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sese: Securities Settlement

sese.037 Portfolio Transfer Notification

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sese.037 is the ISO 20022 PortfolioTransferNotification message in the Securities Settlement business area (sese). The latest version is sese.037.001.08, and 12 versions are in the repository.

Message
PortfolioTransferNotification
Latest version
sese.037.001.08
Submitting organisation
Not read from the catalogue
MT equivalent
None listed

In use: published in the current ISO 20022 catalogue.

What sese.037 is for

The PortfolioTransferNotification is sent by an account servicer to another account servicer to exchange transfer settlement details information during a retail or institutional client portfolio transfer.

The account servicer will typically be local agent or global custodian acting on behalf of an investment management institution, a broker/dealer or a retail client.

The exchange of transfer settlement details is the provision, by the delivering account servicer to the receiving account servicer, of the settlement data (such as trade date, settlement date, delivering settlement chain, quantities) of the individual transfers that will take place during a full or partial portfolio transfer. This delivering account servicer message may also include, for validation, the receiving settlement chain as provided by the client. In case the receiving settlement chain is not available to the delivering account servicer, the receiving account servicer may in return provide to the delivering account servicer the receiving settlement chain using the same message.

The message may also be used to:

- re-send a message previously sent,

- provide a third party with a copy of a message for information,

- re-send to a third party a copy of a message for information

using the relevant elements in the Business Application Header.

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

sese.037 versions

Every version published in the e-Repository, newest first. Variant 001 and 002 are listed together: a variant other than 001 is a restricted form of the same message with its own schema.

VersionRegistration statusPublished in
sese.037.002.07RegisteredLatest version set
sese.037.002.06RegisteredPrevious version set
sese.037.002.05RegisteredArchive
sese.037.002.04RegisteredArchive
sese.037.001.08latestRegisteredLatest version set
sese.037.001.07RegisteredPrevious version set
sese.037.001.06RegisteredArchive
sese.037.001.05RegisteredArchive
sese.037.001.04RegisteredArchive
sese.037.001.03RegisteredArchive
sese.037.001.02RegisteredArchive
sese.037.001.01RegisteredArchive

sese.037 message structure

The building blocks of sese.037.001.08 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]
    • PrtflTrfNtfctn PortfolioTransferNotification [1..1]
      • Pgntn Pagination [1..1]Pagination1

        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]Statement62

        Provides general information on the notification.

        • CtrPtyPrtflTrfNtfctnRef Counterparty Portfolio Transfer Notification Reference [0..1]Max35Text

          Identification assigned by the portfolio transfer counterpart to unambiguously identify a portfolio transfer notification.

        • RptNb Report Number [0..1]Number3Choice (choice)

          Sequential number of the report.

          • Shrt Short [1..1]Exact3NumericText
          • Lng Long [1..1]Exact5NumericText
        • StmtId Statement Identification [0..1]Max35Text

          Reference common to all pages of a statement.

        • StmtDtTm Statement Date Time [1..1]DateAndDateTime2Choice (choice)

          Date and time of the statement.

          • Dt Date [1..1]ISODate
          • DtTm Date Time [1..1]ISODateTime
        • UpdTp Update Type [0..1]UpdateType15Choice (choice)

          Indicates 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 information update reported in the statement.

      • AcctOwnr Account Owner [0..1]PartyIdentification144

        Party that legally owns the account.

        • Id Identification [1..1]PartyIdentification127Choice (choice)

          Unique identification of the party.

          • AnyBIC Any BIC [1..1]AnyBICDec2014Identifier
          • PrtryId Proprietary Identification [1..1]GenericIdentification36
        • LEI LEI [0..1]LEIIdentifier

          Legal entity identification as an alternate identification for a party.

      • SfkpgAcct Safekeeping Account [0..1]SecuritiesAccount19

        Account to or from which a securities entry is made.

        • Id Identification [1..1]Max35Text

          Unambiguous identification for the account between the account owner and the account servicer.

