Direct Exchange Notes on the Electronic Interface Technical Documentation

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2 Table of Contents 1. Introduction 5 2. Overview of Available Banking Services 6 3. Formats: File-Naming Conventions 7 4. Data Exchange/Communication Delivery of Files to Eingang Directory Collection of Account Information in Ausgang Directory 9 5. Establishing a Connection Process Encryption E-Documents Introduction Overview of E-Document Services via Direct Exchange Download Steps for E-Documents File Names Metadata Separate XML File Structure of the XML File Included Metadata Available Documents Formats DTA Payment Orders LSV+ Collections Credit Transfers Referencing between pain.001 and pain Salary and Pension Payments Type of Booking, Type of Display, and Deadlines for Submission SEPA Direct Debit Payment Status Report Account Statement (MT940 and Provisional Bookings/Intraday (MT942) Credit Suisse Account Statement (MT940) Credit Suisse Provisional Bookings/Intraday (MT942) Structure of Field 61 (Credit Suisse) Structure of Field 86 (Credit Suisse) BESR (ESR Type3) Processing Logs 25 Page 2/Page 75

3 8.1 Purpose and Prerequisites Overview of Processing Filegate Framework DTA Processing LSV+-Processing Schema Structure Processing Log DTA Processing Log Log Structure File Summary Information on Payment Groups Rejected Payments Severe Errors/Reason for Rejection Scenarios Processed Rejected LSV + Processing Log Log Structure FileDetails Payment Group Details Validations Scenarios Error-Free File File without Serious Errors File with Severe Errors Rejected File Double Transmission of File Test File Error Messages DTA Error Messages LSV+ Error Messages E-Documents: Feeder Applications, Group Names and Document Types Feeder Application ID and Group Names Document Types: Payment Transactions Document Types: Securities Document Types: Statement of Investments/Investment Performance Document Types: Mortgages Document Types: Account Records Document Types: Marketing/Bonus Points 70 Page 3/Page 75

4 11. Appendix Appendix A: Filegate Headers Appendix B: Types Appendix C: Glossary 75 Page 4/Page 75

5 1. Introduction Direct Exchange is the electronic interface for connecting large systems to the Credit Suisse payment transaction infrastructure. Using Direct Exchange, our clients can automatically execute all payments (DTA format) from their ERP solutions as well as LSV+ collections. They automatically receive the necessary data for comparison in Accounting, can collect information on account administration (MT940/MT942), and retrieve their e-documents. The client does not log into Direct Exchange, but simply sends the relevant files to the bank. These files are encrypted and enciphered, and on request, electronic certificates and/or line encryption may be agreed upon for additional security. Credit Suisse checks the client authorization on the basis of the agreed rights and executes the instructions. Alternatively, the client can also send individual orders, needing separate approval by means of a form. The openness and flexibility needed for large systems is achieved by the use of standards such as FTP, MQ or SWIFT FileAct SSL, SSH, Secure+ and VPN for encryption of communication and data transfer also across public networks (public internet) as well as through proven file transfer products supported by numerous systems. Due to the implementation costs, Direct Exchange is only suitable for large corporate clients. Our Electronic Banking experts will be pleased to help you choose the most suitable delivery interface for your company. You can reach us on freephone number , Monday through Friday, from 07:30 to 17:30. Further information on electronic banking and additional bank services can also be found at and Page 5/Page 75

6 2. Overview of Available Banking Services Depending on the type of client connection involved, Direct Exchange allows access to a wide range of banking services. The following overview table details these. Table 1: Overview of Direct Exchange bank services No. Bank service Description Client sends Client receives Same-day execution possible until 1 DTA Multiple payment order, multiple booking and display 07:00 2 DTA without electronic signature Multiple payment order, to be approved separately, multiple booking and display 07:00 3 DTA express Multiple payment order, multiple booking and display 12:00 4 DTA dispo Individual payment order, individual booking and display 14:00 5 DTA single Multiple payment order, individual booking and display 07:00 6 DTA single express Multiple payment order, individual booking and display 12:00 7 DTA test Test payment 8 DTA processing log Banking confirmation at file and payment level 9 LSV + /BDD Collection order 10 LSV+ without electronic signature Collection order, to be approved separately 11 LSV + test Test collection 12 LSV + processing log Banking confirmation at file and collection level 13 BESR BESR credit advice 14 MT940 End-of-day account statement for Credit Suisse 15 MT942 Intraday account statement Provisional bookings (non-binding) for Credit Suisse 16 E-Documents Bank records and documents electronically as a PDF file 17 Credit transfer Credit transfer in accordance with the Swiss ISO payments standard, in pain.001 format 18 SEPA direct debit Collection order in accordance with SEPA direct debits, in pain.008 format 19 Payment status report Payment status report in accordance with the Swiss ISO payments standard, in pain.002 format See chapter Page 6/Page 75

7 3. Formats: File-Naming Conventions When data is sent to, or delivered from, Direct Exchange, the following naming conventions must be adhered to for automatic further processing: Table 2: Overview of file naming conventions No. Bank service Description Directory File name 1 DTA Multiple payment order, multiple booking and display 2 DTA without electronic signature Multiple payment order, to be approved separately, multiple booking and display 3 DTA express Multiple payment order, multiple booking and display 4 DTA dispo Individual payment order, individual booking and display 5 DTA single Multiple payment order, individual booking and display 6 DTA single express Multiple payment order, individual booking and display Extension for transmission Extension Incoming DTAS_<contract>_<date>_<time> TMP TXT Incoming DTAO_<contract>_<date>_<time> TMP TXT Incoming DTAE_<contract>_<date>_<time> TMP TXT Incoming DTAD_<contract>_<date>_<time> TMP TXT Incoming DTAN_<contract>_<date>_<time> TMP TXT Incoming DTAX_<contract>_<date>_<time> TMP TXT 7 DTA test Test payment Incoming DTAT_<contract>_<date>_<time> TMP TXT 8 DTA processing log Banking confirmation at file and payment level Outgoing Collective file: VPDTA_<contract> One-time original file: VPDTA_<contract>_<date>_<time> 9 LSV + /BDD Collection order Incoming LSVS_<contract>_<date>_<time> TMP TXT TMP XML 10 LSV+ without electronic signature Collection order, to be approved separately Incoming LSVO_<contract>_<date>_<time> TMP TXT 11 LSV + test Test collection Incoming LSVT_<contract>_<date>_<time> TMP TXT 12 LSV + processing log Banking confirmation at file and collection level Outgoing Collective file: VPLSV_<contract> One-time original file: VPLSV_<contract>_<date>_<time> 13 BESR BESR credit advice Outgoing Collective file: BESR_<contract> One-time original file: BESR_<contract>_<date>_<time> TMP TMP XML TXT Page 7/Page 75

8 No. Bank service Description Directory File name 14 MT940 End-of-day account statement for Credit Suisse Outgoing Collective file: MT940_<contract> One-time original file: MT940_<contract>_<date>_<time> Extension for transmission Extension TMP TXT 15 MT942 Intraday account statement Provisional bookings (non-binding) for Credit Suisse 16 E-Documents Bank records and documents electronically as PDF 17 Credit transfer Credit transfer in accordance with the Swiss ISO payments standard, in pain.001 format 18 SEPA direct debit Collection order in accordance with SEPA direct debits, in pain.008 format 19 Payment status report Payment status report in accordance with the Swiss ISO payments standard, in pain.002 format Outgoing Outgoing Collective file: MT942_<contract> One-time original file: MT942_<contract>_<date>_<time> E-Documents (PDFs) Collective file: EDOCS_<contract> One-time original file: EDOC_<contract>_<date>_<time> Metadata Collective file: edoc_metadata_<contract> One-time original file: edoc_ metadata_<contract>_<date>_<time> TMP TMP TXT Incoming PN1_<contract>_<date>_<time> TMP XML Incoming SDDE_<contract>_<date>_<time> TMP XML ZIP Metadata: XML Outgoing SDDSM_<contract>_<date>_<time> TMP XML Page 8/Page 75

9 4. Data Exchange/Communication The client has one directory each provided for delivering and collecting files. 4.1 Delivery of Files to Eingang Directory The file delivered by the client must have the extension.tmp. Once file transfer is complete, the client must rename the same file with the extension.txt. This ensures that processing is triggered correctly. Definition of placeholders: <contract> 6 7 digit Direct Exchange contract number <date> Date of delivery in format YYYYMMDD <time> Time of delivery in format hhmmss Definition of file types: *.TMP File extension during delivery (file transfer) *.TXT File extension for automatic processing Documents that do not correspond to the naming conventions will be rejected. The client is responsible for ensuring that no files with duplicate names are delivered (e.g. see time details in the file name). Direct Exchange cannot tell if a file has been overwritten. Since the processing transfers and removes the delivered files from the Eingang directory, the files are no longer visible to the client. Where DTA files are concerned, both the diskette format and the magnetic tape format are supported. Please note that the debit account number must be in Multicash or IBAN format. 4.2 Collection of Account Information in Ausgang Directory Information for the services BESR, MT940, MT942, processing logs DTA, LSV+, and e-documents is provided in two file types in each case: (a) A collective file with a fixed name. It contains the complete cumulated current information and remains in the directory until collected by the client. (b) In addition, the data from each new updated delivery is made available to the client as backup and also made available as separate files (one-time original file). These files are automatically deleted after 60 days. Page 9/Page 75

10 The files delivered by the client must have the extension.tmp. The client is responsible for deleting the collective files once the transfer is complete. Definition of placeholders: <contract> 6 7 digit Direct Exchange contract number <date> Date of delivery in format YYYYMMDD <time> Time of delivery in format hhmmss Definition of file types: *.TMP *.TXT, *.XML or *.ZIP File extension during collection (file transfer) File extension for the files provided Page 10/Page 75

11 5. Establishing a Connection 5.1 Process The Direct Exchange connection is established within the framework of an IT project paid for on a time and materials basis. This is commissioned by the responsible IT unit of the client. Technical implementation on the bank server side is carried out by Fides Treasury Services, a subsidiary of the Credit Suisse Group. A project kick-off meeting is held to determine the services to be provided by the various partners involved. Project start To permit the implementation to be effected efficiently, the client should appoint an IT project manager, responsible for technical coordination on the client side. A preliminary meeting together with the client IT project manager lays down the general technical requirements (e.g. IP address, type of connection and encryption desired). These are defined in a document that includes the following points: Direct Exchange contract number (predefined by Credit Suisse) Full company name (Department) Client contact person for initial technical clarification (internal or external; IT project manager, responsible for technical coordination and forwarding of information on the client side) Credit Suisse contact person Fides Treasury Services contact person Fixed IP addresses for the connection to be established Preferred connection type (FTP, etc.) Technical information on the type of connection chosen by the client (FTP Client, Nodes, MQ Queue set, certificate type, etc.) Information on the type of encryption desired (See table in Section 5.2) Project realization As soon as the general technical requirements are defined, the handover to Fides Treasury Services takes place. Fides organizes a kick-off meeting for project commencement and further planning. Establishment of the connection is then generally carried out as follows: Establishment of a VPN (Virtual Private Network) if desired Establishment of actual connection Testing of delivery and collection by client Determination of correct functioning Project conclusion meeting: A debriefing form must be completed at this meeting. Amongst other things, it contains the type of connection and encryption chosen. Operation After conclusion of the project, the client advisor is once again responsible for all client queries. Page 11/Page 75

12 5.2 Encryption The kind of encryption is determined by the client and may consist of a software or hardware solution. Credit Suisse recommends that individual data packets are encrypted before being transmitted via a communication protocol, to eliminate unauthorized access. The sender and the recipient always remain unencrypted. Figure 1: Overview of communication type and software encryption Communication type Software encryption FTP MQ Fileact SWIFT Other type of communication Encryption at network level Page 12/Page 75

13 6. E-Documents 6.1 Introduction E-documents are digitally signed bank records that are delivered electronically. They are identical to the paper versions. For example, payment-related debit advices, account statements, and fund settlements can be sent as e-documents. The key benefits of e-documents for you, the client: As the records are not sent by post, they are often available more quickly. Using less paper helps to protect the environment The digital signature confirms that the electronic documents were created by Credit Suisse and that they have not been altered. Large selection of documents available Further information can be found at Overview of E-Document Services via Direct Exchange A new directory is being set up in Direct Exchange, via which e-documents can be retrieved. In addition to the e-documents in PDF format, a separate XML file of metadata from the PDFs is also delivered. This metadata contains useful information on the e-documents which can be used for a search, or with which your software can assign the e-documents to individual users or accounts, for example. 6.3 Download Steps for E-Documents The following steps for downloading e-documents are possible, depending on the software used. Downloading of the e-documents and XML file via a new E-documents session Allocation and granting of user rights in the software Checking of digital signature and storing of the verification document Archiving of e-documents: Electronic archiving as required by law using automated processes spares you the previously time-consuming archiving of paper documents and saves HR and archiving costs. Overview of e-documents, search function. The following points should be noted regarding downloads: E-documents are downloaded as PDF files with accompanying XML file containing metadata Once the PDFs and XML file have been retrieved, they are deleted from the Direct Link server. I.e. they must be saved by the client to be retained. We recommend a regular download of e-documents. Availability: E-documents become ready for delivery every hour between 5 a.m. and 6 p.m. The greatest volume is to be expected in the morning. During end-of-quarter processing, there may be a delay in bank records becoming available, owing to the high volume of data. Page 13/Page 75

14 User Rights Credit Suisse activates e-documents for each Direct Exchange user contract. Thus, e-documents can be received via the Direct Exchange interface for as many accounts and safekeeping accounts as wished. The access rights must be set up through the client s own software. Checking of Digital Signatures All Credit Suisse e-documents bear digital signatures. The digital signature forms part of the PDF document. A digital signature confirms the following: 1. The documents were issued by Credit Suisse. 2. The documents have not been altered. The signature can be checked by the software. You can find more information on digital signatures at under Digital Signature. 6.4 File Names The name of the PDF will contain a three-digit serial number: <pdf_name>_<3-digit-runningnumber>.pdf; the file name for each individual e-document is thus unique. The first document to be downloaded will be given the serial number 000. The number will increase by 1 for each subsequent download. The metadata file will be called: edoc_metadata_<contract>_<date>_<time>.xml, in the collective file metadata file edoc_metadata_<contract>.xml. 6.5 Metadata Separate XML File E-documents are always made available as PDF files. Alongside the actual business data (PDF files), an XML file is sent for each transport (successful transmission of PDFs) containing the metadata from all the PDFs being delivered. The XML file contains references to the e-documents in question as well as metainformation. You can find the name of the XML file in section Structure of the XML File The XML file is structured as follows: Figure 2: Structure of the XML file Page 14/Page 75

15 6.5.3 Included Metadata The XML file contains the following metainformation for each e-document. Further metadata may be added in future, e.g. the IBAN number. Metadata on the E-Document No. Field Name Mandatory Status Brief Description 1 XC101_RECIP_CIFNR Y Recipient CIF associated with the document 2 XC101_DOC_TYP Y Document Type (Four char code which uniquely identifies the document type in EOS 1 ) Explanation Possible Values/ Field Formats Attributes Mailbox CHAR(12) DIT Number 3006 CHAR(4) 3 XC101_DOC_TRG_FRMT Y PDF In future, documents possible in other formats than PDF 4 XC101_APPL_ID Y Application ID Possibility for Software to group into payments, securities etc. PDF BE01, WS80, AIS etc., see chapter 10 CHAR(3) CHAR(8) 5 XC101_DATE_BEVENT Y Business Event Date Booking date dd.mm.yyyy DATE 6 XC101_TS_INREP Y Timestamp which shows when document was inserted into EOS repository TIMESTMP 7 XC101_IS_ORIGINAL Y Flag showing if original or copy. Only possible values are Y/N Y or N CHAR(1) 8 XC101_IS_SIGNED Y Flag indicating whether document has digital signature or not. Only possible values are Y/N Software can make a check of the signature Y or N CHAR(1) 9 XC101_DOC_LANG_COD Y Document Language code 1, 2, 3, 4 for D, F, I, E respectively. CHAR(1) 1 EOS is the name of the application that produces the e-documents. Page 15/Page 75

16 No. Field Name Mandatory Status Brief Description 10 XC101_OWNER_CIFNR Y Owner CIF number Explanation Possible Values/ Field Formats Attributes CHAR(12) 11 XC101_TYP_RELATION Y Type of account number, e.g account, depot or Money market Depot, Account or CIF 65,66,67 for CIF, Depot or Konto account CHAR(2) 12 XC101_TYP_BU_RENUM Y Account Number/ Deposit No/CIF No Value in this field depends upon XC101_TYP_RELAT ION CHAR(20) 13 XC101_CURRENCY N Currency ISO currency code CHAR(3) 14 XC101_AMOUNT N Amount DEC(31,8) 15 XC101_DATE_VALUE N Date associated with the amount and currency 16 XC101_HAS_DOC_SUP N Flag indicating if there is any enclosures associated with this document 17 XC101_DOC_FILENAME Y Download File Name, including three-digit sequence number 18 XC101_IS_IMPORTANT N Flag which highlights the document in docbox. Only possible values are Y/N 19 XC101_UUID_DOC_C Y Document unique identifier value date (only if amount and currency available) For Marketing documents dd.mm.yyyy Y or N PDF name _name_yyyy-mmdd.123.pdf, e.g. Unique ID of each Document _extract_of_account_ pdf Y or N 9E8D04B DC- 8004CF02-EC1A2094 DATE CHAR(1) VC(254) CHAR(1) CHAR(35) Page 16/Page 75

