direct exchange notes on the electronic interface...

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Direct Exchange – Notes on the Electronic Interface

Technical Documentation



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Table of Contents

1. Introduction 5

2. Overview of Available Banking Services 6

3. Formats: File-Naming Conventions 7

4. Data Exchange/Communication 9

4.1 Delivery of Files to “Eingang” Directory 9

4.2 Collection of Account Information in “Ausgang” Directory 9

5. Establishing a Connection 11

5.1 Process 11

5.2 Encryption 12

6. E-Documents 13

6.1 Introduction 13

6.2 Overview of E-Document Services via Direct Exchange 13

6.3 Download Steps for E-Documents 13

6.4 File Names 14

6.5 Metadata 14

6.5.1 Separate XML File 14

6.5.2 Structure of the XML File 14

6.5.3 Included Metadata 15

6.6 Available Documents 17

7. Formats 18

7.1 DTA Payment Orders 18

7.2 LSV+ Collections 18

7.3 Credit Transfers 18

7.3.1 Referencing between pain.001 and pain.002 18

7.3.2 Salary and Pension Payments 18

7.3.3 Type of Booking, Type of Display, and Deadlines for Submission 19

7.4 SEPA Direct Debit 20

7.5 Payment Status Report 20

7.6 Account Statement (MT940 and Provisional Bookings/Intraday (MT942) 20

7.6.1 Credit Suisse Account Statement (MT940) 20

7.6.2 Credit Suisse Provisional Bookings/Intraday (MT942) 21

7.6.3 Structure of Field 61 (Credit Suisse) 21

7.6.4 Structure of Field 86 (Credit Suisse) 22

7.7 BESR (ESR Type3) 24

8. Processing Logs 25



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8.1 Purpose and Prerequisites 25

8.2 Overview of Processing 25

8.2.1 Filegate Framework 25

8.2.2 DTA Processing 25

8.2.3 LSV+-Processing 26

8.3 Schema Structure 26

8.4 Processing Log 27

8.5 DTA Processing Log 28

8.5.1 Log Structure 28

8.5.1.1 File Summary 28

8.5.1.2 Information on Payment Groups 30

8.5.1.3 Rejected Payments 34

8.5.1.4 Severe Errors/Reason for Rejection 36

8.5.2 Scenarios 36

8.5.2.1 Processed 36

8.5.2.2 Rejected 37

8.6 LSV+ Processing Log 37

8.6.1 Log Structure 38

8.6.1.1 FileDetails 39

8.6.1.2 Payment Group Details 41

8.6.1.3 Validations 45

8.6.2 Scenarios 47

8.6.2.1 Error-Free File 47

8.6.2.2 File without Serious Errors 48

8.6.2.3 File with Severe Errors – Rejected File 48

8.6.2.4 Double Transmission of File 48

8.6.2.5 Test File 48

9. Error Messages 49

9.1 DTA Error Messages 49

9.2 LSV+ Error Messages 51

10. E-Documents: Feeder Applications, Group Names and Document Types 56

10.1 Feeder Application ID and Group Names 56

10.2 Document Types: Payment Transactions 57

10.3 Document Types: Securities 58

10.4 Document Types: Statement of Investments/Investment Performance 68

10.5 Document Types: Mortgages 69

10.6 Document Types: Account Records 69

10.7 Document Types: Marketing/Bonus Points 70



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11. Appendix 71

11.1 Appendix A: Filegate Headers 71

11.2 Appendix B: Types 73

11.3 Appendix C: Glossary 75



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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 0800 88 11 88, Monday through Friday, from

07:30 to 17:30.

Further information on electronic banking and additional bank services can also be found at

www.credit-suisse.com/corporates and www.credit-suisse.com/directexchange.



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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

20022 payments standard, in pain.001 format

See chapter 7.3.3

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 20022 payments standard, in pain.002 format



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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

Extension for

transmission Extension

1 DTA Multiple payment order,

multiple booking and

display

Incoming DTAS_<contract>_<date>_<time> TMP TXT

2 DTA without

electronic

signature

Multiple payment order,

to be approved

separately, multiple

booking and display

Incoming DTAO_<contract>_<date>_<time> TMP TXT

3 DTA express Multiple payment order,

multiple booking and

display

Incoming DTAE_<contract>_<date>_<time> TMP TXT

4 DTA dispo Individual payment

order, individual booking

and display

Incoming DTAD_<contract>_<date>_<time> TMP TXT

5 DTA single Multiple payment order,

individual booking and

display

Incoming DTAN_<contract>_<date>_<time> TMP TXT

6 DTA single

express

Multiple payment order,

individual booking and

display

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>

TMP XML

9 LSV+/BDD Collection order Incoming LSVS_<contract>_<date>_<time>

TMP TXT

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>


VPLSV_<contract>_<date>_<time>

TMP XML

13 BESR BESR credit advice Outgoing Collective file: BESR_<contract>


BESR_<contract>_<date>_<time>

TMP TXT



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No. Bank service Description Directory File name

