CustodyStatementOfHoldingsV02semt.002.001.02

Definition: Reason for the sub-balance.

Type: SecuritiesBalanceType1Code (String)

Allowed Values:

• BLOK (Blocked): Balance of securities that are blocked or frozen. A financial instrument may be unavailable due to external circumstances such as a court order, death of beneficiary or account owner, or bankruptcy.
• BORR (Borrowed): Balance of securities that have been borrowed from another party.
• COLI (Collateral In): Balance of securities that belong to a third party and that are held for the purpose of collateralisation.
• COLO (Collateral Out): Balance of securities that belong to the safekeeping account indicated within this message, and are deposited with a third party for the purpose of collateralisation.
• LOAN (On Loan): Balance of securities that have been loaned to a third party.
• MARG (Derivatives Margin): Balance of securities that are used as collateral for derivatives.
• PDMT (Pending Delivery Matched Balance): Balance of securities pending delivery that have been matched. This is only applicable in a CSD to participant communication.
• PRMT (Pending Receipt Matched Balance): Balance of securities pending receipt that have been matched. This is only applicable in a CSD to participant communication.
• PRUM (Pending Receipt Unmatched Balance): Balance of securities pending receipt that are unmatched. This is only applicable in a CSD to participant communication.
• PECA (Pending Corporate Action): Balance of securities, before ex-date, that are involved in a corporate action (CA). Securities blocked due to a CA, for example, proxi, in escrow, are to be identified in the BLOK sub-balance.
• PEND (Pending Delivery): Balance of securities that are pending delivery.
• PENR (Pending Receipt): Balance of securities that are pending receipt.
• PLED (Pledged): Balance of securities that are pledged, for example, a financial instrument is unavailable because it has been used or given as a guarantee.
• PDUM (Pending Delivery Unmatched Balance): Balance of securities pending delivery that are unmatched. This is only applicable in a CSD to participant communication.
• REGO (Out For Registration): Balance of securities currently being processed by the institution responsible for registering the new beneficial owner (or nominee) of securities after a transaction has settled.
• RSTR (Restricted): Balance of securities that may only be sold under certain conditions or require legal documents.
• OTHR (Unclassified): Balance of securities that is unclassified, ie, is not identified with one of the existing sub-balance types.
• TRAN (In Transshipment): Balance of physical securities that are in transshipment, eg, in the process of being transferred from one depository or agent to another.
• DRAW (Drawn): Balance of securities that are drawn for redemption.
• WDOC (Waiting Documentation): Financial instrument is unavailable due to missing or incomplete documentation pertaining to the account, or due to a missing or incomplete order.
• BTRA (Being Transferred): Financial instrument is unavailable as a result of a transfer order, pending movement in the shareholders' register.