Euroclear Finland. Technical Connectivity Description. September 2014 V1.4

September 2014 Euroclear Finland Technical Connectivity Description V1.4

Summary of changes Version Date Version history V1.0 December 2013 First internal issue V1.1 February 2014 First issue V1.2 April 2014 Correction to first issue. See the Document Change Notice for update details. V1.3 May 2014 Correction to V1.2. See the Document Change Notice for update details. V1.4 September 2014 Update to V1.3. See the Document Change Notice for update details. All rights reserved. Reproduction of this document without written approval from Euroclear Finland is prohibited. Euroclear Finland reserves the right to make changes at any time without prior notice to improve design. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 2

Table of Contents 1 INTRODUCTION... 4 2 PREREQUISITES... 5 3 TECHNICAL CONNECTIVITY OPTIONS... 5 3.1 Euroclear Finland services... 5 3.2 Euroclear Sweden services... 6 3.3 GUI (Graphical User Interface)... 7 3.3.1 3.3.2 Web user interface... 7 User administration... 7 3.4 Messaging... 7 3.4.1 3.4.2 WebSphere MQ system interface... 8 SWIFTNet... 10 3.5 Network... 10 3.5.1 3.5.2 NCSD Network... 11 Change of capacity... 12 3.6 File interface... 12 3.7 Backup connectivity... 12 4 IT PROCESS... 13 4.1 Initialisation of the IT process... 13 4.2 Establishing test connection(s)... 14 4.3 System tests... 14 4.4 Testing with Euroclear Finland... 15 4.5 Establishing production connection(s)... 15 4.6 Production launch... 15 5 FEES... 16 6 REQUIRED DOCUMENTATION... 17 7 REFERENCES... 20 8 APPENDIX... 21 8.1 Money market system (RM system) available until launch of Infinity... 21 Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 3

1 Introduction This document describes the technical connectivity options and the process when a participant is affiliating to Euroclear Finland. In addition, this document specifies the technical information Euroclear Finland requires from an applicant during the affiliation process. This document applies to all Euroclear Finland customers as follows: New customers, who are planning to use the Euroclear Finland services either via the user interface or the system interface Existing customers, who are planning to make changes in their system or in the connections toward Euroclear Finland The target audience of this document is the participants technical personnel, who need to plan, set up, test, implement, and maintain the participants connectivity systems with Euroclear Finland. Currently Euroclear Finland has two technically different and independent Central Security Depository systems as follows: For equity market instruments ( OM system ) For money market instruments ( RM system ) This system will be replaced by Infinity. The technical options offered by the current money market system are distinct and limited compared to the equity market system. Additionally, the current money market system will be replaced by Infinity. For these reasons the current money market system (RM system) services are presented separately in Appendix 1 of this document. The existing equity and money market system will be replaced by Infinity in two releases. The Release 1 replaces all services currently provided by the existing RM system during 2014. During 2015 the Release 2 replaces all services provided by Central Register (CR) and HEXClear (HC). The Technical Connectivity Description is part of the deliverables produced for Euroclear Finland (EFi) T2S project. This document replaces the previous Euroclear document Technical Description Euroclear Finland Appendix 1. The below listed deliverables allow participants to understand how Infinity functions: Functional specifications: Euroclear Finland Service Description Euroclear Finland User Handbook Euroclear Finland Glossary Technical specifications: Euroclear Finland ISO 20022 message reference for document structure and field usage available in MyStandards Euroclear Finland Interface documentation Euroclear Finland Technical Connectivity Description Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 4

2 Prerequisites A participant must comply with the terms for technical communication as described in section 1.5 Access to the Systems of the Rules of Euroclear Finland and the CEO s Decisions related to the Rules. Settlement members and depository participants that do not have a technical connection to Euroclear Finland must appoint a third party with the same membership status (i.e. settlement member or depository participant) to handle the communication with Euroclear Finland. However, this requirement is not applicable for a depository participant having issuer agent operations only. 3 Technical connectivity options 3.1 Euroclear Finland services Euroclear Finland provides the following main services for participants: Register services Clearing and settlement Issuer agent services These main services are essentially produced by these separate systems: HEXClear for equity clearing and settlement system Central Register as depository system for equities Infinity for register services, clearing and settlement and issuer agent services for money market instruments Similarly to OM/HEXClear, Infinity provides a web based graphical user interface and for messaging both a WebSphere MQ system interface through the proprietary Euroclear NCSD network and access through the SWIFTNet network services. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 5

