SWIFT Formatting Specialities - ubs.com fileUBS Switzerland AG Postfach 8098 Zürich Group Operations / Securities Classification Generally accessible Date 29 July 2019 Version 1.13

UBS Switzerland AG Postfach 8098 Zürich Group Operations / Securities

Classification Generally accessible Date 29 July 2019 Version 1.14 Status Released Document ID Switzerland_Swift

Market Switzerland SWIFT Usage Guide Settlement Formatting Specialities Formats are compliant with SWIFT Standards Release 2018 and T2S requirements

Generally accessible Market Switzerland ISO 15022

UBS Switzerland AG, Version 1.13, Released Page 2 of 41

Table of Contents

1. General ........................................................................................................................................................................................................................ 5 1.1 Field 94/95 Format Options............................................................................................................................................................................................ 5 1.2 Legend........................................................................................................................................................................................................................... 5 1.3 Additional Information about the pattern ...................................................................................................................................................................... 6 1.4 Status ............................................................................................................................................................................................................................ 6

2. UBS In-house ............................................................................................................................................................................................................... 7 2.1 MT540 Receive free (RFP) ............................................................................................................................................................................................... 7 2.2 MT541 Receive against payment (RVP) .......................................................................................................................................................................... 8 2.3 MT542 Deliver free (DFP) ............................................................................................................................................................................................... 9 2.4 MT543 Deliver against payment (DVP) ......................................................................................................................................................................... 10

3. SIX SIS In-house......................................................................................................................................................................................................... 11 3.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 11 3.2 MT541 Receive against payment (RVP) ........................................................................................................................................................................ 12 3.3 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 13 3.4 MT543 Deliver against payment (DVP) ......................................................................................................................................................................... 14

4. Domestic via Clearstream Lux ................................................................................................................................................................................. 15 4.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 15 4.2 MT541 Receive against payment (RVP) ........................................................................................................................................................................ 16 4.3 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 17 4.4 MT543 Deliver against payment (DVP) ......................................................................................................................................................................... 18

5. Domestic via Euroclear ............................................................................................................................................................................................. 19 5.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 19 5.2 MT541 Receive against payment (RVP) ........................................................................................................................................................................ 20 5.3 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 21 5.4 MT543 Deliver against payment (DVP) ......................................................................................................................................................................... 22



6. Settlement via the CBF link (Clearstream Frankfurt) with another CBF participant .......................................................................................... 23 6.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 23 6.2 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 24

7. Settlement via the MOTI link (Monte Titoli) with another MOTI participant ..................................................................................................... 25 7.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 25 7.2 MT541 Receive against payment (RVP) ........................................................................................................................................................................ 26 7.3 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 27 7.4 MT543 Deliver against payment (DVP) ......................................................................................................................................................................... 28

8. Settlement via the CREST link with another CREST participant ........................................................................................................................... 29 8.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 29 8.2 MT541 Receive against payment (RVP) ........................................................................................................................................................................ 30 8.3 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 31 8.4 MT543 Deliver against payment (DVP) ......................................................................................................................................................................... 32

9. Settlement via the VPC link (Värdepapperscentralen Stockholm) with another VPC participant .................................................................... 33 9.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 33 9.2 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 34

10. UBS Switzerland AG REG. & Logitech International SA (CH0244767585 /CH0025751329 ) via the DTCC link with another DTCC participant ................................................................................................................................................................................................................. 35

10.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 35 10.2 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 36

11. OD Holding (CH0038285679) via the MCSD Egypt ................................................................................................................................................ 37 11.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 37 11.2 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 38

12. Share register – transfer........................................................................................................................................................................................... 39 12.1 MT540 Receive free (RFP) ............................................................................................................................................................................................. 39 12.2 MT542 Deliver free (DFP) ............................................................................................................................................................................................. 40



13. Disclaimer .................................................................................................................................................................................................................. 41



1. General

1.1 Field 94/95 Format Options

Field 94/95 Format Options Option A (Qualifier)/(Account number) Option B (Qualifier)/(Data Source Scheme)/(Code) Option C (Qualifier)/(Country Code) Option E (Qualifier)/(Narrative) Option F (Qualifier)/(Place of Safekeeping)/(BIC) Option P (Qualifier)/(BIC, Bank Identifier Code) Option Q (Qualifier)/(Name and address) Option R (Qualifier)/(DSS, Data Source Scheme)/(Proprietary Code)