        • Tp Type [0..1]GenericIdentification30

          Specifies the type of securities account.

          • Id Identification [1..1]Exact4AlphaNumericText
          • Issr Issuer [1..1]Max35Text
          • SchmeNm Scheme Name [0..1]Max35Text
        • Nm Name [0..1]Max70Text

          Description of the account.

      • BlckChainAdrOrWllt Block Chain Address Or Wallet [0..1]BlockChainAddressWallet3

        Blockchain address or wallet where digital assets are maintained.

        • Id Identification [1..1]Max140Text

          Unambiguous identification for the account between the account owner and the account servicer.

        • Tp Type [0..1]GenericIdentification30

          Specifies the type of securities account.

          • Id Identification [1..1]Exact4AlphaNumericText
          • Issr Issuer [1..1]Max35Text
          • SchmeNm Scheme Name [0..1]Max35Text
        • Nm Name [0..1]Max70Text

          Description of the account.

      • TrfNtfctnDtls Transfer Notification Details [0..*]SecuritiesTradeDetails148

        Details of the transfer.

        • NtfctnSndrTxId Notification Sender Transaction Identification [0..1]Max35Text

          Unambiguous identification of the transaction as known by the notification receiver.

        • NtfctnRcvrTxId Notification Receiver Transaction Identification [0..1]Max35Text

          Unambiguous identification of the transaction as known by the notification receiver.

        • CmonId Common Identification [0..1]Max35Text

          Unique reference agreed upon by the two trade counterparties to identify the trade.

        • SctiesMvmntTp Securities Movement Type [1..1]ReceiveDelivery1Code

          Specifies if the movement on a securities account results from a deliver or a receive instruction.

        • Pmt Payment [1..1]DeliveryReceiptType2Code

          Specifies how the transaction is to be settled, for example, against payment.

        • Sts Status [0..1]PortfolioTransferStatus2Choice (choice)

          Status of the transfer.

          • AckdAccptd Acknowledged Accepted [1..1]AcknowledgedAcceptedStatus32Choice (choice)
          • PdgPrcg Pending Processing [1..1]PendingProcessingStatus17Choice (choice)
          • Rjctd Rejected [1..1]RejectionStatus30Choice (choice)
          • Prtry Proprietary [1..1]ProprietaryStatusAndReason6
        • TradDt Trade Date [0..1]TradeDate8Choice (choice)

          Specifies the date/time on which the trade was executed.

          • Dt Date [1..1]DateAndDateTime2Choice (choice)
          • DtCd Date Code [1..1]TradeDateCode3Choice (choice)
        • SttlmDt Settlement Date [1..1]SettlementDate17Choice (choice)

          Date and time at which the securities are to be delivered or received.

          • Dt Date [1..1]DateAndDateTime2Choice (choice)
          • DtCd Date Code [1..1]SettlementDateCode7Choice (choice)
        • NbOfDaysAcrd Number Of Days Accrued [0..1]Max3Number

          Number of days on which the interest rate accrues (daily accrual note).

        • FinInstrmId Financial Instrument Identification [1..1]SecurityIdentification19

          Financial instruments representing a sum of rights of the investor vis-a-vis the issuer.

          • ISIN ISIN [0..1]ISINOct2015Identifier
          • OthrId Other Identification [0..*]OtherIdentification1
          • Desc Description [0..1]Max140Text
        • FinInstrmAttrbts Financial Instrument Attributes [0..1]FinancialInstrumentAttributes111

          Elements characterising a financial instrument.

