KeyLink notes. Highlights SWIFT

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1 Release Notes Version 11.4 KeyLink notes Highlights SWIFT KeyLink is being updated in line with the Swift Standards Release. These changes are reflected in the modules: Securities, Treasury Products, CLS Third Party and Precious Metals. November 2013 Dear UBS KeyLink Client As a user of KeyLink you will regularly receive this publication, which contains information on all planned upgrades. The following is an overview of the changes that are required in relation to the Swift Standards release that is scheduled for implementation with version 11.4 on November 18th Sincerely, Global KeyLink Services

2 Securities Regulatory reporting for the country of the Investor A new section is being added to the instruction screen: Receive/Deliver Within the tab Settlement Parties there is a new section available called Investor Declaration. It applies to securities instruments where the data about the country of the investor is required for regulatory reporting. For clients who use the import or export functionality, new definitions are available if it becomes necessary to submit or receive the new above mentioned fields. Please contact your KeyLink Client Support representative if you need detail information about the new fields, or need to use the new import or export definitions. Regulatory reporting for MiFID (Markets in Financial Instruments Directive) A change is being made to show MiFID relevant information for securities trades with UBS: Trade Confirmation The information related to the Trading Capacity and Execution Venue are now displayed in the appropriate fields within the Trade Confirmation screen. Formerly combined display as narrative information:

3 New location for the display of Trading Capacity on tab Transaction Details : New location for the display of Execution Venue on tab Partial Fill : Treasury Products For clients who use the export functionality a new export definition is available. Please contact your KeyLink Client Support representative if you need detail information about the new fields, or need to use the new export definition. New Reporting Tab A new tab named Reporting has been added to several screens within the Treasury Products module. The fields on this tab represent new data elements for regulatory reporting and clearing requirements, as defined by the Dodd-Frank Act, and similar regulations in Europe. The new fields, while optional, can be used by the financial institution for reporting to trade repositories. The following screens show the additional tab: FX Cash My FX Cash FX Options, and My FX Options.

4 For clients who use the affirm function (based on confirmations received from the bank), the additional tab represents additional optional information. Any of these new fields will automatically be returned in the affirmation process. For clients who use the import functionality, i.e. My FX Cash or My FX Options, the current definitions are not changing. However, a new import definition is available if it becomes necessary to submit the new optional fields. Precious Metals Please contact your KeyLink Client Support representative if you need detail information about the new fields, or need to use the new import or export definitions. New Reporting Tab A new tab named Reporting has been added to several screens within the Treasury Products module. The fields on this tab represent new data elements for regulatory reporting and clearing requirements, as defined by the Dodd-Frank Act, and similar regulations in Europe. The new fields, while optional, can be used by the financial institution for reporting to trade repositories. The following screens show the additional tab: PM Cash PM Options For clients who use the affirm function (based on confirmations received from the bank), the additional tab represents additional optional information. Any of these new fields will automatically be returned in the affirmation process. For clients who use the export functionality, new export definitions are available. Please contact your KeyLink Client Support representative if you need detail information about the new fields, or need to use the new export definitions.

5 CLS Regulatory Reporting of FX Derivatives to the trade repositories To enable the reporting and clearing requirements as defined by Dodd-Frank a set of optional data fields have been introduced. For CLS 3rd Party reporting, the data provided from CLS would be displayed on KeyLink as follows: Your suggestions We continually listen to our client s suggestions, needs and recommendations to further improve our system. We welcome any comments or suggestions you may have that we can develop that will help you to meet your business goals. Please contact any of our relationship managers (see Helpline numbers below), or your comments to: sh-keylink@ubs.com The field Additional Information will represent the new data, such as, Unique Swap Identifier, and Unique Trade Identifier. The existing import and export definitions remain available, and new Export and Import definitions are available to cater for the additional optional data. Please contact your KeyLink Client Support representative if you need detail information about the new fields, or need to use the new import or export definitions. KeyLink Helpline Global Numbers Asia-Pacific Europe, Middle East & Africa Americas Internet Products and services in the Release Notes may not be available for residents of certain countries. Please consult the sales restrictions relating to the service in question for further information. UBS The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved.