Changes in MT535 & MT536 Statement Services provided to Clients via SWIFT or KeyLink UBS Specification for Enhanced SWIFT Statement Services

Transcription

1 UBS Switzerland Postfach 8098 Zürich WM & SB / Operations Securities Services Services provided to Clients via SWIFT or Summary During 2 nd half of 2009 and 2 nd half of 2010 UBS will implement enhanced based on a redefined process for the generation of the electronic SWIFT securities statements MT535 'Statement of Holdings' and MT536 'Statement of Transactions'. Our major objective is to provide added value services to our clients. To reach this goal the internal processing is based on a fundamental change of the UBS platform for securities statement services and includes a number of changes in the message content of both of the statements. This document describes the target message structure for the redefined MT535 and MT536 messages with a special focus on the aforementioned content changes. Classification Date 14 April 2014 Version 1.4 Status Released Document ID Statements_Swift

2 In advance we would like to draw your attention to the following major enhancements: General Change a) Better use of the available message size of 10k UBS currently doesn't utilize the full available size of 10k for the statement messages. By implementing the new process the logic of filling in the data into the statements will change to realize an increase in efficiency. As a result the statements will have a size around the limit of 10k and the number of generated message will reduce. Changes in MT535 'Statement of Holdings' a) Valuation of balances of holdings in the accounting statement While the valuation of the holding value (19A) for an aggregated balance of a financial instrument is still done in the reporting currency, there is a change in the valuation of the corresponding sub-balances of an aggregated balance. This valuation is no longer based on the main trading currency defined for the related financial instrument: The valuation of the holding value (19A) for a sub-balance of an aggregated balance will always be done in the relevant trading currency which is applied according to the place of safekeeping where the securities are held. This change will have the following impacts: Sub-balances within the accounting statement will be separated by place of safekeeping in consideration of the respective trading currency applied for the valuation of the holding value reported for this sub-balance. All price information (e.g. market price, exchange rate etc.) will only be provided on sub-balance level. Price information will no longer be shown on the level of an aggregated balance for a financial instrument held in a safekeeping account. The holding value and the accrued interest for interest-bearing financial instruments will be listed on the level of an aggregated balance; both items will be stated in the reporting currency which is explicitly set by the account owner for the respective safekeeping account. UBS Switzerland, Version 1.4, Released, Page 2 of 23

3 b) Identification of holdings for derivative positions: use of the correct identification number in the 'Financial Instrument' subsequence Our current UBS practice defines that an exchange traded derivative position is separately reported by using the specific subsequence 'Financial Instrument'. The subsequence is assigned to the underlying financial instrument of the derivative. The ISIN of the underlying financial instrument is shown as holding identification. However the existence of such a exchange traded derivative position can be identified depending on the availability of the following data elements provided in the Subsequence Financial Instrument Attributes: Type of financial instrument defining the option type (call/put) Quantity of financial instrument including the minimal nominal quantity and contract size Exercise price This practice will be changed with the implementation of the new version of the statements of holdings. UBS will provide the correct identification number of the respective derivative as the primary financial instrument identifier in the 'Financial Instrument' subsequence in field 35B. In addition the underlying financial instrument will newly be reported as part of the related subsequence 'Financial Instrument Attributes', using the designated field 35B for this identification. All other attributes used today (type of financial instrument, quantity of financial instrument and exercise price) will no longer be supported. Changes in MT536 'Statement of Transactions' a) Identification of transactions for derivative positions: use of the correct identification number in the 'Financial Instrument' subsequence Basically the current UBS practice for the identification of derivative positions will be changed in the same way as described before for the MT535 message. Due to the fact that the MT536 message standard does not contain a subsequence for 'Financial Instrument Attributes' UBS will not provide the identification number of the underlying financial instrument related to the reported derivate position. b) Use of RELA 'Related Reference' in the Subsequence Linkages All references referring to instructions of clients will always be shown by using the qualifier RELA 'Related Reference' in the subsequence 'Linkages'. In the current solution today, instruction related references of clients have been reported either with RELA or TRRF 'Deal Reference', depending on the type of transaction. UBS Switzerland, Version 1.4, Released, Page 3 of 23