17 Metadata on the Enclosures If field 16 XC101_HAS_DOC_SUP contains a Y, an enclosure is being delivered along with the e- document. Although there are further metadata on the enclosure, only the following are relevant: No. Field Name Mandatory Status Brief Description Explanation Possible Values/ Field Formats Attributes 1 XC109_SUP_FILENAME N Enclosure file name in PDF format. Test_Enclosure1.pdf VARCHAR(254) 6.6 Available Documents The various e-documents can be classified as follows: Application ID (Metadata field 4 XC101_APPL_ID ): AIS/IPC: Statements of investments, performance reports Bonus Points Mortgages Marketing WS80: Securities XBS: Account Documents ZV: Payment Transactions Document type/dit number (metadata field 2 XC101_DOC_TYP ): The DIT number can be used to assign the e-document to the appropriate area such as Payment Transactions or Mortgages. Document groups: Every DIT number is assigned to a document group. Section 10 contains a detailed listing of the feeder applications, document group names and document types. These tables can also be obtained from Credit Suisse in electronic form. Page 17/Page 75

18 7. Formats 7.1 DTA Payment Orders The DTA format is described in the SIC documentation under DTA Standards and Formats ( 7.2 LSV+ Collections Details on LSV+ collections can be found in the LSV + technical documentation or the SIC documentation on LSV + ( 7.3 Credit Transfers The Credit Transfer pain.001 format in accordance with the Swiss ISO payments standard is described in the SIC documentation under "Implementation Guidelines for Credit Transfers" ( The features specific to Credit Suisse are outlined in the chapters that follow Referencing between pain.001 and pain.002 At Credit Suisse, referencing of payments from pain.001 to pain.002 is completed on the basis of field 2.29 <InstrId> Salary and Pension Payments In accordance with ISO 20022, a marker can be entered in field 2.15 <Cd> to indicate salary or pension payments using the values "SALA" and "PENS". As the booking and display type in other fields (see chapter 7.3.3) can be managed flexibly and in a differentiating manner, field 2.15 has no influence on processing at Credit Suisse. For this reason, the "true" value is used for salary payments in field 2.3 <BtchBookg> and the "CND" value is used in field 2.20 <Prtry>. These values effect a global debit with a global debit display. Page 18/Page 75

19 7.3.3 Type of Booking, Type of Display, and Deadlines for Submission The type of booking, type of display, and deadlines for submission can all be managed flexibly in pain.001 at B level to suit client requirements. Table1: Type of Booking, Type of Display, and Deadlines for Submission for Credit Suisse Type of booking Field 2.3 <BtchBookg> Priority Field 2.7 <InstrPrty> Display management Field 2.20 <Prtry> Booking Display Deadline for submission blank STANDARD or blank blank Multiple booking Multiple display 07:00 blank STANDARD or blank NOA Multiple booking No display 07:00 blank STANDARD or blank SIA Individual booking Individual display 07:00 blank STANDARD or blank CND Multiple booking Multiple display 07:00 blank STANDARD or blank CWD Multiple booking Document list 07:00 blank HIGH blank Multiple booking Multiple display 12:00 blank HIGH NOA Multiple booking No display 12:00 blank HIGH SIA Individual booking Individual display 14:00 blank HIGH CND Multiple booking Multiple display 12:00 blank HIGH CWD Multiple booking Document list 12:00 false STANDARD or blank blank Multiple booking No display 07:00 false STANDARD or blank NOA Individual booking No display 07:00 false STANDARD or blank SIA Individual booking Individual display 07:00 false STANDARD or blank CND Multiple booking Multiple display 07:00 false STANDARD or blank CWD Multiple booking Document list 07:00 false HIGH blank Multiple booking No display 12:00 false HIGH NOA Individual booking No display 14:00 false HIGH SIA Individual booking Individual display 14:00 false HIGH CND Multiple booking Multiple display 12:00 false HIGH CWD Multiple booking Document list 12:00 true STANDARD or blank blank Multiple booking Multiple display 07:00 true STANDARD or blank NOA Multiple booking No display 07:00 true STANDARD or blank SIA Individual booking Individual display 07:00 true STANDARD or blank CND Multiple booking Multiple display 07:00 true STANDARD or blank CWD Multiple booking Document list 07:00 true HIGH blank Multiple booking Multiple display 12:00 true HIGH NOA Multiple booking No display 12:00 true HIGH SIA Individual booking Individual display 14:00 true HIGH CND Multiple booking Multiple display 12:00 true HIGH CWD Multiple booking Document list 12:00 Page 19/Page 75

20 7.4 SEPA Direct Debit The pain.008 format for SEPA direct debits is described in the SIC documentation under "Implementation Guidelines for SEPA Direct Debits". ( 7.5 Payment Status Report The pain.002 format for the payment status report is described in the SIC documentation under "Implementation Guidelines for Credit Transfers" and under "Implementation Guidelines for SEPA Direct Debits". ( 7.6 Account Statement (MT940 and Provisional Bookings/Intraday (MT942) The formats for account statements and provisional bookings/intraday of Credit Suisse accounts are described in sections through Credit Suisse Account Statement (MT940) Table 3: Structure of Credit Suisse account statement (MT940) Contents Format Example SWIFT header {1:F01CRESCHZZ080A }{2:I940X N2}{4: Reference no. 16x :20:XBS/050614/0001 Account no. 35x :25:4835/ [or IBAN on request] Sequence no. 5n[/5n] :28C:9/1 Opening balance 1!a6!n3!a15d :60F:C050808GBP1375,57 Transaction details 2 6!n[4!n]2a[1!a]15d 1!a3!c16x[//16x][34x] :61: D50,50NTRFNONREF//3M Information to account holder 3 6 * 65x :86:1019?33 Mr. John Test 36, Sackville Garden GB - Brighton?60Booking: CS client Bank account (SWIFT case without expenses)?23barclays Bank PLC Head Office 54 Lombard Street GB-London EC3P 3AH Final balance (booked) 1!a6!n3!a15d :62F:C050808GBP479,24 Final balance (value balance) 1!a6!n3!a15d :64:C050808GBP3845,64 Balance with post-value 1!a6!n3!a15d :65:C050809GBP5570,99 :65:C050810GBP53570,99 SWIFT tail -} 2 Field 61: see section Field 86: see section Page 20/Page 75

21 7.6.2 Credit Suisse Provisional Bookings/Intraday (MT942) Table 4: Structure of Credit Suisse provisional bookings/intraday (MT942) Contents Format Example SWIFT header {1:F01CRESCHZZ080A }{2:I942X N2}{4: Reference no. 16x :20:XBS/050614/0001 Account no. 35x :25:4835/ [or IBAN on request] Sequence no. 5n[/5n] :28C:9/1 Indicator for amount limit 3!a[1!a]15d :34F:GBP0, Date/time indicator 6!n4!n1!x4!n :13D: Transaction details 4 Information to account holder 5 6!n[4!n]2a[1!a]15d 1!a3!c16x[//16x][34x] :61: D50,50NTRFNONREF//3M * 65x :86:1019?33 Mr. John Test 36, Sackville Garden GB - Brighton?60Booking: CS client Bank account (SWIFT case without expenses)?23barclays Bank PLC Head Office 54 Lombard Street GB-London EC3P 3AH Intraday Intraday Transaction details 4 6!n[4!n]2a[1!a]15d 1!a3!c16x[//16x][34x] :61:050808D50,50NTRFNONREF//3M Provisional bookings Information to account holder 5 6 * 65x :86:1019 Provisional bookings SWIFT tail -} The provisional bookings (non-binding) are placed after the Intraday and have no booking date in field Structure of Field 61 (Credit Suisse) Table 5: Structure of transaction details Sub-field Sub-field Contents 1 6!n Value date (YYMMDD) 2 [4!n] Booking date (MMDD) [with booking date for Intraday, without for provisional bookings] 3 2a Debit/Credit (D or C)/for cancellation, Reversal of Debit (RD) or Reversal of Credit (RC) 4 [1!a] Third character of currency code 5 15d Amount 6 1!a3!c N plus business case identification (S plus message type for SWIFT) 7 16x Client reference, if available (from Additional supplier text ) 8 [//16x] CS reference (edited order number) 9 [34x] Additional explanations and/or client references (if too little space in sub-field 7) 4 Field 61: see section Field 86: see section Page 21/Page 75

22 Table 6: Business case identification (sub-field 6) ID code Business case identification ID code Business case identification BOE Bill of exchange DIV Dividend warrants BRF Brokerage fee EQA Equivalent amount CHG Charges and other expenses ECK Eurocheques CHK Checks FEX Foreign exchange CLR Cash letters/checks remittance INT Interest CMI Cash management item - No detail LBX Lock box CMN Cash management item - Notional pooling LDP Loan deposit CMS Cash management item Sweeping MSC Miscellaneous CMT Cash management item Topping RTI Returned item CMZ Cash management item - Zero balancing SEC Securities (used when entering a principal amount) COL Collections (used when entering a principal amount) STO Standing order COM Commission TCK Travelers checks DCR Documentary credit (used when entering a principal amount) TRF Transfer DDT Direct debit item VDA Value date adjustment (used with an entry made to withdraw an incorrectly dated entry - it will be followed by the correct entry with the relevant code) Structure of Field 86 (Credit Suisse) A unique booking text code (Extended Product Code EPC) identifies each transaction type. The codes are assigned to the number ranges for a specific kind of business. A detailed list of the individual EPCs can be found at It is recommended that the current version of the EPC list is obtained from the internet on a regular basis so that new codes can be assigned. Table 7: Extended Product Codes EPC Business transaction Payment transactions Check Securities Treasury/Money market Treasury/Foreign exchange Treasury/Precious metals Credit business Mortgages Counter Various charges/commissions Other Page 22/Page 75

23 The business case details are each flagged with a leading trigger tag according to the table below. The individual details are separated using the? delimiter. Table 8: Trigger tags Trigger tag Description 20 Form text 21 Your reference 22 Client reference 23 Account at (bank check: bank concerned) 24 Conversion text 25 Our expenses 26 Third-party expenses 27 Total expenses 28 VAT 32 Order issued by 33 Beneficiary 60 Reason for payment 61 Free text 62 Special text Page 23/Page 75

24 7.7 BESR (ESR Type3) In Direct Exchange, the BESR records are attached to the existing BESR collective file every day. If the client does not collect the BESR record on a daily basis, the collective record will contain multiple total records. Further information can be found in our technical documentation on the BESR received payments. Page 24/Page 75

25 8. Processing Logs 8.1 Purpose and Prerequisites Section 8 describes the processing log generated by the Credit Suisse Filegate Business Engine while processing the DTA and LSV+ files. These specifications are oriented to developers of applications that use the XML processing log generated by the Credit Suisse Filegate Business Engine. Since the following descriptions are of a technical nature, it is assumed that the reader is familiar with XML and the associated schemas. Knowledge of these is indispensable in order to understand the following explanations. 8.2 Overview of Processing Filegate Framework In the Filegate framework, files are processed which fulfill the SIC (Swiss Interbank Clearing) prescribed DTA and LSV+ norms (see also Payments present in the original file are grouped according to specific criteria and then processed DTA Processing Payments belonging to a DTA file are grouped according to the following criteria: Client ID Debit account Currency Value date Salary flag The most important characteristics of DTA processing include: Payment orders are created immediately upon processing the file and sent to the payment system. Only fundamental validations are carried out on the value day. The payment processing system can contain further validations that may affect the closing date. Files with payment errors are, depending on the circumstances, partially processed if the partial processing function is activated. Specific types of error are classified as being correctable. If the correction function is activated, the payment is processed after correction. A file containing severe errors is rejected independently of the payment status. Severe errors include, for example, an invalid file format, an invalid total amount (TA890) etc. Page 25/Page 75

26 8.2.3 LSV+-Processing Payments and debit orders belonging to an LSV file are grouped according to the following criteria: BC number CR-FI Credit account number LSV identification CR Value date Currency (in general, an LSV file contains payments in a single currency, either CHF or EUR) The most important steps in processing an LSV file are: 1. Preliminary processing. The application starts preliminary processing immediately after receiving the LSV file. It comprises the following procedures: Official validation of the correctness of all entries Generation of payment groups on the basis of sort criteria Authorization of the payment groups Company validations 2. Main processing. Based on the value date, the application performs the main processing of the file. As part of the main processing, the application generates messages of the type D10 and the transaction is executed. 3. Final processing. After main processing, the application creates a one-off summary of results. To inform the originator about file processing, validation and the results of the authorizing, the application generates a processing log during preliminary processing, which is sent immediately. This gives the originator sufficient time to react if an error has occurred. At this point, the processing log is generated, based on the information available after preliminary processing. The file is then further processed on the value dates. Since the log has already been created and transmitted, further processing is not contained in it. 8.3 Schema Structure The Filegate schema is split into four separate namespaces and thus into four different source files: filegate.xsd, types.xsd, lsv.xsd, and dta.xsd. The namespaces are split up as follows: Framework (urn:vo.framework.filegate.cs.csg.com): Here, elements are described at framework level. Types (urn:types.vo.framework.filegate.cs.csg.com): Data structures used in the framework, DTA, and LSV schemas. DTA (urn:vo.dta.filegate.cs.csg.com): Specific structures for DTA processing. LSV (urn:vo.lsv.filegate.cs.csg.com): LSV-specific data structures. Page 26/Page 75

27 The schema files are given once again here for reference purposes: types.xsd filegate.xsd dta.xsd lsv.xsd 8.4 Processing Log The structure of the processing log is defined at framework level and is composed as follows: The filegateheader element describes the header information created for processing of the DTA or LSV file. It contains client-specific information and settings for the channel used to transmit the file. This structure is described in more detail in Appendix A. The protocol element is an abstract element that acts as a placeholder for the processing log generated by the Business Engines for LSV+ or DTA. More information on the LSV and DTA logs can be found in the sections referring to these logs. processingprotocollist element With the help of this element, multiple processing logs can be grouped. Note that the Filegate Business Engine transmits the processing log as soon as a file is processed. The individual logs are not grouped. This element can, however, be used by those client applications which receive the Filegate processing log. Page 27/Page 75

28 8.5 DTA Processing Log The processing log generated by the DTA Business Engine comprises the following information: Summary of the original file. Payment group data generated from the original file. These include Payment orders generated from the groups. Errors found at group level. Rejected payments Errors at file level or reason for rejection of the file Log Structure To be able to record all of the information given above, the DTA processing log is structured as shown below: Note that the display of specific information depends on the processing result. These are optional elements marked by dotted lines. dtaprotocol element File Summary This section contains a summary of the results of the data processing. The main elements are: state Gives the final status of the file (processed, rejected). errorpayments Number of payments rejected due to errors. Page 28/Page 75

29 paymentsforapproval Number of payments that must be approved manually. dateoftransmit Indicates when the file was received by Credit Suisse. The structure of the file summary is shown in the following. dtaprotocol/filedetails element Page 29/Page 75

30 Information on Payment Groups This, the most important part of the log, contains all the information on the payment groups generated from the original order file. The structure is described in the following sections. Payment group details Multiple payment groups can be generated from one DTA file, the information is structured as shown below. The paymentgroupdetails element can contain one or more paymentgroupdetail elements. dtaprotocol/paymentgroupdetails element Payment group detail (paymentgroupdetail) Details on a specific payment group are stored in the paymentgroupdetail element. The mfoid attribute gives the sequence number of this specific payment group in the file. The sub-elements are: mpodetail This element contains data on the master payment orders that have been generated from this group. Depending on whether any of the payments contain correctable errors, there may be one or two payment orders. If errors are present, the corresponding payment orders must be grouped separately from the error-free orders. This element is described in more detail in the next section. If the payment group is rejected, no payment order is created. In this case, the section only contains additional information on the group. totalamount Total amount of all payments for this group. totalerroramount Total amount of all rejected payments for this group. error Describes the errors found at group level. The most common structural details for this element can be found in the Appendix. If the group criteria contain a non-correctable error (degree of severity 20), the group is rejected. Page 30/Page 75

31 The paymentgroupdetail element is constructed as follows: paymentgroupdetails/paymentgroupdetail element Page 31/Page 75

32 Master payment order detail (mpodetail) This element describes the payment group more closely. It also contains information about the created master payment order sent to the payment processing system. The main elements are: orderreferencenumber Identification number of the generated payment order. It only exists if a payment order was created and the group was not rejected. intermediateaccount The credit account, which is generally an internal account, to which the group total amount is initially credited before it is forwarded to the actual beneficiaries. visumrequired States whether the generated payment orders must be approved. noofvisumsrequired Number of approvals required if applicable. Page 32/Page 75

33 paymentgroupdetail/mpodetail element Page 33/Page 75

34 Rejected Payments Payments that have been rejected because of non-correctable errors are recorded in the paymenterrors element. Payment errors (paymenterrors) A paymenterrors element consists of a series of paymenterror elements, each describing individual payments. These payments do not form part of the generated payment orders. DtaProtocol/paymentErrors element Payment error (paymenterror) The term payment error refers to a specific payment containing an error. paymentdetail Describes the payment for which the error was determined. The structure is described in more detail in the following section. error At least one error that was determined for this payment. The structure is described in the Appendices. paymenterrors/paymenterror element Page 34/Page 75