Extension for

transmission Extension

14 MT940 End-of-day account

statement for Credit

Suisse

Outgoing Collective file: MT940_<contract>


MT940_<contract>_<date>_<time>

TMP TXT

15 MT942 Intraday account

statement

Provisional bookings

(non-binding) for

Credit Suisse

Outgoing Collective file: MT942_<contract>


MT942_<contract>_<date>_<time>

TMP TXT

16 E-Documents Bank records and

documents

electronically as PDF

Outgoing E-Documents (PDFs)

Collective file: EDOCS_<contract>


EDOC_<contract>_<date>_<time>

Metadata

Collective file:

edoc_metadata_<contract>

One-time original file: edoc_

metadata_<contract>_<date>_<time>

TMP ZIP

Metadata:

XML

17 Credit transfer Credit transfer in

accordance with the

Swiss ISO 20022

payments standard, in

pain.001 format

Incoming PN1_<contract>_<date>_<time> TMP XML

18 SEPA direct debit Collection order in

accordance with SEPA

direct debits, in

pain.008 format

Incoming SDDE_<contract>_<date>_<time> TMP XML

19 Payment status

report

Payment status report

in accordance with the

Swiss ISO 20022

payments standard, in

pain.002 format

Outgoing SDDSM_<contract>_<date>_<time> TMP XML



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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.



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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 File extension during collection (file transfer)

*.TXT, *.XML or *.ZIP File extension for the files provided



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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.



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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



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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 www.credit-suisse.com/edocuments

6.2 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.



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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

www.credit-suisse.com/edocuments under Digital Signature.

6.4 File Names

The name of the PDF will contain a three-digit serial number: <pdf_name>_<3-digit-running-

number>.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

6.5.1 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 6.4.

6.5.2 Structure of the XML File

The XML file is structured as follows:

Figure 2: Structure of the XML file

http://www.credit-suisse.com/edokumente



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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 Explanation

Possible Values/

Field Formats Attributes

1 XC101_RECIP_CIFNR Y Recipient CIF

associated with

the document

“Mailbox” 083501234561 CHAR(12)

2 XC101_DOC_TYP Y Document Type

(Four char code

which uniquely

identifies the

document type in

EOS1)

DIT Number 3006 CHAR(4)

3 XC101_DOC_TRG_FRMT Y PDF In future, documents

possible in other

formats than PDF

PDF CHAR(3)

4 XC101_APPL_ID Y Application ID Possibility for

Software to group

into payments,

securities etc.

BE01, WS80, AIS etc.,

see chapter 10

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

2008-09-02-

02.29.10.668640

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.



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No. Field Name

Mandatory

Status

Brief


Possible Values/


10 XC101_OWNER_CIFNR Y Owner CIF

number

083501234561 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

0040012340560002 CHAR(20)

13 XC101_CURRENCY N Currency ISO currency code CHAR(3)

14 XC101_AMOUNT N Amount 21.20 DEC(31,8)

15 XC101_DATE_VALUE N Date associated

with the amount

and currency

value date (only if

amount and currency

available)

dd.mm.yyyy DATE

16 XC101_HAS_DOC_SUP N Flag indicating if

there is any

enclosures

associated with

this document

For Marketing

documents

Y or N CHAR(1)

17 XC101_DOC_FILENAME Y Download File

Name, including

three-digit

sequence number

PDF name 123456-12-

1_name_yyyy-mm-

dd.123.pdf, e.g.

123456-12-

1_extract_of_account_20

08-10-23.123.pdf

VC(254)

18 XC101_IS_IMPORTANT N Flag which

highlights the

document in

docbox. Only

possible values are

Y/N

Y or N CHAR(1)

19 XC101_UUID_DOC_C Y Document unique

identifier

Unique ID of each

Document

9E8D04B0-813711DC-

8004CF02-EC1A2094

CHAR(35)



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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


Possible Values/


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.



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7. Formats

7.1 DTA Payment Orders

The DTA format is described in the SIC documentation under “DTA Standards and Formats” (www.sic.ch).

7.2 LSV+ Collections

Details on LSV+ collections can be found in the LSV+ technical documentation or the SIC documentation

on LSV+ (www.sic.ch).

