Custodian UBS Luxembourg SWIFT Usage Guide Settlement Formatting Specialities

Transcription

1 UBS Switzerland AG Postfach 8098 Zürich Group Operations / Securities Custodian UBS Luxembourg SWIFT Usage Guide Settlement Fmatting Specialities Fmats are compliant with SWIFT Standards Release 2013 Classification Date 24 February 2014 Version 1.3 Status Released Document ID UBSLuxembourg_Swift

2 Table of Contents 1. General Field 94/95 Fmat Options Legend Additional Infmation about the pattern Status ISINs held at UBS Luxembourg S.A. (3893) UBS Luxembourg In-house MT540 Receive free (RFP) MT542 Deliver free (DFP) UBS Luxembourg via Clearstream Lux MT540 Receive free (RFP) MT542 Deliver free (DFP) UBS Luxembourg via Euroclear MT540 Receive free (RFP) MT542 Deliver free (DFP) UBS Luxembourg via Transfer Agent f Non UBS Lux Funds MT540 Receive free (RFP) MT542 Deliver free (DFP) UBS In-house MT540 Receive free (RFP) MT541 Receive against payment (RVP) MT542 Deliver free (DFP) MT543 Deliver against payment (DVP) Disclaimer UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 2 of 17

3 1. General 1.1 Field 94/95 Fmat Options Field 94/95 Option A Option C Option E Option F Option P Option Q Option R Fmat Options (Qualifier)/(Account number) (Qualifier)/(Country Code) (Qualifier)/(Narrative) (Qualifier)/()/(BIC) (Qualifier)/(Data Source Scheme)/(BIC, Bank Identifier Code) (Qualifier)/(Name and address) (Qualifier)/(DSS, Data Source Scheme)/(Proprietary Code) 1.2 Legend Abbreviations BIC BUYR DEAG ID PSET REAG SAFE SELL TEXT Explanation ISO Bank Identifier Code Buyer Delivery agent Participant Identification Receiving agent Seller Free text fmat structure UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 3 of 17

4 1.3 Additional Infmation about the pattern Fields entry Black & Bold Blue & Bold Explanation Content non-variable variable 1.4 Status Abbreviations C M O Explanation Conditional Mandaty Field Optional 1.5 ISINs held at UBS Luxembourg S.A. (3893) KYG9179K1040 LU LU LU LU LU KYG9179K1123 LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU LU UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 4 of 17

5 2. UBS Luxembourg In-house 2.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//UBSFLULLXXX :95P::DEAG//UBSWLULLXXX Delivering agent Seller :95P::SELL//BIC :95Q::SELL//Text If funds are held with UBS Luxembourg S.A. (s. chapter 1.5) M Identifying the seller by use of the BIC (8 11 digits) Identifying the seller by use of text fmat Safekeeping Account :97A::SAFE//Number M Identifying the account number of the instructing party :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX If funds are held with UBS Luxembourg S.A. (s. chapter 1.5) UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 5 of 17

6 2.2 MT542 Deliver free (DFP) Receiving agent :95P::REAG//UBSFLULLXXX :95P::REAG//UBSWLULLXXX Receiving agent Buyer :95P::BUYR//BIC :95Q::BUYR//Text deposity code f Omnibus-account. M Identifying the buyer by use of the BIC (8 11 digits) Identifying the buyer by use of text fmat Safekeeping Account :97A::SAFE//Number M Identifying the account number of the beneficiary :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 6 of 17

7 3. UBS Luxembourg via Clearstream Lux 3.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//CEDELULLXXX M Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC M Identifying the seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit CBL account number :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 7 of 17

8 3.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//CEDELULLXXX M Identifying the receiving agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//BIC M Identifying the buyer by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit CBL account number :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 8 of 17

9 4. UBS Luxembourg via Euroclear 4.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//MGTCBEBEECL M Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC M Identifying the seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit ECL account number :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 9 of 17