4 Notes During the two implementation phases planned for the 2 nd half of 2009 and the 2 nd half of 2010 UBS will only support enhanced statement services for settlement date based 'Statement of Transactions' (MT536). UBS plans to support the trade date based 'Statement of Transactions' earliest in All UBS clients impacted by the migration of the statement services to the new platform will be individually informed as soon as the migration date for their accounts have been defined. UBS Switzerland, Version 1.4, Released, Page 4 of 23

5 Table of Contents 1. General Content of the Document MT535 Statement of Holdings Mandatory Sequence A General Information Optional Repetitive Subsequence A1 Linkages Optional Repetitive Sequence B Sub-safekeeping account Optional Repetitive Subsequence B1 Financial Instrument Optional Subsequence B1a Financial Instrument Attributes Optional Repetitive Subsequence B1b Sub-Balance Optional Repetitive Sequence C Additional Information MT536 Statement of Transactions Mandatory Sequence A General Information Optional Repetitive Subsequence A1 Linkages Optional Repetitive Sequence B Sub-safekeeping account Optional Repetitive Subsequence B1 Financial Instrument Mandatory Repetitive Subsequence B1a Transaction Mandatory Repetitive Subsequence B1a1 Linkages Optional Subsequence B1a2 Transaction Details Optional Repetitive Subsequence B1a2A Settlement Parties Optional Sequence C Additional Information Disclaimer UBS Switzerland, Version 1.4, Released, Page 5 of 23

6 1. General 1.1 Content of the Document The following bullet points describe the way of reading the information provides in this document. You will find a specific main chapter describing the message usage for both of the messages (MT535/MT536) The usage of each sequence and each subsequence of a message is documented in a subchapter. Imbedded subsequences of a sequence (or subsequence) will be described sequentially to the previous sequence or subsequence. The following columns are supported in each table of the document provided the relevant information: Column No. M/O Tag Field Name Opt. Examples Description Remarks No. Description This column shows the sequence number. This number is identical with the corresponding number of the SWIFT user handbook. This column shows if a field is mandatory or optional. This column identifies the field. This column shows the name of the field. In case of UBS supports only certain qualifiers of a field the name would reference to these supported qualifiers. This column shows the options that are supported by UBS. This column shows examples for the supported qualifiers. This column shows the description of the qualifiers supported by UBS according to the SWIFT user handbook. In case of a field is not supported by UBS the sentence 'Field is not supported' will be shown. This column shows UBS specific characteristics of a field or a qualifier. Additionally all changes related to the development of the new statements will be listed in this column. These changes are highlighted by using the color blue as font color. This column shows the sequence number. This number is identical with the corresponding number of the SWIFT user handbook. UBS Switzerland, Version 1.4, Released, Page 6 of 23

7 2. MT535 Statement of Holdings 2.1 Mandatory Sequence A General Information 1 M 16R Start of Block R 16c :16R:GENL The content is always GENL. 2 M 28E Page Number/ Continuation Indicator E 5n/4!c :28E:1/ONLY :28E:5/MORE :28E:23/LAST ONLY: Only page of the statement. MORE: Intermediate page of a statement which contains additional pages. LAST: Last page of a statement with more than one page. 3 O 13a Statement Number Field is not supported. 4 M 20C Sender's Message Reference 5 M 23G Function of the Message C :4!c//16x :20C::SEME// YW12345 Reference assigned by the Sender 67 to unambiguously identify the message. G 4!c[/4!c] :23G:NEWM The content is always NEWM. 6 M 98a Preparation Date/ C :4!c//8!n6!n :98C::PREP// PREP: Date and time at which Time A :4!c//8!n :98A::STAT// was prepared. Statement Date STAT: Date on which the statement is based. The new format of the sender's reference is: year (4 digits); day according to the Julian calendar (3 digits); application ID (2 characters, always 'YW'); sequence number (7 digits). UBS Switzerland, Version 1.4, Released, Page 7 of 23