7.3 Credit Transfers

The Credit Transfer pain.001 format in accordance with the Swiss ISO 20022 payments standard is

described in the SIC documentation under "Implementation Guidelines for Credit Transfers" (www.iso-

payments.ch). The features specific to Credit Suisse are outlined in the chapters that follow.

7.3.1 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>.

7.3.2 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.

http://www.iso-payments.ch/




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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



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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". (www.iso-payments.ch)

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". (www.iso-payments.ch)

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 7.6.1 through 7.6.4.

7.6.1 Credit Suisse Account Statement (MT940)

Table 3: Structure of Credit Suisse account statement (MT940)

Contents Format Example

SWIFT header {1:F01CRESCHZZ080A0000000000}{2:I940X N2}{4:

Reference no. 16x :20:XBS/050614/0001

Account no. 35x :25:4835/1234567-89 [or IBAN on request]

Sequence no. 5n[/5n] :28C:9/1

Opening balance 1!a6!n3!a15d :60F:C050808GBP1375,57

Transaction details2 6!n[4!n]2a[1!a]15d

1!a3!c16x[//16x][34x]

:61:0508080808D50,50NTRFNONREF//3M80-0806-80-004

Information to account

holder3

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 8.4.4 3 Field 86: see section 8.4.5





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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:F01CRESCHZZ080A0000000000}{2:I942X N2}{4:

Reference no. 16x :20:XBS/050614/0001

Account no. 35x :25:4835/1234567-89 [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:0508080751+0200

Transaction details 4 6!n[4!n]2a[1!a]15d

1!a3!c16x[//16x][34x]

:61:0508080808D50,50NTRFNONREF//3M80-0806-80-004 Intraday

Information to account

holder5

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

Intraday

Transaction details4 6!n[4!n]2a[1!a]15d

1!a3!c16x[//16x][34x]

:61:050808D50,50NTRFNONREF//3M80-0806-80-004 Provisional

bookings

Information to

account holder5

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 61.

7.6.3 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 8.4.4 5 Field 86: see section 8.4.5



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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)

7.6.4 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 www.credit-suisse.com/directlink. 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

1000–1500 Payment transactions

1501–1999 Check

2000–2999 Securities

3000–3299 Treasury/Money market

3300–3599 Treasury/Foreign exchange

3600–3999 Treasury/Precious metals

4000–4999 Credit business

5000–5999 Mortgages

6000–6999 Counter

7000–7999 Various charges/commissions

8000–8999 Other

http://www.credit-suisse.com/directlink



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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



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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.



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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

8.2.1 Filegate Framework

In the Filegate framework, files are processed which fulfill the SIC (Swiss Interbank Clearing) prescribed

DTA and LSV+ norms (see also www.sic.ch).

Payments present in the original file are grouped according to specific criteria and then processed.

8.2.2 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.



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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.



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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.



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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.

8.5.1 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

8.5.1.1 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.



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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



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8.5.1.2 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.



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The paymentGroupDetail element is constructed as follows:

paymentGroupDetails/paymentGroupDetail element



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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.



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paymentGroupDetail/mpoDetail element



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8.5.1.3 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



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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



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8.5.1.4 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

8.5.2 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.

8.5.2.1 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_20060105.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


For rejected groups




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8.5.2.2 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.


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


For errors at group level


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.



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8.6.1 Log Structure

The following sections describe the LSV processing log.

fg:processingProtocol element

fg:protocol element

LSVProtocol element



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8.6.1.1 FileDetails

LSVProtocol/LSVFileDetails element

Contains a summary of the LSV file.



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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.



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LSVFileDetails/totalAmount element

Total amount of file.

8.6.1.2 Payment Group Details

The main elements are described in the following sections:

LSVProtocol/mfoDetails element

LSVProtocol/mfoDetails/mfoDetail element



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paymentGroup element

PaymentGroup/orderDetails element



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PaymentGroup/creditor element

Creditor/address element



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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.



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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.

8.6.1.3 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.



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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



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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.

8.6.2 Scenarios

The processing log can vary depending on how the LSV file is processed. The following explains various

scenarios for the processing log.

8.6.2.1 Error-Free File

A file that displays neither of the two error categories (non-severe/severe). It contains a debit order for

CHF 20.00. 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_20060106.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.




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8.6.2.2 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.


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.


8.6.2.3 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_20060111_1.xml

8.6.2.4 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.


8.6.2.5 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.


The test file has been rejected due to a severe error.