35 Payment detail (paymentdetail) The main elements are: orderreferencenumber Identification number of the generated payment order. It only exists if the error is correctable, since rejected payments are not assigned to any payment order. seqnumber Sequence number of a specific payment in the original DTA file. type Transaction type of payment. pmtreferencenumber Combination of the originator ID (ATG-ID) and the transaction number for the payment. bnkclrid Identifier for bank clearing (not present for all types of transaction). accountnumber Beneficiary bank account number (not present for all types of transaction). valuedate Value date of payment according to the original file. If specific date processing rules are used, this value can be changed in the payment processing system. amount Amount of a specific payment. paymenterror/paymentdetail element Page 35/Page 75

36 Severe Errors/Reason for Rejection Severe errors are errors that occur at file level with a degree of severity of 30 and that lead to the entire file being rejected. Severe errors include, for example, an invalid file format or files that have been transmitted twice. This part of the log gives the reason for rejection of the entire file. Although in theory more than one error can occur, the log usually contains only one. dtaprotocol/severeerrors element Scenarios The schema for the DTA processing protocol contains specific optional elements, which may exist depending on the processing result. The different scenarios are described below on the basis of these optional elements. <dta:filedetail> is the only required element; it is always present Processed Fully processed This is the optimal scenario: All payments are error-free and the file has been successfully processed. In this case, only <dta:paymentgroupdetail> elements that describe the various payment groups created are present. Examples: VPDTA_ xml Partially processed In this case, a DTA file has only been partially processed. In addition to the element <dta:paymenterrors>, <dta:paymentgroupdetail> elements containing details of the payment groups processed and the main availability orders that have been created are also present here: For rejected payments Examples: VPDTA_ xml For rejected groups Examples: VPDTA_ xml Page 36/Page 75

37 Rejected Severe errors In this case, only the <dta:severeerrors> element is present, containing the error at file level. In this scenario, the file is in any case rejected, so no further payment details are present. Examples: VPDTA_ xml Payment errors A DTA file is rejected if payments contain errors and the partialprocessing flag contains the value False. No payment orders are created, and the <dta:paymenterrors> element contains details on the payments containing errors and a description of the errors. In addition, the <dta:severeerrors> element is present, giving the reason for the rejection. For errors at payment level Examples: VPDTA_ xml For errors at group level Examples: VPDTA_ xml 8.6 LSV + Processing Log The LSV processing log is created during preliminary processing of the LSV file. It offers an overview of the file processing and contains the following information: Details at file level The number of debit orders, total amount, file name, client ID, status, etc. Payment group details A list of payment groups with LSV ID, creditor account number, number of debit orders for the payment group, total amount for the payment group, requested value date, etc. Wrong entries This section contains validation errors at file level or debit order level. If validation errors occur at the file level, the file is rejected and no debit orders are processed. If the errors are in individual debit orders, only those containing errors are rejected. All others are processed. Page 37/Page 75

38 8.6.1 Log Structure The following sections describe the LSV processing log. fg:processingprotocol element fg:protocol element LSVProtocol element Page 38/Page 75

39 FileDetails LSVProtocol/LSVFileDetails element Contains a summary of the LSV file. Page 39/Page 75

40 The main elements are described in the following sections. LSVFileDetails/userId element ID of the user who transmitted the LSV file. LSVFileDetails/state element Gives the status of the file after preliminary processing. The following possible statuses exist for LSV files: preprocessed The Business Engine successfully completed preliminary processing of the file. Processing of individual groups will recommence on the corresponding value days. duplicatefile The application carries out a special check for duplicates, to avoid the same file being processed twice. Files rejected for this reason show this status. rejected The errors found in the LSV file are split into two groups: severe and non-severe. For severe errors at the file level, the file shows the rejected status. testprocessed If the application receives a test file that is then processed, the application determines the status as testprocessed. testrejected If a severe error is found in a test file, the file is rejected by the application and the file status is set to testrejected. LSVFileDetails/noOfPaymentGroups element This element contains the total number of payment groups discovered in the LSV file. LSVFileDetails/noOfErrorPaymentGroups element This element contains the number of payment groups which have an error. LSVFileDetails/noOfTxn element This element contains the number of payments (debit orders) without errors. LSVFileDetails/noOfErrorTxn element This element contains the number of payments (debit orders) with errors. Page 40/Page 75

41 LSVFileDetails/totalAmount element Total amount of file Payment Group Details The main elements are described in the following sections: LSVProtocol/mfoDetails element LSVProtocol/mfoDetails/mfoDetail element Page 41/Page 75

42 paymentgroup element PaymentGroup/orderDetails element Page 42/Page 75

43 PaymentGroup/creditor element Creditor/address element Page 43/Page 75

44 PaymentGroup/paymentSummary element PaymentSummary/totalAmount element MfoDetail/status element Gives the status of the payment group after preliminary processing has been completed. The following status details are possible for payment groups: readytoprocess The payment group has been successfully authorized and validated and will be processed according to the value date rules without further approval. approval1pendin The payment group has been successfully authorized and validated, but must still be approved. After approval, it is processed according to the value date rules. approval2pendin The payment group has been successfully authorized and validated, but must still be approved twice. After approval, it is processed according to the value date rules. Page 44/Page 75

45 rejected The payment group has been rejected due to the following validation error: Unauthorized user Wrong value date Wrong credit account number testnotprocess The payment group belongs to a test file. The payment group has been successfully validated and authorized. No further processing takes place. testrejected The payment group belongs to a test file. The payment group has been rejected due to a validation error Validations Validation errors found during processing are described with the aid of a general validation structure. Validation is carried out at two levels on an LSV file: File level These errors are stored in the lsvprotocol/validations element. There are two kinds of error at file level: Severe errors In this case, the entire file is rejected and no debit orders are processed. For example: Wrong total amount Non-severe errors If a data record field contains errors, these are not classed as severe errors. These data records are rejected and are not added to a payment group. For example: Empty value date Payment group level These types of error are found within payment groups. These payment groups are rejected and debit orders for these payment groups are not processed. These errors are stored in the mfodetails/validations element. The validations element acts as a placeholder for the various validation elements that describe an individual validation error. Page 45/Page 75

46 The validation element has the following structure and contains data record information as well as the errors. types:validations/validation element Data record information This part of the log describes the payment in which the validation error occurred. The fieldinfo element describes a specific field in this payment, and a fixed group of fields represents the data record information (see illustration below). types:validation/recordinfo element types:validation/recordinfo/fieldinfo element The following fields are shown: inseqno Entry sequence number of the debit order debitoraccid Number of debtor account for debit order creditoraccid Number of creditor account for debit order Page 46/Page 75

47 debitoradressline1 Debtor address (line 1) debitoramount Debit amount valuedate Value date specified in debit order Error Multiple errors per payment can be determined. These are then grouped in the errors element. The structure of the error element is described in more detail in the Appendices. types:validation/errors element The severity element in the error structure can have one of the following values: 20: Non-severe errors The debit order is rejected in this case. 30: Severe errors If a severe error occurs at the file level, the entire file is rejected and no debit orders are processed. If a severe error occurs at the payment group level, only the payment group is rejected and no debit orders are processed for this payment group Scenarios The processing log can vary depending on how the LSV file is processed. The following explains various scenarios for the processing log Error-Free File A file that displays neither of the two error categories (non-severe/severe). It contains a debit order for CHF The application created a payment group that is to be processed after approval. The processing log contains the elements lsvfiledetails and mfodetails. The optional validations element is not present. Examples: VPLSV_ xml In this case, due to different value dates, the application has created seven payment groups. Approval of the payment groups before processing is not necessary. The processing log contains the elements lsvfiledetails and mfodetails. The optional validations element is not present. Examples: VPLSV_ xml Page 47/Page 75

48 File without Serious Errors The file contains 9 correct debit orders and 1 incorrect debit order. In this case, the application has created the elements validations, lsvfiledetails and mfodetails. The validations element contains details of the incorrect data record. The fifth debit order has been rejected due to an incorrect value date. Four payment groups have been created from the other 9 debit orders due to the different value dates. For this reason, four mfodetail elements are present. Examples: VPLSV_ xml The processing log is created with 7 payment groups (mfodetails) and 30 incorrect debit orders (validations). Two of the payment groups are rejected. The reason for the rejection can be seen from the validation and error structures. The processing log contains data record information for every incorrect debit order that gives the incorrect debit order and an error structure together with the reason for rejection. Examples: VPLSV_ xml File with Severe Errors Rejected File The file has been rejected due to a severe error. It contains the elements lsvfiledetails and validations, but not the mfodetail element. The validations contain the elements recordinfo and errors, giving the reason for the error. Examples: VPLSV_ _1.xml Double Transmission of File In this case, a file has been transmitted twice. The processing log contains only the element lsvfiledetails and no further information. Examples: VPLSV_ xml Test File The test file has been processed without severe errors. The application has created five payment groups. One of the payment groups has been rejected due to an invalid account number. Examples: VPLSV_ xml The test file has been rejected due to a severe error. Examples: VPLSV_ _2.xml Page 48/Page 75

49 9. Error Messages Following the delivery of DTA, LSV+ files, Direct Exchange provides a processing log. This detailed log can be used to check the status of transmitted payment and collection orders. The error messages are listed in the following sections. 9.1 DTA Error Messages The following error messages and corresponding codes can appear in the processing log: Table 10: DTA error messages Error code English message B0007 File rejected (error in creation date). [Code: B0007] B0008 File rejected (error in creation date). [Code: B0008] B0009 File rejected (error in creation date). [Code: B0009] B0014 File rejected (error in sequence number). [Code: B0014] B0016 File rejected (total record missing). [Code: B0016] B0017 File rejected (duplicate total record). [Code: B0017] B0053 File rejected (invalid ATG-ID format). [Code: B0053] B0054 File rejected (contains invalid transaction type). [Code: B0054] B0055 File rejected (no authorization). Please contact your Direct Link Support. [Code: B0055] B0056 File rejected (technical error). Please contact your Direct Link Support. [Code: B0056] B0112 File rejected (error in processing date). [Code: B0112] B0113 Invalid file name. [Code: B0113] D8056 General error. Please contact your Direct Link Support. [Code: D8056] D8206 Error in fee control field. [Code: D8206] D8207 Error in beneficiary IBAN field (invalid IBAN format). [Code: D8207] D8208 Error in beneficiary IBAN field (missing IBAN). [Code: D8208] D8210 Error in fee control field. [Code: D8210] D8212 No payments in file can be processed. [Code: D8212] D8213 Error in currency code field (only EUR permitted). [Code: D8213] D8214 Error in beneficiary bank field (invalid bank ID (=BC no.)). [Code: D8214] D8215 Error in beneficiary bank address field (must be at least one line). [Code: D8215] D8216 Error in beneficiary bank address field (must be at least two lines). [Code: D8216] D8219 Error in payment details field (invalid field ID). [Code: D8219] D8220 File rejected (technical error). Please contact your Direct Link Support. [Code: D8220] D8221 Error in credit amount field (invalid currency code). [Code: D8221] D8222 File rejected (too many errors). [Code: D8222] D8224 Invalid account number (format). [Code: D8224] D8226 Invalid ESR reference number. [Code: D8226] D8227 Error in ESR participant number. [Code: D8227] Page 49/Page 75

50 D8228 Account number missing. [Code: D8228] Error code English message D8229 Invalid amount. [Code: D8229] D8230 Invalid beneficiary bank ID. [Code: D8230] D8231 Maximum number of lines or maximum number of characters per line exceeded. [Code: D8231] D8232 Invalid bank clearing number (bank ID). [Code: D8232] D8233 Error in address field (address field must contain at least two lines). [Code: D8233] D8234 Error in address field (address field must contain at least one line). [Code: D8234] F2505 File rejected (too many errors). [Code: F2505] F8202 File rejected (invalid total record). [Code: F8202] F8203 File rejected (error in sequence number). [Code: F8203] F8204 File rejected (contains invalid transaction type). [Code: F8204] F8205 File rejected (technical error: File is damaged). Please contact your Direct Link Support. [Code: F8205] F8206 Error in creation date field. [Code: F8206] F8207 File rejected (invalid total amount in total record). [Code: F8207] F8211 Error in fee control field. [Code: F8211] F8214 Error in debited account field (account number missing or does not comply with specifications). [Code: F8214] F8216 Error in beneficiary bank field ID field (invalid field ID). [Code: F8216] F8220 File rejected (technical error). Please contact your Direct Link Support. [Code: F8220] F8221 File rejected (technical error). Please contact your Direct Link Support. [Code: F8221] F8222 File rejected (technical error). Please contact your Direct Link Support. [Code: F8222] F8223 File rejected (technical error). Please contact your Direct Link Support. [Code: F8223] F8224 File rejected (technical error). Please contact your Direct Link Support. [Code: F8224] F8225 File rejected (technical error). Please contact your Direct Link Support. [Code: F8225] F8226 File rejected (technical error). Please contact your Direct Link Support. [Code: F8226] F8227 File rejected (technical error). Please contact your Direct Link Support. [Code: F8227] F8229 Error in currency code field (only CHF permitted). Code F8229] F8232 File rejected (technical error). Please contact your Direct Link Support. [Code: F8232] F8236 File rejected (duplicate submission). [Code: F8236] F8238 General error. Please contact your Direct Link Support. [Code: F8238] F8240 Error in value date field (value date more than 10 days in the past). [Code: F8240] F8241 Error in value date field (value date more than 60 days in the future). [Code: F8241] F8305 File rejected (no valid payment exists). [Code: F8305] F8306 File rejected (invalid sequence number in total record). [Code: F8306] Page 50/Page 75

51 9.2 LSV+ Error Messages The following error messages and codes can appear in the processing log: Table 11: LSV+ error messages Error code LSV01 LSV02 LSV03 LSV04 LSV05 LSV06 LSV07 LSV08 LSV09 LSV10 LSV11 LSV12 LSV13 LSV14 LSV16 LSV17 LSV18 LSV19 LSV20 LSV21 LSV22 LSV23 LSV24 English message PROCESSING DATE MISSING (must be specified for TA 870.) [Code: LSV01] PROCESSING DATE INVALID (must contain a valid date for TA 870.) %s ) [Code: LSV02] PROCESSING DATE EXPIRED (more than 10 calendar days out of date.) [Code: LSV03] PROCESSING DATE NOT ALLOWED (requested processing date may not be later than the current read date in the CC +60 days.) [Code: LSV04] PAYER BANK INVALID ( %s ) [Code: LSV05] BC NO. OF PAYER %s REPLACED BY %s (record will be processed. BC no. must be changed to new BC-no. (%s).) [Code: LSV06] CREATION DATE INVALID (must contain a valid date. %s ) [Code: LSV07] CREATION DATE INVALID (must not be 90 days earlier or later than CC import date.) [Code: LSV08] CREATION DATE DIFFERENT (must be identical to the creation date on the first record in the data file.) [Code: LSV09] BANK OF PAYMENT RECIPIENT INVALID (must contain a BC no. in line with statement %s ) LSV10] BC NO. OF PAYMENT RECIPIENT %s REPLACED BY %s (record will be processed. BC no. must be changed to new BC no. (%s).) [Code: LSV11] SENDER ID DIFFERENT (must be identical to the first record in the data file.) [Code: LSV12] SENDER ID CUSTOMER MASTER DATA MISSING (must contain a valid identification registered in the CC.) [Code: LSV13] INPUT SEQUENCE NO. SEQUENCE ERROR %s EXPECTED SEQ. no. %s (must be continuous, start with 1, and be in ascending order.) [Code: LSV14] TRANSACTION TYPE OF TOTAL RECORD (890) MISSING (must contain all records; no negative amounts). [Code: LSV16] TRANSACTION TYPE OF TOTAL RECORD (890) INVALID (total must be shown at the end of the file). [Code: LSV17] PAYMENT TYPE INVALID (must contain 0.) [Code: LSV18] CLIENT ID INVALID (must contain a valid identification registered in the CC.) [Code: LSV19] TRANSACTION NUMBER MISSING (must not be blank.) [Code: LSV20] ACC. NO. OF PAYMENT RECIPIENT MISSING (must not be blank.) [Code: LSV21] ACCT. NO. OF PAYMENT RECIPIENT TOO LONG (account or IBAN number must not exceed 16 or 21 characters respectively; must be left-aligned, remaining positions blank.) [Code: LSV22] ACC. NO. OF PAYMENT RECIPIENT IBAN INVALID (not a 21-digit Swiss IBAN.) [Code: LSV23] ACC. NO. PAYMENT RECIPIENT IDD IN IBAN DOES NOT MATCH BC NO. (IDD in IBAN (pos. 5-9) must match the BC no. of the payment recipient.) [Code: LSV24] Page 51/Page 75

