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Process 7: Query Securities Balance

Query securities balance without holding.

Message Type​

semt.003 - Securities Balance Custody Report Request
semt.018 - Securities Message Rejection (used as Report)

Purpose​

The Securities Company queries the customer's securities balance at the Custody Bank to check availability for selling, without placing a hold.

REQUEST - Broker → UFG → Custody Bank​

<Document xmlns="urn:iso:std:iso:20022:tech:xsd:semt.003.001.08">
  <SctiesBalCstdyRpt>
    <Id>
      <MsgId>BRK00-SECQ-20250126-001</MsgId>
      <CreDtTm>2025-01-26T13:00:00Z</CreDtTm>
    </Id>
    <AcctOwnr>
      <Id>
        <Othr>
          <Id>0821234567</Id>
        </Othr>
      </Id>
    </AcctOwnr>
    <SfkpgAcct>
      <Id>
        <Othr>
          <Id>SUB-0821234567</Id>
        </Othr>
      </Id>
    </SfkpgAcct>
    <Bal>
      <FinInstrmId>
        <ISIN>VN000000VN30</ISIN>
      </FinInstrmId>
      <Qty>
        <Choices>FAMT</Choices> <!-- Full Amount Available -->
      </Qty>
    </Bal>
    <SplmtryData>
      <PlcAndNm>QueryType</PlcAndNm>
      <Envlp>
        <RequestType>AVAILABLE_BALANCE</RequestType>
        <IncludeHold>false</IncludeHold>
      </Envlp>
    </SplmtryData>
  </SctiesBalCstdyRpt>
</Document>

RESPONSE - Custody Bank → UFG → Broker​

<Document xmlns="urn:iso:std:iso:20022:tech:xsd:semt.018.001.05">
  <SctiesMsgRjctn>
    <Id>
      <MsgId>CUSTODY00-SECQ-ACK-001</MsgId>
      <CreDtTm>2025-01-26T13:00:01Z</CreDtTm>
    </Id>
    <RltdRef>
      <Ref>
        <MsgNm>semt.003</MsgNm>
        <MsgId>BRK00-SECQ-20250126-001</MsgId>
      </Ref>
    </RltdRef>
    <Rsn>
      <Cd>SAFE</Cd> <!-- Securities Available -->
    </Rsn>
    <SplmtryData>
      <PlcAndNm>BalanceStatus</PlcAndNm>
      <Envlp>
        <ISIN>VN000000VN30</ISIN>
        <Status>SUFFICIENT</Status> <!-- Or INSUFFICIENT -->
        <AvailableQuantity>0</AvailableQuantity> <!-- Do not show actual balance -->
      </Envlp>
    </SplmtryData>
  </SctiesMsgRjctn>
</Document>

Flow Diagram​