Examples: VPLSV_20060111_2.xml



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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]



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]



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D8228 Account number missing. [Code: D8228]


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]








F8229 Error in currency code field (only CHF permitted). Code F8229]


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]



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9.2 LSV+ Error Messages

The following error messages and codes can appear in the processing log:

Table 11: LSV+ error messages


LSV01 PROCESSING DATE MISSING (must be specified for TA 870.) [Code: LSV01]

LSV02 PROCESSING DATE INVALID (must contain a valid date for TA 870.) “%s”) [Code: LSV02]

LSV03 PROCESSING DATE EXPIRED (more than 10 calendar days out of date.) [Code: LSV03]

LSV04 PROCESSING DATE NOT ALLOWED (requested processing date may not be later than the current read date in

the CC +60 days.) [Code: LSV04]

LSV05 PAYER BANK INVALID (“%s”) [Code: LSV05]

LSV06 BC NO. OF PAYER %s REPLACED BY %s (record will be processed. BC no. must be changed to new BC-no.

(%s).) [Code: LSV06]

LSV07 CREATION DATE INVALID (must contain a valid date. “%s”) [Code: LSV07]

LSV08 CREATION DATE INVALID (must not be 90 days earlier or later than CC import date.) [Code: LSV08]

LSV09 CREATION DATE DIFFERENT (must be identical to the creation date on the first record in the data file.) [Code:

LSV09]

LSV10 BANK OF PAYMENT RECIPIENT INVALID (must contain a BC no. in line with statement “%s”) LSV10]

LSV11 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]

LSV12 SENDER ID DIFFERENT (must be identical to the first record in the data file.) [Code: LSV12]

LSV13 SENDER ID CUSTOMER MASTER DATA MISSING (must contain a valid identification registered in the CC.) [Code:

LSV13]

LSV14 INPUT SEQUENCE NO. SEQUENCE ERROR %s EXPECTED SEQ. no. %s (must be continuous, start with 1, and

be in ascending order.) [Code: LSV14]

LSV16 TRANSACTION TYPE OF TOTAL RECORD (890) MISSING (must contain all records; no negative amounts).

[Code: LSV16]

LSV17 TRANSACTION TYPE OF TOTAL RECORD (890) INVALID (total must be shown at the end of the file). [Code:

LSV17]

LSV18 PAYMENT TYPE INVALID (must contain 0.) [Code: LSV18]

LSV19 CLIENT ID INVALID (must contain a valid identification registered in the CC.) [Code: LSV19]

LSV20 TRANSACTION NUMBER MISSING (must not be “blank”.) [Code: LSV20]

LSV21 ACC. NO. OF PAYMENT RECIPIENT MISSING (must not be “blank”.) [Code: LSV21]

LSV22 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]

LSV23 ACC. NO. OF PAYMENT RECIPIENT IBAN INVALID (not a 21-digit Swiss IBAN.) [Code: LSV23]

LSV24 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 75


LSV25 TOO MANY CHARACTERS IN ACC. NO. OF PAYMENT RECIPIENT (must be no more than 24 characters.)

[Code: LSV25]

LSV26 VALUE DATE NOT PERMITTED (must be “blank” or zero for TA 870.) [Code: LSV26]

LSV27 CURRENCY CODE INVALID (must contain “CHF” for TA 870.) [Code: LSV27]

LSV28 DECIMAL POINT MISSING IN AMOUNT (must contain a decimal point.) [Code: LSV28]

LSV29 CHF AMOUNT HAS MORE THAN 2 DECIMAL PLACES (must not contain more than two decimal places (CHF).)

[Code: LSV29]

LSV30 AMOUNT NOT NUMERIC (must only contain numeric characters, with the exception of a decimal point.) [Code:

LSV30]

LSV31 AMOUNT INVALID (must not be zero.) [Code: LSV31]

LSV32 AMOUNT GREATER THAN 1 BN. (must not be greater than 1 bn. for TA 870.) [Code: LSV32]

LSV33 TOO MANY CHARACTERS IN AMOUNT (must be no more than 12 characters.) [Code: LSV33]

LSV34 TOO MANY LINES FOR PAYMENT RECIPIENT (no more than four lines permitted.) [Code: LSV34]

LSV35 PAYMENT RECIPIENT INCOMPLETE (must consist of at least one line.) [Code: LSV35]

LSV36 TOO MANY CHARACTERS IN PAYMENT RECIPIENT (must be no more than 24 characters.) [Code: LSV36]

LSV37 INVALID CHARACTERS IN PAYMENT RECIPIENT (see LSV manual, section B 1.5 “Valid Characters”.) [Code:

LSV37]

LSV38 ACC. NO. OF PAYER MISSING (must be specified for TA 870.) [Code: LSV38]

LSV39 TOO MANY CHARACTERS IN ACC. NO. OF PAYER (must be no more than 24 characters.) [Code: LSV39]

LSV40 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]