          • PlcOfListg Place Of Listing [0..1]MarketIdentification3Choice (choice)
          • DayCntBsis Day Count Basis [0..1]InterestComputationMethodFormat4Choice (choice)
          • RegnForm Registration Form [0..1]FormOfSecurity6Choice (choice)
          • PmtFrqcy Payment Frequency [0..1]Frequency23Choice (choice)
          • PmtSts Payment Status [0..1]SecuritiesPaymentStatus5Choice (choice)
          • VarblRateChngFrqcy Variable Rate Change Frequency [0..1]Frequency23Choice (choice)
          • ClssfctnTp Classification Type [0..1]ClassificationType32Choice (choice)
          • OptnStyle Option Style [0..1]OptionStyle8Choice (choice)
          • OptnTp Option Type [0..1]OptionType6Choice (choice)
          • DnmtnCcy Denomination Currency [0..1]ActiveOrHistoricCurrencyCode
          • CpnDt Coupon Date [0..1]ISODate
          • XpryDt Expiry Date [0..1]ISODate
          • FltgRateFxgDt Floating Rate Fixing Date [0..1]ISODate
          • MtrtyDt Maturity Date [0..1]ISODate
          • IsseDt Issue Date [0..1]ISODate
          • NxtCllblDt Next Callable Date [0..1]ISODate
          • PutblDt Putable Date [0..1]ISODate
          • DtdDt Dated Date [0..1]ISODate
          • FrstPmtDt First Payment Date [0..1]ISODate
          • PrvsFctr Previous Factor [0..1]BaseOneRate
          • CurFctr Current Factor [0..1]BaseOneRate
          • NxtFctr Next Factor [0..1]BaseOneRate
          • IntrstRate Interest Rate [0..1]PercentageRate
          • YldToMtrtyRate Yield To Maturity Rate [0..1]PercentageRate
          • NxtIntrstRate Next Interest Rate [0..1]PercentageRate
          • IndxRateBsis Index Rate Basis [0..1]PercentageRate
          • CpnAttchdNb Coupon Attached Number [0..1]Number22Choice (choice)
          • PoolNb Pool Number [0..1]GenericIdentification37
          • VarblRateInd Variable Rate Indicator [0..1]YesNoIndicator
          • CllblInd Callable Indicator [0..1]YesNoIndicator
          • PutblInd Putable Indicator [0..1]YesNoIndicator
          • MktOrIndctvPric Market Or Indicative Price [0..1]PriceType4Choice (choice)
          • ExrcPric Exercise Price [0..1]Price7
          • SbcptPric Subscription Price [0..1]Price7
          • ConvsPric Conversion Price [0..1]Price7
          • StrkPric Strike Price [0..1]Price7
          • MinNmnlQty Minimum Nominal Quantity [0..1]FinancialInstrumentQuantity33Choice (choice)
          • CtrctSz Contract Size [0..1]FinancialInstrumentQuantity33Choice (choice)
          • UndrlygFinInstrmId Underlying Financial Instrument Identification [0..*]SecurityIdentification19
          • FinInstrmAttrAddtlDtls Financial Instrument Attribute Additional Details [0..1]Max350Text
        • Rptg Reporting [0..*]Reporting7Choice (choice)

          Specifies that a trade is to be reported to a third party.

          • Cd Code [1..1]Reporting1Code
          • Prtry Proprietary [1..1]GenericIdentification30
        • QtyDtls Quantity Details [1..1]Quantity48

          Details about the financial instrument quantity involved in the transfer.

          • SttlmQty Settlement Quantity [1..1]FinancialInstrumentQuantity33Choice (choice)
          • DnmtnChc Denomination Choice [0..1]Max210Text
          • CertNb Certificate Number [0..*]SecuritiesCertificate4
          • QtyBrkdwn Quantity Breakdown [0..*]QuantityBreakdown62
        • SttlmParams Settlement Parameters [0..1]SettlementDetails100

          Parameters applied to the settlement of a security transfer.

          • SttlmTxCond Settlement Transaction Condition [0..*]SettlementTransactionCondition19Choice (choice)
          • Regn Registration [0..1]Registration9Choice (choice)
          • LglRstrctns Legal Restrictions [0..1]Restriction5Choice (choice)
          • SctiesRTGS Securities RTGS [0..1]SecuritiesRTGS4Choice (choice)
          • SttlmSysMtd Settlement System Method [0..1]SettlementSystemMethod4Choice (choice)
          • TaxCpcty Tax Capacity [0..1]TaxCapacityParty4Choice (choice)
          • StmpDtyTaxBsis Stamp Duty Tax Basis [0..1]GenericIdentification30
        • DlvrgSttlmPties Delivering Settlement Parties [0..1]SettlementParties128

          Identifies the chain of delivering settlement parties.