1.2 Legend

Abbreviations Explanation BIC ISO Bank Identifier Code BUYR Buyer DEAG Delivery agent ID Participant Identification PSET Place of Settlement REAG Receiving agent SAFE Place of Safekeeping or Safekeeping Account SELL Seller TEXT Free format text structure



1.3 Additional Information about the pattern

Fields entry Explanation Black & Bold Content non-variable Blue & Bold variable

1.4 Status

Abbreviations Explanation C Conditional M Mandatory Field O Optional



2. UBS In-house

2.1 MT540 Receive free (RFP)

Sequence C: Financial Instrument/Account

Field Name :TAG::Field//Option/ Status Notes Place of Safekeeping :94F::SAFE//CUST/INSECHZZXXX

or :94B::SAFE//SHHE/1000

O

• Identifying the local custodian (market) of UBS by use of the BIC (please use only this BIC). Annotation: The 4 digit number after the Qualifier SHHE is an UBS internal depository code for Omnibus-account.

Sequence E1: Settlement parties SETPRTY

Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/CH100025

or :95P::DEAG//UBSWCHZH80A

M • Identifying the delivering agent by use of the 8 digit participant ID • Identifying the delivering agent by use of the BIC (8 or 11 digits)

Seller :95P::SELL//BIC O • Identifying the seller by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement



2.2 MT541 Receive against payment (RVP)




O






Seller :95P::SELL//BIC O • Identifying the seller by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement



2.3 MT542 Deliver free (DFP)




O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/CH100025

or :95P::REAG//UBSWCHZH80A

M • Identifying the receiving agent by use of the 8 digit participant ID • Identifying the receiving agent by use of the BIC (8 or 11 digits)

Buyer :95P::BUYR//BIC M • Identifying the buyer by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement



2.4 MT543 Deliver against payment (DVP)




O






Buyer :95P::BUYR//BIC M • Identifying the buyer by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement



3. SIX SIS In-house


Sequence B: Trade Details

Field Name :TAG::Field//Option/ Status Notes EX/CUM Indicator :22F::TTCO//CCPN

or :22F::TTCO//XCPN

O

• Cum coupon: The trade was executed cum coupon.

• Ex coupon: The trade was executed ex coupon. Annotation: Additional matching field -T2S uses the field for matching, if at least one party provides a value. If only one party has provided a value the instructions do not match in T2S.




O



Field Name :TAG::Field//Option/ Status Notes Delivering agent ::95R::DEAG/SCOM/ID

or :95P::DEAG//BIC

M • Identifying the delivering agent by use of the 8 digit participant ID

• Identifying the delivering agent by use of the BIC if linked to BP-ID Seller :95P::SELL//BIC M • Identifying the seller by use of the BIC (8 or 11 digits Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement






or :22F::TTCO//XCPN

O






O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/ID

or :95P::DEAG//BIC

M • Identifying the delivering agent by use of the BIC (8 or 11 digits) • Identifying the delivering agent by use of the BIC, if linked to BP-ID

Seller :95P::SELL//BIC M • Identifying the seller by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement






or :22F::TTCO//XCPN

O






O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/ID

or :95P::REAG//BIC


Seller :95P::BUYR//BIC M • Identifying the seller by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement






or :22F::TTCO//XCPN

O






O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/ID

or :95P::REAG//BIC


Buyer :95P::SELL//BIC M • Identifying the seller by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement



4. Domestic via Clearstream Lux





O






Seller :95R::SELL/CEDE/ID M • Identifying the seller by use of the 5 digit CBL account ID Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement







O






Seller :95R::SELL/CEDE/ID M • Identifying the seller by use of the 5 digit CBL account ID Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement







O






Buyer :95R::BUYR/CEDE/ID M • Identifying the buyer by use of the 5 digit CBL account ID Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement







O






Buyer :95R::BUYR/CEDE/ID M • Identifying the buyer by use of the 5 digit CBL account ID Place of Settlement :95P::PSET//UBSWCHZH80A M • Identifying the place of settlement



5. Domestic via Euroclear





O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/BE100650

or :95P::DEAG//MGTCBEBEEB2


Seller :95R::SELL/ECLR/ID M • Identifying the seller by use of the 5 digit ECL account ID Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement







