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Equity / Security Holding

vr.wm-eco-038 · wm-eco-038-equity-security-holding

Represent one governed security holding as an identity-bearing, source-qualified position that binds a holder capacity and a security to an account or register context and preserves balances, rights, restrictions and change lineage without becoming the instrument, account, transaction, corporate action or legal ownership determination.

World Models Society, people and institutions SOC.ECO.SEC
Bundle → Layer → Finding → QuestionsClassifiersWhat it isWhy it existsDistinguishing featuresWhat robots and AI may and may not doMoral aspectsOwnersLinks to other meta-modelsIdentity and identifiersDirect propertiesRecognitionCapabilities and actionsHazards and failure modesStandards and interfacesContext of useSources

Bundle → Layer → Finding → Questions Filled

6 bundles · 12 layers · 24 findings · 72 questions

Holding identity, class and account context Establish the source position and its participants without absorbing security, account, register or party masters

Holding identity and capacity

Groups governed findings for holding identity and capacity while preserving the Security Holding boundary and source authority.

Holding identity, namespace, position key, version, predecessor and successor

Records holding identity, namespace, position key, version, predecessor and successor as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish holding identity, namespace, position key, version, predecessor and successor? identity
  2. Who owns, holds, controls, services, reports, validates, changes or may access holding identity, namespace, position key, version, predecessor and successor, under what authority and role? requirement
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify holding identity, namespace, position key, version, predecessor and successor? privacy

Direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity

Records direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity? classification
  2. Who owns, holds, controls, services, reports, validates, changes or may access direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity, under what authority and role? constraint
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity? retention

Instrument, account, register and parties

Groups governed findings for instrument, account, register and parties while preserving the Security Holding boundary and source authority.

Security instrument, issuance, share class, listing and identifier reference

Records security instrument, issuance, share class, listing and identifier reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish security instrument, issuance, share class, listing and identifier reference? relationship
  2. Who owns, holds, controls, services, reports, validates, changes or may access security instrument, issuance, share class, listing and identifier reference, under what authority and role? process
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify security instrument, issuance, share class, listing and identifier reference? access

Holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager

Records holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager? authority
  2. Who owns, holds, controls, services, reports, validates, changes or may access holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager, under what authority and role? event
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify holder, beneficial owner, registered holder, nominee, custodian, account servicer and manager? exception
Quantities, balance buckets and lots Represent source-qualified quantities and acquisition groupings without turning them into price, ownership or tax truth

Quantity, unit and balance state

Groups governed findings for quantity, unit and balance state while preserving the Security Holding boundary and source authority.

Position quantity, unit, face value, percentage and fraction

Records position quantity, unit, face value, percentage and fraction as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish position quantity, unit, face value, percentage and fraction? measurement
  2. Who owns, holds, controls, services, reports, validates, changes or may access position quantity, unit, face value, percentage and fraction, under what authority and role? measurement
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify position quantity, unit, face value, percentage and fraction? interoperability

Settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance

Records settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance? state
  2. Who owns, holds, controls, services, reports, validates, changes or may access settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance, under what authority and role? evidence
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance? decision

Acquisition lot and cost context

Groups governed findings for acquisition lot and cost context while preserving the Security Holding boundary and source authority.

Acquisition source, trade, settlement, lot, date, quantity and lineage

Records acquisition source, trade, settlement, lot, date, quantity and lineage as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish acquisition source, trade, settlement, lot, date, quantity and lineage? provenance
  2. Who owns, holds, controls, services, reports, validates, changes or may access acquisition source, trade, settlement, lot, date, quantity and lineage, under what authority and role? quality
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify acquisition source, trade, settlement, lot, date, quantity and lineage? identity

Cost basis, price, currency, fee, tax and accounting reference

Records cost basis, price, currency, fee, tax and accounting reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish cost basis, price, currency, fee, tax and accounting reference? measurement
  2. Who owns, holds, controls, services, reports, validates, changes or may access cost basis, price, currency, fee, tax and accounting reference, under what authority and role? validation
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify cost basis, price, currency, fee, tax and accounting reference? classification
Rights, control, restrictions and encumbrances Describe holding-scoped rights and limitations while legal determination and encumbrance masters remain external

Ownership, control, economic and voting rights

Groups governed findings for ownership, control, economic and voting rights while preserving the Security Holding boundary and source authority.

