AccountHoldingInformationV09

Scope
The AccountHoldingInformation message is sent by an executing party, for example, a (old) plan manager (transferor), to the instructing party, for example, a (new) plan manager (transferee), to provide information about financial instruments held on behalf of a client.
Usage
The AccountHoldingInformation message is used to provide information on the individual assets held in a client's account. The assets may be part of a tax efficient product, a pension of general investment product.

Message Identifier: sese.018.001.09

Elements

Name	Type	Multiplicity	Definition
MessageReference	MessageIdentification1	[1..1]	Reference that uniquely identifies the message from a business application standpoint.
PoolReference	AdditionalReference11	[0..1]	Collective reference identifying a set of messages.
PreviousReference	AdditionalReference10	[0..1]	Reference to a linked message that was previously sent.
RelatedReference	AdditionalReference10	[0..1]	Reference to a linked message that was previously received.
BusinessFlowDirectionType	BusinessFlowDirectionType1Code	[0..1]	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 the other individual investors, for example, name, address, social security number and date of birth.
PrimaryCorporateInvestor	Organisation36	[0..1]	Information identifying the primary corporate investor, for example, name and address.
SecondaryCorporateInvestor	Organisation36	[0..1]	Information identifying the secondary corporate investor, for example, name and address.
OtherCorporateInvestor	Organisation36		Information identifying the other corporate investors, for example, name and address.
TransferorAccount	InvestmentAccount69	[1..1]	Identification of the account owned by the investor at the old plan manager (account servicer).
NomineeAccount	InvestmentAccount69	[0..1]	Account held in the name of a party that is not the name of the beneficial owner of the shares.
Transferee	PartyIdentification132	[1..1]	Identification of the institution to which the financial instrument is to be transferred. This may also be known as the new plan manager.
ProductTransfer	PortfolioTransfer9	[1..∞]	Information about the portfolio and assets.
MarketPracticeVersion	MarketPracticeVersion1	[0..1]	Identifies the market practice to which the message conforms.
Extension	Extension1		Additional information that can not be captured in the structured fields and/or any other specific block.

Validation Rules

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

Investor1Rule: If PrimaryIndividualInvestor is not present, then SecondaryIndividualInvestor is not allowed. If PrimaryIndividualInvestor is present, then SecondaryIndividualInvestor may be present.

Investor2Rule: If PrimaryIndividualInvestor is not present, then OtherIndividualInvestor is not allowed. If PrimaryIndividualInvestor is present, then OtherIndividualInvestor may be present.

Corporate2Rule: If PrimaryCorporateInvestor is not present, then OtherCorporateInvestor is not allowed. If PrimaryCorporateInvestor is present, then OtherCorporateInvestor may be present.

Corporate1Rule: If PrimaryCorporateInvestor is not present, then SecondaryCorporateInvestor is not allowed. If PrimaryCorporateInvestor is present, then SecondaryCorporateInvestor may be present.