LSV41 ACCOUNT NUMBER OF PAYER IBAN INVALID (not a 21-digit Swiss IBAN.) [Code: LSV41]

LSV42 TOO MANY LINES FOR PAYER (no more than four lines permitted.) [Code: LSV42]

LSV43 TOO MANY CHARACTERS FOR PAYER (max. line length 24 characters.) [Code: LSV43]

LSV44 PAYER MISSING (Account number exists, address missing.) [Code: LSV44]

LSV45 INVALID CHARACTERS IN PAYER (see LSV manual, section B 1.5 “Valid Characters”.) [Code: LSV45]

LSV46 TOO MANY LINES IN MESSAGES (no more than four lines permitted.) [Code: LSV46]

LSV47 TOO MANY CHARACTERS IN MESSAGES (max. line length 35 characters.) [Code: LSV47]

LSV48 INVALID CHARACTERS IN MESSAGES (see LSV manual, section B 1.5 “Valid Characters”.) [Code: LSV48]

LSV49 TOTAL AMOUNT CONTROL TOTAL INCORRECT (total amount does not correspond to the sum of all records or

total amount = (zero).) [Code: LSV49]

LSV50 TRANSACTION TYPE TOTAL RECORD (890) INVALID (total must be shown at the end of the file). [Code: LSV50]

LSV15 TRANSACTION TYPE INVALID (must be a transaction type that is valid for LSV (870 or 890)). [Code: LSV15]

B0057 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 75


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 File rejected (total amount (TBETR) has more than two decimal places; must not contain more than two decimal

places.) [Code B0109]

B0110 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 File rejected (creation date different; must be identical to the creation date on the first record of the data file.) [Code

L1003]

L1004 File rejected (error in input sequence no.; must be continuous, start with 1, and be in ascending order.) [Code

L1004]

L1005 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 75


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 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]

L2004 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]

L2005 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]

L2006 Sender ID Customer master data missing or invalid (must contain a valid identification registered in the CC.) [Code

L2006]



/Page 75


L2007 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 75

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

Reports

Investment Management

Reports


Reports

Investment Management 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

Reports


Reports


Reports

Investment Management 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

WS80 1001 Börsenabrechnungen Décomptes de bourse Conteggi di borsa Stock exchange settlements

WS80 1002 Corporate Actions Corporate Actions Corporate Actions Corporate Actions

WS80 1002 Zahlungsverkehr Gutschriften Trafic des paiements crédit Traffico die pagamenti accredito Payment transactions debit

WS80 1003 Depotgeschäft Opérations de dépôt Operazioni di deposito Safekeeping account transactions

WS80 1004 Emissionsabrechnungen Décomptes d’émissions Conteggi di emissioni Issue settlements

WS80 1005 Ertragsabrechnungen Décomptes de revenus Conteggi di redditi Income statements

WS80 1006 Fondsabrechnungen Décomptes de fonds Conteggi parti di fondi Fund settlements

WS80 1007 Rückzahlungsabrechnungen Décomptes de remboursements Conteggi di rimborsi Redemption settlements

WS80 1008 Sonstige

Wertschriftenabrechnungen

Autres décomptes de titres Altri conteggi titoli Other securities settlements

WS80 1009 Sonstige

Wertschriftenavisierungen

Autres avis de titres Altri avvisi titoli Other securities advice notes

WS80 1010 TO&FF-Tagesauszug Extrait journalier TO&FF Estratto giornaliero TO&FF TO&FF daily statement

WS80 1011 Wertschriftengebühren Frais pour transactions sur titres Spese per operazioni su titoli Securities transaction fees

WS80 1012 Avis: Börsenabrechnungen Avis: Décomptes de bourse Avviso: Conteggi di borsa Advice note: Stock exchange

settlements

WS80 1013 Avis: Corporate Actions Avis: Corporate Actions Avviso: Corporate Actions Advice note: Corporate Actions

WS80 1014 Avis: Depotgeschäft Avis: Opérations de dépôt Avviso: Operazioni di deposito Advice note: Safekeeping account

transactions

WS80 1015 Avis: Emissionsabrechnungen Avis: Décomptes d’émissions Avviso: Conteggi di emissioni Advice note: Issue settlements

WS80 1016 Avis: Ertragsabrechnungen Avis: Décomptes de revenus Avviso: Conteggi di redditi Advice note: Income statements

WS80 1016 Sonstige

Wertschriftenavisierungen

Autres avis de titres Altri avvisi titoli Other securities advice notes

WS80 1017 Avis: Fondsabrechnungen Avis: Décomptes de fonds Avviso: Conteggi parti di fondi Advice note: Fund settlements

WS80 1018 Avis:

Rückzahlungsabrechnungen

Avis: Décomptes de

remboursements

Avviso: Conteggi di rimborsi Advice note: Redemption

settlements

WS80 1019 Avis: TO&FF-Tagesauszug Avis: Extrait journalier TO&FF Avviso: Estratto giornaliero

TO&FF

Advice note: TO&FF daily

statement

WS80 1020 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 75

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.