Legal title, beneficial interest, economic interest and control assertion

Records legal title, beneficial interest, economic interest and control assertion as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish legal title, beneficial interest, economic interest and control assertion? evidence
  2. Who owns, holds, controls, services, reports, validates, changes or may access legal title, beneficial interest, economic interest and control assertion, under what authority and role? security
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify legal title, beneficial interest, economic interest and control assertion? composition

Voting, dividend, distribution, conversion, subscription and participation right

Records voting, dividend, distribution, conversion, subscription and participation right as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish voting, dividend, distribution, conversion, subscription and participation right? constraint
  2. Who owns, holds, controls, services, reports, validates, changes or may access voting, dividend, distribution, conversion, subscription and participation right, under what authority and role? privacy
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify voting, dividend, distribution, conversion, subscription and participation right? relationship

Restrictions, availability and financing use

Groups governed findings for restrictions, availability and financing use while preserving the Security Holding boundary and source authority.

Lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge

Records lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge? constraint
  2. Who owns, holds, controls, services, reports, validates, changes or may access lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge, under what authority and role? retention
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify lock-up, holding period, transfer restriction, sanction, freeze, lien and pledge? state

Securities lending, borrow, repo, collateral, short sale, recall and return reference

Records securities lending, borrow, repo, collateral, short sale, recall and return reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish securities lending, borrow, repo, collateral, short sale, recall and return reference? relationship
  2. Who owns, holds, controls, services, reports, validates, changes or may access securities lending, borrow, repo, collateral, short sale, recall and return reference, under what authority and role? access
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify securities lending, borrow, repo, collateral, short sale, recall and return reference? lifecycle
Position change, reconciliation and lineage Bind operational events and preserve append-only balance history without making the holding a transaction ledger

Transaction, settlement and position change

Groups governed findings for transaction, settlement and position change while preserving the Security Holding boundary and source authority.

Order, trade, allocation, netting, settlement, payment and ledger reference

Records order, trade, allocation, netting, settlement, payment and ledger reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish order, trade, allocation, netting, settlement, payment and ledger reference? relationship
  2. Who owns, holds, controls, services, reports, validates, changes or may access order, trade, allocation, netting, settlement, payment and ledger reference, under what authority and role? exception
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify order, trade, allocation, netting, settlement, payment and ledger reference? temporal

Acquisition, disposal, transfer, delivery, receipt, cancellation and reversal

Records acquisition, disposal, transfer, delivery, receipt, cancellation and reversal as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish acquisition, disposal, transfer, delivery, receipt, cancellation and reversal? event
  2. Who owns, holds, controls, services, reports, validates, changes or may access acquisition, disposal, transfer, delivery, receipt, cancellation and reversal, under what authority and role? interoperability
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify acquisition, disposal, transfer, delivery, receipt, cancellation and reversal? provenance

Observation, reconciliation and successor lineage

Groups governed findings for observation, reconciliation and successor lineage while preserving the Security Holding boundary and source authority.

Position date, effective time, observation time, ingestion time and knowledge time

Records position date, effective time, observation time, ingestion time and knowledge time as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish position date, effective time, observation time, ingestion time and knowledge time? temporal
  2. Who owns, holds, controls, services, reports, validates, changes or may access position date, effective time, observation time, ingestion time and knowledge time, under what authority and role? decision
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify position date, effective time, observation time, ingestion time and knowledge time? ownership

Reconciliation break, correction, split, merge, account transfer and successor

Records reconciliation break, correction, split, merge, account transfer and successor as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish reconciliation break, correction, split, merge, account transfer and successor? validation
  2. Who owns, holds, controls, services, reports, validates, changes or may access reconciliation break, correction, split, merge, account transfer and successor, under what authority and role? identity
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify reconciliation break, correction, split, merge, account transfer and successor? authority
Corporate-action eligibility, instruction and outcome Connect a position to security events and outcomes while event, entitlement, instruction and movement masters stay independent

Event eligibility and entitlement

Groups governed findings for event eligibility and entitlement while preserving the Security Holding boundary and source authority.