Euroclear Finland services are available via the following communication options based on participants needs. Type of communication Network Services Systems Messages GUI (Graphical User Interface) GUI (Graphical User Interface) Internet Prod Issuer services SHI, egm, FUD, Issuer Interface, TaxMill, and Insider Register Internet Test Clearing and settlement HEXClear test, and TaxMill test NCSD network Clearing and settlement Issuer agent services Infinity and HEXClear - Internet Prod Issuer services SHI, egm, FUD, Issuer Interface, TaxMill, and Insider Register Internet Test Clearing and settlement HEXClear test, and TaxMill test NCSD network Clearing and settlement Issuer agent services Messaging SWIFTNet Register services NCSD network + WMQ Clearing and settlement Issuer agent services Register services Clearing and settlement Issuer agent services Infinity and HEXClear - Infinity, HEXClear, and CR Infinity, HEXClear, and CR - - ISO 15022 and ISO 20022 (CR MT536, MT535) RR messages, ISO 15022 and ISO 20022 The following table shows the different access methods available for each role of participant. Role Settlement member Access method GUI (HEXClear and Infinity) Messaging (HEXClear and Infinity) File interface (FUD for the file reporting) Depository participant GUI (Infinity) Messaging (Central Register and Infinity) Issuer agent GUI (Infinity) Messaging (Central Register for the on-line reporting and the routing of subscriptions and Infinity) File interface (FUD for the file reporting) 3.2 Euroclear Sweden services Participants connected to Euroclear Finland via the NCSD network may at no extra cost communicate with Euroclear Sweden via the NCSD network connection. The participant must request Euroclear Finland IT Corporate Technology to set up a connection to Euroclear Sweden. Contact Euroclear Finland Service Desk at euroclear.fi@capgemini.com for further information. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 6

3.3 GUI (Graphical User Interface) 3.3.1 Web user interface The HEXClear and Infinity user interfaces are web browser applications available via the NCSD Network. To connect with these interfaces the following requirements have to be met: Web interface works with any current browser, for example with Internet Explorer or Firefox. Euroclear Finland instructs which browser versions are supported. NOTE Infinity is certified for use with Internet Explorer versions 8 and 9 only. Other browsers may be used by participants but are not supported by Euroclear Finland. HTTPS protocol from the browser to the network and vice versa has to be allowed. Browser has to be configured to accept JavaScript, cookies and file transfers. A client component support (such as ActiveX or client Java) does not need to be enabled. Display setup is recommended to be at least 1024*768 pixels with 256 colours. There is no user interface available for the Central Register. 3.3.2 User administration All Euroclear Finland applications are protected against unauthorized use. Therefore all users of the applications must have valid user identification codes and passwords. Each participant manages the HEXClear and Infinity end user identification codes and passwords internally. Euroclear Finland creates and manages the admin level user rights for all participants. 3.4 Messaging Euroclear Finland provides message based application to application integration using ISO standard and proprietary message formats. ISO standard based messages can use either the NCSD network or the SWIFTNet as a transport. EFi New System Websphere Message Broker Communication Layer External Participant MQ queue NCSD Network SM/DP/IA SM/DP/IA Outgoing/Incoming MQ queues SWIFT ISO MQ queue SWIFTNet Target2 Figure 1SWIFTNet and MQ messaging options in Infinity All HEXClear messages are in XML format with proprietary namespace or alternatively in ISO 15022 format. The Central Register interface involves proprietary fixed format messages and a few ISO 15022 messages. Infinity supports ISO 20022 and ISO 15022 messages as described in Euroclear Finland interface documentation and message definitions available on MyEuroclear and in MyStandards. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 7

