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semt: Securities Management

semt.041 Securities Balance Transparency Report

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semt.041 is the ISO 20022 SecuritiesBalanceTransparencyReport message in the Securities Management business area (semt). The latest version is semt.041.001.02, and 2 versions are in the repository.

Message
SecuritiesBalanceTransparencyReport
Latest version
semt.041.001.02
Submitting organisation
Not read from the catalogue
MT equivalent
None listed

In use: published in the current ISO 20022 catalogue.

What semt.041 is for

The SecuritiesBalanceTransparencyReport message is sent by an account servicer, such as a custodian, central securities depository or international central securities depository, to the account owner to provide holdings information for the accounts that it services, to disclose underlying details of holdings on an omnibus account that the sender owns or operates at the receiver. The receiver may also be a custodian, central securities depository, international central securities depository, and the ultimate receiver may be a registrar, transfer agent, fund company, official agent of the reported instrument(s) and/or other parties.

The SecuritiesBalanceTransparencyReport message provides transparency of holdings through layers of custody chains in a consolidated statement, to allow for an efficient gathering of investor data, which, in turn, may be used to measure marketing effectiveness, validation of compliance with prospectuses and regulatory requirements, and the calculation of trailer fees and other retrocessions.

The SecuritiesBalanceTransparencyReport message is used to provide aggregated holdings information and a breakdown of holdings information.

A sender of the SecuritiesBalanceTransparencyReport message will identify its own safekeeping account (for example, an omnibus account in the ledger of the receiver) and holdings information at the level of account(s) for which the sender is the account servicer (that is, in the ledger of the sender). When relevant, the sender will aggregate its holdings information with holdings information of one or more sub levels and sub-sub levels of accounts, that is, with holdings information the sender has received from the owner(s) of the account(s) for which the sender is the account servicer.

A sender of the SecuritiesBalanceTransparencyReport message may also use it to send statements to its account owning customers, and these can be enrichments of statements that the respective account owners have previously provided to the sender.

Ultimately, the statement reaches the relevant fund company, for example, the transfer agent, that may use it for obtaining information about the custodians, distributors and commercial agreement references associated with holdings on an omnibus account at the ultimate place of safekeeping, for example, a central securities depository (CSD) or a register of shareholders.

Definition from the ISO 20022 e-Repository, release of 24 April 2025.

semt.041 versions

Every version published in the e-Repository, newest first. A message keeps its business purpose across versions; each new version is a separate schema with its own namespace.

VersionRegistration statusPublished in
semt.041.001.02latestRegisteredLatest version set
semt.041.001.01RegisteredPrevious version set

semt.041 message structure

The building blocks of semt.041.001.02 to three levels, with multiplicity ([0..1] optional, [1..1] mandatory, * any number) and the data type or component. Element names and definitions are from the ISO 20022 repository; usage guidelines such as CBPR+ or a market infrastructure's rules can restrict them further.

  • Document [1..1]
    • SctiesBalTrnsprncyRpt SecuritiesBalanceTransparencyReport [1..1]
      • MsgId Message Identification [1..1]MessageIdentification1

        Unique and unambiguous identification of the message.

        • Id Identification [1..1]Max35Text

          Identification of the message.

        • CreDtTm Creation Date Time [1..1]ISODateTime

          Date of creation of the message.

      • SndrId Sender Identification [1..1]PartyIdentification100

        Identification of the party that is the sender of the message.

        • Id Identification [1..1]PartyIdentification71Choice (choice)

          Unique identification of the party.

          • AnyBIC Any BIC [1..1]AnyBICIdentifier
          • PrtryId Proprietary Identification [1..1]GenericIdentification36
          • NmAndAdr Name And Address [1..1]NameAndAddress5
        • LEI LEI [0..1]LEIIdentifier

          Legal entity identification as an alternate identification for a party.

      • RcvrId Receiver Identification [0..1]PartyIdentification100

        Identification of the party that is the receiver of the message.

        • Id Identification [1..1]PartyIdentification71Choice (choice)

          Unique identification of the party.

          • AnyBIC Any BIC [1..1]AnyBICIdentifier
          • PrtryId Proprietary Identification [1..1]GenericIdentification36
          • NmAndAdr Name And Address [1..1]NameAndAddress5
        • LEI LEI [0..1]LEIIdentifier

          Legal entity identification as an alternate identification for a party.

      • Pgntn Pagination [1..1]Pagination

        Page number of the message (within a statement) and continuation indicator to indicate that the statement is to continue or that the message is the last page of the statement.

        • PgNb Page Number [1..1]Max5NumericText

          Page number.

        • LastPgInd Last Page Indicator [1..1]YesNoIndicator

          Indicates the last page.

      • StmtGnlDtls Statement General Details [1..1]Statement59

        Provides general information on the statement.

        • SndrBizRole Sender Business Role [1..1]SenderBusinessRole1Code

          Specifies the business role of the message sender and, therefore, the business relationship between the sender and the receiver (or the interests...

        • StmtNb Statement Number [0..1]Number3Choice (choice)

          Sequential number of the report.

          • Shrt Short [1..1]Exact3NumericText
          • Lng Long [1..1]Exact5NumericText
        • QryRef Query Reference [0..1]Max35Text

          Identification of the query message sent to request this statement.

        • StmtId Statement Identification [1..1]Max35Text

          Reference common to all pages of the statement.

        • StmtDtTm Statement Date Time [1..1]DateAndDateTimeChoice (choice)

          Date and time when the statement was created.

          • Dt Date [1..1]ISODate
          • DtTm Date Time [1..1]ISODateTime
        • StmtPrd Statement Period [1..1]DatePeriod1Choice (choice)

          Date period for which the statement was created.