8 7 M 22F Statement Frequency F :4!c/[8c]/4!c :22F::SFRE//DAIL SFRE: Specifies the frequency of CODE: Only the complete statement Indicator :22F::SFRE//WEEK the statement. (COMP) is supported by UBS. :22F::SFRE//MNTH :22F::SFRE//ADHO Complete/Updates Indicator Statement Type Statement Basis 8-11 Optional Repetitive Subsequence A1 Linkages :22F::CODE//COMP :22F::STTY//ACCT :22F::STTY//CUST :22F::STBA//SETT :22F::STBA//TRAD CODE: Specifies whether the statement is complete or contains changes only. STTY: Specifies the usage purpose of the statement. STBA: Specifies the type of balances on which the statement is prepared. 12 O 95a Account Owner Field is not supported. 13 M 97a Safekeeping Account A :4!c//35x :97A::SAFE// S1 :97A::SAFE//023000A SAFE: Account where financial instruments are maintained. 14 M 17B Activity Flag B :4!c//1!a :17B::ACTI//Y ACTI: Indicates whether holdings CONS: Only Code N is supported by UBS. Sub-safekeeping Statement :17B::ACTI//N :17B::CONS//N are reported in this statement. CONS: Indicates whether the statements reports holding at subsafekeeping account level. 15 M 16S End of Block S 16c :16S:GENL The content is always GENL. 2.2 Optional Repetitive Subsequence A1 Linkages 8-11 Optional Repetitive Subsequence A1 Linkages is not supported. UBS Switzerland, Version 1.4, Released, Page 8 of 23

9 2.3 Optional Repetitive Sequence B Sub-safekeeping account 16 M 16R Start of Block R 16c :16R:SUBSAFE The content is always SUBSAFE. 17 O 95a Account Owner Field is not supported. 18 O 97a Safekeeping Account Field is not supported. 19 O 94a Place of Safekeeping Field is not supported. 20 O 17B Activity Flag Field is not supported Optional Repetitive Subsequence B1 Financial Instrument 57 M 16S End of Block S 16c :16S:SUBSAFE The content is always SUBSAFE. 2.4 Optional Repetitive Subsequence B1 Financial Instrument 21 M 16R Start of Block R 16c :16R:FIN The content is always FIN. 22 M 35B Identification of the Financial Instrument B [ISIN1!e12!c] [4*35x] [/xx/31x] [3*35x] Optional Subsequence B1a Financial Instrument Attributes :35B:ISIN CH :35B:ISIN CH /CH/ :35B:ISIN CH /GB/B18YFJ4 :35B:ISIN CH /US/H This field identifies the financial instrument. UBS uses the ISIN as standard for the identification of financial instruments. For exceptional cases alternative identification schemes - as the Swiss Valorennummer - can additionally be provided. UBS Switzerland, Version 1.4, Released, Page 9 of 23