O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/BE100650

or :95P::DEAG//MGTCBEBEEB2


Seller :95R::SELL/ECLR/ID M • Identifying the seller by use of the 5 digit ECL account ID Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/BE100650

or :95P::REAG//MGTCBEBEEB2


Buyer :95R::BUYR/ECLR/ID M • Identifying the buyer by use of the 5 digit ECL account ID Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/BE100650

or :95P::REAG//MGTCBEBEEB2


Buyer :95R::BUYR/ECLR/ID M • Identifying the buyer by use of the 5 digit ECL account ID Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement



6. Settlement via the CBF link (Clearstream Frankfurt) with another CBF participant

Only SIS eligible Swiss securities can be settled free of payment from the German market to the Swiss market via this link. 6.1 MT540 Receive free (RFP)




O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/ID M • Identifying the delivering agent by use of the Routing BP ID, linked to DAKV Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Delivery to the CBF participant no. 7215000 (SIS SegaIntersettle), in favour of the SIS participant (BP ID)







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/ID M • Identifying the receiving agent by use of the Routing BP ID, linked to DAKV Buyer :95P::BUYR//BIC M • Identifying the buyer by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Receipt from the CBF participant no. 7215000 (SIS SegaIntersettle), by order of the SIS participant (BP ID)



7. Settlement via the MOTI link (Monte Titoli) with another MOTI participant


Field Name :TAG::Field//Option/ Status Notes Narrative

:70E::SPRO//TEXT M • Settlement via T2S Sequence C: Financial Instrument/Account



O



Field Name :TAG::Field//Option/ Status Notes Delivering agent Seller

:95P::DEAG/BIC11 :95P::SELL/BIC11r

M

O

• Identifying the delivering agent by use of the BIC • Identifying the seller agent by use of the BIC

Place of Settlement :95P::PSET//MOTIITMMXXX M • Identifying the place of settlement







O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95P::DEAG/BIC11 M • Identifying the delivering agent by use of the BIC Place of Settlement :95P::PSET//MOTIITMMXXX M • Identifying the place of settlement




Field Name :TAG::Field//Option/ Status Notes Narrative

:70E::SPRO//TEXT M • Settlement via T2S Sequence C: Financial Instrument/Account



O



Field Name :TAG::Field//Option/ Status Notes Receiving agent Buyer

:95P::REAG/BIC11 :95P::BUYR/ BIC11

M

M

• Identifying the receiving agent by use of the BIC • Identifying the seller agent by use of the BIC

Place of Settlement :95P::PSET//MOTIITMMXXX M • Identifying the place of settlement







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95P::REAG/BIC11 M • Identifying the receiving agent by use of the BIC Place of Settlement :95P::PSET//MOTIITMMXXX M • Identifying the place of settlement



8. Settlement via the CREST link with another CREST participant

Only SIS eligible Swiss securities can be settled free of payment and against payment from the UK market to the Swiss market via this link. 8.1 MT540 Receive free (RFP)




O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/ID M • Identifying the delivering agent by use of the Routing BP ID, linked to CRST Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Delivery to the CREST participant INSE (SIS SegaIntersettle), in favour of the SIS participant (BP ID)







O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/ID M • Identifying the delivering agent by use of the Routing BP ID, linked to CRST Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Delivery to the CREST participant INSE (SIS SegaIntersettle), in favour of the SIS participant (BP ID)







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent Buyer

:95R::REAG/SCOM/ID :95P::BUYR//BIC

M M

• Identifying the receiving agent by use of the Routing BP ID, linked to CRST • Identifying the buyer by use of the BIC (8 or 11 digits

Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Receipt from CREST participant INSE (SIS SegaIntersettle), by order of the SIS participant (BP ID)







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/ID M • Identifying the receiving agent by use of the Routing BP ID, linked to CRST Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Receipt from CREST participant INSE (SIS SegaIntersettle), by order of the SIS participant (BP ID)



9. Settlement via the VPC link (Värdepapperscentralen Stockholm) with another VPC participant

Only SIS eligible Swiss securities can be settled free of payment via this link e.g. Syngenta CH0011037469 and ABB CH0012221716. 9.1 MT540 Receive free (RFP)




O



Field Name :TAG::Field//Option/ Status Notes Delivering agent Delivering custodian

:95R::DEAG/SCOM/SE100041 :95::DECU//BIC

M M

• Identifying the delivering agent by use of the 8 digit participant ID • BIC of the ES participant (custodian in whose name Euroclear Sweden is

acting) Seller Safekeeping account (of seller)

