TransferInstructionStatusReportV09sese.011.001.09

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Definition: Reason for the settlement pending status.

Type: PendingSettlementStatusReason2Code (String)

Allowed Values:

  • AWSH (Awaiting Shares From Counterparty): Securities have not yet been received from the counterparty.
  • BLOC (Account Blocked): Your account is blocked, no instruction can settle over the account.
  • CAIS (Awaiting Securities): Awaiting securities from corporate action issue or other procedures, for example,
  • CLAC (Counterparty Insufficient Securities): Insufficient deliverable securities in the counterparty's account, or counterparty does not hold the securities.
  • DOCC (Awaiting Documents Or Endorsements From Coun): Awaiting documents or endorsements terparty from the counterparty.
  • DOCY (Awaiting Documents Or Endorsements From You): Awaiting documents or endorsements from you.
  • IAAD (Status Reason Investigation): Pending reason is being investigated.
  • LACK (Lack Of Securities): Insufficient deliverable securities in your account.
  • LINK (Pending Linked Instruction): Your instruction is pending settlement because the instruction linked to it is pending.
  • PHCK (Physical Securities Verification): Physical shares have been received and are being checked for authenticity.
  • PHSE (Physical Delivery Delay): Settlement is physical and securities are being delivered.
  • SBLO (Securities Blocked): Settlement is pending. The securities are blocked due to, for example, a corporate action event, re-alignment.
  • MINF (Missing Information): Information, for example, telephone number, contact person, is missing.
  • ACOP (Account Not Open): Account must already be opened in order to process the transfer.
  • IINV (Under Investigation): Intermediary is investigating the reason why the transfer is pending.
  • CINV (Under Client Investigation): Client has been informed of a problem and is investigating.
  • AINV (Under Transfer Agent Investigation): Transfer agent is investigating.
  • WTRF (Awaiting Transfer Agent Status): Transfer is being processed by the transfer agent, awaiting status from transfer agent.
  • USUA (Usual Transaction Time): Usual transfer agent's processing timeframe.
  • ASTA (Awaiting Status): At your request, the Intermediary is checking the status of your instruction with the transfer agent.
  • AFST (Application Form Sent): Application form has been sent to the transfer agent.
  • STST (Stock Transfer Form Sent): Stock transfer form has been sent to the counterparty to sign and forward to the transfer agent.
  • LPRO (Longer Processing): Longer processing timeframe for this type of transfer, due to documentation requirements.
  • ADRQ (Additional Documents Requested): Additional documents have been requested by the transfer agent. ADS1 AdditionalDocumentsSent1 Additional documents have been sent. ADS2 AdditionalDocumentsSent2 Upon request of the transfer agent, the intermediary has sent additional documents. The transfer agent has confirmed that all the necessary information is now in place.
  • ADS1
  • ADS2
  • DRJC (Documents Rejected): Documents are rejected by the transfer agent.
  • CYIN (Awaiting Counterparty Receipt): Counterparty has not sent an instruction to receive. Check with counterparty.
  • CYDV (Awaiting Counterparty Delivery): Counterparty has not sent an instruction to deliver or delivered the shares. Check with counterparty.
  • OVER (Normal Processing Period Lapsed): Normal processing period for the instruction has lapsed. The transfer agent has been or will be contacted.
  • WCPA (Wrong Counterparty Account): Wrong counterparty account details.
  • SDUT (Lack Of Stamp Duty Information): Instruction is pending as stamp duty information is missing.
  • TAPR (Transfer Agent Processing): Transfer is being processed by transfer agent.
  • XCNF (Expected Confirmation): Confirmation is expected from transfer agent.
  • ESCA (Escalation): Special follow-up is taking place.
  • NRCP (Transfer Agent Non Receipt): Transfer agent claims non-receipt of physical shares.
  • FVER (Final Verification): Confirmed but finality is to be verified.

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