10 37 O 22H Corporate Action Option Code Indicator Field is not supported. 38 O 90a Price Field is not supported. The price information is newly shown on sub-balance level. This field is no longer supported in this subsequence. 39 O 94B Source of Price Field is not supported. This field is no longer supported in this subsequence. 40 O 98a Price Quotation Date/Time 41 M 93B Aggregate Balance Available Balance Not Available Balance Optional Repetitive Subsequence B1b Sub-Balance 52 O 99A Number of Days Accrued Accrued Interest Amount B :4!c/[8c]/4!c/[N]15d :93B::GR//UNIT/175000, :93B::GR//FAMT/50000, :93B::GR//AMOR/45000, :93B::AVAI//UNIT/100000, :93B::AVAI//FAMT/30000, :93B::NAVL//UNIT/75000, :93B::NAVL//FAMT/20000, Field is not supported. GR: Total quantity of financial instruments for the referenced holding. AVAI: Total quantity of financial instruments of the aggregate balance that is available. NAVL: Total quantity of financial instruments of the aggregate balance that is not available. Field is not supported. This field is no longer supported in this subsequence. GR: Code AMOR is newly supported. The client can choose whether the available respectively not available holdings shall be shown if one of the holdings equals zero. This field is no longer supported. 53 O 19A Holding Value A :4!c//[N]3!a15d :19A::HOLD//CHF53733, HOLD: Value of an individual HOLD: The holding value shows the total financial instrument holding value of the position in the reporting :19A::ACRU//CHF7500, within a safekeeping account. currency. ACRU: Amount of Interest that has been accrued in between coupon payment periods. ACRU: The accrued interest value shows the total value of the accrued interest in the reporting currency. Field is only mentioned in an accounting statement. UBS Switzerland, Version 1.4, Released, Page 10 of 23

11 54 O 92B Exchange Rate Field is not supported. This field is no longer supported in this subsequence. 55 O 70E Holdings Narrative E :4!c//10*35x :70E::HOLD//GR//UNIT/ ,6325 :70E::HOLD//GR//UNIT/ ,865 AVAI//UNIT/ ,865 HOLD//CHF , HOLD: Provides additional information on the holding. 56 M 16S End of Block S 16c :16S:FIN The content is always FIN. Field is only used by UBS to display values or quantities that are too long for their designated fields in subsequence B Optional Subsequence B1a Financial Instrument Attributes 23 M 16R Start of Block R 16c :16R:FIA The content is always FIA. If a financial instrument could not be identified by looking at the respective identification number only, then additional attributes are needed in order to identify the financial instrument. This additional data are displayed within this subsequence. 24 O 94a Place Field is not supported. From now on, provided that this data (e.g. interest rate) is available, yet regardless of whether it is effectively needed for such an afore-mentioned identification or not, it will always be shown. 25 O 22F Payment Frequency F :4!c/[8c]/4!c :22F::PFRE//ANNU PFRE: Specifies the frequency of a The qualifier MICO is no longer supported. payment. 26 O 12a Type of Financial Instrument 27 O 11A Currency of Denomination Field is not supported. Field is not supported. This field is no longer supported. UBS Switzerland, Version 1.4, Released, Page 11 of 23

12 28 O 98A Expiry Date Maturity Date Dated Date A :4!c//8!n :98A::EXPI// :98A::MATU// :98A::DDTE// EXPI: Termination date of a privilege which may be exercised, according to the terms of a securities issue. MATU: Date on which a financial instrument becomes due and assets are to be repaid. DDTE: Date on which an interest bearing financial instrument begins to accrue interest. 29 O 92A Interest Rate A :4!c//[N]15d :92A::INTR//3,25 INTR: Annual rate of a financial instrument. 30 O 13a Lot Number B :4!c/[8c]/30x :13B::LOTS//5 LOTS: Number identifying a lot constituting the financial instrument. 31 O 17B Flag Field is not supported. The qualifier DDTE is newly supported. The qualifier ISSU is no longer supported. Field is used by UBS to display the sequence number of a financial instrument. 32 O 90a Price Field is not supported. This field is no longer supported. 33 O 36B Quantity of Financial Instrument 34 O 35B Identification of the Financial Instrument B [ISIN1!e12!c] [4*35x] [/xx/31x] [3*35x] :35B:ISIN CH :35B:ISIN CH /CH/ :35B:ISIN CH /GB/B18YFJ4 :35B:ISIN CH /US/H Field is not supported. This field identifies the underlying financial instrument. This field is no longer supported. UBS uses the ISIN as standard for the identification of financial instruments. For exceptional cases alternative identification schemes - as the Swiss Valorennummer - can additionally be provided. UBS Switzerland, Version 1.4, Released, Page 12 of 23