Message routing in both ISO 15022 and ISO 20022 messaging schemes is based on senders and receivers BIC code (in practice Distinguished name DN in case of ISO 20022) and message type. NOTE Before establishing test or production connections with Euroclear Finland, participants must validate the current SWIFT BIC codes, Service Names, and Distinguished Names from Euroclear Finland. See more in sections Establishing test connection(s) and Establishing production connection(s). The following table contains the SWIFT BIC codes in use in different environments (ISO 15022). EFi Service Test environment Production environment Central Register APKEFIH0XXX APKEFIHHXXX HEXClear APKEFIH0XXX APKEFIHHXXX Issuer Connect APKEFIH0CLP APKEFIHHCLP Infinity APKEFIH0TST APKEFIHHATP The SWIFTNet Service Names and Distinguished Names are listed in the following table (ISO 20022). Environment SWIFTNet Service Name Distinguished Name (DN) Test euroclearfi.iso.iast!p ou=isoiast,o=apkefihh,o=swift Production euroclearfi.iso.iast ou=isoiast,o=apkefihh,o=swift Distinguished Names (DN) are used for message routing and the membership control in a SWIFT Closed User Group (CUG). 3.4.1 WebSphere MQ system interface Euroclear Finland delivers its application-to-application level services to the participants through a specific middleware technology using the message queue product family of IBM WebSphere MQ ( MQ ) via the NCSD Network. HEXClear, Central Register, and Infinity all support messaging system interface. When connecting to the WebSphere MQ system interface the following requirements must be met: The applicant must have an MQ server environment (not an MQ client). A common MQ server may be applied for all Euroclear Finland applications but the MQ channels have to be separated. The applicants must have their own interface software (application) for processing messages to and from Euroclear Finland. The applicants are responsible for arranging proper operation and maintenance of their WebSphere MQ server and interface software. Version principle is that the last three versions of the WebSphere MQ are acceptable. All messages sent to Euroclear Finland and received from Euroclear Finland must be written into a log file and saved for at least 1 month, as per the Data security regulations, see details in References list (production only). Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 8

An SSL with certificates is applied for the encryption, integrity checking and authentication. The applicant has to acquire a certificate from a reliable certificate authority (CA) for own queue manager connected to Euroclear Finland. Euroclear Finland has right to disapprove the CA. It is important to note that the certificates will expire after a certain period of time and it is participant s responsibility to renew the certificate before it expires and inform Euroclear Finland about the renewal. In the test environment Euroclear Finland may act as a certificate authority. NOTE The ISO 15022 settlement messages on Infinity and the corresponding HEXClear messages are not directly interchangeable. More detailed description of the WebSphere MQ environment and related requirements are sent to the applicant by request. 3.4.1.1 Envelope structure Euroclear Finland uses ISO 20022 Business Application Header (BAH) i.e. message head.001.001.01. For the user guide, XML schema and detailed specification (Message Definition Report) see www.iso20022.org. There is no authoritative ISO specification for the envelope wrapping the BAH and the ISO 20022 message. In order to allow schema-based validation of the complete business message this XML schema has been defined for the envelope by Euroclear Finland. The envelope is published on MyEuroclear and it is relevant to participants connecting directly via the WebSphere MQ system interface in the NCSD network. Euroclear Finland has defined the envelope based on the example in ISO 20022 Business Application Header Message Usage Guide Version 1.7, section 1.7. Note that the envelope has two alternative root nodes and that the last child of the root is optional and completely open ended. The root element <ResponsePayload> and the optional element are included for future use. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 9

The envelope XML instance can be outlined as follows: <Env:RequestPayload xmlns:env="urn:euroclearfi:iso20022:xsd:businessenvelope"> <AppHdr xmlns="urn:iso:std:iso:20022:tech:xsd:head.001.001.01"> </AppHdr> <Document xmlns="urn:iso:std:iso:20022:tech:xsd:xxxx.nnn.nnn.nn"> </Document> </Env:RequestPayload> The following is an example of a possible additional processing instruction: <Env:RequestPayload xmlns:env="urn:euroclearfi:iso20022:xsd:businessenvelope"> <AppHdr xmlns="urn:iso:std:iso:20022:tech:xsd:head.001.001.01"> </AppHdr> <Document xmlns="urn:iso:std:iso:20022:tech:xsd:xxxx.nnn.nnn.nn"> </Document> <ProcessingInstruction> <Environment>test</Environment> </ProcessingInstruction> </Env:RequestPayload> 3.4.2 SWIFTNet The SWIFTNet network can be used as a complement to the NCSD network, depending on the applicant s needs. If the applicant intends to carry out certain functions which are not supported by the SWIFTNet, e.g. proprietary messages like RR messages, the NCSD network must be used in addition. For information about which functions can be accomplished using the ISO 15022 and ISO 20022 messaging, refer to Euroclear Finland interface documentation and message definitions available on MyEuroclear and in MyStandards. Note that using the SWIFTNet network for receiving status and reconciliation messages generates an additional cost for Euroclear Finland s SWIFT messages, which is invoiced separately in addition to the ordinary transaction costs. For an exact figure, you can contact Euroclear Finland Settlement Services. However, using ISO 15022 or ISO 20022 messages via the NCSD network generate no extra cost besides the ordinary transaction costs. 3.5 Network The following network options are used by Euroclear Finland clients: NCSD network connection Internet connection SWIFTNet network The NCSD network connection is used by the settlement members and depository participants. Euroclear Finland services are available for the participants through the NCSD network connection in Euroclear Finland s or Sweden s access points. Currently these access points are located in Helsinki and in Stockholm. The Internet connection is allowed only for the following cases: HEXClear user interface test connections WebSphere MQ system interface backup connections Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 10