52 Error code LSV25 LSV26 LSV27 LSV28 LSV29 LSV30 LSV31 LSV32 LSV33 LSV34 LSV35 LSV36 LSV37 LSV38 LSV39 LSV40 LSV41 LSV42 LSV43 LSV44 LSV45 LSV46 LSV47 LSV48 LSV49 LSV50 LSV15 B0057 English message TOO MANY CHARACTERS IN ACC. NO. OF PAYMENT RECIPIENT (must be no more than 24 characters.) [Code: LSV25] VALUE DATE NOT PERMITTED (must be blank or zero for TA 870.) [Code: LSV26] CURRENCY CODE INVALID (must contain CHF for TA 870.) [Code: LSV27] DECIMAL POINT MISSING IN AMOUNT (must contain a decimal point.) [Code: LSV28] CHF AMOUNT HAS MORE THAN 2 DECIMAL PLACES (must not contain more than two decimal places (CHF).) [Code: LSV29] AMOUNT NOT NUMERIC (must only contain numeric characters, with the exception of a decimal point.) [Code: LSV30] AMOUNT INVALID (must not be zero.) [Code: LSV31] AMOUNT GREATER THAN 1 BN. (must not be greater than 1 bn. for TA 870.) [Code: LSV32] TOO MANY CHARACTERS IN AMOUNT (must be no more than 12 characters.) [Code: LSV33] TOO MANY LINES FOR PAYMENT RECIPIENT (no more than four lines permitted.) [Code: LSV34] PAYMENT RECIPIENT INCOMPLETE (must consist of at least one line.) [Code: LSV35] TOO MANY CHARACTERS IN PAYMENT RECIPIENT (must be no more than 24 characters.) [Code: LSV36] INVALID CHARACTERS IN PAYMENT RECIPIENT (see LSV manual, section B 1.5 Valid Characters.) [Code: LSV37] ACC. NO. OF PAYER MISSING (must be specified for TA 870.) [Code: LSV38] TOO MANY CHARACTERS IN ACC. NO. OF PAYER (must be no more than 24 characters.) [Code: LSV39] ACCT. NO. OF PAYER TOO LONG (account or IBAN number must not exceed 16 or 21 characters respectively; must be left-aligned, remaining positions blank.) [Code: LSV40] ACCOUNT NUMBER OF PAYER IBAN INVALID (not a 21-digit Swiss IBAN.) [Code: LSV41] TOO MANY LINES FOR PAYER (no more than four lines permitted.) [Code: LSV42] TOO MANY CHARACTERS FOR PAYER (max. line length 24 characters.) [Code: LSV43] PAYER MISSING (Account number exists, address missing.) [Code: LSV44] INVALID CHARACTERS IN PAYER (see LSV manual, section B 1.5 Valid Characters.) [Code: LSV45] TOO MANY LINES IN MESSAGES (no more than four lines permitted.) [Code: LSV46] TOO MANY CHARACTERS IN MESSAGES (max. line length 35 characters.) [Code: LSV47] INVALID CHARACTERS IN MESSAGES (see LSV manual, section B 1.5 Valid Characters.) [Code: LSV48] TOTAL AMOUNT CONTROL TOTAL INCORRECT (total amount does not correspond to the sum of all records or total amount = (zero).) [Code: LSV49] TRANSACTION TYPE TOTAL RECORD (890) INVALID (total must be shown at the end of the file). [Code: LSV50] TRANSACTION TYPE INVALID (must be a transaction type that is valid for LSV (870 or 890)). [Code: LSV15] File rejected(invalid transaction type (TA); must be a transaction type that is valid for LSV (870 or 890)) [Code B0057] B0059 File rejected (version no. (VNR) invalid; each record must contain a valid version no.) [Code B0059] B0058 File rejected (transaction type (TA) total record missing; must contain the sum of all records; no negative amounts.) [Code B0058] Page 52/Page 75

53 Error code English message B0060 File rejected (version no. (VNR) is different; within a file, the version no. must always be the same.) [Code B0060] B0061 File rejected (process type (VART) is invalid; only P or T permitted.) [Code B0061] B0062 File rejected (process type (VART) is different; must always be the same within the file.) [Code B0062] B0069 File rejected (creation date (EDAT) invalid; must contain a valid date.) [Code B0069] B0070 File rejected (creation date (EDAT) different; must be identical to the creation date on the first record of the data file.) [Code B0070] B0077 File rejected (sender ID (ABS-ID) different (must be identical to the first record of the data file.) [Code B0077] B0082 File rejected (currency code (WHG) invalid; must contain CHF or EUR for TA 875.) [Code B0082] B0083 File rejected (no different currencies (WHG) permitted; only one currency permitted in a file.) [Code B0083] B0107 File rejected (total amount control total (TBETR) incorrect; total amount does not match sum of all records or total amount = (zero).) [Code B0107] B0108 File rejected (total amount (TBETR) decimal point missing; must contain a decimal point.) [Code B0108] B0109 B0110 File rejected (total amount (TBETR) has more than two decimal places; must not contain more than two decimal places.) [Code B0109] File rejected (total amount (TBETR) not numeric (must only contain numeric characters, with the exception of a decimal point.) [Code B0110] F2502 General error. Please contact Direct Link Support. [Code F2502] F2506 File rejected (unknown file format or undefined file processor) [Code F2506] L1001 File rejected (creation date invalid; must contain a valid date.) [Code L1001] L1002 Processing date not allowed (requested processing date may not be later than the current read date in the CC +45 days.) [Code L1002] L1003 L1004 L1005 File rejected (creation date different; must be identical to the creation date on the first record of the data file.) [Code L1003] File rejected (error in input sequence no.; must be continuous, start with 1, and be in ascending order.) [Code L1004] File rejected (transaction type (total record missing; must contain the sum of all records; no negative amounts.) [Code L1005] L1006 File rejected (invalid transaction type; must be a transaction type that is valid for LSV (870 or 890)) [Code L1006] L1007 File rejected (version no. invalid; each record must contain a valid version no.) [Code L1007] L1008 File rejected (version no. is different; within a file, the version no. must always be the same.) [Code L1008] L1009 File rejected (sender ID different; must be identical with first record of data file.) [Code L1009] L1010 Acc. no. too long (must not exceed 16 characters; must be left-aligned, remaining positions blank.) [Code L1010] L1011 File rejected (no different currencies permitted; only one currency permitted in a file.) [Code L1011] Page 53/Page 75

54 Error code English message L1012 File rejected (currency code invalid; must contain CHF or EUR for TA 875.) [Code L1012] L1013 Decimal point missing from amount (must contain a decimal point.) [Code L1013] L1014 CHF amount has more than 2 decimal places (must not contain more than two decimal places (CHF).) [Code L1014] L1015 Amount not numeric (must only contain numeric characters, with the exception of a decimal point.) [Code L1015] L1016 Amount invalid (must not be zero.) [Code L1016] L1017 Amount greater than 1 bn. (Must not be greater than 1 bn. for TA 875.) [Code L1017] L1018 File rejected (total amount control total incorrect; total amount does not match sum of all records or total amount = (zero).) [Code L1018] L1019 File rejected (transaction type total record (890) invalid; total must be shown at the end of the file). [Code L1019] L1020 File rejected (total amount is not numeric; invalid format) [Code L1020] L1021 File rejected (total amount has more than two decimal places.) [Code L1021] L1022 Invalid characters (characters are not permitted in accordance with LSV+ standards.) [Code L1022] L1023 Less than two address lines exist (there must be at least two address lines). [Code L1023] L1024 File rejected (process type is invalid; only P or T permitted.) [Code L1024] L1025 File rejected (process type is different; must always be the same within the file.) [Code L1025] L1026 ESR participant number missing (must be included in the case of reference flag A.) [Code L1026] L1027 ESR participant number not allowed (must be empty in the case of reference flag B.) [Code L1027] L1028 Invalid check code in ESR participant number. [Code L1028] L1029 Invalid length of ESR reference number (length does not correspond with reference flag A.) [Code L1029] L1030 Invalid check code in ESR participant number. [Code L1030] L1032 Invalid acc. no. (field must not be empty; must contain either an account number or IBAN.) [Code L1032] L1033 File rejected (maximum number of errors exceeded.) [Code L1033] L1034 File rejected (file does not contain any valid payments.) [Code L1034] L1035 Invalid reference flag (must contain reference flag A for ESR reference number) [Code L1035] L1050 ESR reference not accepted (participant number of client invalid.) [Code L1050] L1051 BC no. in acc. no. of payer IBAN does not match BC no. of payer. [Code L1051] L2001 Processing date passed (more than 10 calendar days in the past.) [Code L2001] L2002 Processing date invalid (must contain a valid date for TA 875.) [Code L2002] L2003 L2004 L2005 L2006 BC no. not contained in bank master data (BC no. of payer s bank must be valid in accordance with bank master data.) [Code L2003] The LSV identification is not permitted for LSV+ in connection with the BC no. (BC no. of payment recipient s bank (CHF or EUR)). [Code L2004] The LSV identification is not permitted for SIC client delivery in connection with the BC no. (BC no. of payment recipient s bank (CHF or EUR)) [Code L2005] Sender ID Customer master data missing or invalid (must contain a valid identification registered in the CC.) [Code L2006] Page 54/Page 75

55 Error code L2007 English message The BC no. is not included in the bank master data (BC no. of the payment recipient s bank must be valid according to bank master data). [Code L2007] L2008 The BC no. is not permitted for LSV+ (BC no. of payment recipient s bank (CHF or EUR).) [Code L2008] L2010 Acc. no. payment recipient invalid (not a 21-digit Swiss IBAN.) [Code L2010] L2011 IBAN check code invalid. [Code L2011] L2012 Length of IBAN incorrect (compared with country code.) [Code L2012] L2013 The BC no. is not permitted for LSV+ (BC no. of payer s bank (CHF or EUR).) [Code L2013] L2014 File rejected (duplicate file submission or file already submitted.) [Code L2014] L2015 Duplicate submission of payment group (a payment group within the file was already submitted; payment group rejected.) [Code L2015] L2200 User not authorized [Code L2200] L2204 Invalid account number [Code L2204] Page 55/Page 75

56 10. E-Documents: Feeder Applications, Group Names and Document Types 10.1 Feeder Application ID and Group Names Feeder Application Group No. Group Name German Group Name French Group Name Italian Group Name English AIS/IPC 2000 Investment Management Investment Management Investment Management Investment Management Reports Reports Reports Reports AIS/IPC 2001 Vermögensverzeichnisse Relevées de placements Distinte patrimoniale Distinte patrimoniale AIS/IPC 2002 Performance Ausweise Relevées de performance Resoconti della performance Performance Statements AIS/IPC 2003 Investment Management Investment Management Investment Management Investment Management Reports Reports Reports Reports Bonus Points 3001 Auszüge Relevés Estratti Statements Mortgages 2700 Hypothekendokumente Documents hypothécaries Documenti ipotecari Mortgage Documents Marketing 1002 Corporate Actions Corporate Actions Corporate Actions Corporate Actions Marketing 9100 Newsletter Newsletter Newsletter Newsletter Marketing 9150 NAB-Publikationen NAB-Publikationen NAB-Publikationen NAB-Publikationen Marketing 9200 Preisbeilage Annexe rel. aux prix Allegato relativo ai prezzi Price change enclosure Marketing 9300 Anlageperspektiven Rétrospective-Perspectives Retrospettiva-Prospettive Review-Outlook Marketing 9500 Kundeninformation nformation à la clientèle Informazione ai clienti Client Information WS Börsenabrechnungen Décomptes de bourse Conteggi di borsa Stock exchange settlements WS Corporate Actions Corporate Actions Corporate Actions Corporate Actions WS Zahlungsverkehr Gutschriften Trafic des paiements crédit Traffico die pagamenti accredito Payment transactions debit WS Depotgeschäft Opérations de dépôt Operazioni di deposito Safekeeping account transactions WS Emissionsabrechnungen Décomptes d émissions Conteggi di emissioni Issue settlements WS Ertragsabrechnungen Décomptes de revenus Conteggi di redditi Income statements WS Fondsabrechnungen Décomptes de fonds Conteggi parti di fondi Fund settlements WS Rückzahlungsabrechnungen Décomptes de remboursements Conteggi di rimborsi Redemption settlements WS Sonstige Autres décomptes de titres Altri conteggi titoli Other securities settlements Wertschriftenabrechnungen WS Sonstige Autres avis de titres Altri avvisi titoli Other securities advice notes Wertschriftenavisierungen WS TO&FF-Tagesauszug Extrait journalier TO&FF Estratto giornaliero TO&FF TO&FF daily statement WS Wertschriftengebühren Frais pour transactions sur titres Spese per operazioni su titoli Securities transaction fees WS Avis: Börsenabrechnungen Avis: Décomptes de bourse Avviso: Conteggi di borsa Advice note: Stock exchange settlements WS Avis: Corporate Actions Avis: Corporate Actions Avviso: Corporate Actions Advice note: Corporate Actions WS Avis: Depotgeschäft Avis: Opérations de dépôt Avviso: Operazioni di deposito Advice note: Safekeeping account transactions WS Avis: Emissionsabrechnungen Avis: Décomptes d émissions Avviso: Conteggi di emissioni Advice note: Issue settlements WS Avis: Ertragsabrechnungen Avis: Décomptes de revenus Avviso: Conteggi di redditi Advice note: Income statements WS Sonstige Autres avis de titres Altri avvisi titoli Other securities advice notes Wertschriftenavisierungen WS Avis: Fondsabrechnungen Avis: Décomptes de fonds Avviso: Conteggi parti di fondi Advice note: Fund settlements WS Avis: Rückzahlungsabrechnungen Avis: Décomptes de remboursements Avviso: Conteggi di rimborsi Advice note: Redemption settlements WS Avis: TO&FF-Tagesauszug Avis: Extrait journalier TO&FF Avviso: Estratto giornaliero TO&FF Advice note: TO&FF daily statement WS Avis: Wertschriftengebühren Avis: Frais pour transactions sur titres Avviso: Spese per operazioni su titoli Advice note: Securities transaction fees XBS 3001 Auszüge Relevés Estratti Statements XBS 3002 Abschlussdokumente Documents de bouclement Dokumenti di chiusura Closing documents XBS 3090 Schalterbelege Pièces de caisse Giustificativi dello sportello Counter receipts ZV 0003 Debitkarten Cartes de débit Carte di debito Debit cards ZV 0001 Zahlungsverkehr Belastungen Trafic des paiements débit Traffico die pagamenti addebito Payment transactions credit ZV 0002 Zahlungsverkehr Gutschriften Trafic des paiements crédit Traffico die pagamenti accredito Payment transactions debit ZV 0999 Spezieller Bankbeleg Justificatif spécial Giustificativo speciale Specialised banking record Page 56/Page 75

57 10.2 Document Types: Payment Transactions DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No. Carta sostitutiva Maestro Maestro replacement card 0003 Maestro 29 ZV Maestro-Ersatzkarte Carte de remplacement 30 ZV Maestro-Jahresgebühr Cotisation annuelle Maestro Tassa annua Maestro Maestro annual fee ZV Maestro-Karte Carte Maestro Carta Maestro Maestro card ZV Maestro-Kartensperrung Blocage carte Maestro Blocco carta Maestro Maestro card block ZV Spesen Zahlungsverkehr Frais trafic des paiements Spese di traffico dei pagamenti Expenses for money transfer ZV Bankcheck Chèque bancaire Assegno bancario Bank check ZV Vergütungsauftrag Ordre de bonification Ordine di bonifico Payment order ZV Vergütungsauftrag Ordre de bonification Ordine di bonifico Payment order ZV Bankcheck Chèque bancaire Assegno bancario Bank check ZV Vergütungsauftrag Ordre de bonification Ordine di bonifico Payment order ZV Vergütungsauftrag Ordre de bonification Ordine di bonifico Payment order ZV Bankcheck Chèque bancaire Assegno bancario Bank check ZV Zahlungsauftrag Ordre de paiement Ordine di pagamento Payment order ZV Zahlungsauftrag Ordre de paiement Ordine di pagamento Payment order ZV Storno Extourne Storno Reversal ZV Bankcheck Chèque bancaire Assegno bancario Bank check ZV Dauerauftrag Ordre permanent Ordine permanente Permanent order ZV Dauerauftrag Ordre permanent Ordine permanente Permanent order ZV Dauerauftrag Ordre permanent Ordine permanente Permanent order ZV TELEDTA Vergütung TELEDTA paiement electronic TELEDTA pagamento electronic TELEDTA payment 0001 electronic Banking banking banking electronic banking 697 ZV TELEDTA Vergütung TELEDTA paiement electronic TELEDTA pagamento electronic TELEDTA payment 0001 electronic Banking banking banking electronic banking 698 ZV Bankcheck Chèque bancaire Assegno bancario Bank check ZV TELEDTA Vergütung TELEDTA paiement electronic TELEDTA pagamento electronic TELEDTA payment 0001 electronic Banking banking banking electronic banking 700 ZV TELEDTA Vergütung TELEDTA paiement electronic TELEDTA pagamento electronic TELEDTA payment 0001 electronic Banking banking banking electronic banking 701 ZV Bankcheck Chèque bancaire Assegno bancario Bank check ZV Vergütungsauftr. Electronic Ordre de bonific. Electronic Ordine di bonifico Electronic Payment order electronic 0001 Banking Banking Bank. banking 703 ZV TELEDTA Vergütung TELEDTA paiement electronic TELEDTA pagamento electronic TELEDTA payment 0001 electronic Banking banking banking electronic banking 704 ZV Vergütungsauftr. Electronic Ordre de bonific. Electronic Ordine di bonifico Electronic Payment order 0001 Banking Banking Bank. electronic banking 705 ZV TELEDTA Vergütung TELEDTA paiement electronic TELEDTA pagamento electronic TELEDTA payment 0001 electronic Banking banking banking electronic banking 706 ZV Zahlungsliste Electronic Liste de paiement Electronic Lista di pagamento Electr. List of payments electronic 0001 Banking Banking Banking banking 707 ZV Vergütungsauftr. Electronic Ordre de bonific. Electronic Ordine di bonifico Electronic Payment order electronic 0001 Banking Banking Bank. banking 708 ZV Bankcheck Chèque bancaire Assegno bancario Bank check ZV DTA-Auftrag FW/Ausland Ordre DTA ME/étranger Ordine DTA VE/estero DTA order FC/abroad ZV DTA-Auftrag Inland Ordre DTA Suisse Ordine DTA Svizzera DTA order Switzerland ZV Zahlungsauftrag Ordre de paiement Ordine di pagamento Payment order ZV Zahlungsauftrag Ordre de paiement Ordine di pagamento Payment order ZV Einzug LSV Recouvrement LSV Incasso LSV Direct debit collection ZV Rücklastschrift LSV Note de recouvrement Avviso di prelevamento insoluto Reversal of LSV debit 0001 impayée LSV LSV 715 ZV Zahlungsauftrag Ordre de paiement codé/multi Ordine di pagamento Coded/multi payment order 0001 codiert/multi codificato/multi 716 ZV Zahlungsauftrag Ordre de paiement codé/multi Ordine di pagamento Coded/multi payment order 0001 codiert/multi codificato/multi 717 ZV Vergütung Bonification Bonifico Payment ZV Zahlungseing. auf Datentr. Rentrée EDP/ZED/BESR Entrata su racc.dati/zed/pvbr Receivings EDP/ZED/BESR 0002 ZED/BESR 719 ZV Vergütung Bonification Bonifico Payment ZV Vergütung Bonification Bonifico Payment ZV Vergütung Bonification Bonifico Payment ZV Zahlungseing. auf Datentr. Rentrée EDP/ZED/BESR Entrata su racc.dati/zed/pvbr Receivings EDP/ZED/BESR 0002 ZED/BESR 723 ZV Vergütung Bonification Bonifico Payment ZV EDV-Einzugsauftrag Ordre d encaissement EDP Ordine d incasso EDP EDP collection order 0002 Page 57/Page 75

