AccountHoldingInformationRequestV05

Scope
The AccountHoldingInformationRequest message is sent by an instructing party, for example, a (new) plan manager (transferee), to the executing party, for example, a (old) plan manager (transferor), on behalf of the initiating party, for example, an investor (client), to request information about financial instruments held on behalf of the client.
Usage
The AccountHoldingInformationRequest message is used to request information about one or more ISA or portfolio products held in a client's account for which it intends to instruct a transfer at a later time.

Message Identifier: sese.019.001.05

Elements

Name	Type	Multiplicity	Definition
MessageReference	MessageIdentification1	[1..1]	Reference that uniquely identifies the message from a business application standpoint.
PoolReference	AdditionalReference9	[0..1]	Collective reference identifying a set of messages.
PreviousReference	AdditionalReference8	[0..1]	Reference to a linked message that was previously sent.
RelatedReference	AdditionalReference8	[0..1]	Reference to a linked message that was previously received.
BusinessFlowDirectionType	BusinessFlowDirectionType1Code	[0..1]	Identifies the business flow direction (assets to be delivered or received).
PrimaryIndividualInvestor	IndividualPerson8	[0..1]	Information identifying the primary individual investor, for example, name, address, social security number and date of birth.
SecondaryIndividualInvestor	IndividualPerson8	[0..1]	Information identifying the secondary individual investor, for example, name, address, social security number and date of birth.
OtherIndividualInvestor	IndividualPerson8		Information identifying other individual investors, for example, name, address, social security number and date of birth.
PrimaryCorporateInvestor	Organisation31	[0..1]	Information identifying the primary corporate investor, for example, name and address.
SecondaryCorporateInvestor	Organisation31	[0..1]	Information identifying the secondary corporate investor, for example, name and address.
OtherCorporateInvestor	Organisation31		Information identifying the other corporate investors, for example, name and address.
TransferorAccount	Account24	[1..1]	Identification of the account owned by the investor at the old plan manager (account servicer).
NomineeAccount	Account24	[0..1]	Account held in the name of a party that is not the name of the beneficial owner of the shares.
Transferee	PartyIdentification113	[1..1]	Information related to the institution to which the financial instrument is to be transferred.
ProductTransfer	ISATransfer31	[1..∞]	Provides information related to the asset(s) transferred.
MarketPracticeVersion	MarketPracticeVersion1	[0..1]	Identifies the market practice to which the message conforms.
Extension	Extension1		Additional information that cannot be captured in the structured elements and/or any other specific block.

Validation Rules

PortfolioRule: If ProductTransfer/Portfolio is present, then one or more message elements in the list (PrimaryIndividualInvestor, SecondaryIndividualInvestor, OtherIndividualInvestor) may be present. If ProductTransfer/Portfolio is present, then one or more message elements in the list (PrimaryCorporateInvestor, SecondaryCorporateInvestor, OtherCorporateInvestor) may be present.

InvestorRule: If PrimaryIndividualInvestor is present, then SecondaryIndividualInvestor may be present. If PrimaryIndividualInvestor is not present, then SecondaryIndividualInvestor is not allowed. If PrimaryIndividualInvestor is present, then OtherIndividualInvestor may be present. If PrimaryIndividualInvestor is not present, then OtherIndividualInvestor is not allowed.

CorporateRule: If PrimaryCorporateInvestor is present, then SecondaryCorporateInvestor may be present. If PrimaryCorporateInvestor is not present, then SecondaryCorporateInvestor is not allowed. If PrimaryCorporateInvestor is present, then OtherCorporateInvestor may be present. If PrimaryCorporateInvestor is not present, then OtherCorporateInvestor is not allowed.

NomineeAccountServicerRule: NomineeAccount/Servicer must be present when and only when different from TransferorAccount/Servicer.

DesignationRule: If ProductTransfer/Portfolio/ISA is present, then TransferorAccount/Designation is not allowed. If ProductTransfer/Portfolio/Portfolio is present, then TransferorAccount/Designation is allowed.

ISARule: If any occurrence of ProductTransfer/Portfolio/ISA is present, then SecondaryIndividualInvestor and/or OtherIndividualInvestor is not allowed. If any occurrence of ProductTransfer/Portfolio/ISA is present then the message elements in the list (PrimaryCorporateInvestor, SecondaryCorporateInvestor, OtherCorporateInvestor) are not allowed.