13 35 O 70E Financial Instrument Attribute Narrative Field is not supported. 36 M 16S End of Block S 16c :16S:FIA The content is always FIA. 2.6 Optional Repetitive Subsequence B1b Sub-Balance 42 M 16R Start of Block R 16c :16R:SUBBAL The content is always SUBBAL. 43 M 93a Balance B :4!c/[8c]/4!c/[N]15d :93B::AWAS//UNIT/5000, This field shows the sub-balances The sub-balance will be generated per place C :4!c//4!c/4!c/[N]15d :93C::LOAN//UNIT/AVAI/13000, for the referenced holding. of safekeeping and in addition for the accounting statement per trading currency. 44 O 94a Source of Price B :4!c/[8c]/4!c[/30x] :94B::PRIC//VEND PRIC: Source of price quotation. PRIC: This qualifier is newly supported, only used with code VEND and only mentioned Place of Safekeeping :94B::SAFE//SHHE/1000/UBSWC SAFE: Location where the in an accounting statement. HZH80A/CH financial instruments are safekept. 45 O 90a Market Price A :4!c//4!c/15d :90A::MRKT//PRCT/100, MRKT: Last reported/known price The price will always be displayed in the of a financial instrument in a trading currency. Indicative Price B :4!c//4!c/3!a15d :90B::MRKT//ACTU/CHF31,25 market. INDC: This qualifier will be supported as of E :4!c//4!c :90E::MRKT//UKWN INDC: Estimated price, for October :90A::INDC//PRCT/98, example, for valuation purposes. Field is only mentioned in an accounting :90B::INDC//ACTU/CHF12,33 statement. 46 O 98a Price Quotation Date A :4!c//8!n :98A::PRIC// PRIC: Date at which price was This field is newly supported and only evaluated. mentioned in an accounting statement. 47 O 99A Number of Days A :4!c//[N]3!n :99A::DAAC//058 DAAC: Number of days used for This field is newly supported and only Accrued calculating the accrued interest shown in an accounting statement. amount. UBS Switzerland, Version 1.4, Released, Page 13 of 23

14 48 O 19A Holding Value A :4!c//[N]3!a15d :19A::HOLD//CHF53733, HOLD: Value of an individual BOOK: This qualifier is newly supported. financial instrument holding The client can choose whether the qualifier :19A::ACRU//CHF1458, within a safekeeping account. shall be shown or not. Accrued Interest Amount Book Value/Cost Basis :19A::BOOK//CHF52000, ACRU: Amount of interest that has been accrued in between coupon payment periods BOOK: Value of a financial instrument, as booked/acquired in an account. 49 O 92B Exchange Rate B :4!c//3!a/3!a/15d :92B::EXCH//USD/EUR/0,9354 EXCH: Exchange rate between the amount and the resulting amount. :70C::SUBB//LOAN//AVAI/ ,6325 HOLD//CHF ,95 :70C::SUBB// AVAILABILITY TEMP RESTRICTED :70C::SUBB//LOAN//AVAI/ ,6325 HOLD//CHF ,95 AVAILABILITY TEMP RESTRICTED All values are displayed in the trading currency. Field is only mentioned in an accounting statement. This field is newly supported and only mentioned in an accounting statement. 50 O 70C Sub-Balance Details C :4!c//4*35x :70C::SUBB//LOAN//AVAI/33000 SUBB: Provides additional balance On the one hand, this field is used to Narrative ,6325 information. display values or quantities that are too long for their designated fields in subsequence B1b. 51 M 16S End of Block S 16c :16S:SUBBAL The content is always SUBBAL. On the other hand there will be shown additional information to specific subbalance holdings in this filed. The following sub-balance qualifiers are affected: - BLOK Blocked - BLOT Blocked Trading - BLOV Blocked Authenticity - REGO Out for Registration - RSTR Restricted UBS Switzerland, Version 1.4, Released, Page 14 of 23