File reporting services for issuer agents Infinity user interface test connection The Internet connections are secured by the SSL encryption. The SWIFTNet network is available for those participants who have access to the SWIFTNet. Figure 2 Options for network connection Participant s test and production environments have to be separated. Each participant is required to keep the production connection up-and-running continuously and the test connection ready at least for an immediate start-up according to Euroclear Finland service schedules. 3.5.1 NCSD Network The NCSD network is managed by Euroclear Finland or Sweden up to the premises of the participant. The NCSD network enables a participant to access both Euroclear Finland and Euroclear Sweden through a single network connection. All traffic is encrypted with the IP Sec and Euroclear Finland/Sweden has the responsibility of the Ethernet interface via the NCSD network router. Afterwards, it is the participant s responsibility to provide sufficient security and data communication service in own network. The NCSD network connection is always duplicated. The primary connection is a leased line and the backup connection for the primary line can be either another leased line or an Internet backup connection. For the Internet backup connection the participant must provide a working internet connection and a dedicated public IP-address to create an end-to-end IP-Sec tunnel. The participant must also take care that the capacity of their internet connection is adequate for the NCSD network primary leased line speed. There are several network related parameters, which will be agreed and exchanged between the participant and Euroclear Finland. Euroclear Finland sets the bandwidth with the participant according to the volume information indicated by the applicant. The current options are: 1 Mbps 2 Mbps Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 11

3.5.2 Change of capacity If the originally ordered bandwidth of the network connection does not match the actual need, the bandwidth must be increased (or decreased). In that case the participant must contact the appropriate contact point as shown in the following table. Network NCSD Network Internet Contact point Capgemini Service Desk at euroclear.fi@capgemini.com Internet service provider The change may be started by the participant. Euroclear Finland has the right to require a capacity upgrade if the participant s volumes increase. The approximate time period from the date of order to implementation differs from 6 to 10 weeks. 3.6 File interface Euroclear Finland s generic file transfer service is based on the File Upload/Download (FUD) system. The participants may download files (for example reports) by using the FUD web user interface or the WebSphere MQ system interface. The HEXClear reports and Infinity reports and other files are delivered through the FUD system. Most of the reports are available in XML format and some in printable PDF format. The FUD web user interface is integrated into the HEXClear web user interface but may also be used independently. The Central Register does not involve file transfers via the FUD (except if used as a backup process see more in Section 3.7). However, the file reports for issuer agents are delivered through the FUD system. The FUD system supports the NCSD network connectivity but not the SWIFTNet. 3.7 Backup connectivity The network with the MQ connections has to be duplicated by the participant. In addition, the participant can utilize the FUD (via internet) as an alternative way to deliver MQ messages in case the MQ is disconnected. If this backup process is used, it has to be tested regularly, at least once a year, to ensure the business continuity. This method is voluntary. Contact Euroclear Finland Service Desk at euroclear.fi@capgemini.com for further information. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 12

