Market Clearstream Luxembourg Funds SWIFT Usage Guide Settlement Formatting Specialities

Transcription

1 UBS Switzerland AG Postfach 8098 Zürich Group Operations / Securities SWIFT Usage Guide Settlement Fmatting Specialities Fmats are compliant with SWIFT Standards Release 2018 Classification Date 17 January 2018 Version 1.9 Status Released Document ID Clearstream_Lux_Funds_Swift

2 Table of Contents 1. General Field 94/95 Fmat Options Legend Additional Infmation about the pattern Status TA with CBL link MT540 Receive free (RFP) MT542 Deliver free (DFP) TA with ECL link MT540 Receive free (RFP) MT542 Deliver free (DFP) CBF link via Fundsettle MT540 Receive free (RFP) MT542 Deliver free (DFP) CBF link via SIX SIS MT540 Receive free (RFP) MT542 Deliver free (DFP) CS Lux via T2S MT540 Receive free (RFP) MT542 Deliver free (DFP) UBS In-house MT540 Receive free (RFP) MT542 Deliver free (DFP) UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 2 of 18

3 8. Disclaimer UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 3 of 18

4 1. General 1.1 Field 94/95 Fmat Options Field 94/95 Option A Option C Option E Option F Option P Option Q Option R Fmat Options (Qualifier)/(Account number) (Qualifier)/(Country Code) (Qualifier)/(Narrative) (Qualifier)/(Place of Safekeeping)/(BIC) (Qualifier)/(Data Source Scheme)/(BIC, Bank Identifier Code) (Qualifier)/(Name and address) (Qualifier)/(DSS, Data Source Scheme)/(Proprietary Code) 1.2 Legend Abbreviations BIC BUYR DEAG ID PSET REAG SAFE SELL TEXT Explanation ISO Bank Identifier Code Buyer Delivery agent Participant Identification Place of Settlement Receiving agent Place of Safekeeping Seller Free text fmat structure UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 4 of 18

5 1.3 Additional Infmation about the pattern Fields entry Black & Bold Blue & Bold Explanation Content non-variable variable 1.4 Status Abbreviations C M O Explanation Conditional Mandaty Field Optional UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 5 of 18

6 2. TA with CBL link Please note: Physical instructions such as fax Stock Transfer Fms (STFs) need to be handled as mentioned on the Custody Info Ptal under the Mutual/Offshe Funds Section in the Fund Settlement List. 2.1 MT540 Receive free (RFP) Sequence B: Trade details Narrative :70E::SPRO//Text C Field f additional infmation (i.e. quantity if me than 3 decimals ) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC deposity code f Omnibus-account. Sequence E: Settlement details SETDET Indicat :22F::BENE/ID C Indicat of beneficial owner by use Code NBEN (NCBO) YBEN (CBO), mandaty if GB-ISIN. Delivering agent :95R::DEAG/CEDE/ID M Identifying the delivering agent by use of the 5 digit CBL account ID of the TA (see the cresponding TA CBL acc. ID on the Custody Info Ptal under the Mutual/ Offshe Funds section in the Fund Settlement List) Seller :95P::SELL//BIC :95Q::SELL//Text M Identifying the seller (counterparty) by use of the BIC (8 11 digits) (Mandaty if IE ISIN's) Identifying the seller by use of Name and address of counterparty Safekeeping Account :97A::SAFE/Number M Identifying the account number (holder ID) at TA Place of Settlement :95P::PSET//CEDELULLXXX M Identifying the place of settlement PSET UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 6 of 18

7 2.2 MT542 Deliver free (DFP) Sequence B: Trade details Narrative :70E::SPRO//Text C Field f additional infmation (i.e. quantity if me than 3 decimals ) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC deposity code f Omnibus-account. Sequence E: Settlement details SETDET Indicat :22F::BENE/ID C Indicat of beneficial ownership by use Code NBEN (NCBO) YBEN (CBO), mandaty if GB-ISIN. Receiving agent :95R::REAG/CEDE/ID M Identifying the receiving agent by use of the 5 digit CBL account ID of the TA (see the cresponding TA CBL acc. ID on the Custody Info Ptal under the Mutual/ Offshe Funds section in the Fund Settlement List) Buyer :95P::BUYR//BIC :95Q::BUYR//Text M Identifying the seller (counterparty) by use of the BIC (8 11 digits) (Mandaty if GB IE ISIN's) Identifying the seller by use of Name and address of counterparty Safekeeping Account :97A::SAFE/Number M Identifying the account number (holder ID) at TA Place of Settlement :95P::PSET//CEDELULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 7 of 18

