This message is sent by an account servicer (account servicing institution) to an account owner or its designated agent. The account servicer may be a local 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.
This message is used to report, at a specified moment in time, the quantity and identification of financial instruments which the account servicer maintains for the account owner.
The statement is used to reconcile the books of the account owner and the account servicer for the specified safekeeping account or sub-safekeeping account.
This message may also be used to respond to a request for statement/status advice, that is, the MT 549 Request for Statement/Status Advice and to report that there are no holdings.
The custody statement is used for position reconciliation purposes. It may also report availability and/or the location of the financial instruments to facilitate trading and minimise settlement issues. The holdings may be valuated or not.
The accounting statement provides valuations of a financial instrument portfolio with valuation details for each instrument; this information can either be audited or un-audited. It is typically not used for trading purposes.
| Status | Tag | Qualifier | Generic Field Name | Detailed Field Name | Content/Options | No. |
|---|---|---|---|---|---|---|
Mandatory Sequence A General Information |
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M |
16R |
|
|
GENL | 1 |
|
M |
28E |
|
|
5n/4!c | 2 |
|
O |
13a |
STAT |
Number Identification |
A or J | 3 |
|
M |
20C |
SEME |
Reference |
:4!c//16x | 4 |
|
M |
23G |
|
|
4!c[/4!c] | 5 |
|
-----> |
||||||
M |
98a |
4!c |
Date/Time |
A, C, or E | 6 |
|
-----| |
||||||
-----> |
||||||
M |
22F |
4!c |
Indicator |
:4!c/[8c]/4!c | 7 |
|
-----| |
||||||
-----> Optional Repetitive Subsequence A1 Linkages |
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M |
16R |
|
|
LINK | 8 |
|
O |
13a |
LINK |
Number Identification |
A or B | 9 |
|
M |
20C |
4!c |
Reference |
:4!c//16x | 10 |
|
M |
16S |
|
|
LINK | 11 |
|
-----| End of Subsequence A1 Linkages |
||||||
O |
95a |
ACOW |
Party |
P or R | 12 |
|
M |
97a |
SAFE |
Account |
A or B | 13 |
|
-----> |
||||||
M |
17B |
4!c |
Flag |
:4!c//1!a | 14 |
|
-----| |
||||||
M |
16S |
|
|
GENL | 15 |
|
End of Sequence A General Information |
||||||
-----> Optional Repetitive Sequence B Sub-safekeeping account |
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M |
16R |
|
|
SUBSAFE | 16 |
|
O |
95a |
ACOW |
Party |
P or R | 17 |
|
O |
97a |
SAFE |
Account |
A or B | 18 |
|
O |
94a |
SAFE |
Place |
B, C, or F | 19 |
|
O |
17B |
ACTI |
Flag |
:4!c//1!a | 20 |
|
-----> Optional Repetitive Subsequence B1 Financial Instrument |
||||||
M |
16R |
|
|
FIN | 21 |
|
M |
35B |
|
|
[ISIN1!e12!c] | 22 |
|
Optional Subsequence B1a Financial Instrument Attributes |
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M |
16R |
|
|
FIA | 23 |
|
-----> |
||||||
O |
94a |
4!c |
Place |
B or D | 24 |
|
-----| |
||||||
-----> |
||||||
O |
22F |
4!c |
Indicator |
:4!c/[8c]/4!c | 25 |
|
-----| |
||||||
-----> |
||||||
O |
12a |
4!c |
Type of Financial Instrument |
A, B, or C | 26 |
|
-----| |
||||||
O |
11A |
DENO |
Currency |
:4!c//3!a | 27 |
|
-----> |
||||||
O |
98A |
4!c |
Date |
:4!c//8!n | 28 |
|
-----| |
||||||
-----> |
||||||
O |
92A |
4!c |
Rate |
:4!c//[N]15d | 29 |
|
-----| |
||||||
-----> |
||||||
O |
13a |
4!c |
Number Identification |
A, B, or K | 30 |
|
-----| |
||||||
-----> |
||||||
O |
17B |
4!c |
Flag |
:4!c//1!a | 31 |
|
-----| |
||||||
-----> |
||||||
O |
90a |
4!c |
Price |
A or B | 32 |
|
-----| |
||||||
-----> |
||||||
O |
36B |
4!c |
Quantity of Financial Instrument |
:4!c//4!c/15d | 33 |
|
-----| |
||||||
-----> |
||||||
O |
35B |
|
|
[ISIN1!e12!c] | 34 |
|
-----| |
||||||
O |
70E |
FIAN |
Narrative |
:4!c//10*35x | 35 |
|
M |
16S |
|
|
FIA | 36 |
|
End of Subsequence B1a Financial Instrument Attributes |