58 DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No. 725 ZV PC-Eingang Versement postal Versamento postale Postal remittance ZV Vergütung Bonification Bonifico Payment ZV Clearing-Zahlung Paiement clearing Pagamento clearing Clearing payment ZV Vergütung Bonification Bonifico Payment ZV Vergütung Bonification Bonifico Payment ZV Checkbelastung Débit de chèque Addebito assegno Check debit ZV Check-Retoure Retour de chèque Rimessa d assegni di ritorno Check return ZV Domizilwechsel Effet domicilié Cambiale domiciliata Domiciled bill ZV Checkrimesse Eingang Remise de chèques sauf Rimessa di assegni salvo buon Check rem. under usual reserve 0002 vorbehalten bonne fin fine 734 ZV Checkrimesse Eingang Remise de chèques sauf Rimessa di assegni salvo buon Check rem. under usual reserve 0002 vorbehalten bonne fin fine 735 ZV Checkrimesse nach Remise de chèques a. Rimessa di assegni dopo Check rem. after final payment 0002 Eingang encaissement incasso 736 ZV Checkrimesse nach Remise de chèques a. Rimessa di assegni dopo Check rem. after final payment 0002 Eingang encaissement incasso 737 ZV Rimesse Remise Rimessa Remittance ZV Rimesse Remise Rimessa Remittance ZV Rimesse Remise Rimessa Remittance ZV Rimesse Remise Rimessa Remittance ZV Rimesse Remise Rimessa Remittance ZV Maestro-Zahlung int. (inkl. Paiement Maestro int. (comm. Pagamento Maestro int. Int. Maestro payment (incl Komm.) comp.) (comm.incl.) omm..) 744 ZV Maestro-Zahlung CHF Paiement Maestro CHF Pagamento Maestro CHF Maestro payment CHF ZV Maestro-Zahlung FW Paiement Maestro ME Pagamento Maestro VE Maestro payment FC ZV Maestro-Bezug int. (inkl. Prélèvement Maestro int. Prelevamento Maestro int. Maestro cash withdrawal int Komm.) comm. comp. comm. inc. omm ZV Maestro-Bezug CHF Prélèvement Maestro CHF Prelevamento Maestro CHF Maestro cash withdrawal CHF ZV Maestro-Bezug EUR Prélèvement Maestro EUR Prelevamento Maestro EUR Maestro cash withdrawal EUR ZV Maestro-Bezug EUR (inkl. Prélèvement Maestro EUR Prelevamento Maestro EUR Maestro cash withdrawal EUR 0003 Komm.) (comm.comp.) comm. incl. omm ZV Maestro-Bezug CHF Prélèvement Maestro CHF Prelevamento Maestro CHF Maestro cash withdrawal CHF ZV Maestro-Bezug EUR (inkl. Prélèvement Maestro EUR Prelevamento Maestro EUR Maestro cash withdrawal EUR 0003 Komm.) (comm.comp.) comm. incl. omm ZV Maestro-Bezug EUR (inkl. Prélèvement Maestro EUR Prelevamento Maestro EUR Maestro cash withdrawal EUR 0003 Komm.) (comm.comp.) comm. incl. omm ZV Einzug LSV Recouvrement LSV Incasso LSV Direct debit collection ZV Zahlungsrückleitung Retour de paiement Ritorno di pagamento Return of payment ZV Zahlungsrückleitung Retour de paiement Ritorno di pagamento Return of payment ZV Vergütung Bonification Bonifico Payment ZV Vergütung Bonification Bonifico Payment ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses ZV Gutschriftsanzeige Avis de crédit Avviso di accredito Credit advice ZV Belastungsanzeige Avis de débit Avviso di addebito Debit advice ZV Spezieller Bankbeleg Justificatif spécial Giustificativo speciale Specialised banking record Document Types: Securities DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No WS80 Kauf Achat Compera Purchase WS80 Kauf Achat Compera Purchase WS80 Exercise Exercise Exercise Exercise 1001 Page 58/Page 75

59 DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No WS80 Repo Opening Repo Opening Repo Opening Repo Opening WS80 Reverse Repo Closing Reverse Repo Closing Reverse Repo Closing Reverse Repo Closing WS80 Verkauf Vente Vendita Sale WS80 Verkauf Vente Vendita Sale WS80 Assignment Assignment Assignment Assignment WS80 Repo Closing Repo Closing Repo Closing Repo Closing WS80 Reverse Repo Opening Reverse Repo Opening Reverse Repo Opening Reverse Repo Opening WS80 Report Report Riporto Contango WS80 Deport Déport Deporto Backwardation WS80 Abandonnierung Abandon Abandono Abandonment WS80 Gutschrift Termin- Liquidation crédit Accredito liquidaz. a termine Credit entry closing forw.pos Liquidation 1014 WS80 Belastung Termin- Liquidation débit Addebito liquidaz. a termine Debit entry closing forw. pos Liquidation 1015 WS80 Bestandeszugang Augmentation de position liq. Augmento di posizione liq. Increase of position liq Termin-Liq WS80 Best.-Verminderung Réduction de position liq. Riduzione di posizione liq. Reduction of position liq Termin-Liq WS80 Bestandesänderung Modification de position liq. Modifica di posizione liq. Change in position liq Termin-Liq WS80 Liq. Endabrechnung Décompte final liquidation Conteggio finale liquidazione Forward trans.final settlement WS80 Repo Ausgleich Repo Decompte Final Repo Conte. Finale Repo Final Settlem WS80 Rev. Repo Ausgleich Rev.Repo Dec.Final Rev.RepoCont.Finale Rev.Repo Final Sett WS80 Emission Emission Emissione New issue WS80 Emission Emission Emissione New issue WS80 Vorrechtszeichnung Souscription privilégiée Sottoscrizione privilegiata Preferential right aubscriptn WS80 Vorrechtszeichnung + Souscription privil. droits Sottoscriz.priv.dir.d opzione Pref.right subscript+rights 1002 Anrechten 1026 WS80 Ausgabe von Emission de parts de fonds Emissione di parti di fondi Issue of investment fund units 1006 Fondsanteilen 1027 WS80 Kapitalerhöhung Augmentation de capital Aumento di capitale Capital increase WS80 Kapitalerhöhung Augmentation de capital Aumento di capitale Capital increase WS80 Mitarbeiteraktien Actions en faveur du personnel Azioni per collaboratori Staff shares WS80 Gratisemission Attribution gratuite Emissione gratuita Issue of bonus shares WS80 Gratisemission Attribution gratuite Emissione gratuita Issue of bonus shares WS80 Aktionärsoptionen Options actionnaires Opzioni d azionisti Shareholder warrants WS80 Kapitalisierung von Capitalisation de réserves Capitalizzazione di riserve Capitalisation of reserves 1002 Reserven 1036 WS80 Stockdividende Stock dividend Stock dividendo Stock dividend WS80 Portefeuille-Ausschüttung Distribution de portefeuille Distribuzione in portafoglio Portfolio distribution WS80 Spin off Spin off Spin off Spin off WS80 Stockdividende Stock dividend Stock dividendo Stock dividend WS80 Portefeuille-Ausschüttung Distribution de portefeuille Distribuzione in portafoglio Portfolio distribution WS80 Eingang Fondsanteile IK Entrée de parts de fonds CI Entrata di parti di fondi CI Entry of fund units IA WS80 Ausgang Fondsanteile IK Sortie de parts de fonds CI Uscita di parti di fonti CI Withdrawal of fund units IA WS80 Abgeltung von Werten Indemnisation de valeurs Indennizzo di valori Indemnification of securities WS80 Barabgeltung von Coto Encaissement de coto Rimborso in contanti di coto Compensation in cash for coto 1002 Opt WS80 Rückzahlung durch Remb.suite au tirage au sort Rimb. in seguito a estrazione Redemption due to drawing 1007 Verlosung 1051 WS80 Vorzeitige Rückzahlung Remboursement Rimborso Premature redemption WS80 Rückzahlung durch Remb. suite à la dénonciation Rimborso in seguito a disdetta Redemption due to calling 1007 Kündigung 1053 WS80 Rückzahlung per Remb.suite à l échéance finale Rimb.seguito a scadenz.finale Redempt.on the final due date 1007 Endverfall 1054 WS80 Rückz. auf Wunsch Remb.à la demande du Rimb.su richiesta del credit. Redempt.on req.of the creditor 1007 Gläubiger créancier 1055 WS80 Kapitalredukt. mit Réduction du capital Riduzione di capitale Capital reduct.with redemption 1007 Rückzahlung 1057 WS80 Rückzahlung Remboursement Rimborso Redemption WS80 Optionsverfall Echéance d option Scadenza d opzione Traded options expiry WS80 Rückkauf Aufgrund Rachat suite à la reprise Risc.in seguito a rilevamento Repurchase due to a take-over 1002 Uebernahme 1060 WS80 Rückkauf durch Rachat par la société Riscatto della società Repurchase by company 1002 Gesellschaft 1062 WS80 Rückkauf eigener Gesellschaft Rachat par la société Riscatto della propria società Repurchase by own company 1002 Page 59/Page 75

60 DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No WS80 Rückkauf über 2. Linie Rachat sur 2ème ligne Riscatto sulla 2. linea Repurchase on 2nd line WS80 Rücknahme von Reprise de parts de fonds Ripresa di parti di fondi Repayment of invest.fund units 1006 Fondsanteilen 1065 WS80 Optionsausübung Exercice d options Esercizio dell opzione Exercise warrants WS80 Ausübung von Put- Exercice de put options Esercizio delle put opzione Exercise put warrants 1002 Optionen 1067 WS80 Ausübung von Index- Exercice d index options Esercizio dell index-opzione Exercise index-options 1002 Optionen 1068 WS80 Liquidation Liquidation Liquidazione Liquidation WS80 Wertloserklärung Déclaration sans valeur Ammortamento No value declaration WS80 Verfall Echéance Scadenza Expiry WS80 Kapitalred. ohne Réduction du capital Riduzione di capitale Capit.reduct.without 1002 Rückzahlung redempt WS80 Konversion Conversion Converzione Conversion WS80 Kapitalred. mit Réduction du capital Riduzione di capitale Cap.reduction with redempt Rückzahlung 1074 WS80 Einzahlung von non versé Paiement du non versé Pagamento del non versé Payment of non versé WS80 Rückzahlung durch Remb.suite au tirage au sort Rimb.in seguito a estrazione Redemption due to drawing 1007 Verlosung 1076 WS80 Vorzeitige Rückzahlung Remboursement anticipé Rimborso anticipato Premature redemption WS80 Rückzahlung durch Remb. suite à la dénonciation Rimborso in seguito a disdetta Redemption due to calling 1007 Kündigung 1080 WS80 Rückzahlung per Remb.suite à l échéance finale Rimb.in seguito a scad.finale Redempt.on the final due 1007 endverfall date 1081 WS80 Rückzahl. auf Wunsch Remb.à la demande du Rimb.su richiesta del credit. Redempt.on req.of the 1007 Gläubiger créancier creditor 1082 WS80 Kapitalredukt. mit Réduction du capital Riduzione di capitale Capital reduct.with 1007 Rückzahlung redemption 1083 WS80 Liquidation Liquidation Liquidazione Liquidation WS80 Rückzahlung Remboursement Rimborso Redemption WS80 Inkasso Encaissement Incasso Collection WS80 Inkasso Encaissement Incasso Collection WS80 VEGA provisorisch VEGA provisorisch VEGA provisorisch VEGA provisorisch WS80 Namensänderung Changement de nom Cambiamento del nome Change of name WS80 Valorennummernänderun Changement du numéro de Cambiam. del numero di valore Change of security number 1002 g valeur 1090 WS80 Umtausch Echange de titres de particip. Scambio di titoli di partecip. Exchange equities 1002 Beteiligungspapiere 1091 WS80 Laufzeitverlängerung Prorogation de l échéance Proroga della durata Extension of maturity WS80 Umtausch aufgrund Echange suite à la reprise Permuta in seg. a rilevamento Conversion due to a takeover 1002 Uebernahme 1094 WS80 Gleichstellung Assimilation Equiparazione Assimilation WS80 Umtausch Echange Scambio Exchange WS80 Fusion Fusion Fusione Merger WS80 Entflechtung Décartellisation Scorporazione della Decartelization WS80 Trennung Séparation Separazione Separation WS80 Zusammenlegung Assimilation Raggruppamento Consolidation WS80 Ausgabe von Hedge- Emission de parts de fonds Emissione di parti di fondi Issue of Hedge funds 1006 Funds 1101 WS80 Umtausch Echange Scambio Exchange WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depository WS80 Wandlung Conversion Conversione Conversion WS80 Ausübung von Levée options/warrants Esercizio opzioni/warrants Exercise options/warrants 1002 Optionsscheinen 1105 WS80 Ausübung von Coto Exécution coto options Esercizio di opzioni coto Exercise of coto options 1002 Optionen 1106 WS80 Split ohne Valorennr- Split sans changement n val. Split senza cambiam. n valore Split without change 1002 Aenderung secur.nr 1107 WS80 Split Split Split Split WS80 Split Split Split Split WS80 Rev.Split ohne Valorennr- Rev. split sans chang. n val. Rev. split senza camb. n val. Rev.split without change 1002 Aend. secnr 1110 WS80 Rev.Split mit ValorenNr- Rev.split avec chang. n val. Rev. split con camb. n Val. Rev. split with change sec Aend. nr 1111 WS80 reverse split reverse split reverse split Reverse split WS80 Aenderung Stück- /Nomin.-Notiz Changement de valeur nominale Modifica del valore nominale Change of nominal value 1002 Page 60/Page 75