15 2.7 Optional Repetitive Sequence C Additional Information 58 M 16R Start of Block R 16c :16R:ADDINFO The content is always ADDINFO. Sequence is only mentioned in an accounting statement. 59 O 95a Party Field is not supported. 60 O 19A Total Holdings Value of Statement A :4!c//[N]3!a15d :19A::HOLS//CHF , HOLS: Total value of holdings reported in this statement. 61 M 16S End of Block S ADDINFO :16S:ADDINFO The content is always ADDINFO. UBS Switzerland, Version 1.4, Released, Page 15 of 23

16 3. MT536 Statement of Transactions 3.1 Mandatory Sequence A General Information 1 M 16R Start of Block R 16c :16R:GENL The content is always GENL. 2 M 28E Page Number/ Continuation Indicator E 5n/4!c :28E:1/ONLY :28E:5/MORE :28E:23/LAST ONLY: Only page of the statement. MORE: Intermediate page of a statement which contains additional pages. LAST: Last page of a statement with more than one page. 3 O 13a Statement Number Field is not supported. 4 M 20C Sender's Message Reference 5 M 23G Function of the Message 6 M 98a Preparation Date/ Time C :4!c//16x :20C::SEME// Y W12345 Reference assigned by the Sender 67 to unambiguously identify the message. G 4!c[/4!c] :23G:NEWM The content is always NEWM. C :4!c//8!n6!n :98C::PREP// PREP: Date and time at which was prepared. 7 M 69a Statement Period A :4!c//8!n/8!n :69A::STAT// / STAT: Period on which the statement is reporting. The new format of the sender's reference is: year (4 digits); day according to the Julian calendar (3 digits); application ID (2 characters, always 'YW'); sequence number (7 digits). UBS Switzerland, Version 1.4, Released, Page 16 of 23

17 8 M 22F Statement Frequency F :4!c/[8c]/4!c :22F::SFRE//ADHO SFRE: Specifies the frequency of Indicator :22F::SFRE//DAIL the statement. :22F::SFRE//WEEK :22F::SFRE//MNTH Complete/Updates Indicator Statement Basis 9-12 Optional Repetitive Subsequence A1 Linkages :22F::CODE//COMP :22F::STBA//SETT CODE: Specifies whether the statement is complete or contains changes only. STBA: Specifies the type of balances on which the statement is prepared. 13 O 95a Account Owner Field is not supported. 14 M 97a Safekeeping Account A :4!c//35x :97A::SAFE// S1 :97A::SAFE//023000A M 17B Activity Flag B :4!c//1!a :17B::ACTI//Y :17B::ACTI//N :17B::CONS//N 16 M 16S End of Block S 16c :16S:GENL SAFE: Account where financial instruments are maintained. ACTI: Indicates whether transactions are reported in this statement. CONS: Indicates whether this statement reports holdings at subsafekeeping level. The content is always GENL. CONS: Only Code N is supported by UBS. 3.2 Optional Repetitive Subsequence A1 Linkages 9-12 Optional Repetitive Subsequence A1 Linkages is not supported. UBS Switzerland, Version 1.4, Released, Page 17 of 23

