CORPORATE ACTIONS GETTING STARTED WITH ISO 20022 MESSAGING VERSION 2.0 MAY 1, 2019 Copyright © 2019 by The Depository Trust & Clearing Corporation (“DTCC”). All rights reserved. This work (including, without limitation, all text, images, logos, compilation and design) is proprietary and protected by copyright, and is for the exclusive use of users authorized by DTCC. If this work is received from DTCC in any electronic medium, authorized users of this work are granted a limited, non-exclusive, non-transferable, non-sublicensable and freely revocable license to make reproductions and transmissions necessary for downloading and storage of this work on the users' computers and to print one or more paper copies from the electronic version for their own use. 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Please refer to the Corporate Actions Transformation technical documentation section of www.dtcc.com/catransformation for further information. Doc Info: May 1, 2019 Publication Code: CA106 Service: Corporate Actions Title: Getting Started with ISO 20022 Messaging TABLE OF CONTENTS Disclaimer ............................................................................................................................................................. 5 Document History ................................................................................................................................................ 6 Introduction .......................................................................................................................................................... 7 Corporate Actions and ISO 20022 Messaging ................................................................................................... 7 ISO 20022 Benefits ............................................................................................................................................. 7 Key Concepts ....................................................................................................................................................... 8 ISO 20022 ........................................................................................................................................................... 8 Overview of the Corporate Actions Data Model ................................................................................................. 9 Multiple Events .................................................................................................................................................. 9 Identification ....................................................................................................................................................10 Event Types ....................................................................................................................................................10 Sub Event Types .............................................................................................................................................10 Mandatory/Voluntary Indicator ........................................................................................................................11 Narratives ........................................................................................................................................................11 DTC Workflow Status ......................................................................................................................................12 ISO 20022 Message Data ................................................................................................................................13 Message Structure ............................................................................................................................................16 Client Resources and Documentation ..............................................................................................................19 DTCC Website ................................................................................................................................................19 DTCC Asset Services Learning Center ...........................................................................................................19 Documentation ................................................................................................................................................19 ISO 20022 Message Delivery and Network Protocols......................................................................................20 Subscription Options .......................................................................................................................................21 Customer Testing ............................................................................................................................................21 Documentation Guide ........................................................................................................................................ 22 Corporate Action Data Dictionaries ..................................................................................................................22 Corporate Action Event Scenarios ....................................................................................................................24 Event Type ......................................................................................................................................................25 Nature of the Event and Option Type ..............................................................................................................25 Default Option .................................................................................................................................................26 Payout Details and DTC Legacy Values .........................................................................................................26 Message Usage Guideline (MUG) ....................................................................................................................27 Onboarding: How to get started ....................................................................................................................... 32 Contact Information...........................................................................................................................................32 ISO 20022 Mapping ..........................................................................................................................................32 Client Support ...................................................................................................................................................32 Appendix A: DTCC Implementation of ISO 20022 ........................................................................................... 33 DTC Naming Conventions ................................................................................................................................33 Supplementary Data (Extensions) ....................................................................................................................33 Notation .............................................................................................................................................................35 Getting Started with ISO 20022 Messaging DISCLAIMER This document is being made available by DTCC for information purposes only. Please refer to the Corporate Actions Transformation technical documentation section of www.dtcc.com/catransformation for further information. Disclaimer 5 Getting Started with ISO 20022 Messaging DOCUMENT HISTORY July 2015 Note: This document was previously titled “DTCC Corporate Actions Product Migration Guide for Adoption of ISO 20022 Messaging.” May 2019 Note: This document was previously titled “Getting Started with ISO 20022 Announcements Messaging” Document History 6 Getting Started with ISO 20022 Messaging INTRODUCTION Corporate Actions and ISO 20022 Messaging DTC’s Corporate Actions Service is supported by ISO 20022 standardized messaging and its user interface known as the Corporate Actions Web, or “CA Web”. The backbone of the service is a data model based on event data with options and payouts. ISO 20022 is an international messaging standard that is designed to simplify global business communication by creating a common language for communicating financial information that is unrestricted by national borders or regional conventions. DTC uses ISO 20022 messaging for automated electronic communication between