8 3. TA with ECL link Please note: Physical instructions such as fax Stock Transfer Fms (STFs) need to be handled as mentioned on the Custody Info Ptal under the Mutual/Offshe Funds Section in the Fund Settlement List. Also f Funds via TAs with ECL link, amounts with decimal places cannot be instructed. 3.1 MT540 Receive free (RFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC deposity code f Omnibus-account. Sequence E: Settlement details SETDET Indicat :22F::BENE/ID O Indicat of beneficial ownership by use Code NBEN (NCBO) YBEN (CBO) Delivering agent :95R::DEAG/ECLR/ID M Identifying the delivering agent by use of the 5 digit EOC account ID of the TA (see the cresponding TA EOC acc. ID on the Custody Info Ptal under the Mutual/ Offshe Funds section in the Fund Settlement List) Seller :95P::SELL//BIC :95Q::SELL//Text M Identifying the seller (counterparty) by use of the BIC (8 11 digits) I dentifying the seller by use of Name and address of counterparty Safekeeping Account :97A::SAFE/Number M Identifying the account number (holder ID) at TA Place of Settlement :95P::PSET//MGTCBEBEECL M Identifying the place of settlement PSET UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 8 of 18

9 3.2 MT542 Deliver free (DFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC deposity code f Omnibus-account. Sequence E: Settlement details SETDET Indicat :22F::BENE/ID O Indicat of beneficial ownership by use Code NBEN (NCBO) YBEN (CBO) Receiving agent :95R::REAG/ECLR/ID M Identifying the receiving agent by use of the 5 digit EOC account ID of the TA (see the cresponding TA EOC acc. ID on the Custody Info Ptal under the Mutual/ Offshe Funds section in the Fund Settlement List) Buyer :95P::BUYR//BIC M Identifying the buyer by use of the BIC (8 11 digits) :95Q::BUYR//Text Identifying the buyer by use of Name and address of counterparty Safekeeping Account :97A::SAFE/Number M Identifying the account number (holder ID) at TA Place of Settlement :95P::PSET//MGTCBEBEECL M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 9 of 18

10 4. CBF link via Fundsettle Please note: Physical instructions such as fax Stock Transfer Fms (STFs) need to be handled as mentioned on the Custody Info Ptal under the Mutual/Offshe Funds Section in the Fund Settlement List. 4.1 MT540 Receive free (RFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC deposity code f Omnibus-account. Sequence E: Settlement details SETDET Indicat :22F::BENE/ID O Indicat of beneficial ownership by use Code NBEN (NCBO) YBEN (CBO) Delivering agent :95R::DEAG/DAKV/ M Identifying the delivering agent by use of the 8 digit DAKV account ID Delivering custodian :95P::DECU//MGTCBEBEFND M Identifying the delivering custodian Fundsettle by use of the BIC (8 11 digits) Safekeeping Account Seller :97A::SAFE/Number :95P::SELL//BIC :95Q::SELL//Text M Identifying the Fundsettle participant number M Identifying the seller (counterparty) by use of the BIC (8 11 digits) Identifying the seller by use of Name and address of counterparty Safekeeping Account :97A::SAFE/Number O Identifying the account number (holder ID) at TA Place of Settlement :95P::PSET//DAKVDEFFXXX M Identifying the place of settlement PSET UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 10 of 18

11 4.2 MT542 Deliver free (DFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC deposity code f Omnibus-account. Sequence E: Settlement details SETDET Indicat :22F::BENE/ID O Indicat of beneficial ownership by use Code NBEN (NCBO) YBEN (CBO) Receiving agent :95R::REAG/DAKV/ M Identifying the receiving agent by use of the 8 digit DAKV account ID Receiving custodian :95P::RECU//MGTCBEBEFND M Identifying the receiving custodian Fundsettle by use of the BIC (8 11 digits) Safekeeping Account Buyer :97A::SAFE/Number :95P::BUYR//BIC :95Q::BUYR//Text M Identifying the Fundsettle participant number M Identifying the buyer by use of the BIC (8 11 digits) Identifying the buyer by use of Name and address of counterparty Safekeeping Account :97A::SAFE/Number O Identifying the account number (holder ID) at TA Place of Settlement :95P::PSET//DAKVDEFFXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 11 of 18

12 5. CBF link via SIX SIS 5.1 MT540 Receive free (RFP) Sequence B: Trade details Narrative :70E::SPRO//Text O Field f additional infmation to CBL (with infmation submitted, instruction will be processed non-stp) Place of Safekeeping :94F::SAFE//NCSD/DAKVDEFFXXX O Identifying the local custodian (market) of UBS by use of the BIC :94B::SAFE//SHHE/1322 (please use only this BIC). deposity code f Omnibus-account. Delivering agent :95R::DEAG/DAKV/ M Identifying the delivering agent by use of the 8 digit participant ID Delivering custodian :95P::DECU/BIC :95Q::DECU//Text M Identifying the delivering custodian by use of the BIC (please use only this BIC). Identifying the delivering custodian by use of the registered holder (exact registration name) Safekeeping Account :97A::SAFE//Number M Identifying the 8 digit SCOM BP ID Seller :95P::SELL//BIC M Identifying the seller by use of the BIC (8 11 digits) :95Q::SELL//Text Identifying the seller by use of text fmat Safekeeping Account :97A::SAFE//Number M Identifying the instructing party account MSC-NONREF Place of Settlement :95P::PSET//DAKVDEFFXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 12 of 18