||||||
O |
22H |
CAOP |
Indicator |
:4!c//4!c | 37 |
|
O |
90a |
4!c |
Price |
A, B, or E | 38 |
|
O |
94B |
PRIC |
Place |
:4!c/[8c]/4!c[/30x] | 39 |
|
O |
98a |
PRIC |
Date/Time |
A or C | 40 |
|
-----> |
||||||
M |
93B |
4!c |
Balance |
:4!c/[8c]/4!c/[N]15d | 41 |
|
-----| |
||||||
-----> Optional Repetitive Subsequence B1b Sub-balance |
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M |
16R |
|
|
SUBBAL | 42 |
|
-----> |
||||||
M |
93a |
4!c |
Balance |
B or C | 43 |
|
-----| |
||||||
-----> |
||||||
O |
94a |
4!c |
Place |
B, C, or F | 44 |
|
-----| |
||||||
O |
90a |
4!c |
Price |
A, B, or E | 45 |
|
O |
98a |
PRIC |
Date/Time |
A or C | 46 |
|
O |
99A |
DAAC |
Number Count |
:4!c//[N]3!n | 47 |
|
-----> |
||||||
O |
19A |
4!c |
Amount |
:4!c//[N]3!a15d | 48 |
|
-----| |
||||||
O |
92B |
EXCH |
Rate |
:4!c//3!a/3!a/15d | 49 |
|
O |
70C |
SUBB |
Narrative |
:4!c//4*35x | 50 |
|
-----> Optional Repetitive Subsequence B1b1 Quantity Breakdown |
||||||
M |
16R |
|
|
BREAK | 51 |
|
O |
13a |
LOTS |
Number Identification |
A or B | 52 |
|
O |
36B |
LOTS |
Quantity of Financial Instrument |
:4!c//4!c/15d | 53 |
|
O |
98a |
LOTS |
Date/Time |
A, C, or E | 54 |
|
O |
90a |
LOTS |
Price |
A or B | 55 |
|
O |
22F |
PRIC |
Indicator |
:4!c/[8c]/4!c | 56 |
|
-----> |
||||||
O |
19A |
4!c |
Amount |
:4!c//[N]3!a15d | 57 |
|
-----| |
||||||
M |
16S |
|
|
BREAK | 58 |
|
-----| End of Subsequence B1b1 Quantity Breakdown |
||||||
M |
16S |
|
|
SUBBAL | 59 |
|
-----| End of Subsequence B1b Sub-balance |
||||||
O |
99A |
DAAC |
Number Count |
:4!c//[N]3!n | 60 |
|
-----> |
||||||
O |
19A |
4!c |
Amount |
:4!c//[N]3!a15d | 61 |
|
-----| |
||||||
O |
92B |
EXCH |
Rate |
:4!c//3!a/3!a/15d | 62 |
|
O |
70E |
HOLD |
Narrative |
:4!c//10*35x | 63 |
|
-----> Optional Repetitive Subsequence B1c Quantity Breakdown |
||||||
M |
16R |
|
|
BREAK | 64 |
|
O |
13a |
LOTS |
Number Identification |
A or B | 65 |
|
O |
36B |
LOTS |
Quantity of Financial Instrument |
:4!c//4!c/15d | 66 |
|
O |
98a |
LOTS |
Date/Time |
A, C, or E | 67 |
|
O |
90a |
LOTS |
Price |
A or B | 68 |
|
O |
22F |
PRIC |
Indicator |
:4!c/[8c]/4!c | 69 |
|
-----> |
||||||
O |
19A |
4!c |
Amount |
:4!c//[N]3!a15d | 70 |
|
-----| |
||||||
M |
16S |
|
|
BREAK | 71 |
|
-----| End of Subsequence B1c Quantity Breakdown |
||||||
M |
16S |
|
|
FIN | 72 |
|
-----| End of Subsequence B1 Financial Instrument |
||||||
M |
16S |
|
|
SUBSAFE | 73 |
|
-----| End of Sequence B Sub-safekeeping account |
||||||
-----> Optional Repetitive Sequence C Additional Information |
||||||
M |
16R |
|
|
ADDINFO | 74 |
|
-----> |
||||||
O |
95a |
4!c |
Party |
P, Q, or R | 75 |
|
-----| |
||||||
-----> |
||||||
O |
19A |
4!c |
Amount |
:4!c//[N]3!a15d | 76 |
|
-----| |
||||||
M |
16S |
|
|
ADDINFO | 77 |
|
-----| End of Sequence C Additional Information |
||||||
C1 If the Activity Flag (field :17B:ACTI) in sequence A General Information is N, then sequence B must not be present. Otherwise, sequence B is mandatory.
Sequence A if field :17B::ACTI is ... |
Sequence B is ... |
|---|---|
N |
Not allowed |
Y |
Mandatory |
C2 If the statement refers to an accounting statement, that is, if field :22F::STTY//ACCT is present, then at least one occurrence of subsequence B1 is required.
This check only applies when sequence B Sub-safekeeping Account is present as per rule (see rule C1), that is, when in sequence A, field :17B::ACTI = Y..
Sequence A if field :22F::STTY//ACCT is ... |
Sequence B1 is ... |
|---|---|
Present, and DSS is NOT present in field :22F::STTY//ACCT |
Mandatory, that is, minimum one occurrence must be present in the message.(1) |
Not Present, or DSS present in field :22F::STTY//ACCT |
Optional |
C3 In each occurrence of subsequence B1, if NO subsequence B1b is present, then both fields Price (field :90a:) and Holding Value (field :19A::HOLD) must be specified in subsequence B1.