61 DIT No. Feeder Application 1113 WS80 Aenderung Stück WS80 Kapitalisierung von 1115 WS80 Kapitalred.mit 1116 WS80 Kapitalred.ohne Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No. Changement de valeur Modifica del valore nominale Change of nominal value 1002 /Nomin.-Notiz nominale Capitalisation de réserves Capitalizzazione di riserve Capitalisation of reserves 1002 Reserven Réduct. de capital avec remb. Riduz. di capitale con rimb. Capital reduct. with refund 1002 Rückzahlung Réduct. du capital sans remb. Riduz. di capitale senza rimb. Capital reduct. without 1002 Rückzahlung refund 1117 WS80 Einzahlung von non versé Paiement du non versé Pagamento di non versé Payement of non versé WS80 Kapitaleinforderung Libération du capital Richiesta di capitale Call for non-paid-in capital WS80 Kapitaleinforderung Libération du capital Richiesta di capitale Call for non-paid-in capital WS80 Bestandeskorrektur Correction de la position Rettifica di posizione Correction of position WS80 Interne Titelkorrektur Correction interne de titres Rettifica interna di titoli Int. correction of securities WS80 Titelkorrektur Correction titres act. nomin. Securit. correct. az. nom. Securit. correct. reg. shares 1003 Namenaktien 1123 WS80 Deponierung Mise sous dépôt Messa in deposito Deposit WS80 Deponierung Mise sous dépôt Messa in deposito Deposit WS80 Depotübertrag Transfert de dépôt Trasferimento di deposito Transfer WS80 Depotübertrag Transfert de dépôt Trasferimento di deposito Transfer WS80 Transfer Transfert Trasferimento Transfer WS80 Sec. Lending and Sec. Lending and Borrowing Sec. Lending and Borrowing Sec. Lending and Borrowing 1008 Borrowing 1129 WS80 Depotausgang Sortie de dépôt Uscita di deposito Custody account withdrawal WS80 Depotausgang Sortie de dépôt Uscita di deposito Custody account withdrawal WS80 Sendung an Deponent Envoi au déposant Invio al depositante Send to depositor WS80 Depotausgang Sortie de dépôt Uscita di deposito Custody account withdrawal WS80 Depotausgang Sortie de dépôt Uscita di deposito Custody account withdrawal WS80 Freistellung Mise à disposition Messa a disposizione Custody account withdrawal WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depositary WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depositary WS80 Titelumbuchung Changement inscription titres Cambiamento iscrizione titoli Reregistration of securities WS80 Herbeorderung Rapatriement Richiamo Repatriation WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depository WS80 Wegbeorderung Expatriement Ritorno Expatriation WS80 Zinszahlung Paiement d intérêts Pagamento d interessi Interest payment WS80 Bardividende Dividende en espèces Dividendo in contanti Cash dividend WS80 Nachrechnen Ertrag Recalcul. revenus rel. fiscaux Nuovo calc.proventa dist.fisc. Check.of profit for tax-reg Steuerverz WS80 Barausschüttung Distribution en espèce Distribuzione in contanti Distribution in cash WS80 Stockdividende in Bar Stockdividende en espèces Stockdividendo in contanti Stock dividend in cash WS80 Naturalausschüttung Distribution en nature Ripartizione in natura Dividend paid in kind WS80 Liq. ausschüttung Ertrag Distr. de liquidation revenu Ripartizione di liquidazione Liquid. distribution proceeds WS80 Kapitalgewinn Bénéfice en capital Utile di capitale Capital gain WS80 Kapitalrückzahlung Remboursement de capital Rimborso di capitale Repayment of principal WS80 Ertragszahlung Paiement de revenu Pagamento dei redditi Income payment WS80 Geldabrechnung Décompte espèces Conteggio contanti Cash settlement WS80 Zinszahlung Einreicher Paiement d intérêt remettant Pagamento interessi presentatore Presenter s interest 1005 payment 1153 WS80 Bardividende Einreicher Bardividende Einreicher Bardividende Einreicher Bardividende Einreicher WS80 Bardiv. mit Kapital- Bardiv. mit Kapital-Gewinnteil Bardiv. mit Kapital-Gewinnteil Bardiv. mit Kapital Gewinnteil Gewinnteil 1155 WS80 Stockdiv.Bar Stockdiv.Bar o.wahlmögl.dep Stockdiv.Bar o.wahlmögl.dep Stockdiv.Bar 1005 o.wahlmögl.dep o.wahlmögl.dep 1156 WS80 Stockdiv.Bar Stockdiv.Bar m.wahlmögl.dep Stockdiv.Bar m.wahlmögl.dep Stockdiv.Bar 1005 m.wahlmögl.dep m.wahlmögl.dep 1157 WS80 Naturalausschüttung Naturalausschüttung Naturalausschüttung Naturalausschüttung WS80 Liq. Ausschüttung Liq. Ausschüttung Liq. Ausschüttung Liq. Ausschüttung WS80 Kapitalgewinn Kapitalgewinn Kapitalgewinn Kapitalgewinn WS80 Kapitalrückzahlung Kapitalrückzahlung Einreicher Kapitalrückzahlung Einreicher Kapitalrückzahlung 1005 Einreicher Einreicher 1161 WS80 Zinszahlung Paiement d intérêts Pagamento d interessi Interest payment WS80 Bardividende Dividende en espèces Dividendo in contanti Cash dividend WS80 Nachrechnen Ertrag Recalcul. revenus rel. fiscaux Nuovo calc.proventa dist.fisc. Check.of profit for tax-reg Steuerverz WS80 Stockdividende in Bar Stockdividende en espèces Stockdividendo in contanti Stock dividend in cash WS80 Stockdividende in Bar Stockdividende en espèces Stockdividendo in contanti Stock dividend in cash WS80 Naturalausschüttung Distribution en nature Ripartizione in natura Dividend paid in kind 1005 Page 61/Page 75

62 DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No WS80 Liq. ausschüttung Ertrag Distr. de liquidation revenu Ripartizione di liquidazione Liquid. distribution proceeds WS80 Kapitalgewinn Bénéfice en capital Utile di capitale Capital gain WS80 Kapitalrückzahlung Remboursement de capital Rimborso di capitale Repayment of principal WS80 Erhol.Seite Erhol.Seite Kapitalfälligkeit Erhol.Seite Kapitalfälligkeit Erhol.Seite Kapitalfälligkeit 1005 Kapitalfälligkeit 1180 WS80 Deckblatt 1ère feuille remettants 1.o.foglio presentatori Cover page presenters 1008 Einreichunglosung 1181 WS80 Deckblatt Sendung 1ère feuille envoi 1.o.foglio inoltro Cover page consignment WS80 Korrektur Korrektur Ertragsabrechnung Korrektur Ertragsabrechnung Korrektur 1005 Ertragsabrechnung Ertragsabrechnung 1183 WS80 Korrektur Korrektur Ertragsabrechnung Korrektur Ertragsabrechnung Korrektur 1005 Ertragsabrechnung Ertragsabrechnung 1184 WS80 Steuersachen Domaine fiscal Imposta Fiscal matters WS80 Steuerrückerstattung Remboursement de l impôt Rimborso dell imposta Repayment of withholding 1011 tax 1186 WS80 Generalversammlungseinl Invitation assemblée générale Invito all assemblea generale Invitation to AGM 1002 adung 1187 WS80 Class-Action Class-Action Class-Action Class-Action WS80 Gläubigerversammlung Assemblée des Céanciers Assemblea dei creditori Meeting of creditors WS80 Neukotierung Valor Nouvelle cotation de valeur Nuova quotazione del valore New listing of security WS80 Sonstige Avis Autre avis Altro avviso Other notification WS80 Avis b.aenderung in Avis b.aenderung in Titelbed. Avis b.aenderung in Titelbed. Avis b.aenderung in 1009 Titelbed. Titelbed WS80 Avis bei Titeländ. Avis bei Titeländ. sonstiges Avis bei Titeländ. sonstiges Avis bei Titeländ. sonstiges 1009 sonstiges 1193 WS80 Verfallavis bei Cps- Verfallavis bei Cps-Fälligk. Verfallavis bei Cps-Fälligk. Verfallavis bei Cps-Fälligk Fälligk WS80 Verfallavis Verfallavis Wiederanlagevors. Verfallavis Wiederanlagevors. Verfallavis 1009 Wiederanlagevors. Wiederanlagevors WS80 Verfallavis sonstiges Verfallavis sonstiges Verfallavis sonstiges Verfallavis sonstiges WS80 Selektive Avisierung Notification sélective Avviso selettivo Selective notification WS80 TO&FF-Tagesauszug TO&FF extrait journalier TO&FF estratto giornaliere TO&FF daily extract WS80 Auszug Firstphone Extrait Firstphone Estratto Firstphone Extract Firstphone WS80 Sammel-GA für OMark GO global pour OPICS Genere d op. globale per OPICS Collective TD for OPICS WS80 Sammel-GA für US- GO global pour US-GAAP GO globale per US-GAAP Coll. TD for US-GAAP 1008 GAAP 1201 WS80 Adjustierungs-Faktor Coeffic. d ajustement spécial Coeff. d aggiustaggio speciale Adjustement factor special 1008 Spezial 1202 WS80 BESL-Korrektur Corrections CLMO Correzioni CIMP AMK corrections WS80 EK Uebernahme EK Uebernahme Bewegung EK Uebernahme Bewegung EK Uebernahme Bewegung 1008 Bewegung 1204 WS80 EK.Korrektur aktueller Correction CAM solde actuel Correzione CAM saldo attuale Correction current balance 1008 Saldo 1205 WS80 Bewertungskurs Bewertungskurs Korrektur Bewertungskurs Korrektur Bewertungskurs Korrektur 1008 Korrektur 1206 WS80 Administrationsgebühr Commissions d administration Tassa amministrative Administration Fees WS80 Vermögensverwaltungsge Frais de gestion Diritti amministrativi Portfolio management fees 1011 bühren 1208 WS80 Investment Investment Investment Perform.Calculation Investment 1011 Perform.Calculation Perform.Calculation Perform.Calculation 1210 WS80 Titel/CP-Bogen Renouvel. titre/cédule Rinnovo titolo/cedole Secur./coupon sheet 1002 Erneuerung renewal 1211 WS80 Stückelungsumtausch Stückelungsumtausch Stückelungsumtausch Stückelungsumtausch WS80 Geldbuchung Décompte espèces Conteggio contanti Cash settlement WS80 Ratazins Intérêt pro rata OC Interessi pro rata OC Broken-period interest MTnote 1005 Kassenobligationen 1214 WS80 Zinsaufwand Charge d intérêt OC Onere d interessi OC Interest expenditure MTnotes 1005 Kassenobligationen 1215 WS80 Fälliger Kapitalaufwand Charge de capital échue OC Onere di capitale maturato OC Due capital expendit. MTnotes 1005 KO 1216 WS80 Kurs-G/V im P/P brut aux fonds propres P/P lordi in posizioni N/P Kurs-G/V im Eigenbestand 1008 Eigenbestand 1217 WS80 Uebernahme Uebernahme Uebernahme Comptantbestand Uebernahme 1008 Comptantbestand Comptantbestand Comptantbestand 1218 WS80 Uebernahme Terminfestbestand Uebernahme Terminfestbestand Uebernahme Terminfestbestand Uebernahme Terminfestbestand WS80 EB Depotübertrag mit Kurs Transfert dépôt FP à cours Trasf. deposito FP a corso tit Depot transf own pos.w.price 1003 Page 62/Page 75

63 DIT No. Feeder Application 1220 WS80 EB Depotübertrag mit 1221 WS80 EB-Depotübertrag zum 1222 WS80 Erledigung EB- Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No. Transfert dépôt FP à cours Trasf. deposito FP a corso tit Depot transf own 1003 Kurs pos.w.price Transfert dépôt FP à cours inv Trasf. deposito NP a corso inv Depot transf. own position 1003 Inv.Kurs Traitement suspens de Tratamento sospeso di sistema Erledigung EB Systempendenzp. système Systempendenzp. Rectif. automatique de valeur Rettifica automatica di valore Autom.Wertberechtigung im 1008 im EB EB 1223 WS80 Autom.Wertberechtigung 1224 WS80 Einzel-Wertberechtigung Rectif.individuelle de valeur Rettific. individ. di valore Einzel-Wertberechtigung WS80 Geldbuchung zu EB Comptab. d espèces liée aux Registra moneta a pos. NP Geldbuchung zu EB 1008 zuordnen FP zuordnen 1226 WS80 Wertloserklärung im WS- Déclaration sans valeur FP Dichiaraz. senza valore NP Wertloserklärung im WS-EB 1002 EB 1227 WS80 Einstandskurs-Korrektur Correction du CAM FP Correzione di CCM NP Einstandskurs-Korrektur im 1008 im EB EB 1228 WS80 Einseitige Buchung im EB Ecriture unilatérale FP Registrazione unilaterale a NP Einseitige Buchung im EB WS80 Mut-Korrekt.Fiche (MC Mut-Korrekt.Fiche (MC 10 & Mut-Korrekt.Fiche (MC 10 & 11) Mut-Korrekt.Fiche (MC & 11) 11) & 11) 1230 WS80 Mut-Sendung (MC 26) Mut-Sendung (MC 26) Mut-Sendung (MC 26) Mut-Sendung (MC 26) WS80 Mut-int.Ein-/Ausb.(MC27 Mut-int.Ein-/Ausb.(MC27 & Mut-int.Ein-/Ausb.(MC27 & 28) Mut-int.Ein-/Ausb.(MC27 & 1008 & 28) 28) 28) 1232 WS80 Mut-Anr.Verk./ Mut-Anr.Verk./Kauf(MC31 & Mut-Anr.Verk./Kauf(MC31 & 32) Mut-Anr.Verk./Kauf(MC Kauf(MC31 & 32) 32) & 32) 1233 WS80 Mut-Auslosungsumb.(MC Mut-Auslosungsumb.(MC 35 Mut-Auslosungsumb.(MC 35 & Mut-Auslosungsumb.(MC 35 & & 36) & 36) 36) 36) 1234 WS80 Vereinnahmen Kapital Comptabilis. capital Contabil. capitale Book capital WS80 Fremdwährungssaldoberi Ajust. solde monnaie Rettifica saldo moneta estera Correctn. foreign curr.balance 1008 chtigung étrangère 1236 WS80 Avis: Kauf Avis: Achat Avviso: Compera Advice: Purchase WS80 Avis: Kauf Avis: Achat Avviso: Compera Advice: Purchase WS80 Avis: Exercise Avis: Exercise Avviso: Exercise Advice: Exercise WS80 Avis: Repo Opening Avis: Repo Opening Avviso: Repo Opening Advice: Repo Opening WS80 Avis: Reverse Repo Avis: Reverse Repo Closing Avviso: Reverse Repo Closing Advice: Reverse Repo Closing 1009 Closing 1241 WS80 Avis: Verkauf Avis: Vente Avviso: Vendita Advice: Sale WS80 Avis: Verkauf Avis: Vente Avviso: Vendita Advice: Sale WS80 Avis: Assignment Avis: Assignment Avviso: Assignment Advice: Assignment WS80 Avis: Repo Closing Avis: Repo Closing Avviso: Repo Closing Notification: Repo Closing WS80 Avis: Reverse Repo Avis: Reverse Repo Opening Avviso: Reverse Repo Opening Advice: Reverse Repo Opening 1009 Opening 1246 WS80 Avis: Report Avis: Report Avviso: Riporto Advice: Contango WS80 Avis: Deport Avis: Déport Avviso: Deporto Advice: Backwardation WS80 Avis: Abandonnierung Avis: Abandon Avviso: Abandono Advice: Abandonment WS80 Avis: Gutschrift Termin- Avis: Liquidation crédit Avviso: Accredito liquidaz. a Advice: Credit entry closing 1012 Liquidation termine forw.pos WS80 Avis: Belastung Termin- Avis: Liquidation débit Avviso: Addebito liquidaz. a Advice: Debit entry closing forw Liquidation termine pos WS80 Avis: Bestandeszugang Avis: Augmentation de position Avviso: Augmento di posizione liq. Advice: Increase of position liq Termin-Liq. liq WS80 Avis: Best.-Verminderung Avis: Réduction de position liq. Avviso: Riduzione di posizione liq. Advice: Reduction of position liq Termin-Liq WS80 Avis: Bestandesänderung Avis: Modification de position Avviso: Modifica di posizione liq. Advice: Change in position liq Termin-Liq. liq WS80 Avis: Liq. Endabrechnung Avis: Décompte final Avviso: Conteggio finale Advice: Forward trans.final 1012 liquidation liquidazione settlement 1256 WS80 Avis: Repo Ausgleich Avis: Repo Decompte Final Avviso: Repo Conte. Finale Advice: Repo Final Settlem WS80 Avis: Rev. Repo Avis: Rev.Repo Dec.Final Avviso: Rev.RepoCont.Finale Advice: Rev.Repo Final Sett Ausgleich 1258 WS80 Avis: Emission Avis: Emission Avviso: Emissione Advice: New issue WS80 Avis: Emission Avis: Emission Avviso: Emissione Advice: New issue WS80 Avis: Vorrechtszeichnung Avis: Souscription privilégiée Avviso: Sottoscrizione privilegiata Advice: Preferential right 1013 aubscriptn 1261 WS80 Avis: Vorrechtszeichnung Avis: Souscription privil. droits Avviso: Advice: Pref.right Anrechten Sottoscriz.priv.dir.d opzione subscript+rights 1262 WS80 Avis: Ausgabe von Avis: Emission de parts de Avviso: Emissione di parti di fondi Advice: Issue of investment fund 1013 Fondsanteilen fonds units 1263 WS80 Avis: Kapitalerhöhung Avis: Augmentation de capital Avviso: Aumento di capitale Advice: Capital increase WS80 Avis: Kapitalerhöhung Avis: Augmentation de capital Avviso: Aumento di capitale Advice: Capital increase 1013 Page 63/Page 75