13 5.2 MT542 Deliver free (DFP) Sequence B: Trade details Narrative :70E::SPRO//Text O Field f additional infmation to CBL (with infmation submitted, instruction will be processed non-stp) Place of Safekeeping :94F::SAFE//NCSD/DAKVDEFFXXX O Identifying the local custodian (market) of UBS by use of the BIC :94B::SAFE//SHHE/1322 (please use only this BIC). deposity code f Omnibus-account. Receiving agent :95R::REAG/DAKV/ M Identifying the receiving agent by use of the 8 digit participant ID Receiving custodian :95P::RECU/BIC :95Q::RECU//Text M Identifying the receiving custodian by use of the BIC (please use only this BIC). Identifying the receiving custodian by use of the registered holder (exact registration name) Safekeeping Account :97A::SAFE//Number M Identifying the 8 digit SCOM BP ID Buyer :95P::BUYR//BIC M Identifying the buyer by use of the BIC (8 11 digits) :95Q::BUYR//Text Identifying the buyer by use of text fmat Safekeeping Account :97A::SAFE//Number M Identifying the beneficiary's account MSC-NONREF Place of Settlement :95P::PSET//DAKVDEFFXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 13 of 18

14 6. CS Lux via T2S 6.1 MT540 Receive free (RFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC. TAG: 94a: 'Place of Safekeeping' is mandaty f securities that are subject to UK Stamp duty reserve tax (SDRT) and recommended f Structured Products and Bonds. deposity code f Omnibus-account. Delivering agent :95P::DEAG//CSAMLULLXXX M Identifying the delivering agent by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//LUXC M Identifying the T2S SAC Seller :95P::SELL//BIC M Identifying the seller (Transfer) by use of the BIC (8 11 digits) :95Q::SELL//Text Identifying the Transfer's register Name Seller Safe Account :97A::SAFE// M Identifying the Transfer's account number at TA Place of Settlement :95P::PSET//LUXCLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 14 of 18

15 6.2 MT542 Deliver free (DFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC. TAG: 94a: 'Place of Safekeeping' is mandaty f securities that are subject to UK Stamp duty reserve tax (SDRT) and recommended f Structured Products and Bonds. deposity code f Omnibus-account. Receiving agent :95P::REAG// CSAMLULLXXX M Identifying the receiving agent by use of the 8 digit participant ID Safekeeping Account :97A::SAFE//LUXC M Identifying the T2S SAC Buyer :95P::BUYR//BIC M Identifying the buyer (Transferee) by use of the BIC (8 11 digits) :95Q::BUYR//Text Identifying the Transferee's name Buyer Safe Account :97A::SAFE// M Identifying the Transferee's account number at TA Place of Settlement :95P::PSET//LUXCLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 15 of 18

16 7. UBS In-house 7.1 MT540 Receive free (RFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC. TAG: 94a: 'Place of Safekeeping' is mandaty f securities that are subject to UK Stamp duty reserve tax (SDRT) and recommended f Structured Products and Bonds. deposity code f Omnibus-account. Delivering agent :95R::DEAG/SCOM/CH M Identifying the delivering agent by use of the 8 digit participant ID :95P::DEAG//UBSWCHZH80A Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC O Identifying the seller by use of the BIC (8 11 digits) Place of Settlement :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 16 of 18

17 7.2 MT542 Deliver free (DFP) Place of Safekeeping :94F::SAFE//CUST/CEDELULLXXX C Identifying the local custodian (market) of UBS by use of the BIC. TAG: 94a: 'Place of Safekeeping' is mandaty f securities that are subject to UK Stamp duty reserve tax (SDRT) and recommended f Structured Products and Bonds. deposity code f Omnibus-account. Receiving agent :95R::REAG/SCOM/CH M Identifying the receiving agent by use of the 8 digit participant ID :95P::REAG//UBSWCHZH80A Identifying the receiving agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//BIC M Identifying the buyer by use of the BIC (8 11 digits) :95Q::BUYR//Text Identifying the buyer by use of text fmat Safekeeping Account :97A::SAFE//Number M Identifying the account number of the beneficiary with UBS Place of Settlement :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 17 of 18

18 8. Disclaimer The infmation contained in this document has been prepared based on publicly available infmation infmation obtained from sources believed to be reliable. All infmation contained in this document is subject to change without notice. UBS offers no warranty and accepts no liability that the infmation provided is crect, complete and up to date. The infmation herein is not intended and shall not be interpreted as legal advice. Nothing in this document should be construed as a solicitation offer recommendation to acquire dispose of any investment to engage in any other transaction. Certain products and services are subject to legal restrictions and cannot be offered wldwide on an unrestricted basis. UBS The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved. UBS Switzerland AG, Version 1.9, Released, 17 January 2018 Page 18 of 18