29 ZV Maestro-Ersatzkarte Carte de remplacement

Maestro

Carta sostitutiva Maestro Maestro replacement card 0003

30 ZV Maestro-Jahresgebühr Cotisation annuelle Maestro Tassa annua Maestro Maestro annual fee 0003

31 ZV Maestro-Karte Carte Maestro Carta Maestro Maestro card 0003

32 ZV Maestro-Kartensperrung Blocage carte Maestro Blocco carta Maestro Maestro card block 0003

504 ZV Spesen Zahlungsverkehr Frais trafic des paiements Spese di traffico dei pagamenti Expenses for money transfer 0001

674 ZV Bankcheck Chèque bancaire Assegno bancario Bank check 0001

675 ZV Vergütungsauftrag Ordre de bonification Ordine di bonifico Payment order 0001






687 ZV Zahlungsauftrag Ordre de paiement Ordine di pagamento Payment order 0001


689 ZV Storno Extourne Storno Reversal 0001


693 ZV Dauerauftrag Ordre permanent Ordine permanente Permanent order 0001



696 ZV TELEDTA Vergütung

electronic Banking

TELEDTA paiement electronic

banking

TELEDTA pagamento electronic

banking

TELEDTA payment

electronic banking

0001


electronic Banking


banking


banking

TELEDTA payment

electronic banking

0001



electronic Banking


banking


banking

TELEDTA payment

electronic banking

0001


electronic Banking


banking


banking

TELEDTA payment

electronic banking

0001


702 ZV Vergütungsauftr. Electronic

Banking

Ordre de bonific. Electronic

Banking

Ordine di bonifico Electronic

Bank.

Payment order electronic

banking

0001


electronic Banking


banking


banking

TELEDTA payment

electronic banking

0001


Banking


Banking


Bank.

Payment order

electronic banking

0001


electronic Banking


banking


banking

TELEDTA payment

electronic banking

0001

706 ZV Zahlungsliste Electronic

Banking

Liste de paiement Electronic

Banking

Lista di pagamento Electr.

Banking

List of payments electronic

banking

0001


Banking


Banking


Bank.

Payment order electronic

banking

0001


709 ZV DTA-Auftrag FW/Ausland Ordre DTA ME/étranger Ordine DTA VE/estero DTA order FC/abroad 0001

710 ZV DTA-Auftrag Inland Ordre DTA Suisse Ordine DTA Svizzera DTA order Switzerland 0001



713 ZV Einzug LSV Recouvrement LSV Incasso LSV Direct debit collection 0001

714 ZV Rücklastschrift LSV Note de recouvrement

impayée LSV

Avviso di prelevamento insoluto

LSV

Reversal of LSV debit 0001

715 ZV Zahlungsauftrag

codiert/multi

Ordre de paiement codé/multi Ordine di pagamento

codificato/multi

Coded/multi payment order 0001

716 ZV Zahlungsauftrag

codiert/multi

Ordre de paiement codé/multi Ordine di pagamento

codificato/multi

Coded/multi payment order 0001

717 ZV Vergütung Bonification Bonifico Payment 0002

718 ZV Zahlungseing. auf Datentr.

ZED/BESR

Rentrée EDP/ZED/BESR Entrata su racc.dati/ZED/PVBR Receivings EDP/ZED/BESR 0002




722 ZV Zahlungseing. auf Datentr.

ZED/BESR

Rentrée EDP/ZED/BESR Entrata su racc.dati/ZED/PVBR Receivings EDP/ZED/BESR 0002


724 ZV EDV-Einzugsauftrag Ordre d’encaissement EDP Ordine d’incasso EDP EDP collection order 0002



/Page 75

DIT

No.

Feeder

Application


Group

No.