Corporate-action event, announcement, ex date, record date, election and payment date

Records corporate-action event, announcement, ex date, record date, election and payment date as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish corporate-action event, announcement, ex date, record date, election and payment date? temporal
  2. Who owns, holds, controls, services, reports, validates, changes or may access corporate-action event, announcement, ex date, record date, election and payment date, under what authority and role? classification
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify corporate-action event, announcement, ex date, record date, election and payment date? requirement

Eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward

Records eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward? measurement
  2. Who owns, holds, controls, services, reports, validates, changes or may access eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward, under what authority and role? composition
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify eligible quantity, entitled quantity, rate, option, rounding, fraction and carry-forward? constraint

Election, instruction, status and movement

Groups governed findings for election, instruction, status and movement while preserving the Security Holding boundary and source authority.

Option, default, election, instruction, deadline, agent status, rejection and cancellation

Records option, default, election, instruction, deadline, agent status, rejection and cancellation as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish option, default, election, instruction, deadline, agent status, rejection and cancellation? decision
  2. Who owns, holds, controls, services, reports, validates, changes or may access option, default, election, instruction, deadline, agent status, rejection and cancellation, under what authority and role? relationship
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify option, default, election, instruction, deadline, agent status, rejection and cancellation? process

Cash, security, rights, tax and income movement, confirmation, reversal and outcome reference

Records cash, security, rights, tax and income movement, confirmation, reversal and outcome reference as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish cash, security, rights, tax and income movement, confirmation, reversal and outcome reference? relationship
  2. Who owns, holds, controls, services, reports, validates, changes or may access cash, security, rights, tax and income movement, confirmation, reversal and outcome reference, under what authority and role? state
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify cash, security, rights, tax and income movement, confirmation, reversal and outcome reference? event
Valuation, reporting, governance and interoperability Expose qualified views and protected projections without replacing accounting, regulatory or source-system authority

Valuation, accounting, risk and regulatory disclosure

Groups governed findings for valuation, accounting, risk and regulatory disclosure while preserving the Security Holding boundary and source authority.

Price, value, currency, source, method, market, accrual, income, gain, loss and exposure

Records price, value, currency, source, method, market, accrual, income, gain, loss and exposure as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish price, value, currency, source, method, market, accrual, income, gain, loss and exposure? provenance
  2. Who owns, holds, controls, services, reports, validates, changes or may access price, value, currency, source, method, market, accrual, income, gain, loss and exposure, under what authority and role? lifecycle
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify price, value, currency, source, method, market, accrual, income, gain, loss and exposure? measurement

Beneficial ownership, percentage, voting power, threshold, filing and public disclosure

Records beneficial ownership, percentage, voting power, threshold, filing and public disclosure as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish beneficial ownership, percentage, voting power, threshold, filing and public disclosure? privacy
  2. Who owns, holds, controls, services, reports, validates, changes or may access beneficial ownership, percentage, voting power, threshold, filing and public disclosure, under what authority and role? temporal
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify beneficial ownership, percentage, voting power, threshold, filing and public disclosure? evidence

Provenance, access, identifiers and projections

Groups governed findings for provenance, access, identifiers and projections while preserving the Security Holding boundary and source authority.

Source, actor, evidence, digest, confidence, conflict, access, legal hold and retention

Records source, actor, evidence, digest, confidence, conflict, access, legal hold and retention as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish source, actor, evidence, digest, confidence, conflict, access, legal hold and retention? access
  2. Who owns, holds, controls, services, reports, validates, changes or may access source, actor, evidence, digest, confidence, conflict, access, legal hold and retention, under what authority and role? provenance
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify source, actor, evidence, digest, confidence, conflict, access, legal hold and retention? quality

ISIN, CFI, FIGI, LEI, currency, ISO message, FIBO, API and document version and semantic loss

Records isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss as source-qualified Security Holding context while instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, tax, filing and records masters remain external.