18 3.3 Optional Repetitive Sequence B Sub-safekeeping account 17 M 16R Start of Block R 16c :16R:SUBSAFE The content is always SUBSAFE. 18 O 95a Account Owner Field is not supported. 19 O 97a Safekeeping Account Field is not supported. 20 O 17B Activity Flag Field is not supported Optional Repetitive Subsequence B1 Financial Instrument 49 M 16S End of Block S 16c :16S:SUBSAFE The content is always SUBSAFE. 3.4 Optional Repetitive Subsequence B1 Financial Instrument 21 M 16R Start of Block R 16c :16R:FIN The content is always FIN. 22 M 35B Identification of the Financial Instrument B [ISIN1!e12!c] [4*35x] :35B:ISIN CH This field identifies the financial instrument. UBS uses the ISIN as standard for the identification of financial instruments. [/xx/31x] :35B:ISIN CH In addition, the following financial For exceptional cases alternative [3*35x] /CH/ identification schemes - as the Swiss Valorennummer - can additionally be provided. :35B:ISIN CH /GB/B18YFJ4 :35B:ISIN CH /US/H instrument attributes will be shown if they are available: - Interest Freq. Duration (PFRE) - Expiry Date (EXPI) - Maturity Date (MATU) - Interest Start Date (DDTE) - Interest Rate (INTR) - Lot Number (LOTS) 23 O 90a Price Field is not supported. 24 O 94B Source of Price Field is not supported. 25 O 98a Price Quotation Date/ Time Field is not supported. UBS Switzerland, Version 1.4, Released, Page 18 of 23

19 26 O 93B First Opening Balance Intermediary Opening Balance Final Closing Balance Intermediary Closing Balance Mandatory Repetitive Subsequence B1a Transaction B :4!c/[8c]/4!c/[N]15d :93B::FIOP//UNIT/2500, :93B::FIOP//FAMT/500000, :93B::INOP//UNIT/3000, :93B::INOP//FAMT/400000, :93B::FICL//UNIT/5500, :93B::FICL//FAMT/750000, :93B::INCL//UNIT/4750, :93B::INCL//FAMT/625000, FIOP: Opening balance for the statement period. It always the closing balance of the previous statement. INOP: Opening balance of this page only. This balance must be the intermediary closing balance of the previous page of the same statement. FICL: Sum of the opening balance and all entries booked to the account at the close of the statement period. INCL: Closing balance of this page only. This balance must be the intermediary opening balance of the next page of the same statement. 48 M 16S End of Block S 16c :16S:FIN The content is always FIN. The client can choose whether the opening and the closing balances shall be shown or not. 3.5 Mandatory Repetitive Subsequence B1a Transaction 27 M 16R Start of Block R 16c :16R:TRAN The content is always TRAN Mandatory Repetitive Subsequence B1a1 Linkages Optional Subsequence B1a2 Transaction Details 47 M 16S End of Block S 16c :16S:TRAN The content is always TRAN. UBS Switzerland, Version 1.4, Released, Page 19 of 23

20 3.6 Mandatory Repetitive Subsequence B1a1 Linkages 28 M 16R Start of Block R 16c :16R:LINK The content is always LINK. 29 O 13a Linked Message Field is not supported. This field is no longer supported. 30 M 20C Related Message Reference Account Servicer Reference C :4!c//16x :20C::RELA//RELATEDREF :20C::ASRF//ACCOUNTSERVREF RELA: Message reference of the linked message which was previously received. ASRF: Reference assigned to the reported transaction by the account servicer. 31 M 16S End of Block S 16c :16S:LINK The content is always LINK. UBS will always use RELA to display the client reference. The qualifier TRRF that has been used by UBS to display the client reference for trading transactions is no longer supported. 3.7 Optional Subsequence B1a2 Transaction Details 32 M 16R Start of Block R 16c :16R:TRANSDET The content is always TRANSDET. 33 O 94a Place of Trade Place of Safekeeping B :4!c/[8c]/4!c[/30x] :94B::TRAD//EXCH/XSWX 94B::SAFE//SHHE/1000/UBSWCH ZH80A/CH 34 M 36B Posting Quantity B :4!c//4!c/15d :36B::PSTA//UNIT/2200, 35 O 99A Number of Days accrued :36B::PSTA//FAMT/150000, TRAD: Place at which the order was traded, directly by the account owner or not. SAFE: Location where the financial instruments are safekept. PSTA: Quantity of financial instrument posted to the safekeeping account. Field is not supported. This field is no longer supported. UBS Switzerland, Version 1.4, Released, Page 20 of 23