64 DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No. Avviso: Azioni per collaboratori Advice: Staff shares 1013 personnel 1265 WS80 Avis: Mitarbeiteraktien Avis: Actions en faveur du 1266 WS80 Avis: Gratisemission Avis: Attribution gratuite Avviso: Emissione gratuita Advice: Issue of bonus shares WS80 Avis: Gratisemission Avis: Attribution gratuite Avviso: Emissione gratuita Advice: Issue of bonus shares WS80 Avis: Aktionärsoptionen Avis: Options actionnaires Avviso: Opzioni d azionisti Advice: Shareholder warrants WS80 Avis: Kapitalisierung von Avis: Capitalisation de réserves Avviso: Capitalizzazione di riserve Advice: Capitalisation of 1013 Reserven reserves 1272 WS80 Avis: Stockdividende Avis: Stock dividend Avviso: Stock dividendo Advice: Stock dividend WS80 Avis: Portefeuille- Avis: Distribution de Avviso: Distribuzione in portafoglio Advice: Portfolio distribution 1013 Ausschüttung portefeuille 1276 WS80 Avis: Spin off Avis: Spin off Avviso: Spin off Advice: Spin off WS80 Avis: Stockdividende Avis: Stock dividend Avviso: Stock dividendo Advice: Stock dividend WS80 Avis: Portefeuille- Avis: Distribution de Avviso: Distribuzione in portafoglio Advice: Portfolio distribution 1013 Ausschüttung portefeuille 1280 WS80 Avis: Eingang Avis: Entrée de parts de fonds Avviso: Entrata di parti di fondi CI Advice: Entry of fund units IA 1017 Fondsanteile IK CI 1281 WS80 Avis: Ausgang Avis: Sortie de parts de fonds Avviso: Uscita di parti di fonti CI Advice: Withdrawal of fund units 1017 Fondsanteile IK CI IA 1282 WS80 Avis: Abgeltung von Avis: Indemnisation de valeurs Avviso: Indennizzo di valori Advice: Indemnification of 1013 Werten securities 1284 WS80 Avis: Barabgeltung von Avis: Encaissement de coto Avviso: Rimborso in contanti di Advice: Compensation in cash 1013 Coto Opt. coto for coto 1286 WS80 Avis: Rückzahlung durch Avis: Remb.suite au tirage au Avviso: Rimb. in seguito a Advice: Redemption due to 1018 Verlosung sort estrazione drawing 1287 WS80 Avis: Vorzeitige Avis: Remboursement Avviso: Rimborso Advice: Premature redemption 1018 Rückzahlung 1288 WS80 Avis: Rückzahlung durch Avis: Remb. suite à la Avviso: Rimborso in seguito a Advice: Redemption due to 1018 Kündigung dénonciation disdetta calling 1289 WS80 Avis: Rückzahlung per Avis: Remb.suite à l échéance Avviso: Rimb.seguito a Advice: Redempt.on the final 1018 Endverfall finale scadenz.finale due date 1290 WS80 Avis: Rückz. auf Wunsch Avis: Remb.à la demande du Avviso: Rimb.su richiesta del Advice: Redempt.on req.of the 1018 Gläubiger créancier credit. creditor 1291 WS80 Avis: Kapitalredukt. mit Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Capital reduct.with 1018 Rückzahlung redemption 1293 WS80 Avis: Rückzahlung Avis: Remboursement Avviso: Rimborso Advice: Redemption WS80 Avis: Optionsverfall Avis: Echéance d option Avviso: Scadenza d opzione Advice: Traded options expiry WS80 Avis: Rückkauf Aufgrund Avis: Rachat suite à la reprise Avviso: Risc.in seguito a Advice: Repurchase due to a 1013 Uebernahme rilevamento take-over 1296 WS80 Avis: Rückkauf durch Avis: Rachat par la société Avviso: Riscatto della società Advice: Repurchase by company 1013 Gesellschaft 1298 WS80 Avis: Rückkauf eigener Avis: Rachat par la société Avviso: Riscatto della propria Advice: Repurchase by own 1013 Gesellschaft società company 1299 WS80 Avis: Rückkauf über 2. Avis: Rachat sur 2ème ligne Avviso: Riscatto sulla 2. linea Advice: Repurchase on 2nd line 1013 Linie 1300 WS80 Avis: Rücknahme von Avis: Reprise de parts de Avviso: Ripresa di parti di fondi Advice: Repayment of 1017 Fondsanteilen fonds invest.fund units 1301 WS80 Avis: Optionsausübung Avis: Exercice d options Avviso: Esercizio dell opzione Advice: Exercise warrants WS80 Avis: Ausübung von Put- Avis: Exercice de put options Avviso: Esercizio delle put opzione Advice: Exercise put warrants 1013 Optionen 1303 WS80 Avis: Ausübung von Avis: Exercice d index options Avviso: Esercizio dell indexopzione Advice: Exercise index-options 1013 Index-Optionen 1304 WS80 Avis: Liquidation Avis: Liquidation Avviso: Liquidazione Advice: Liquidation WS80 Avis: Wertloserklärung Avis: Déclaration sans valeur Avviso: Ammortamento Advice: No value declaration WS80 Avis: Verfall Avis: Echéance Avviso: Scadenza Advice: Expiry WS80 Avis: Kapitalred. ohne Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Capit.reduct.without 1013 Rückzahlung redempt WS80 Avis: Konversion Avis: Conversion Avviso: Converzione Advice: Conversion WS80 Avis: Kapitalred. mit Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Cap.reduction with 1013 Rückzahlung redempt WS80 Avis: Einzahlung von non Avis: Paiement du non versé Avviso: Pagamento del non versé Advice: Payment of non versé 1013 versé 1311 WS80 Avis: Rückzahlung durch Avis: Remb.suite au tirage au Avviso: Rimb.in seguito a Advice: Redemption due to 1018 Verlosung sort estrazione drawing 1312 WS80 Avis: Vorzeitige Avis: Remboursement anticipé Avviso: Rimborso anticipato Advice: Premature redemption 1018 Rückzahlung 1314 WS80 Avis: Rückzahlung durch Kündigung Avis: Remb. suite à la dénonciation Avviso: Rimborso in seguito a disdetta Advice: Redemption due to calling WS80 Avis: Rückzahlung per endverfall Avis: Remb.suite à l échéance finale Avviso: Rimb.in seguito a scad.finale Advice: Redempt.on the final due date 1018 Page 64/Page 75

65 DIT No. Feeder Application 1317 WS80 Avis: Rückzahl. auf 1318 WS80 Avis: Kapitalredukt. mit Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No. Avis: Remb.à la demande du Avviso: Rimb.su richiesta del Advice: Redempt.on req.of the 1018 Wunsch Gläubiger créancier credit. creditor Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Capital reduct.with 1018 Rückzahlung redemption 1319 WS80 Avis: Liquidation Avis: Liquidation Avviso: Liquidazione Advice: Liquidation WS80 Avis: Rückzahlung Avis: Remboursement Avviso: Rimborso Advice: Redemption WS80 Avis: Inkasso Avis: Encaissement Avviso: Incasso Advice: Collection WS80 Avis: Inkasso Avis: Encaissement Avviso: Incasso Advice: Collection WS80 Avis: VEGA provisorisch Avis: VEGA provisorisch Avviso: VEGA provisorisch Advice: VEGA provisorisch WS80 Avis: Namensänderung Avis: Changement de nom Avviso: Cambiamento del nome Advice: Change of name WS80 Avis: Valorennummernänderun g 1326 WS80 Avis: Umtausch Beteiligungspapiere 1327 WS80 Avis: Laufzeitverlängerung 1328 WS80 Avis: Umtausch aufgrund Uebernahme Avis: Changement du numéro de valeur Avviso: Cambiam. del numero di valore Advice: Change of security number Avis: Echange de titres de particip. Avviso: Scambio di titoli di partecip. Advice: Exchange equities 1013 Avis: Prorogation de Avviso: Proroga della durata Advice: Extension of maturity 1013 l échéance Avis: Echange suite à la Avviso: Permuta in seg. a Advice: Conversion due to a 1013 reprise rilevamento take-over 1331 WS80 Avis: Umtausch Avis: Echange Avviso: Scambio Advice: Exchange WS80 Avis: Fusion Avis: Fusion Avviso: Fusione Advice: Merger WS80 Avis: Entflechtung Avis: Décartellisation Avviso: Scorporazione della Advice: Decartelization WS80 Avis: Trennung Avis: Séparation Avviso: Separazione Advice: Separation WS80 Avis: Zusammenlegung Avis: Assimilation Avviso: Raggruppamento Advice: Consolidation WS80 Avis: Ausgabe von Avis: Emission de parts de Avviso: Emissione di parti di fondi Advice: Issue of Hedge funds 1017 Hedge-Funds fonds 1337 WS80 Avis: Umtausch Avis: Echange Avviso: Scambio Advice: Exchange WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depository WS80 Avis: Wandlung Avis: Conversion Avviso: Conversione Advice: Conversion WS80 Avis: Ausübung von Avis: Levée options/warrants Avviso: Esercizio opzioni/warrants Advice: Exercise 1013 Optionsscheinen options/warrants 1341 WS80 Avis: Ausübung von Coto Avis: Exécution coto options Avviso: Esercizio di opzioni coto Advice: Exercise of coto 1013 Optionen options 1342 WS80 Avis: Split ohne Avis: Split sans changement Avviso: Split senza cambiam. n Advice: Split without change 1013 Valorennr-Aenderung n val. valore secur.nr 1343 WS80 Avis: Split Avis: Split Avviso: Split Advice: Split WS80 Avis: Split Avis: Split Avviso: Split Advice: Split WS80 Avis: Rev.Split ohne Avis: Rev. split sans chang. n Avviso: Rev. split senza camb. n Advice: Rev.split without 1013 Valorennr-Aend. val. val. change secnr 1346 WS80 Avis: Rev.Split mit Avis: Rev.split avec chang. n Avviso: Rev. split con camb. n Advice: Rev. split with change 1013 ValorenNr-Aend. val. Val. sec. nr 1347 WS80 Avis: reverse split Avis: reverse split Avviso: reverse split Advice: Reverse split WS80 Avis: Aenderung Stück- Avis: Changement de valeur Avviso: Modifica del valore Advice: Change of nominal 1013 /Nomin.-Notiz nominale nominale value 1349 WS80 Avis: Aenderung Stück- Avis: Changement de valeur Avviso: Modifica del valore Advice: Change of nominal 1013 /Nomin.-Notiz nominale nominale value 1350 WS80 Avis: Kapitalisierung von Avis: Capitalisation de réserves Avviso: Capitalizzazione di riserve Advice: Capitalisation of 1013 Reserven reserves 1351 WS80 Avis: Kapitalred.mit Avis: Réduct. de capital avec Avviso: Riduz. di capitale con Advice: Capital reduct. with 1013 Rückzahlung remb. rimb. refund 1352 WS80 Avis: Kapitalred.ohne Avis: Réduct. du capital sans Avviso: Riduz. di capitale senza Advice: Capital reduct. without 1013 Rückzahlung remb. rimb. refund 1353 WS80 Avis: Einzahlung von non Avis: Paiement du non versé Avviso: Pagamento di non versé Advice: Payement of non 1013 versé versé 1354 WS80 Avis: Kapitaleinforderung Avis: Libération du capital Avviso: Richiesta di capitale Advice: Call for non-paid-in 1013 capital 1355 WS80 Avis: Kapitaleinforderung Avis: Libération du capital Avviso: Richiesta di capitale Advice: Call for non-paid-in 1013 capital 1356 WS80 Avis: Bestandeskorrektur Avis: Correction de la position Avviso: Rettifica di posizione Advice: Correction of position WS80 Avis: Interne Avis: Correction interne de Avviso: Rettifica interna di titoli Advice: Int. correction of 1014 Titelkorrektur titres securities 1358 WS80 Avis: Titelkorrektur Avis: Correction titres act. Avviso: Securit. correct. az. nom. Advice: Securit. correct. reg Namenaktien nomin. shares 1359 WS80 Avis: Deponierung Avis: Mise sous dépôt Avviso: Messa in deposito Advice: Deposit WS80 Avis: Deponierung Avis: Mise sous dépôt Avviso: Messa in deposito Advice: Deposit WS80 Avis: Depotübertrag Avis: Transfert de dépôt Avviso: Trasferimento di deposito Advice: Transfer WS80 Avis: Depotübertrag Avis: Transfert de dépôt Avviso: Trasferimento di deposito Advice: Transfer WS80 Avis: Transfer Avis: Transfert Avviso: Trasferimento Advice: Transfer Page 65/Page 75

66 DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No WS80 Avis: Sec. Lending and Avis: Sec. Lending and Avviso: Sec. Lending and Advice: Sec. Lending and 1009 Borrowing Borrowing Borrowing Borrowing 1365 WS80 Avis: Depotausgang Avis: Sortie de dépôt Avviso: Uscita di deposito Advice: Custody account 1014 withdrawal 1366 WS80 Avis: Depotausgang Avis: Sortie de dépôt Avviso: Uscita di deposito Advice: Custody account 1014 withdrawal 1367 WS80 Avis: Sendung an Avis: Envoi au déposant Avviso: Invio al depositante Advice: Send to depositor 1014 Deponent 1368 WS80 Avis: Depotausgang Avis: Sortie de dépôt Avviso: Uscita di deposito Advice: Custody account 1014 withdrawal 1369 WS80 Avis: Depotausgang Avis: Sortie de dépôt Avviso: Uscita di deposito Advice: Custody account 1014 withdrawal 1370 WS80 Avis: Freistellung Avis: Mise à disposition Avviso: Messa a disposizione Advice: Custody account 1013 withdrawal 1371 WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depositary WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depositary WS80 Avis: Titelumbuchung Avis: Changement inscription Avviso: Cambiamento iscrizione Advice: Reregistration of 1014 titres titoli securities 1374 WS80 Avis: Herbeorderung Avis: Rapatriement Avviso: Richiamo Advice: Repatriation WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depository WS80 Avis: Wegbeorderung Avis: Expatriement Avviso: Ritorno Advice: Expatriation WS80 Avis: Zinszahlung Avis: Paiement d intérêts Avviso: Pagamento d interessi Advice: Interest payment WS80 Avis: Bardividende Avis: Dividende en espèces Avviso: Dividendo in contanti Advice: Cash dividend WS80 Avis: Nachrechnen Ertrag Avis: Recalcul. revenus rel. Avviso: Nuovo calc.proventa Advice: Check.of profit for taxreg Steuerverz. fiscaux dist.fisc WS80 Avis: Barausschüttung Avis: Distribution en espèce Avviso: Distribuzione in contanti Advice: Distribution in cash WS80 Avis: Stockdividende in Avis: Stockdividende en Avviso: Stockdividendo in contanti Advice: Stock dividend in cash 1016 Bar espèces 1382 WS80 Avis: Naturalausschüttung Avis: Distribution en nature Avviso: Ripartizione in natura Advice: Dividend paid in kind WS80 Avis: Liq. ausschüttung Avis: Distr. de liquidation Avviso: Ripartizione di liquidazione Advice: Liquid. distribution 1016 Ertrag revenu proceeds 1384 WS80 Avis: Kapitalgewinn Avis: Bénéfice en capital Avviso: Utile di capitale Advice: Capital gain WS80 Avis: Kapitalrückzahlung Avis: Remboursement de Avviso: Rimborso di capitale Advice: Repayment of principal 1016 capital 1386 WS80 Avis: Ertragszahlung Avis: Paiement de revenu Avviso: Pagamento dei redditi Advice: Income payment WS80 Avis: Geldabrechnung Avis: Décompte espèces Avviso: Conteggio contanti Advice: Cash settlement WS80 Avis: Zinszahlung Avis: Zinszahlung Einreicher Avviso: Zinszahlung Einreicher Advice: Zinszahlung Einreicher 1016 Einreicher 1389 WS80 Avis: Bardividende Avis: Bardividende Einreicher Avviso: Bardividende Einreicher Advice: Bardividende 1016 Einreicher Einreicher 1390 WS80 Avis: Bardiv. mit Kapital- Avis: Bardiv. mit Kapital- Avviso: Bardiv. mit Kapital- Advice: Bardiv. mit Kapital Gewinnteil Gewinnteil Gewinnteil Gewinnteil 1391 WS80 Avis: Stockdiv.Bar Avis: Stockdiv.Bar Avviso: Stockdiv.Bar Advice: Stockdiv.Bar 1016 o.wahlmögl.dep o.wahlmögl.dep o.wahlmögl.dep o.wahlmögl.dep 1392 WS80 Avis: Stockdiv.Bar Avis: Stockdiv.Bar Avviso: Stockdiv.Bar Advice: Stockdiv.Bar 1016 m.wahlmögl.dep m.wahlmögl.dep m.wahlmögl.dep m.wahlmögl.dep 1393 WS80 Avis: Naturalausschüttung Avis: Naturalausschüttung Avviso: Naturalausschüttung Advice: Naturalausschüttung WS80 Avis: Liq. Ausschüttung Avis: Liq. Ausschüttung Avviso: Liq. Ausschüttung Advice: Liq. Ausschüttung WS80 Avis: Kapitalgewinn Avis: Kapitalgewinn Avviso: Kapitalgewinn Advice: Kapitalgewinn WS80 Avis: Kapitalrückzahlung Avis: Kapitalrückzahlung Avviso: Kapitalrückzahlung Advice: Kapitalrückzahlung 1016 Einreicher Einreicher Einreicher Einreicher 1397 WS80 Avis: Zinszahlung Avis: Paiement d intérêts Avviso: Pagamento d interessi Advice: Interest payment WS80 Avis: Bardividende Avis: Dividende en espèces Avviso: Dividendo in contanti Advice: Cash dividend WS80 Avis: Nachrechnen Ertrag Avis: Recalcul. revenus rel. Avviso: Nuovo calc.proventa Advice: Check.of profit for taxreg Steuerverz. fiscaux dist.fisc WS80 Avis: Stockdividende in Avis: Stockdividende en Avviso: Stockdividendo in contanti Advice: Stock dividend in cash 1016 Bar espèces 1405 WS80 Avis: Stockdividende in Avis: Stockdividende en Avviso: Stockdividendo in contanti Advice: Stock dividend in cash 1016 Bar espèces 1407 WS80 Avis: Naturalausschüttung Avis: Distribution en nature Avviso: Ripartizione in natura Advice: Dividend paid in kind WS80 Avis: Liq. ausschüttung Avis: Distr. de liquidation Avviso: Ripartizione di liquidazione Advice: Liquid. distribution 1016 Ertrag revenu proceeds 1411 WS80 Avis: Kapitalgewinn Avis: Bénéfice en capital Avviso: Utile di capitale Advice: Capital gain WS80 Avis: Kapitalrückzahlung Avis: Remboursement de Avviso: Rimborso di capitale Advice: Repayment of principal 1016 capital 1415 WS80 Avis: Erhol.Seite Avis: Erhol.Seite Avviso: Erhol.Seite Advice: Erhol.Seite 1016 Kapitalfälligkeit Kapitalfälligkeit Kapitalfälligkeit Kapitalfälligkeit 1416 WS80 Avis: Deckblatt Einreichunglosung Avis: 1ère feuille remettants Avviso: 1.o.foglio presentatori Advice: Cover page presenters 1009 Page 66/Page 75