725 ZV PC-Eingang Versement postal Versamento postale Postal remittance 0002


727 ZV Clearing-Zahlung Paiement clearing Pagamento clearing Clearing payment 0002



730 ZV Checkbelastung Débit de chèque Addebito assegno Check debit 0001

731 ZV Check-Retoure Retour de chèque Rimessa d’assegni di ritorno Check return 0001

732 ZV Domizilwechsel Effet domicilié Cambiale domiciliata Domiciled bill 0001

733 ZV Checkrimesse Eingang

vorbehalten

Remise de chèques sauf

bonne fin

Rimessa di assegni salvo buon

fine

Check rem. under usual reserve 0002

734 ZV Checkrimesse Eingang

vorbehalten

Remise de chèques sauf

bonne fin

Rimessa di assegni salvo buon

fine

Check rem. under usual reserve 0002

735 ZV Checkrimesse nach

Eingang

Remise de chèques a.

encaissement

Rimessa di assegni dopo

incasso

Check rem. after final payment 0002

736 ZV Checkrimesse nach

Eingang

Remise de chèques a.

encaissement

Rimessa di assegni dopo

incasso

Check rem. after final payment 0002

737 ZV Rimesse Remise Rimessa Remittance 0002





743 ZV Maestro-Zahlung int. (inkl.

Komm.)

Paiement Maestro int. (comm.

comp.)

Pagamento Maestro int.

(comm.incl.)

Int. Maestro payment (incl.

omm..)

0003

744 ZV Maestro-Zahlung CHF Paiement Maestro CHF Pagamento Maestro CHF Maestro payment CHF 0003

745 ZV Maestro-Zahlung FW Paiement Maestro ME Pagamento Maestro VE Maestro payment FC 0003

746 ZV Maestro-Bezug int. (inkl.

Komm.)

Prélèvement Maestro int.

comm. comp.

Prelevamento Maestro int.

comm. inc.

Maestro cash withdrawal int.

omm..

0003

747 ZV Maestro-Bezug CHF Prélèvement Maestro CHF Prelevamento Maestro CHF Maestro cash withdrawal CHF 0003

748 ZV Maestro-Bezug EUR Prélèvement Maestro EUR Prelevamento Maestro EUR Maestro cash withdrawal EUR 0003

749 ZV Maestro-Bezug EUR (inkl.

Komm.)

Prélèvement Maestro EUR

(comm.comp.)

Prelevamento Maestro EUR

comm. incl.

Maestro cash withdrawal EUR

omm..

0003

750 ZV Maestro-Bezug CHF Prélèvement Maestro CHF Prelevamento Maestro CHF Maestro cash withdrawal CHF 0003


Komm.)


(comm.comp.)


comm. incl.


omm..

0003


Komm.)


(comm.comp.)


comm. incl.


omm..

0003

764 ZV Einzug LSV Recouvrement LSV Incasso LSV Direct debit collection 0001

765 ZV Zahlungsrückleitung Retour de paiement Ritorno di pagamento Return of payment 0001

766 ZV Zahlungsrückleitung Retour de paiement Ritorno di pagamento Return of payment 0001



831 ZV Spesen und Gebühren Frais et taxes Spese e diritti Expenses 0001











843 ZV Gutschriftsanzeige Avis de crédit Avviso di accredito Credit advice 0002

844 ZV Belastungsanzeige Avis de débit Avviso di addebito Debit advice 0001

999 ZV Spezieller Bankbeleg Justificatif spécial Giustificativo speciale Specialised banking record 0999

10.3 Document Types: Securities

DIT

No.

Feeder

Application


Group

No.

1000 WS80 Kauf Achat Compera Purchase 1001

1001 WS80 Kauf Achat Compera Purchase 1001

1002 WS80 Exercise Exercise Exercise Exercise 1001



/Page 75

DIT

No.

Feeder

Application


Group

No.

1003 WS80 Repo Opening Repo Opening Repo Opening Repo Opening 1008

1004 WS80 Reverse Repo Closing Reverse Repo Closing Reverse Repo Closing Reverse Repo Closing 1008

1005 WS80 Verkauf Vente Vendita Sale 1001

1006 WS80 Verkauf Vente Vendita Sale 1001

1007 WS80 Assignment Assignment Assignment Assignment 1001

1008 WS80 Repo Closing Repo Closing Repo Closing Repo Closing 1008

1009 WS80 Reverse Repo Opening Reverse Repo Opening Reverse Repo Opening Reverse Repo Opening 1008

1010 WS80 Report Report Riporto Contango 1001

1011 WS80 Deport Déport Deporto Backwardation 1001

1012 WS80 Abandonnierung Abandon Abandono Abandonment 1001

1013 WS80 Gutschrift Termin-

Liquidation

Liquidation crédit Accredito liquidaz. a termine Credit entry closing forw.pos. 1001

1014 WS80 Belastung Termin-

Liquidation

Liquidation débit Addebito liquidaz. a termine Debit entry closing forw. pos. 1001

1015 WS80 Bestandeszugang

Termin-Liq.

Augmentation de position liq. Augmento di posizione liq. Increase of position liq. 1001

1016 WS80 Best.-Verminderung

Termin-Liq.

