Custodian Credit Suisse Mutual Funds SWIFT Usage Guide Settlement Formatting Specialities
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1 UBS Switzerland AG Postfach 8098 Zürich Group Operations / Securities Custodian Credit Suisse Mutual Funds SWIFT Usage Guide Settlement Fmatting Specialities Fmats are compliant with SWIFT Standards Release 2013 Classification Date 24 February 2014 Version 1.1 Status Released Document ID CSMutualFunds_Swift
2 Table of Contents 1. General Field 94/95 Fmat Options Legend Additional Infmation about the pattern Status CS Mutual Funds via CSAM Lux MT540 Receive free (RFP) MT542 Deliver free (DFP) CS Mutual Funds via Clearstream Lux MT540 Receive free (RFP) MT542 Deliver free (DFP) CS Mutual Funds via Euroclear MT540 Receive free (RFP) MT542 Deliver free (DFP) CS Mutual Funds via Fundsettle MT540 Receive free (RFP) MT542 Deliver free (DFP) Credit Suisse Zurich In-house MT540 Receive free (RFP) MT542 Deliver free (DFP) UBS In-house MT540 Receive free (RFP) MT541 Receive against payment (RVP) MT542 Deliver free (DFP) UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 2 of 20
3 7.4 MT543 Deliver against payment (DVP) Disclaimer UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 3 of 20
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 1.1, Released, 24 February 2014 Page 4 of 20
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 1.1, Released, 24 February 2014 Page 5 of 20
6 2. CS Mutual Funds via CSAM Lux 2.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//CSAMLULLXXX M Identifying the delivering agent by use of the BIC (8 11 digits) 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 account number of the instructing party Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 6 of 20
7 2.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//CSAMLULLXXX M 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 Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 7 of 20
8 3. CS Mutual Funds via Clearstream Lux 3.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//CEDELULLXXX M Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC M Identifying the seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit CBL account number Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 8 of 20
9 3.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//CEDELULLXXX M 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) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit CBL account number Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 9 of 20
10 4. CS Mutual Funds via Euroclear 4.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//MGTCBEBEECL M Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC M Identifying the seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit ECL account number Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 10 of 20
11 4.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//MGTCBEBEECL M 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) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit ECL account number Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 11 of 20
12 5. CS Mutual Funds via Fundsettle 5.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//CSAMLULLXXX M Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//MGTCBEBEFND M Identifying the seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//50688nnnX M Identifying the 9 digit Fundsettle account number Note: The first 5 digits of the 9 digit account number are given Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 12 of 20
13 5.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//CSAMLULLXXX M Identifying the receiving agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//MGTCBEBEFND M Identifying the buyer by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//50688nnnX M Identifying the 9 digit Fundsettle account number Note: The first 5 digits of the 9 digit account number are given Place of Settlement :95P::PSET//CSAMLULLXXX M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 13 of 20
14 6. Credit Suisse Zurich In-house 6.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//CRESCHZZ80A M Identifying the delivering agent by use of the BIC (8 11 digits) 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 account number of the instructing party Place of Settlement :95P::PSET//BIC M Identifying the place of settlement PSET f CH ISIN's: INSECHZZXXX PSET f LU ISIN's: CSAMLULLXXX UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 14 of 20
15 6.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//CRESCHZZ80A M 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 Place of Settlement :95P::PSET//BIC M Identifying the place of settlement PSET f CH ISIN's: INSECHZZXXX PSET f LU ISIN's: CSAMLULLXXX UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 15 of 20
16 7. UBS In-house 7.1 MT540 Receive free (RFP) 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 Identify 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 1.1, Released, 24 February 2014 Page 16 of 20
17 7.2 MT541 Receive against payment (RVP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//UBSWLULLXXX M Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC O Identify 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 1.1, Released, 24 February 2014 Page 17 of 20
18 7.3 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95R::REAG/SCOM/CH M Identifying the delivering agent by use of the 8 digit participant ID :95P::REAG//UBSWCHZH80A Identifying the delivering agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//BIC O Identify seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE/Number O Identify account number (holder ID, usually 6 digits) at TA Place of Settlement :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 18 of 20
19 7.4 MT543 Deliver against payment (DVP) deposity code f Omnibus-account. Receiving agent :95R::REAG/SCOM/CH M Identifying the delivering agent by use of the 8 digit participant ID :95P::REAG//UBSWCHZH80A Identifying the delivering agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//BIC O Identify seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE/Number O Identify account number (holder ID, usually 6 digits) at TA Place of Settlement :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.1, Released, 24 February 2014 Page 19 of 20
20 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 1.1, Released, 24 February 2014 Page 20 of 20
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