67 DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No WS80 Avis: Deckblatt Sendung Avis: 1ère feuille envoi Avviso: 1.o.foglio inoltro Advice: Cover page 1009 consignment 1418 WS80 Avis: Korrektur Avis: Korrektur Avviso: Korrektur Advice: Korrektur 1016 Ertragsabrechnung Ertragsabrechnung Ertragsabrechnung Ertragsabrechnung 1419 WS80 Avis: Korrektur Avis: Korrektur Avviso: Korrektur Advice: Korrektur 1016 Ertragsabrechnung Ertragsabrechnung Ertragsabrechnung Ertragsabrechnung 1420 WS80 Avis: Steuersachen Avis: Domaine fiscal Avviso: Imposta Advice: Fiscal matters WS80 Avis: Steuerrückerstattung Avis: Remboursement de l impôt Avviso: Rimborso dell imposta Advice: Repayment of withholding tax WS80 Avis: Generalversammlungseinl adung Avis: Invitation assemblée générale Avviso: Invito all assemblea generale Advice: Invitation to AGM WS80 Avis: Class-Action Avis: Class-Action Avviso: Class-Action Advice: Class-Action WS80 Avis: Avis: Assemblée des Avviso: Assemblea dei creditori Advice: Meeting of creditors 1013 Gläubigerversammlung Céanciers 1425 WS80 Avis: Neukotierung Valor Avis: Nouvelle cotation de Avviso: Nuova quotazione del Advice: New listing of security 1013 valeur valore 1426 WS80 Avis: Sonstige Avis Avis: Autre avis Avviso: Altro avviso Advice: Other notification WS80 Avis: Avis b.aenderung in Avis: Avis b.aenderung in Avviso: Avis b.aenderung in Advice: Avis b.aenderung in 1009 Titelbed. Titelbed. Titelbed. Titelbed WS80 Avis: Avis bei Titeländ. Avis: Avis bei Titeländ. Avviso: Avis bei Titeländ. Advice: Avis bei Titeländ sonstiges sonstiges sonstiges sonstiges 1429 WS80 Avis: Verfallavis bei Cps- Avis: Verfallavis bei Cps- Avviso: Verfallavis bei Cps- Advice: Verfallavis bei Cps Fälligk. Fälligk. Fälligk. Fälligk WS80 Avis: Verfallavis Avis: Verfallavis Avviso: Verfallavis Advice: Verfallavis 1009 Wiederanlagevors. Wiederanlagevors. Wiederanlagevors. Wiederanlagevors WS80 Avis: Verfallavis sonstiges Avis: Verfallavis sonstiges Avviso: Verfallavis sonstiges Advice: Verfallavis sonstiges WS80 Avis: Selektive Avisierung Avis: Notification sélective Avviso: Avviso selettivo Advice: Selective notification WS80 Avis: TO&FF- Avis: TO&FF extrait journalier Avviso: TO&FF estratto Advice: TO&FF daily extract 1019 Tagesauszug giornaliere 1434 WS80 Avis: Auszug Firstphone Avis: Extrait Firstphone Avviso: Estratto Firstphone Advice: Extract Firstphone WS80 Avis: Sammel-GA für Avis: GO global pour OPICS Avviso: Genere d op. globale per Advice: Collective TD for 1009 OMark OPICS OPICS 1436 WS80 Avis: Sammel-GA für US- Avis: GO global pour US- Avviso: GO globale per US-GAAP Advice: Coll. TD for US-GAAP 1009 GAAP GAAP 1437 WS80 Avis: Adjustierungs- Avis: Coeffic. d ajustement Avviso: Coeff. d aggiustaggio Advice: Adjustement factor 1009 Faktor Spezial spécial speciale special 1438 WS80 Avis: BESL-Korrektur Avis: Corrections CLMO Avviso: Correzioni CIMP Advice: AMK corrections WS80 Avis: EK Uebernahme Avis: EK Uebernahme Avviso: EK Uebernahme Advice: EK Uebernahme 1009 Bewegung Bewegung Bewegung Bewegung 1440 WS80 Avis: EK.Korrektur Avis: Correction CAM solde Avviso: Correzione CAM saldo Advice: Correction current 1009 aktueller Saldo actuel attuale balance 1441 WS80 Avis: Bewertungskurs Avis: Bewertungskurs Avviso: Bewertungskurs Advice: Bewertungskurs 1009 Korrektur Korrektur Korrektur Korrektur 1442 WS80 Avis: Avis: Commissions Avviso: Tassa amministrative Advice: Administration Fees 1020 Administrationsgebühr d administration 1443 WS80 Avis: Avis: Frais de gestion Avviso: Diritti amministrativi Advice: Portfolio management 1020 Vermögensverwaltungsge bühren fees 1444 WS80 Avis: Investment Avis: Investment Avviso: Investment Advice: Investment 1020 Perform.Calculation Perform.Calculation Perform.Calculation Perform.Calculation 1446 WS80 Avis: Titel/CP-Bogen Avis: Renouvel. titre/cédule Avviso: Rinnovo titolo/cedole Advice: Secur./coupon sheet 1013 Erneuerung renewal 1447 WS80 Avis: Avis: Stückelungsumtausch Avviso: Stückelungsumtausch Advice: Stückelungsumtausch 1013 Stückelungsumtausch 1448 WS80 Avis: Geldbuchung Avis: Décompte espèces Avviso: Conteggio contanti Advice: Cash settlement WS80 Avis: Ratazins Avis: Intérêt pro rata OC Avviso: Interessi pro rata OC Advice: Broken-period interest 1016 Kassenobligationen MT-note 1450 WS80 Avis: Zinsaufwand Avis: Charge d intérêt OC Avviso: Onere d interessi OC Advice: Interest expenditure 1016 Kassenobligationen MT-notes 1451 WS80 Avis: Fälliger Avis: Charge de capital échue Avviso: Onere di capitale Advice: Due capital expendit Kapitalaufwand KO OC maturato OC MT-notes 1452 WS80 Avis: Kurs-G/V im Avis: P/P brut aux fonds Avviso: P/P lordi in posizioni N/P Advice: Kurs-G/V im 1009 Eigenbestand propres Eigenbestand 1453 WS80 Avis: Uebernahme Avis: Uebernahme Avviso: Uebernahme Advice: Uebernahme 1009 Comptantbestand Comptantbestand Comptantbestand Comptantbestand 1454 WS80 Avis: Uebernahme Terminfestbestand Avis: Uebernahme Terminfestbestand Avviso: Uebernahme Terminfestbestand Advice: Uebernahme Terminfestbestand WS80 Avis: EB Depotübertrag mit Kurs Avis: Transfert dépôt FP à cours Avviso: Trasf. deposito FP a corso tit Advice: Depot transf own pos.w.price 1014 Page 67/Page 75

68 DIT No. Feeder Application 1456 WS80 Avis: EB Depotübertrag 1457 WS80 Avis: EB-Depotübertrag 1458 WS80 Avis: Erledigung EB- Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No. Avis: Transfert dépôt FP à Avviso: Trasf. deposito FP a Advice: Depot transf own 1014 mit Kurs cours corso tit pos.w.price Avis: Transfert dépôt FP à Avviso: Trasf. deposito NP a Advice: Depot transf. own 1014 zum Inv.Kurs cours inv corso inv position Avis: Traitement suspens de Avviso: Tratamento sospeso di Advice: Erledigung EB Systempendenzp. système sistema Systempendenzp WS80 Avis: Autom.Wertberechtigung im EB 1460 WS80 Avis: Einzel- Wertberechtigung 1461 WS80 Avis: Geldbuchung zu EB zuordnen 1462 WS80 Avis: Wertloserklärung im WS-EB 1463 WS80 Avis: Einstandskurs- Korrektur im EB 1464 WS80 Avis: Einseitige Buchung im EB 1465 WS80 Avis: Mut-Korrekt.Fiche (MC 10 & 11) 1466 WS80 Avis: Mut-Sendung (MC 26) 1467 WS80 Avis: Mut-int.Ein- /Ausb.(MC27 & 28) 1468 WS80 Avis: Mut- Anr.Verk./Kauf(MC31 & 32) 1469 WS80 Avis: Mut- Auslosungsumb.(MC 35 & 36) 1470 WS80 Avis: Vereinnahmen Kapital 1471 WS80 Avis: Fremdwährungssaldoberi chtigung Avis: Rectif. automatique de valeur Avviso: Rettifica automatica di valore Advice: Autom.Wertberechtigung im EB Advice: Einzel- Wertberechtigung Advice: Geldbuchung zu EB zuordnen Advice: Wertloserklärung im WS-EB Avis: Rectif.individuelle de Avviso: Rettific. individ. di valore valeur Avis: Comptab. d espèces liée Avviso: Registra moneta a pos. aux FP NP Avis: Déclaration sans valeur Avviso: Dichiaraz. senza valore FP NP Avis: Correction du CAM FP Avviso: Correzione di CCM NP Advice: Einstandskurs- Korrektur im EB Avis: Ecriture unilatérale FP Avviso: Registrazione unilaterale a Advice: Einseitige Buchung im NP EB Avis: Mut-Korrekt.Fiche (MC Avviso: Mut-Korrekt.Fiche (MC Advice: Mut-Korrekt.Fiche 10 & 11) 10 & 11) (MC 10 & 11) Avis: Mut-Sendung (MC 26) Avviso: Mut-Sendung (MC 26) Advice: Mut-Sendung (MC 26) Avis: Mut-int.Ein- Avviso: Mut-int.Ein-/Ausb.(MC27 Advice: Mut-int.Ein- /Ausb.(MC27 & 28) & 28) /Ausb.(MC27 & 28) Avis: Mut- Avviso: Mut- Advice: Mut- Anr.Verk./Kauf(MC31 & 32) Anr.Verk./Kauf(MC31 & 32) Anr.Verk./Kauf(MC31 & 32) Avis: Mut- Auslosungsumb.(MC 35 & 36) Avviso: Mut-Auslosungsumb.(MC 35 & 36) Advice: Mut- Auslosungsumb.(MC 35 & 36) Avis: Comptabilis. capital Avviso: Contabil. capitale Advice: Book capital 1013 Avis: Ajust. solde monnaie étrangère Avviso: Rettifica saldo moneta estera Advice: Correctn. foreign curr.balance 1472 WS80 Repo Repo Repo Reverse Repo WS80 Reverse Repo Reverse Repo Reverse Repo Reverse Repo Document Types: Statement of Investments/Investment Performance DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No AIS/IPC Vermögensverzeichnisse Relevé de placements Distinta patrimoniale Statements of investments AIS/IPC Vermögensverzeichnisse Relevées de placements Distinte patrimoniale Statement of investments AIS/IPC Performance Ausweise Relevées de performance Resoconti della performance Performance Statements AIS/IPC Investment Management Investment Management Investment Management Reports Investment Management 2003 Reports Reports Reports 2004 AIS/IPC Premium Integrated Report Premium Integrated Report Premium Integrated Report Premium Integrated Report 2000 Page 68/Page 75

69 10.5 Document Types: Mortgages DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No Mortgages Mahnung Rappel Diffida Demand Mortgages Zahlungsaufforderung Sommation de paiement Sollecito di pagamento Payment reminder Mortgages Zahlungsaufforderung Sommation de paiement Sollecito di pagamento Payment reminder Mortgages Zweite Deuxième sommation de Secondo sollecito di pagamento Second payment reminder 2700 Zahlungsaufforderung paiement 2810 Mortgages Fälligkeitsanzeige Avis d échéance Avviso di scadenza Due date advice Mortgages Zins- und Kapitalausweis Attestation d intérêts et capital Attestato d interessi e capitale Statement of interest and 2700 principal 2840 Mortgages Ausstiegsentschädigung Indemnité pour exigibilité Indennizzo per uscita anticipata Early repayment penalty 2700 anticipée 2850 Mortgages Konditionenänderung Modification des conditions Modifica delle condizioni Change in terms and conditions Document Types: Account Records DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No XBS Tagesauszug Extrait journalier Estratto giornaliero Daily statement XBS Belastungs-/ Avis de débit/crédit Avviso di addebito/accredito Debit/Credit advice 3001 Gutschriftsanzeige 3003 XBS Saldomeldung/Fälligkeits Communication du solde/avis Avviso di saldo/avviso di Current balance 3001 anzeige d échéance scadenza notice/maturity advice 3006 XBS Postenauszug Relevé en capital Estratto di posizione Extract of account XBS 3. Säule Steuerausweis Attestation fiscale 3e pilier Attestato fiscale 3 Pilastro 3rd pillar tax certificate XBS Kontoauszug Extrait du compte Estratto conto Statement of account XBS Abschlussrechnung Feuille de clôture Chiusura di conto Closing statement XBS Zinsstaffel Tableau d interêts Calcolo interessi Interest table XBS Schrankfach Compartiment de coffre-fort Cassetta di sicurezza Safe deposit box XBS Zinsausweis/Zins- und Attestation d intérêts (et de Attestato d interessi (e di capitale) Statement of interest (and 3002 Kapitalausweis capital) capital) 3088 XBS Spesenabrechnung Décompte de frais Conteggio spese Expenses claim XBS Schalterbelege Pièces de caiss Giustificativi dello sportello Counter receipts XBS Avis: Gutschrift-/ : Belastung Schalter Avis: crédit/débit guichet Avviso: accredito/addebito sportello Advice: credit/debit entry counter 3090 Page 69/Page 75

70 10.7 Document Types: Marketing/Bonus Points DIT No. Feeder Application Doc Name de Doc Name fr Doc Name it Doc Name en Doc Group No Bonus Points Bonuspunkteauszug Relevé de points bonus Estratto conto dei punti bonus Bonus points statement Marketing Newsletter_August Newsletter_aout Newsletter_agosto Newsletter_august Marketing Newsletter_September Newsletter_septembre Newsletter_settembre Newsletter_september Marketing Newsletter_Oktober Newsletter_octobre Newsletter_ottobre Newsletter_october Marketing Newsletter_November Newsletter_novembre Newsletter_novembre Newsletter_november Marketing Newsletter_Dezember Newsletter_decembre Newsletter_dicembre Newsletter_december Marketing Newsletter_Januar Newsletter_janvier Newsletter_gennaio Newsletter_january Marketing Newsletter_Februar Newsletter_fevrier Newsletter_febbraio Newsletter_february Marketing Newsletter_Maerz Newsletter_mars Newsletter_marzo Newsletter_march Marketing Newsletter April Newsletter_avril Newsletter_aprile Newsletter_april Marketing Newsletter_Mai Newsletter_mai Newsletter_maggio Newsletter_may Marketing Newsletter_Juni Newsletter_juin Newsletter_giugno Newsletter_june Marketing Newsletter_ Juli Newsletter_juillet Newsletter_luglio Newsletter_july Marketing NAB-Publikationen NAB-Publikationen NAB-Publikationen NAB-Publikationen Marketing NAB Newsletter NAB Newsletter NAB Newsletter NAB Newsletter Marketing Veranstaltungen Veranstaltungen Veranstaltungen Veranstaltungen Marketing Produkte-News Produkte-News Produkte-News Produkte-News Marketing Anlageperspektive Anlageperspektive Anlageperspektive Anlageperspektive Marketing Preisbeilage Annexe rel. aux prix Allegato relativo ai prezzi Price change enclosure Marketing Preisbeilage Fonds An. rel aux prix Fonds placem. Allegato relativo ai prezzi Fondi Price list encl. funds 9200 alternative Anlagen alt. investimenti alternativi alternative inv Marketing Anlageperspektiven Rétrospective-Perspectives Retrospettiva-Prospettive Review-Outlook Marketing Beilage Corporate Action Notification Corporate Action Notification Corporate Action Notification 1002 Deponentenschreiben Enclosure Enclosure Enclosure 9500 Marketing Kundeninformation Information à la clientèle Informazione ai clienti Client Information 9500 Page 70/Page 75

71 Appendix 10.8 Appendix A: Filegate Headers fg:processingprotocol/filegateheader element Page 71/Page 75

72 fg:filegateheader/customerinfo element fg:filegateheader/fileinfo element Page 72/Page 75

73 10.9 Appendix B: Types IsoAmt This is a standard type for all amount fields used in Filegate. It contains one decimal value and possesses the following attributes: ccy ISO currency code. xchgrate Exchange rate for currency conversion (optional). types:isoamt Error The Error element describes a specific validation error. These elements are: code Error code for each validation error. For example: FLG XE severity Gives the severity of the error [10, 20, 30]. message Description according to error code (optional, depends on internationalization requirements). fieldname The field responsible for failure of the validation (optional). value The invalid value that caused the error (optional). Page 73/Page 75

74 types:error Page 74/Page 75

75 SEBH4, Direct Exchange Notes on the Electronic Interface Appendix C: Glossary Table 12: Glossary Abbreviation API BC BESR BDD DOM DTA EPC ERP Filegate HTML LSV+ MPO MT SAX SIC SSL SWIFT XML Description Application Programming Interface Bank clearing Bank payment slip with reference number Business Direct Debit Document Object Model Data carrier exchange Extended Product Code, product code Enterprise Resource Planning Filegate is the internal Credit Suisse system responsible for payment transaction file processing. Hyper Text Markup Language Direct Debit Master Payment Order Message Type SWIFT Simple API for XML Parsing Swiss Interbank Clearing Secure Sockets Layer Society for Worldwide Interbank Financial Telecommunication extensible Markup Language Table 13: Glossary elements Abbreviation lsv:creditor/lsvid lsv:creditor/bnkclrid lsv:creditor/accid lsv:creditor/esrptcpid dta:paymentdetail/seqnumber dta:paymentdetail/pmtreferencenumber dta:paymentdetail/bnkclrid types:isoamt Description LSV identification number Creditor bank clearing number Creditor account number ESR participant number Sequence number Combination of the originator ID (ATG-ID) and the transaction number for the payment Bank clearing number ISO amount (International Standards Organization) Page 75/Page 75