionally followed by) 732. Unit Adjustment 733. Effected Fund Unit Adjustment 722. Fund esponse Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS EXTENAL INTEFAE SPEIFIATION

73 Fund Units Allotment eminder (efer also to section 6.45 for Transaction Id usage) 812. eminder Notice 812. eminder 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. EXTENAL INTEFAE SPEIFIATION

74 edemption of Fund Units (efer also to section 6.46 for Transaction Id usage) 800. edemption equest 720. Accepted Participant equest 801. edemption Order equest (followed by) 802. edemption Order esponse 803. Effected edemption Order equest 722. Fund esponse Note: 802 message allows the to either accept or reject the request. If rejected, the workflow is completed (Diagram is continued on next page) EXTENAL INTEFAE SPEIFIATION

75 5.75. (Diagram is continued from previous page) (optionally followed by) 732. Unit Adjustment 733. Effected Fund Unit Adjustment 722. Fund esponse Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS (followed by) 731. Scheduled Settlement Payment Instruction 731. Scheduled Settlement Payment Instruction EXTENAL INTEFAE SPEIFIATION

76 Switch of Fund Units (efer also to section 6.47 for Transaction Id usage) 806. Switch equest 720. Accepted Participant equest 807. Switch Order equest (followed by) 808. Switch Order esponse 809. Effected Switch Order equest 722. Fund esponse Note: 808 message allows the to either accept or reject the request. If rejected, the workflow is completed (Diagram is continued on next page) EXTENAL INTEFAE SPEIFIATION

77 5.77. (Diagram is continued from previous page) (optionally followed by) 732. Unit Adjustment 733. Effected Fund Unit Adjustment 722. Fund esponse edemption Leg Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS (optionally followed by) 732. Unit Adjustment 733. Effected Fund Unit Adjustment 722. Fund esponse Application Leg Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS EXTENAL INTEFAE SPEIFIATION

78 Fund Order ancellation (efer also to section 6.48 for Transaction Id usage) 810. Update Order Note: Available to cancel Application, edemption and Switch orders Fund esponse 811. Effected Update Order Note: May be instructed both prior to and post settlement. If post settlement funds must be affected outside of HESS. (followed by - where instruction is prior to settlement) 822. ancelled Funds Settlement Payment Instruction 822. ancelled Funds Settlement Payment Instruction EXTENAL INTEFAE SPEIFIATION

79 Fund Order ancellation (On-Hold state) (efer also to section 6.17 for Transaction Id usage) 804. Fund Order ancellation equest Note: Available to cancel edemption and Switch orders Accepted Participant equest 805. Order ancellation equest (followed by) 810. Update Order equest Note: 810 message allows the to either accept or reject the request Effected Update Order 722. Fund esponse EXTENAL INTEFAE SPEIFIATION

80 Fund Order Unit Allotment / Payment Date Update (efer also to section 6.2 for Transaction Id usage) 810. Update Order 722. Fund esponse 811. Effected Update Order (followed by - where Payment date has been modified 824. hange Settlement Date 824. hange Settlement Date Note: Applies to edemptions only EXTENAL INTEFAE SPEIFIATION

81 Fund Order Unit Adjustment (efer also to section 6.2 for Transaction Id usage) 732. Unit Adjustment 722. Fund esponse 733. Effected Fund Unit Adjustment Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS. EXTENAL INTEFAE SPEIFIATION

82 Fund Order eversal (efer also to section 6.49 for Transaction Id usage) 845. Unit eversal Notification Note: To rectify orders initiated by the post order completion, by initiating unit adjustments Fund esponse 846. Effected Unit eversal Notification Note: All Fund Order eversals 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, edemptions and Switches. For Switches this message suite may apply to each leg of a Switch (optionally followed by) 732. Unit Adjustment 722. Fund esponse 733. Effected Fund Unit Adjustment Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS EXTENAL INTEFAE SPEIFIATION

83 Fund Distribution einvestment Advice (efer also to section 6.17 for Transaction Id usage) 817. Distribution einvestment Notification 722. Fund esponse 846. Effected Distribution einvestment Plan Advice Note: Preceded by a DP arrangement being concluded between the holder (HIN) and the Product Issuer Settlement Participant () (optionally followed by) 732. Unit Adjustment 722. Fund esponse 733. Effected Fund Unit Adjustment Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS EXTENAL INTEFAE SPEIFIATION