  1. Which stable holding, version, holder capacity, security, account or register context and master-system identities establish isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss? interoperability
  2. Who owns, holds, controls, services, reports, validates, changes or may access isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss, under what authority and role? ownership
  3. Which quantity, unit, balance bucket, lot, right, restriction, event, evidence, uncertainty and lineage qualify isin, cfi, figi, lei, currency, iso message, fibo, api and document version and semantic loss? validation

Classifiers Filled

Family
World Models
Category
Society, people and institutions
Entry kind
aggregate
Navigation path
NAV.SOC.ECO.SEC
Domain
SOC.ECO.SEC
Industry
Cross-industry
Tags
equitysecurityholdingsoc.eco.sec

What it is Filled

Owns holding and version identity; authoritative source-position key or declared composite identity; direct, indirect, legal, registered, beneficial, nominee, custody, long and short capacity assertions; security, issuance, share class, listing, account, register, depository, custodian, subcustodian, account-servicer, holder, owner and manager bindings; quantity, unit, face value, percentage and fraction assertions; settled, available, blocked, pledged, lent, borrowed, pending and encumbered balance buckets; acquisition-source, lot, date, quantity, cost, currency, fee, tax and accounting references; legal-title, beneficial-interest, economic-interest, control, voting, dividend, distribution, conversion, subscription and participation-right assertions; lock-up, holding-period, transfer, sanction, freeze, lien, pledge, securities-lending, repo, collateral, short-sale, recall and return references; order, trade, allocation, netting, settlement, payment and ledger references; holding-owned acquisition, disposal, transfer, delivery, receipt, cancellation, reversal, observation, reconciliation, correction, split, merge, account-transfer and successor lineage; corporate-action event, announcement, record, ex, election and payment times; eligible and entitled quantities, rates, options, rounding and fractions; election, instruction, deadline, status, rejection, cancellation, cash or security movement, confirmation, reversal, tax and income outcome references; price, value, method, accrual, income, gain, loss and exposure projections; beneficial-ownership, percentage, voting-power, threshold, filing and disclosure references; provenance, event and knowledge clocks, quality, access, retention, audit and loss-aware projections. Instrument, issuance, party, account, register, custody, trade, settlement, payment, ledger, tax lot, valuation, corporate action, entitlement, instruction, tax, filing and records masters remain authoritative.

In scope

  • Holding identity, version, holder capacity, security, account or register context and source-qualified balance observations
  • Lots, rights, restrictions, encumbrance references, position changes, reconciliation and corporate-action position views
  • Valuation and reporting projections, provenance, access, retention, validation and interoperability

Out of scope

  • Owning Security Instrument, Issuance, Party, Account, Register, Custody, Order, Trade, Settlement, Payment, Ledger, Tax Lot, Valuation, Rating, Securities Lending, Repo, Collateral, Corporate Action, Entitlement, Instruction, Movement, Tax, Filing or Record masters
  • Treating registered holder as beneficial owner, quantity as voting power or value, trade as settlement, settled as available, eligibility as accepted instruction, valuation as fact or filing as complete ownership truth
  • Autonomous trading, transfer, settlement, voting, election, instruction, beneficial-ownership determination, tax, filing, protected disclosure or record destruction

Why it exists Filled

Represent one governed security holding as an identity-bearing, source-qualified position that binds a holder capacity and a security to an account or register context and preserves balances, rights, restrictions and change lineage without becoming the instrument, account, transaction, corporate action or legal ownership determination.

Distinguishing features Filled

  • Holds a position in a security, not the security itself.
  • Separates legal, registered and beneficial interests, and direct, nominee and custody capacities.
  • Quantity is not voting power or value; each is separately sourced and timed.
  • Trade, settlement and record-date eligibility are independent events.

What robots and AI may and may not do Filled

Must not

  • Trade, transfer or settle securities.
  • Vote or elect on corporate actions.
  • Determine beneficial ownership.
  • Calculate tax or file disclosures.
  • Disclose holder identities beyond permitted purposes.

Only with a human decision

  • Voting and corporate action elections.
  • Beneficial ownership determinations.
  • Transfers and pledges.

May

  • Record balance observations from custodians and registrars.
  • Reconcile positions across sources.
  • Derive corporate action views.
  • Flag restrictions and encumbrances.

Moral aspects Filled

  • Holder identity and wealth are sensitive personal data.
  • Beneficial ownership transparency serves anti-money-laundering goals and must be accurate.
  • Errors can deprive holders of rights and income.