21 36 O 19A Posting Amount Accrued Interest Amount 37 M 22a Indicator F 38 M 98a Effective Settlement Date Trade Date A :4!c//[N]3!a15d :19A::PSTA//CHF653000, H :4!c/[8c]/4!c :4!c//4!c :19A::ACRU//CHF15375, ::22F::TRAN//CORP ::22F::TRAN//SETT ::22H::REDE//DELI ::22H::REDE//RECE ::22H::PAYM//APMT ::22H::PAYM//FREE A :4!c//8!n :98A::ESET// :98A::TRAD// PSTA: Amount of money that is to be posted to the account. ACRU: Amount of interest that has been accrued in between coupon payment periods. TRAN: Specifies the type of activity to which this instruction relates. REDE: Specifies whether the transaction is a receipt or delivery of financial instruments. PAYM: Specifies whether the instruction is free or against payment. ESET: Date at which a transaction effectively settled. TRAD: Date at which the trade was executed. 39 O 25D Movement Status D :4!c/[8c]/4!c :25D::MOVE//REVE MOVE: Provides the status of the movement. 40 O 70E Transaction Details Narrative E :4!c//10*35x :70E::TRDE//CHANGE OF AVAILABILITY REGO REGISTRATION PENDING TRDE: Provides additional details on the transaction which can not be included within the structured fields of the message. ACRU: Code ACRU is newly supported by UBS. UBS supports only those 3 mentioned qualifiers which are mandatory for this field. All other qualifiers are no longer supported. All dates will be shown with option A. The option C is no longer supported. The qualifier SETT is no longer supported. The client can choose whether the UBS internal movements are reported or not. If reported and the status of specific subbalance holdings changes, additional information will be shown. The following sub-balance qualifiers are affected: - BLOK Blocked - BLOT Blocked Trading - BLOV Blocked Authenticity - REGO Out for Registration - RSTR Restricted UBS Switzerland, Version 1.4, Released, Page 21 of 23

22 41-45 Optional Repetitive Subsequence B1a2A Settlement Parties 46 M 16S End of Block S 16c :16S:TRANSDET The content is always TRANSDET. 3.8 Optional Repetitive Subsequence B1a2A Settlement Parties 41 M 16R Start of Block R 16c :16R:SETPRTY The content is always SETPRTY. 42 M 95a Buyer C Delivering Agent Place of Settlement Receiving Agent Seller P Q R 4!c//2!a :4!c//4!a2!a2!c[3!c] :4!c//4*35x :4!c/8c/34x :95Q::BUYR//UBS Switzerland ZURICH :95R::DE/ECLR/12345 :95C::PSET//LU :95R::RE/CRST/123 :95P::SELL//UBSWCHZH80A BUYR: Party that receives the financial instrument. DE: Delivering Party that interacts with the place of settlement. PSET: Place of settlement. RE: Receiving party that interacts with the place of settlement. SELL: Party that delivers the financial instrument. 43 O 97a Safekeeping Account A :4!c//35x :97A::SAFE// SAFE: Account where financial instruments are maintained. 44 O 20C Processing Reference Field is not supported. 45 M 16S End of Block S 16c :16S:SETPRTY The content is always SETPRTY. PSET: The code PSET is newly supported by UBS. 3.9 Optional Sequence C Additional Information Optional Sequence C Additional Information is not supported. UBS Switzerland, Version 1.4, Released, Page 22 of 23

23 4. Disclaimer The information contained in this document has been prepared based on publicly available information or information obtained from sources believed to be reliable. It is not a complete statement of summary of the financial market in question. All information contained in this document is subject to change without notice. UBS offers no warranty and accepts no liability that the information provided is correct, complete and up to date. The information herein is not intended and shall not be interpreted as legal advice. Nothing in this document should be construed as a solicitation or offer, or recommendation, to acquire or dispose of any investment or to engage in any other transaction. UBS All rights reserved. UBS Switzerland, Version 1.4, Released, Page 23 of 23