84 Fund Payment Plan Advice (efer also to section 6.2 for Transaction Id usage) 729. Application Order / Payment Plan Application esponse Note: Preceded by a Payment Plan arrangement being concluded between the holder (HIN) and the Product Issuer Settlement Participant () 722. Fund esponse 730. Effected Application Order / Payment Plan Application esponse (optionally followed by) 732. Unit Adjustment 722. Fund esponse 733. Effected Fund Unit Adjustment Note: 732 message only applies to HESS sponsored holdings. Issuer Sponsored holding adjustment must be affected outside of HESS EXTENAL INTEFAE SPEIFIATION

85 Issuer Sponsored to HESS onversion of Fund Units (efer also to section 6.3 for Transaction Id usage) 718. Issuer Sponsored Fund to HESS onversion equest 720. Accepted Participant equest 719. Issuer Sponsored Fund to HESS onversion Authorisation equest (followed by) 721. onversion Authorisation Issuer Sponsored Fund to HESS O 724. onversion ejection Issuer Sponsored Fund to HESS 723. Effected onversion Issuer Sponsored Fund to HESS 722. Fund esponse 725. ejected onversion Issuer Sponsored Fund to HESS 722. Fund esponse EXTENAL INTEFAE SPEIFIATION

86 HESS to Issuer Sponsored onversion of Fund Units (efer also to section 6.2 for Transaction Id usage) 715. HESS to Issuer Sponsored Fund onversion equest 717. Effected HESS onversion equest to Issuer Sponsored Fund 716. HESS onversion equest to Issuer Sponsored Fund HESS to Issuer Sponsored onversion of Fund Units (HESS Initiated) (efer also to section 6.2 for Transaction Id usage) 716. HESS onversion equest to Issuer Sponsored Fund Note: Under certain circumstances there may be a requirement for &S Operations to initiate HESS to Issuer Sponsored conversions. In this instance the 716 is directed to the issuer registry EXTENAL INTEFAE SPEIFIATION

87 Issuer Sponsored Fund Holding Balance Enquiry (efer also to section 6.3 for Transaction Id usage) 837. Participant to HESS Fund Balance equest 720. Accepted Participant equest 838. HESS to egistry Fund Balance equest (followed by) 839. egistry to HESS Fund Balance esponse 841. egistry to HESS Fund Balance ejection O 840. HESS to Participant Fund Balance esponse 722. Fund esponse 842. HESS to Participant Fund Balance eject 722. Fund esponse EXTENAL INTEFAE SPEIFIATION

88 Scheduled Settlement HESS to HESS Transfer equest MT Scheduled Settlement HESS to HESS Transfer equest MT106-01Scheduled Single Entry Settlement HESS to HESS Transfer (Optionally, for cancellation of a scheduled instruction) Single Entry HESS to HESS Transfer ancellation 116 ancelled Settlement Instruction EXTENAL INTEFAE SPEIFIATION

89 Income Statement Selection 869. Income Statement equest 720. Accepted Participant equest 868. Income Statement Authorisation equest (followed by) 881. Income Statement Authorisation O 841. Income Statement ejection 884. Accepted Income Statement equest 762. Effected egistry Transaction 860. egistry Authorisation ejection 762. Effected egistry Transaction EXTENAL INTEFAE SPEIFIATION

90 Periodic Income Statement Note: Preceded by a Participant request, on behalf of the client (HIN) for an Periodic Income Statement to be supplied by a egistry. efer Income Statement 762. Effected egistry Transaction 816. Income Statement Advice EXTENAL INTEFAE SPEIFIATION

91 Annual Income Statement (efer also to section 6.3 for Transaction Id usage) Note: Preceded by a Participant request, on behalf of the client (HIN) for an Annual Income Statement to be supplied by a egistry. efer Note: The Origin Tx Id for all messages within the sets is the TX Id of the requesting 869. Income Statement equest 957. egistry Income Statement Part A 959. egistry Income Statement Part B 961. egistry Income Statement Part AI 963. egistry Income Statement Part G 965. egistry Income Statement Part FI 967. egistry Income Statement Part NA 969. egistry Income Statement Part OD 971. End egistry Income Statement Set (followed by ) 958. Accepted egistry Income Statement Set 960. ejected egistry Income Statement Set (Where acceptance - continued on the following page) EXTENAL INTEFAE SPEIFIATION