Who is affected

  • Beneficial owners
  • Registered holders and nominees
  • Issuers of the securities
  • Market regulators

Owners Filled

Steward

Dimension owner, namespace authority and delegated investment, custody, legal, accounting, tax, risk, compliance, privacy, security and records authorities

Roles

Legal, registered, beneficial or economic holder
Supply or authorize source-qualified capacity, rights and interest assertions without claiming unsupported equivalence among them.
Issuer, registrar or transfer agent
Maintain external instrument, register and shareholder records and authoritative corporate-action notices within delegated scope.
Depository, custodian, subcustodian or account servicer
Maintain source accounts, segregated quantities, settlement and custody statements and evidence of the service chain.
Investment manager, broker or operations steward
Bind authorized transactions, instructions and reconciliations without overwriting source-system or holder authority.
Legal, accounting, tax, risk and compliance reviewer
Review classification, rights, restrictions, valuation, reporting and jurisdictional assumptions as separate authority planes.
Data, privacy, security and records steward
Maintain identifiers, provenance, quality, access, legal hold, retention, audit and safe projections.

Links to other meta-models Filled

references

  • WM-ECO-005 Credit / Security - Preserve candidate category context without approving an EXTEND edge from a classifier scheduled for split.
  • WM-ECO-037 Debt Instrument and other Security Instrument models - Resolve the referenced security definition while preserving the position as an independent aggregate.
  • Party, Ownership, Account, Register, Custody, Trade, Settlement, Payment, Ledger, Tax Lot, Valuation, Corporate Action, Filing and Records models - Resolve external masters without duplicating their identity, lifecycle or authority.

aligned

  • ISO 6166, ISO 10962, ISO 17442, ISO 4217 and FIGI 1.2 - Map security, class, entity and currency identifiers with edition pins and non-equivalence rules.
  • FIBO security assets and corporate actions, ISO 20022, RFC 3339, PROV-O, DQV and ODRL - Project semantic, message, temporal, provenance, quality and access-policy views with version and loss controls.

neighbor

  • WM-ECO-005 Credit / Security candidate category - Equity / Security Holding is a governed position aggregate. The candidate parent is marked for split and grants no inherited semantics or cascade authority.
  • WM-ECO-037 Debt Instrument and other security instruments - An instrument owns contractual or issuance terms. A holding binds a holder capacity, security, account context and quantity at time and may reference debt, equity or fund instruments.
  • Generic ownership, party, account and custody - The holding records role-qualified assertions and source references. Legal title, beneficial ownership, party identity, account lifecycle, segregation and custody chain remain independently mastered.
  • Order, trade, settlement, payment and ledger - Operational records may change a holding but preserve their own identity, lifecycle, effective time and authority. A trade-date position is not automatically settled ownership.
  • Corporate action, entitlement, instruction and movement - The holding supplies a dated quantity and capacity view. Event, eligibility rules, entitlement, election, instruction processing, movement and tax outcomes remain distinct records.
  • Regulatory disclosure, valuation and accounting - Reports, prices, carrying amounts and regulatory thresholds are source-qualified time-bound projections; none replaces the source holding or constitutes universal ownership truth.

parent

  • WM-ECO-005

What else AI and robots need to interact with it Filled

Identity and identifiers required Filled

  • Authoritative master-system identifier from the custodian, depository, registrar, account servicer, investment manager, holder or regulator, qualified by namespace and record kind.
  • Governed globally resolvable holding or artifact IRI.
  • Dimension UUID or ULID when neither preceding identifier exists.

Direct properties not applicable Not applicable

Not applicable

Institutional or informational subject: no invented physical properties.

Recognition optional Filled

  • A holding has an account, instrument identifier, quantity, capacity and as-of date.
  • Often confused with the security, a trade and a register entry.

Capabilities and actions required Filled

  • Register security holding: Governed operation to register security holding without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Bind instrument, account and parties: Governed operation to bind instrument, account and parties without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Append balance observation: Governed operation to append balance observation without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Allocate lots and cost context: Governed operation to allocate lots and cost context without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Record rights, restrictions and encumbrances: Governed operation to record rights, restrictions and encumbrances without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Append transaction-derived position change: Governed operation to append transaction-derived position change without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Reconcile source positions: Governed operation to reconcile source positions without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Derive corporate-action position view: Governed operation to derive corporate-action position view without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Validate and project: Governed operation to validate and project without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.
  • Archive, retain and audit: Governed operation to archive, retain and audit without autonomous trading, settlement, ownership determination, voting, tax, filing, disclosure or destruction authority.

Hazards and failure modes required Filled

  • Position breaks between sources.
  • Missed corporate action entitlements.
  • Disclosure of holder data.
  • Wrong beneficial ownership reporting.

