UBS SWIFT Usage Guide Changes due to SWIFT Standards Release 2013 Reconciliation, Settlement & Corporate Action

Transcription

1 UBS SWIFT Usage Guide Changes due to SWIFT Standards Release 2013 Reconciliation, Settlement & Corporate Action Summary This document gives an overview on all relevant changes UBS AG will support in its MT5XX messages for the SWIFT Standards Release 2013 that will go live on November 17 th, Date 17 th July 2013 Version 1.0 Status Final

2 Table of Contents 1. All MT5XX Inbound Messages All MT5XX Outbound Messages Reconciliation Message Types Outbound MT535 'Statement of Holdings' MT536 'Statement of Transactions' MT537 'Statement of Pending Transactions' Settlement Message Types Outbound MT544 'Receive Free Confirmation' MT545 'Receive Against Payment Confirmation' MT546 'Deliver Free Confirmation' MT547 'Deliver Against Payment Confirmation' MT548 'Settlement Status and Processing Advice' Corporate Action Message Types Outbound MT564 'Corporate Action Notification' MT566 'Corporate Action Confirmation' MT567 'Corporate Action Status and Processing Advice' MT568 'Corporate Action Narrative' UBS AG, Version 1.0, 17 h July 2013 Page 2 of 10

3 1. All MT5XX Inbound Messages UBS AG will support all SWIFT MT5XX inbound messages which are correctly formatted according to the SWIFT standards. UBS AG, Version 1.0, 17 h July 2013 Page 3 of 10

4 2. All MT5XX Outbound Messages UBS AG will be compliant with all network validated rules released by SWIFT. UBS AG ensures that all changes to definitions of qualifiers and codes will be considered and that qualifiers and codes which will be deleted with the SWIFT Standards Release 2013 will no longer be supported. UBS AG, Version 1.0, 17 h July 2013 Page 4 of 10

5 3. Reconciliation Message Types Outbound 3.1 MT535 'Statement of Holdings' 3.2 MT536 'Statement of Transactions' 3.3 MT537 'Statement of Pending Transactions' UBS AG, Version 1.0, 17 h July 2013 Page 5 of 10

6 4. Settlement Message Types Outbound 4.1 MT544 'Receive Free Confirmation' 4.2 MT545 'Receive Against Payment Confirmation' 4.3 MT546 'Deliver Free Confirmation' 4.4 MT547 'Deliver Against Payment Confirmation' 4.5 MT548 'Settlement Status and Processing Advice' UBS AG, Version 1.0, 17 h July 2013 Page 6 of 10

7 5. Corporate Action Message Types Outbound 5.1 MT564 'Corporate Action Notification' No Sequence No. SWIFT Handbook Status Tag Affected Changes Remarks A 5 M 22F New Codes to existing Qualifier CAEV ACCU - Accumulation INFO - Information NOOF - Non-Official Offer B1 22 O 92a New Qualifier WAPA - Warranty Parity New relevant Option D also added D 46 O 92a New Qualifier DEVI - Declared Rate D 50 O 17B New Qualifier LEOG - Letter of Guaranteed Delivery Flag D 52 O 94E New Option E added The new Option E replaces the previously used option G that will be deleted E 64 O 92a New Qualifier IDFX - Issuer Declared Exchange Rate New relevant Option B also added New Code to existing Qualifiers GRSS and NETT REES - Real Estate Property Income Portion UBS AG, Version 1.0, 17 h July 2013 Page 7 of 10

8 5.1.7 E1 68 M 22a New Qualifier NSIS - New Securities Issuance Indicator New Codes to new Qualifier NSIS also added EXIS - Existing Issue NEIS - New Issue UKWN - Unknown E1 86 M 98a New Qualifier LTRD - Last Trading Date/Time E2 91 C 19B New Qualifier EQUL - Equalisation Amount E2 93 O 92a New Qualifier EQUL - Equalisation Amount New Option F added to existing Qualifiers ESOF, INCE and SOFE New Codes to existing Qualifiers GRSS and NETT FUPU - Full Period Units Income Portion PAPU - Part Way Period Units Income Portion REES - Real Estate Property Income Portion Generally supported as long as provided from our New Qualifier EQUL only supported for Corporate Actions. All other fields, qualifiers and codes which will be implemented with the Standards Release 2013 will not be supported by UBS AG. UBS AG, Version 1.0, 17 h July 2013 Page 8 of 10

9 5.2 MT566 'Corporate Action Confirmation' No Sequence No. SWIFT Handbook Status Tag Affected Changes Remarks A 2 M 20C Existing Qualifier COAF will newly by supported by UBS A 4 M 22F New Codes to existing Qualifier CAEV ACCU - Accumulation NOOF - Non-Official Offer Supported as long as COAF is available. Enhancement is not directly linked to a SWIFT SR 2013 related change. Supported All other fields, qualifiers and codes which will be implemented with the Standards Release 2013 will not be supported by UBS AG. 5.3 MT567 'Corporate Action Status and Processing Advice' No Sequence No. SWIFT Handbook Status Tag Affected Changes Remarks A 4 M 22F New Code to existing Qualifier CAEV NOOF - Non-Official Offer Supported UBS AG, Version 1.0, 17 h July 2013 Page 9 of 10

10 5.4 MT568 'Corporate Action Narrative' No Sequence No. SWIFT Handbook Status Tag Affected Changes Remarks A 5 M 22F New Codes to existing Qualifier CAEV ACCU - Accumulation INFO - Information NOOF - Non-Official Offer The information contained in this document has been prepared based on publicly available information or information obtained from sources believed to be reliable. All information contained in this document is subject to change without notice. UBS offers no warranty and accepts no liability that the information provided is correct, complete and up to date. The information herein is not intended and shall not be interpreted as legal advice. Nothing in this document should be construed as a solicitation or offer or recommendation to acquire or dispose of any investment or to engage in any other transaction. Certain products and services are subject to legal restrictions and cannot be offered worldwide on an unrestricted basis. UBS The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved. UBS AG, Version 1.0, 17 h July 2013 Page 10 of 10