4 IT process The connection process with Euroclear Finland starts when an applicant fills in an application to become a participant. The technical contact person will be named by Euroclear Finland. The following figure describes the IT process at a high level with the following phases: 1. Initialisation of the IT process 2. Establishing the test connection(s) between the applicant and Euroclear Finland 3. Internal system and interface tests by the applicant 4. Common tests with Euroclear Finland 5. Establishing production connection(s) between the applicant and Euroclear Finland 6. Affirmation of readiness and confirmation to start acting as participant 7. Production launch preparations and actual production launch NOTE Before the production launch can start, Euroclear Finland must approve applicant s application. Applicant s Business unit Applicant s IT unit Euroclear Finland IT unit Preliminary planning Preparing application 1. Initialisation of IT process 2. Establishing test connection(s): 1) Network 2) MQ Series 3) GUI 4) Application 3. System testing 4. Testing 5. Establishing production connection(s): 1) Network 2) MQ Series 3) GUI 6. Affirmation of readiness 7. Production launch time Euroclear Finland Business unit Processing enquiries Processing application Figure 3 IT process Note that this primarily describes the IT process and not the complete affiliation process. The length of the process may vary and depends on many factors, such as the actual need for testing. 4.1 Initialisation of the IT process The co-operation is initiated by Euroclear Finland by arranging a kick-off meeting with the applicant. This also initiates a series of follow-up meetings where the progress of the process is followed and open issues are handled. Both the business and the IT areas need to be represented in these meetings. Note that the IT process project plan from applicant s side has to be available at the first meeting of the IT process. The applicant must have a basic knowledge of Euroclear Finland s Rules and regulations related to the technical issues, refer to References list for details. Special interest shall be paid to these CEO s decisions: Interfaces to Euroclear Finland's systems, data communications and party's systems Data security regulations as well as preparation for malfunction and other exceptional situations. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 13

4.2 Establishing test connection(s) The test connection(s) are built and verified in the following sequence: 1. Network level (NCSD network and/or SWIFTNet) 2. System level (WebSphere MQ, Https or RSC) 3. Application level (HEXClear, Central Register, Infinity or FUD) Each of these steps has to be verified and technically tested before entering into the next step. The applicant orders the NCSD network connections from Euroclear Finland. In connection with the order, the applicant must make a commitment in writing to pay any costs related to the connectivity, irrespective of the outcome of the membership application or whether the applicant decides to withdraw the application. The combined order/commitment is a free-form statement undersigned by an authorized signatory. The actual order shall contain the following information: 1. Company name including organisation identification number 2. BIC(s). See the Euroclear Finland Service Description for the use of more than one BIC. o In case of ISO 20022 messaging on the SWIFTNet, the related DN for routing must be provided with the BIC. Note that the DN contains the production BIC8 while the BIC used in the message payload should be a test-bic. 3. Telephone number and address of the location where the router will be placed (district, street, room) 4. Invoicing address 5. Name of technical contact person 6. Volume estimates (average, peak) for production Euroclear Finland cannot guarantee a delivery schedule, but typically it is within 6-10 weeks. All costs for the connection will be charged to the participant. Euroclear Finland sets the proper bandwidth for the line according to the volume information delivered by the applicant. In case of SWIFTNet connection, the applicant orders the connection directly from the SWIFT organisation. The internet connection is implemented by the applicant according to Euroclear Finland s instructions. The applicant has to specify which message types the system interface will use. A settlement member applicant has to specify if message slicing should be applied with a specified large response messages in the HEXClear system interface and what is the preferred format of the report files (XML or PDF). The message descriptions and related instructions are available in customer pages via the internet (see References for details). The pages are available for all registered participants according to instructions by Euroclear Finland. 4.3 System tests The system tests are internal tests performed by the applicant without any interaction with Euroclear systems to verify proper internal functionality of the applicant s system. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 14

4.4 Testing with Euroclear Finland Prior to the testing, the applicant needs to obtain testing instructions from Euroclear Finland. The testing requires a testing plan, which is divided into a general part and weekly detail plans. The applicant shall also provide Euroclear Finland with a summary of testing results in form of testing reports. More detailed description of these documents is given in the chapter Required documentation. All WebSphere MQ system interface message types that will be in production use have to be tested. The testing requires support from Euroclear Finland and it is therefore chargeable. Euroclear Finland submits an offer upon the request. The testing periods have to be agreed with Euroclear Finland in advance. Both parties must accept the testing outcome at least two weeks before the actual production launch. 4.5 Establishing production connection(s) The production connection(s) are built and verified in the following order: 1. Network level (NCSD network and/or SWIFTNet) 2. System level (WebSphere MQ, Https or RSC) 3. Application level (HEXClear, Central Register, Infinity or FUD) Each of these three steps has to be verified and technically tested before entering into the next step. The production connections are established in a similar manner as the test connections (see the section Establishing test connection(s)). However, special attention shall be paid to these issues: Production connections are duplicated. Volume estimates shall be realistic (at least over a one-year time scale). Test connection has to be established before production connection. Test and production environments shall be separate. System parameters are equal in both test environment and production environment. 4.6 Production launch Before the production launch can start, Euroclear Finland must approve the applicant s application. A detailed rollout plan for the actual launch will be prepared in co-operation with Euroclear Finland. The plan shall include, among other things, the schedule with the production launch date and the backup date. The participant shall be aware that the agreed dates may have to be postponed. The pre-launch tests in the production environment shall cover the user interface, the system interface and the file interface when applicable. However, the test cases have to be limited to queries or harmless base data updates without actual business transactions. The settlement members have to test the cash transfers via the Bank of Finland ( BoF ). The participant must also deliver an affirmation of readiness. By signing this document, the participant confirms that it has performed reasonable tests to safely start acting as a settlement member, a depository participant or an issuer agent. The affirmation of readiness must be delivered to Euroclear Finland before the deadline, i.e. two weeks before the actual production launch. A meeting is held with the participant before the production launch to insure that the readiness has been completed. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 15