92 5.57 Note: Where accepted: P 962. egistry Income Statement Part A 964. egistry Income Statement Part B P 966. egistry Income Statement Part AI P P 968. egistry Income Statement Part G P 970. egistry Income Statement Part FI P 972. egistry Income Statement Part NA P 974. egistry Income Statement Part OD P 976. End egistry Income Statement Set EXTENAL INTEFAE SPEIFIATION

93 Distribution Election 863. Distribution Election equest 720. Accepted Participant equest 864. Distribution Election Authorisation equest (followed by) 885. Distribution Election egistry Authorisation 867. Distribution Election ejection O 866. Accepted Distribution Election equest 762. Effected egistry Transaction 860. egistry Authorisation ejection 762. Effected egistry Transaction EXTENAL INTEFAE SPEIFIATION

94 6.1 SETION 6. TANSATION ID USAGE EXAMPLES The purpose of this section is to provide examples of the various transaction identifiers used throughout HESS 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 UI for Participant 1 is 11111; The UI for Participant 2 is 22222; The UI for the egistry is (assuming that the same registry is used throughout all of these examples); The UI for ASX learing orporation is 44444; The UI for Payment Provider 1 is 55555; and The UI for Approved Market Operators is 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. EXTENAL INTEFAE SPEIFIATION

95 Type 1 (Demand Single Entry HESS to HESS Transfer) 001. Transfer equest Tx Id = Effected Transfer Tx Id = Origin Tx Id = Type 2 (Transferor Submitted Demand Transfer) 003. Transferor Submitted Demand Transfer Tx Id = Effected Transferor Submitted Transfer Tx Id = Origin Id = Applied Transferor Submitted Transfer Tx Id = Origin Tx Id = EXTENAL INTEFAE SPEIFIATION

96 Type 3 (Issuer Sponsored to HESS Transfer) 015. Transfer equest Tx Id = Accepted egistry to HESS Movement equest Tx Id = Origin Tx Id = Authorisation equest Tx Id = Origin Tx Id = (Followed By..) 405. egistry to HESS Transfer Authorisation Tx Id = Target Tx Id = Effected egistry to HESS Transfer Target Tx Id = Origin Tx Id = Applied egistry esponse Tx Id = Origin Tx Id = O 407. egistry to HESS Transfer ejection Tx Id = Target Tx Id = ejected egistry to HESS Movement Origin Tx Id = Target Tx Id = Applied egistry esponse Tx Id = Origin Tx Id = EXTENAL INTEFAE SPEIFIATION

97 Type 4 (Single-Entry Settlement HESS to HESS Transfer) 105. Transfer equest Tx Id = Scheduled Transfer Tx Id = Origin Tx Id = (Optionally, for cancellation of a scheduled instruction, perform the following.) 119. Transfer ancellation equest Tx Id = Target Tx Id = ancelled Settlement Instruction ancelling Tx Id = Target Tx Id = Origin Tx Id = EXTENAL INTEFAE SPEIFIATION

98 Type 5 (Dual Entry Settlement Notification) Type 5.1 (Entry of Matching Dual Entry Data) 101. Dual Entry Settlement Notification Tx Id = Unmatched equest Tx Id = Origin Tx Id = Unmatched Dual Entry Settlement Notification Tx Id = Origin Tx Id = (Followed By) 101. Dual Entry Settlement Notification Tx Id = Scheduled Dual Entry Settlement Instruction Tx Id = Origin Tx Id = Matching Tx Id = Scheduled Dual Entry Settlement Instruction Tx Id = Origin Tx Id = Matching Tx Id = O 135. Dual Entry Settlement Notification ancellation Tx Id = Target Tx Id = ancelled Settlement Instruction ancelling Tx Id = Origin Tx Id = Target Tx Id = ancelled Settlement Instruction ancelling Tx Id = Origin Tx Id = Target Tx Id = EXTENAL INTEFAE SPEIFIATION