:95P::SELL//BIC :97A::SAFE//Number

M M

• Identifying the seller by use of the BIC (8 or 11 digits) • Custody account numer of the instruction party according to field 95P SELL

Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Delivery to the SIS participant (BP ID) (see also www.vpc.se/en/548.php)







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent Receiving custodian

:95R::REAG/SCOM/SE100041 :95P:RECU//BIC

M M

• Identifying the receiving agent by use of the 8 digit participant ID • BIC of the ES participant (custodian in whose name Euroclear Sweden is

acting) Buyer Safekeeping account (of buyer)

:95P::BUYR//BIC :97A::SAFE//Number

M M

• Identifying the buyer by use of the BIC (8 or 11 digits) • Custody account number of the beneficial owner indicated in field 95P

BUYR) Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Receipt from the SIS participant (BP ID) (see also www.vpc.se/en/548.php)



10. UBS Switzerland AG REG. & Logitech International SA (CH0244767585 /CH0025751329 ) via the DTCC link with another DTCC participant





O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/ID M • Identifying the delivering agent by use of the 8 digit participant ID Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Delivery to the DTCC participant no. 2050 (SIS SegaIntersettle), in favour of the SIS participant (BP ID)







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/ID M • Identifying the receiving agent by use of the 8 digit participant ID Buyer :95P::BUYR//BIC

or :95Q::BUYR//Text

M

• Identifying the buyer by use of the BIC (8 or 11 digits)

• Identifying the buyer by use of text format Safekeeping Account :97A::SAFE/Number M • Identifying the account number of the beneficiary Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement Information for the counterparty: Receipt from DTCC participant no. 6950 (SIS SegaIntersettle), by order of the SIS participant (BP ID)



11. OD Holding (CH0038285679) via the MCSD Egypt





O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/EG100018 M • Identifying the delivering agent by use of the 8 digit participant ID of MCSD

Cairo Delivering custodian :95R::DECU/MCSD/Number O • Identifying the delivering custodian by use of the MCSD participant ID Seller :95P::SELL//BIC

or :95Q::SELL//Text

O • Identifying the seller by use of the BIC (8 or 11 digits) • Identifying the seller by use of the text format

Safekeeping Account :97A::SAFE/Unified Code & Number O • Identifying the Unified code and number of the instructing party Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement







O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/EG100018 M • Identifying the receiving agent by use of the 8 digit participant ID of MCSD

Cairo Receiving custodian :95R::RECU/MCSD/Number M • Identifying the receiving custodian by use of the MCSD participant ID Buyer :95P::BUYR//BIC

or :95Q::BUYR//Text

M • Identifying the buyer by use of the BIC (8 or 11 digits) • Identifying the buyer by use of the text format

Safekeeping Account :97A::SAFE/Unified Code & Number M • Identifying the Unified code and number of the beneficiary Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement



12. Share register – transfer


Sequence B: Trade details

Field Name :TAG::Field//Option/ Status Notes Narrative :70E::SPRO//DB-DI or PH-RE or PH-DI M • Position transfer codes for Swiss registered equities at share register

• Registered name required for position RE




O



Field Name :TAG::Field//Option/ Status Notes Delivering agent :95R::DEAG/SCOM/CH999999 M • Dummy BP-ID for share register Seller :95P::SELL//BIC O • Identifying the seller by use of the BIC (8 or 11 digits) Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement




Sequence B: Trade details

Field Name :TAG::Field//Option/ Status Notes Narrative :70E::SPRO//DI-DB or DI-PH or RE-PH M • Position transfer codes for Swiss registered equities at share register

• Registered name required for position RE




O



Field Name :TAG::Field//Option/ Status Notes Receiving agent :95R::REAG/SCOM/CH999999 M • Dummy BP-ID for share register Buyer :95P::BUYR//BIC

or :95Q::BUYR//Text

M • Identifying the buyer by use of the BIC (8 or 11 digits) • Identifying the buyer by use of text format

Place of Settlement :95P::PSET//INSECHZZXXX M • Identifying the place of settlement



13. Disclaimer

The information contained in this document has been prepared based on publicly available information or information obtained from sources believed to be reliable. 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. Certain products and services are subject to legal restrictions and cannot be offered worldwide on an unrestricted basis. © UBS 2015. The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved.

SWIFT Formatting Specialities - ubs.com fileUBS Switzerland AG Postfach 8098 Zürich Group Operations / Securities Classification Generally accessible Date 29 July 2019 Version 1.13

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