The participant must also present a technical continuity plan and the contact information of the production organization before the actual production launch. The required information can be part of the business continuity plan. 5 Fees The list of fees and charges states the following IT-related items: 1. Network connections: o Actual external and Euroclear Finland costs charged to the participant 2. Testing of a new member (settlement member, depository participant or issuer agent): o One-time payment that covers setting up the test environment o Use of the test environment without Euroclear Finland support is free o Support for testing, fee per hour 3. Other costs o Extra work is charged per hour according to the price list o Actual external costs You can find more information on Euroclear Finland internet pages: MyEuroclear -> Knowledge base. For keywords select: Information type -> Tariff information, Entity -> Euroclear Finland. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 16

6 Required documentation This chapter lists the documentation required during the IT process though Euroclear Finland does not set any formal requirements for these documents. It is also acceptable to combine them where reasonable. Name of document Description and scope Availability Content Project plan The project plan must give a good understanding of the applicant s initial goals, schedule and implementation principles. The scope must be limited to issues related to Euroclear Finland. Specific attention shall be paid to the expectations from Euroclear Finland services. At the first meeting covering the IT process. - General description of the project - Goals - Schedule - Tasks - Project organisation - Contact information - Cooperation plan with Euroclear Finland Name of document Description and scope Availability Content System description The system description shall give a good understanding of the participant s backend systems and the interactions with Euroclear Finland s systems. The scope shall be limited to parts that cover interfaces toward Euroclear Finland. At the first meeting covering the IT process. Note that participant can use the same document as attached in the participant s application. - Brief description of the technical architecture - Summarised description of the functionality including the daily schedule - Interfaces and connections to Euroclear Finland - Transaction flow between the back office and Euroclear, preferably as a chart - Services of Euroclear Finland in use (for example message types) - Volume estimations - Test environment description - Backup solutions Name of document Description and scope Availability General testing plan The general testing plan shall give a good understanding of the overall structure of the testing periods including the main tasks, their objectives, and schedules. Well before the actual testing with Euroclear Finland starts. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 17

Name of document Content General testing plan - Main test periods and their objectives - General testing organization - Message types - Expectations of support provided by Euroclear Finland - Volume testing principles - Business Continuity tests Name of document Description and scope Availability Content Weekly testing plans The weekly testing plan shall describe the testing activities of the following weeks in detail. The test schedules and test case descriptions shall give a good understanding of the overall structure of the testing periods including the main tasks and their schedules. To be delivered to Euroclear Finland weekly, first one before the actual testing starts. - Objectives of the tests - Test case descriptions - Proposed testing schedule on an hourly basis - Testing personnel with full contact information - Expectations of support provided by Euroclear Finland Name of document Description and scope Availability Content Testing reports The testing reports shall give a good understanding of the testing phase progress. To be delivered to Euroclear Finland weekly, shortly after the actual testing. - Reference to the weekly testing cases and/or general testing plan - Results of the actual tests (OK / failed) - Initial proposal for retesting schedule (if applicable) - Feedback for Euroclear Finland (if applicable) Name of document Description and scope Availability Content Rollout plan The purpose of the rollout plan is to achieve a mutual understanding of tasks, responsibilities and schedule of the actions needed for the successful production launch of a new participant. The scope of the plan is on actions requiring effort from both the applicant and Euroclear Finland especially near the actual production launch time. The document is prepared in co-operation with Euroclear Finland. It shall be supplemented by internal plans from both parties. This plan shall be prepared well before the rollout tasks are performed in the production environment. - Organization of the rollout process with contact information Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 18