Standards and interfaces required Filled

  • ISO 6166 ISIN.
  • ISO 10962 CFI.
  • ISO 17442 LEI.
  • ISO 20022 securities and corporate action messages.
  • ISO 15022 messages.

Context of use required Filled

  • Property rights, intermediated holding systems, settlement finality, beneficial ownership, shareholder identification, disclosure thresholds, voting, tax and insolvency depend on jurisdiction and security class.
  • ECB, EU and SEC sources are regional statistical, infrastructure or disclosure profiles and do not establish universal ownership law.
  • CFI, FIGI, FIBO and ISO 20022 mappings require exact release, message variant, licensing and conformance evidence.

Sources Filled

  1. Handbook on Securities Statistics - International Monetary Fund, Bank for International Settlements and European Central Bank
  2. Securities Holdings Statistics methodology - European Central Bank
  3. Regulation (EU) No 1011/2012 concerning statistics on holdings of securities - European Central Bank and European Union
  4. Guideline ECB/2013/7 concerning statistics on holdings of securities - European Central Bank and European Union
  5. IFRS 9 Financial Instruments - IFRS Foundation
  6. IAS 32 Financial Instruments: Presentation - IFRS Foundation
  7. Regulation (EU) No 909/2014 on securities settlement and central securities depositories - European Union
  8. Directive 2007/36/EC on the exercise of certain rights of shareholders - European Union
  9. Commission Implementing Regulation (EU) 2018/1212 - European Union
  10. Information for Certain Types of Transactions and Filers - United States Securities and Exchange Commission
  11. ISO 6166 Financial services - International securities identification number - International Organization for Standardization
  12. ISO 10962 Classification of financial instruments - International Organization for Standardization
  13. ISO 17442 Legal entity identifier - International Organization for Standardization
  14. ISO 4217 Currency Codes - International Organization for Standardization
  15. Financial Instrument Global Identifier - Object Management Group
  16. Financial Industry Business Ontology - EDM Council
  17. FIBO Security Assets - EDM Council
  18. FIBO Security-related Corporate Actions - EDM Council
  19. FIBO OWL releases - EDM Council
  20. ISO 20022 Corporate Actions message definitions - ISO 20022 Registration Authority
  21. Date and Time on the Internet: Timestamps - Internet Engineering Task Force
  22. PROV-O: The PROV Ontology - World Wide Web Consortium
  23. Data Quality Vocabulary - World Wide Web Consortium
  24. ODRL Information Model 2.2 - World Wide Web Consortium

Open questions

  • Approve or reject the WM-ECO-005 candidate relation after Credit, Security Instrument, Debt Instrument, Equity Instrument and Holding boundaries are normalized.
  • Create independently validated equity, debt-security, fund-share, depositary-receipt, direct, indirect, omnibus, segregated, nominee, lending, repo and collateral-position profiles.
  • Benchmark source-position identity, account and custody mapping, balance-bucket reconciliation, lot allocation, corporate-action eligibility and cross-system consolidation.
  • Validate jurisdiction, legal-title, beneficial-ownership, voting, disclosure, tax, insolvency, settlement-finality, privacy and retention rules.
  • Pin exact external releases and licensing conditions and obtain independent securities, custody, investment, legal, accounting, tax, data and records review before promotion beyond reviewable-draft assurance.
  • Claude and Grok each timed out on one bounded attempt; no independent external result was admitted.
  • WM-ECO-038 EXTEND WM-ECO-005 is a candidate relation against a category marked for split, not an approved inheritance edge.
  • Equity, debt-security, fund-share, depositary-receipt, certificated, dematerialized, direct, indirect, omnibus, segregated, nominee, lending, repo and collateral positions require separate profiles.
  • IFRS detail is licensed and accounting classification depends on facts and jurisdiction; no accounting conclusion or full IFRS conformance is claimed.
  • FIBO master/latest ontology pages are development artifacts; production release pins and licensing review are required before implementation conformance.

Machine files

Card as JSON Specification AGENTS.md Source Card backlog vercy.card/1

Provenance

world-models research · reviewable-draft

Built from: models/wm-eco-038-equity-security-holding/spec.yaml, ver-cy/world-models/card-supplements/wm-eco-038-equity-security-holding.json