          • Dpstry Depository [0..1]PartyIdentification315
          • Pty1 Party1 [0..1]PartyIdentificationAndAccount196
          • Pty2 Party2 [0..1]PartyIdentificationAndAccount196
          • Pty3 Party3 [0..1]PartyIdentificationAndAccount196
          • Pty4 Party4 [0..1]PartyIdentificationAndAccount196
          • Pty5 Party5 [0..1]PartyIdentificationAndAccount196
        • RcvgSttlmPties Receiving Settlement Parties [0..1]SettlementParties128

          Identifies the chain of receiving settlement parties.

          • Dpstry Depository [0..1]PartyIdentification315
          • Pty1 Party1 [0..1]PartyIdentificationAndAccount196
          • Pty2 Party2 [0..1]PartyIdentificationAndAccount196
          • Pty3 Party3 [0..1]PartyIdentificationAndAccount196
          • Pty4 Party4 [0..1]PartyIdentificationAndAccount196
          • Pty5 Party5 [0..1]PartyIdentificationAndAccount196
        • SttlmAmt Settlement Amount [0..1]AmountAndDirection52

          Total amount of money to be paid or received in exchange for the securities.

          • Amt Amount [1..1]ActiveCurrencyAndAmount
          • CdtDbtInd Credit Debit Indicator [1..1]CreditDebitCode
        • OthrAmts Other Amounts [0..1]OtherAmounts29

          Other amounts than the settlement amount.

          • AcrdIntrstAmt Accrued Interest Amount [0..1]AmountAndDirection44
          • ChrgsFees Charges Fees [0..1]AmountAndDirection44
          • CtryNtlFdrlTax Country National Federal Tax [0..1]AmountAndDirection44
          • PmtLevyTax Payment Levy Tax [0..1]AmountAndDirection44
          • LclTax Local Tax [0..1]AmountAndDirection44
          • Othr Other [0..1]AmountAndDirection44
          • RgltryAmt Regulatory Amount [0..1]AmountAndDirection44
          • ShppgAmt Shipping Amount [0..1]AmountAndDirection44
          • StmpDty Stamp Duty [0..1]AmountAndDirection44
          • StockXchgTax Stock Exchange Tax [0..1]AmountAndDirection44
          • TrfTax Transfer Tax [0..1]AmountAndDirection44
          • TxTax Transaction Tax [0..1]AmountAndDirection44
          • ValAddedTax Value Added Tax [0..1]AmountAndDirection44
          • WhldgTax Withholding Tax [0..1]AmountAndDirection44
          • CsmptnTax Consumption Tax [0..1]AmountAndDirection44
          • AcrdCptlstnAmt Accrued Capitalisation Amount [0..1]AmountAndDirection44
        • OthrBizPties Other Business Parties [0..1]OtherParties39

          Other business parties relevant to the transaction.

          • Invstr Investor [0..1]PartyIdentification149
          • StockXchg Stock Exchange [0..1]PartyIdentification136
          • TradRgltr Trade Regulator [0..1]PartyIdentification136
        • 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
          • Envlp Envelope [1..1]SupplementaryDataEnvelope1

Have a sese.037 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 sese.037

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

sese.037 questions

What is the latest version of sese.037?
The latest version in the ISO 20022 e-Repository release of 24 April 2025 is sese.037.001.08.
What is the root element of sese.037?
The XML document is Document with the namespace urn:iso:std:iso:20022:tech:xsd:sese.037.001.08, and its message element is PrtflTrfNtfctn (PortfolioTransferNotification).
Is there an MT equivalent of sese.037?
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.