Name of document Rollout plan - Tasks to be done with defined responsibilities - Schedule and deadlines including a freezing period and critical points (of noreturn) - Detailed instructions may be attached or addressed by links - Backup plan for rollback situations - Risk analysis for the rollout process (what may go wrong and how to mitigate the consequences) - Plan for the tests in the production environment after the production launch Name of document Description and scope Availability Content Technical contact information for production The daily production issues and technical development require occasional contacts. For these purposes Euroclear Finland needs to have basic understanding of the participant s technical organization and the contact persons. To be prepared well before rollout tasks are performed in the production environment. The IT contact information shall be given in a form Basic Data of a participant for the Equity Market System. Name of document Description and scope Availability Content Technical continuity plan The continuity plan shall give a good understanding of the means that the participant has considered as a backup way in a case of a major system crash during a normal production period. Special attention has to be addressed to situations that may have market-wide impact or which require specific actions by Euroclear Finland. This plan may be part of the business continuity plan supplied as part of the application. Well before the rollout tasks are performed in the production environment. - Backup systems - Backup premises - Organization with contact information for crisis situations - especially details of the person(s) responsible for making decisions concerning the implementation of a back-up routine. - If applying as a settlement member, backup communication to the BoF-RTGS shall also be described. Name of document Description and scope Availability Content Affirmation of readiness By signing the affirmation of readiness the applicant confirms that it has performed reasonable tests to be able to start acting as a settlement member, depository participant or issuer agent in an appropriate manner. The document shall be delivered to Euroclear Finland before the deadline that is two weeks before the actual production launch. This is a standard document supplied as part of the application process. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 19

7 References Source Euroclear Finland - Service Description Euroclear Finland - Interface Descriptions ISO 15022 Messages incl. MT598 Euroclear Finland - User Handbook Euroclear Finland - Glossary Rules of Euroclear Finland available on www.euroclear.com Interfaces to Euroclear Finland's systems, data communications and party's system, CEO s Decisions related to the Rules of Euroclear Finland available on www.euroclear.com Data security regulations as well as preparation for malfunction and other exceptional situations, CEO s Decisions related to the Rules of Euroclear Finland available on www.euroclear.com ISO 20022 standard and message types on www.iso20022.org MyStandards repository is available on http://mystandards.swift.com SWIFT information can be found on http://www.swift.com Other information sources: * Services for Depository Participants Phone number: +358 20 770 6609 Email address: thy@euroclear.eu * Settlement Services Phone number: +358 20 770 6559 Email address: settlement.finland@euroclear.eu Euroclear Finland s customer pages for participants: www.euroclear.com -> Login/Register Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 20

8 Appendix 8.1 Money market system (RM system) available until launch of Infinity The existing RM system will be replaced by Infinity in two phases. The Release 1 replaces all services currently provided by the existing RM system during 2014 and the Release 2 replaces all services provided by the Central Register (CR) and HEXClear (HC) during 2015. The RM system is a full-featured CSD system for the Finnish money market. However, it is completely separated from the OM system. Service options All RM services are integrated into one system involving a mainframe class central computer and client workstations. The RM participants have one or more dedicated RM workstations. The trades are entered into the RM system manually through the client workstations. User administration practices are quite similar in the RM and OM systems but without mutual interaction. Each participant manages the RM end user identification codes and passwords internally. RM services are available through the NCSD network. Interface options The RM system is an integrated client-server system. The participant has access to the RM system via a graphical user interface, which includes three Windows applications: a. Basic CSD services b. Reporting interface c. Position follow-up interface The reporting interface enables file downloads from Euroclear Finland s central system to client workstations. There are no application-to-application connectivity options available. The RM client application sets the following requirements for the workstations: - Software: o Windows XP with SP2 or later o RSC Client for Windows o Ramses application - Hardware: o x86 with at least 512 MHz CPU o RAM at least 512 MB o Free disk space at least 100 MB o Display resolution: 1024 x 768 The software (except OS) is installed by an installation package. The client application is available in Finnish (default) and in English (by request). The RM workstations shall be dedicated for this purpose only. Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 21

Euroclear Finland Technical Connectivity Description I V1.4 I September 2014 I 22