10 4.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//MGTCBEBEECL M Identifying the receiving agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//BIC M Identifying the buyer by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE//Number M Identifying the 5 digit ECL account number :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 10 of 17

11 5. UBS Luxembourg via Transfer Agent f Non UBS Lux Funds 5.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95P::DEAG//BIC M Identifying the transfer agent by use of the BIC (8 11 digits) :95Q::DEAG//Text Identifying the transfer agent by use of the text fmat Delivering custodian :95Q::DECU//Text M Identifying the delivering custodian by use of the registered holder (exact registration name) Safekeeping Account :97A::SAFE//Number O Identifying the account number at Transfer agent Seller :95P::SELL//BIC M Identifying the seller by use of the BIC (8 11 digits) :95Q::SELL//Text Identifying the seller by use of the text fmat Safekeeping Account :97A::SAFE//Number O Identifying the account number of the instructing party :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 11 of 17

12 5.2 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95P::REAG//BIC M Identifying the transfer agent by use of the BIC (8 11 digits) :95Q::REAG//Text Identifying the transfer agent by use of the text fmat Receiving custodian :95Q::RECU//Text M Identifying the receiving custodian by use of the registered holder (exact registration name) Safekeeping Account :97A::SAFE//Number O Identifying the account number at Transfer agent Buyer :95P::BUYR//BIC M Identifying the buyer by use of the BIC (8 11 digits) :95Q::BUYR//Text Identifying the buyer by use of the text fmat Safekeeping Account :97A::SAFE//Number M Identifying the account number of the beneficiary :95P::PSET//UBSFLULLXXX :95P::PSET//UBSWLULLXXX UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 12 of 17

13 6. UBS In-house 6.1 MT540 Receive free (RFP) deposity code f Omnibus-account. Delivering agent :95R::DEAG/SCOM/CH M Identifying the delivering agent by use of the 8 digit participant ID :95P::DEAG//UBSWCHZH80A Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC O Identify seller by use of the BIC (8 11 digits) :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 13 of 17

14 6.2 MT541 Receive against payment (RVP) deposity code f Omnibus-account. Delivering agent :95R::DEAG/SCOM/CH M Identifying the delivering agent by use of the 8 digit participant ID :95P::DEAG//UBSWCHZH80A Identifying the delivering agent by use of the BIC (8 11 digits) Seller :95P::SELL//BIC O Identify seller by use of the BIC (8 11 digits) :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 14 of 17

15 6.3 MT542 Deliver free (DFP) deposity code f Omnibus-account. Receiving agent :95R::REAG/SCOM/CH M Identifying the delivering agent by use of the 8 digit participant ID :95P::REAG//UBSWCHZH80A Identifying the delivering agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//BIC M Identify seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE/Number M Identify account number (holder ID, usually 6 digits) at TA :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 15 of 17

16 6.4 MT543 Deliver against payment (DVP) deposity code f Omnibus-account. Receiving agent :95R::REAG/SCOM/CH M Identifying the delivering agent by use of the 8 digit participant ID :95P::REAG//UBSWCHZH80A Identifying the delivering agent by use of the BIC (8 11 digits) Buyer :95P::BUYR//BIC O Identify seller by use of the BIC (8 11 digits) Safekeeping Account :97A::SAFE/Number O Identify account number (holder ID, usually 6 digits) at TA :95P::PSET//UBSWCHZH80A M Identifying the place of settlement UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 16 of 17

17 7. Disclaimer The infmation contained in this document has been prepared based on publicly available infmation infmation obtained from sources believed to be reliable. All infmation contained in this document is subject to change without notice. UBS offers no warranty and accepts no liability that the infmation provided is crect, complete and up to date. The infmation herein is not intended and shall not be interpreted as legal advice. Nothing in this document should be construed as a solicitation offer recommendation to acquire dispose of any investment to engage in any other transaction. Certain products and services are subject to legal restrictions and cannot be offered wldwide on an unrestricted basis. UBS The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved. UBS Switzerland AG, Version 1.3, Released, 24 February 2014 Page 17 of 17