          • Dt Date [1..1]ISODate
          • DtMnth Date Month [1..1]ISOYearMonth
          • FrDtToDt From Date To Date [1..1]Period2
        • Frqcy Frequency [0..1]Frequency22Choice (choice)

          Frequency of the statement.

          • Cd Code [1..1]EventFrequency7Code
          • Prtry Proprietary [1..1]GenericIdentification30
        • FrqcyGrnlrty Frequency Granularity [0..1]FrequencyGranularityType1Code

          Granularity of the frequency used for the reporting.

        • UpdTp Update Type [0..1]UpdateType4Choice (choice)

          Specifies whether the statement is complete or contains changes only.

          • Cd Code [1..1]StatementUpdateType1Code
          • Prtry Proprietary [1..1]GenericIdentification30
        • ActvtyInd Activity Indicator [1..1]YesNoIndicator

          Indicates whether there is activity or updated information reported in the statement.

      • SfkpgAcctAndHldgs Safekeeping Account And Holdings [0..*]SafekeepingAccount7

        Details of the account, account sub-levels and the holdings.

        • AcctId Account Identification [1..1]SecuritiesAccount19

          Unique and unambiguous identification for the account between the account owner and the account servicer.

          • Id Identification [1..1]Max35Text
          • Tp Type [0..1]GenericIdentification30
          • Nm Name [0..1]Max70Text
        • AcctOwnr Account Owner [1..1]PartyIdentification100

          Party that legally owns the account.

          • Id Identification [1..1]PartyIdentification71Choice (choice)
          • LEI LEI [0..1]LEIIdentifier
        • AcctSvcr Account Servicer [1..1]PartyIdentification100

          Party that manages the account on behalf of the account owner, that is manages the registration and booking of entries on the account, calculates...

          • Id Identification [1..1]PartyIdentification71Choice (choice)
          • LEI LEI [0..1]LEIIdentifier
        • BnfclOwnr Beneficial Owner [0..*]BeneficialOwner2

          Individual or entity that is ultimately entitled to the benefit of income and rights in a financial instrument, as opposed to a nominal or legal...

          • BnfclOwnrId Beneficial Owner Identification [1..1]PartyIdentification100
          • AddtlId Additional Identification [0..1]AlternateIdentification4
          • Ntlty Nationality [0..1]CountryCode
          • DmclCtry Domicile Country [0..1]CountryCode
          • NonDmclCtry Non Domicile Country [0..1]CountryCode
          • CertfctnInd Certification Indicator [0..1]YesNoIndicator
          • CertfctnTp Certification Type [0..1]BeneficiaryCertificationType9Choice (choice)
          • DclrtnDtls Declaration Details [0..1]Max350Text
        • BalDtls Balance Details [0..*]AggregateHoldingBalance3

          Report on the net position of a financial instrument on the account, for a certain date.

          • BalForAcct Balance For Account [1..*]AggregateHoldingBalance1
          • Agt Agent [0..*]Intermediary29
        • AcctSubLvl1 Account Sub Level1 [0..*]AccountSubLevel11

          Holdings of level 1.

          • AcctId Account Identification [1..1]SecuritiesAccount19
          • AcctOwnr Account Owner [1..1]PartyIdentification100
          • AcctSvcr Account Servicer [1..1]PartyIdentification100
          • BnfclOwnr Beneficial Owner [0..*]BeneficialOwner2
          • BalDtls Balance Details [0..*]AggregateHoldingBalance3
          • AcctSubLvl2 Account Sub Level2 [0..*]AccountSubLevel12
          • AcctSubLvl2Diff Account Sub Level2 Difference [0..*]AggregateHoldingBalance2
          • SplmtryData Supplementary Data [0..*]SupplementaryData1
        • AcctSubLvl1Diff Account Sub Level1 Difference [0..*]AggregateHoldingBalance2

          Difference in holdings between the safekeeping account and the sub-accounts of level 1.

          • FinInstrmId Financial Instrument Identification [1..1]SecurityIdentification19
          • BalForFinInstrm Balance For Financial Instrument [1..*]FinancialInstrumentAggregateBalance1
          • SplmtryData Supplementary Data [0..*]SupplementaryData1
      • SplmtryData Supplementary Data [0..*]SupplementaryData1

        Additional information that cannot be captured in the structured elements and/or any other specific block.

        • PlcAndNm Place And Name [0..1]Max350Text

          Unambiguous reference to the location where the supplementary data must be inserted in the message instance.

        • Envlp Envelope [1..1]SupplementaryDataEnvelope1

          Technical element wrapping the supplementary data.

Have a semt.041 message? Paste it into the parser to see every element with its name and definition, and format checks on BICs, IBANs, dates and amounts.

External code sets used in semt.041

These elements take their values from ISO 20022 external code sets, which are published separately and updated every quarter without a new message version.

semt.041 questions

What is the latest version of semt.041?
The latest version in the ISO 20022 e-Repository release of 24 April 2025 is semt.041.001.02.
What is the root element of semt.041?
The XML document is Document with the namespace urn:iso:std:iso:20022:tech:xsd:semt.041.001.02, and its message element is SctiesBalTrnsprncyRpt (SecuritiesBalanceTransparencyReport).
Is there an MT equivalent of semt.041?
No Swift MT message is listed as its direct equivalent on this site. Many ISO 20022 messages have no MT counterpart.

All ISO 20022 messages · ISO 20022 code sets · MT messages

The ISO 20022 message definitions, element names and definitions on this page are reproduced from material published at iso20022.org under the ISO 20022 Intellectual Property Rights policy. This is not the official source: the up-to-date ISO 20022 standards and repository material are published only at iso20022.org. Explanations in our own words are by ZagTrader. ZagTrader is not affiliated with or endorsed by ISO or Swift.