In each occurrence of subsequence B1, if one or more occurrences of subsequence B1b are present, then both fields Price (field :90a:) and Holding Value (field :19A::HOLD) must be specified in each occurrence of subsequence B1b.
This check only applies when the statement refers to an accounting statement (see rule C2), that is, if field :22F::STTY//ACCT is present.
In every occurrence of subsequence B1 if subsequence B1b is... |
Then, in the same occurrence of subsequence B1 field :90a: is... |
And in the same occurrence of subsequence B1 field :19A::HOLD is... |
And in every occurrence of subsequence B1b field :90a: is... |
And in every occurrence of subsequence B1b field :19A::HOLD is... |
|---|---|---|---|---|
Not present |
Mandatory |
Mandatory |
NA |
NA |
Present once or more |
Optional |
Optional |
Mandatory |
Mandatory |
C4 If the message is a cancellation, that is, Function of the Message (field 23G) is CANC, then subsequence A1 (Linkages) must be present at least once in the message, and in one and only one occurrence of A1, field :20C::PREV must be present; consequently, in all other occurrences of A1, field :20C::PREV is not allowed.
Sequence A if field :23G: is ... |
Then subsequence A1 is ... |
And field :20C::PREV is ... |
|---|---|---|
CANC |
Mandatory (minimum one occurrence of A1 must be present) |
Mandatory in one occurrence of subsequence A1, and not allowed in all other occurrences of subsequence A1 |
NEWM |
Optional |
NA |
C5 If in sequence A field :17B::CONS=Y, then in every occurrence of sequence B field :97a::SAFE and field :17B::ACTI are mandatory.
This check only applies when sequence B Sub-safekeeping Account is present per rule C1, that is, in sequence A, field :17B::ACTI=Y.
Sequence A if field :17B::ACTI is ... |
Then sequence B is ... |
And sequence A if field :17B::CONS is ... |
Then in every occurrence of sequence B field :97a::SAFE and field :17B::ACTI are ... |
|---|---|---|---|
Y |
Mandatory that is minimum one occurrence |
Y |
Mandatory |
N |
Not allowed |
||
N |
Not allowed |
NA |
NA |
C6 If the Activity Flag (field :17B::ACTI) in sequence B Sub-safekeeping Account indicates no information to be reported, that is, N, then subsequence B1 Financial Instrument must not be present. subsequence B1 Financial Instrument is otherwise mandatory.
This check only applies when sequence B Sub-safekeeping Account is present per rule C1, that is, in sequence A, field :17B::ACTI=Y.
Sequence A if field :17B::ACTI is ... |
Then sequence B is ... |
In every occurrence of sequence B if field :17B::ACTI is ... |
In the same occurrence of sequence B then subsequence B1 is ... |
|---|---|---|---|
Y |
Mandatory that is minimum one occurrence |
Y |
Mandatory that is minimum one occurrence |
N |
Not allowed |
||
Not present |
Mandatory that is minimum one occurrence |
||
N |
Not allowed |
NA |
NA |
C7 If field :94a:: is present in sequence B, then field :93B::AGGR and fields :94a::SAFE are not allowed in any occurrence of subsequence B1b.
Sequence B if field :94a: is ... |
Then in any occurrence(s) of subsequence B1b, field :93B::AGGR and field :94a::SAFE are ... |
|---|---|
Present |
Not allowed |
Not present |
Optional |
C8 If field :93B::AGGR is present in subsequence B1b, then :field 94a::SAFE must be present in the same subsequence B1b sequence.
Subsequence B1b if field :93B::AGGR is ... |
Then in same subsequence B1b, field :94a::SAFE is ... |
|---|---|
Present |
Mandatory |
Not present |
Optional |
C9 In each occurrence of subsequence B1b, if field :93B::AVAI or/and :93B::NAVL is/are present, then :field :93B::AGGR must be present in the same occurrence of subsequence B1b.
C10 In each occurrence of subsequence B1, field :93B::AGGR cannot appear more than twice (maximum two occurrences). When repeated, one occurrence must have Quantity Type Code FAMT and the other occurrence must have Quantity Type Code AMOR.
Subsequence B1 if field :93B::AGGR is ... |
Then one occurrence of :93B::AGGR must be ... |
And the other occurrence of :93B::AGGR must be ... |
|---|---|---|
Repeated |
:93B::AGGR//FAMT and DSS must not be present |
:93B::AGGR//AMOR and DSS must not be present |
Not repeated |
NA |
NA |
This statement is used by the account servicer to report on holdings it services for the account owner.
The frequency of the statement must be bilaterally agreed between the account servicer and the account owner.
The statement can be sent reflecting all outstanding holding information or may contain only changes since the previously sent statement.
Since a SWIFT message as sent is restricted to the maximum input message length, several messages may be needed to accommodate all the information.