Réduction de position liq. Riduzione di posizione liq. Reduction of position liq. 1001

1017 WS80 Bestandesänderung

Termin-Liq.

Modification de position liq. Modifica di posizione liq. Change in position liq. 1001

1018 WS80 Liq. Endabrechnung Décompte final liquidation Conteggio finale liquidazione Forward trans.final settlement 1001

1020 WS80 Repo Ausgleich Repo Decompte Final Repo Conte. Finale Repo Final Settlem. 1008

1021 WS80 Rev. Repo Ausgleich Rev.Repo Dec.Final Rev.RepoCont.Finale Rev.Repo Final Sett. 1008

1022 WS80 Emission Emission Emissione New issue 1004

1023 WS80 Emission Emission Emissione New issue 1004

1024 WS80 Vorrechtszeichnung Souscription privilégiée Sottoscrizione privilegiata Preferential right aubscriptn 1002

1025 WS80 Vorrechtszeichnung +

Anrechten

Souscription privil. droits Sottoscriz.priv.dir.d’opzione Pref.right subscript+rights 1002

1026 WS80 Ausgabe von

Fondsanteilen

Emission de parts de fonds Emissione di parti di fondi Issue of investment fund units 1006

1027 WS80 Kapitalerhöhung Augmentation de capital Aumento di capitale Capital increase 1002

1028 WS80 Kapitalerhöhung Augmentation de capital Aumento di capitale Capital increase 1002

1029 WS80 Mitarbeiteraktien Actions en faveur du personnel Azioni per collaboratori Staff shares 1002

1030 WS80 Gratisemission Attribution gratuite Emissione gratuita Issue of bonus shares 1002

1031 WS80 Gratisemission Attribution gratuite Emissione gratuita Issue of bonus shares 1002

1033 WS80 Aktionärsoptionen Options actionnaires Opzioni d’azionisti Shareholder warrants 1002

1035 WS80 Kapitalisierung von

Reserven

Capitalisation de réserves Capitalizzazione di riserve Capitalisation of reserves 1002

1036 WS80 Stockdividende Stock dividend Stock dividendo Stock dividend 1002

1038 WS80 Portefeuille-Ausschüttung Distribution de portefeuille Distribuzione in portafoglio Portfolio distribution 1002

1040 WS80 Spin off Spin off Spin off Spin off 1002

1041 WS80 Stockdividende Stock dividend Stock dividendo Stock dividend 1002

1042 WS80 Portefeuille-Ausschüttung Distribution de portefeuille Distribuzione in portafoglio Portfolio distribution 1002

1044 WS80 Eingang Fondsanteile IK Entrée de parts de fonds CI Entrata di parti di fondi CI Entry of fund units IA 1006

1045 WS80 Ausgang Fondsanteile IK Sortie de parts de fonds CI Uscita di parti di fonti CI Withdrawal of fund units IA 1006

1046 WS80 Abgeltung von Werten Indemnisation de valeurs Indennizzo di valori Indemnification of securities 1002

1048 WS80 Barabgeltung von Coto

Opt.

Encaissement de coto Rimborso in contanti di coto Compensation in cash for coto 1002

1050 WS80 Rückzahlung durch

Verlosung

Remb.suite au tirage au sort Rimb. in seguito a estrazione Redemption due to drawing 1007

1051 WS80 Vorzeitige Rückzahlung Remboursement Rimborso Premature redemption 1007


Kündigung

Remb. suite à la dénonciation Rimborso in seguito a disdetta Redemption due to calling 1007

1053 WS80 Rückzahlung per

Endverfall

Remb.suite à l’échéance finale Rimb.seguito a scadenz.finale Redempt.on the final due date 1007

1054 WS80 Rückz. auf Wunsch

Gläubiger

Remb.à la demande du

créancier

Rimb.su richiesta del credit. Redempt.on req.of the creditor 1007

1055 WS80 Kapitalredukt. mit

Rückzahlung

Réduction du capital Riduzione di capitale Capital reduct.with redemption 1007

1057 WS80 Rückzahlung Remboursement Rimborso Redemption 1007

1058 WS80 Optionsverfall Echéance d’option Scadenza d’opzione Traded options expiry 1002

1059 WS80 Rückkauf Aufgrund

Uebernahme

Rachat suite à la reprise Risc.in seguito a rilevamento Repurchase due to a take-over 1002

1060 WS80 Rückkauf durch

Gesellschaft

Rachat par la société Riscatto della società Repurchase by company 1002

1062 WS80 Rückkauf eigener

Gesellschaft

Rachat par la société Riscatto della propria società Repurchase by own company 1002



/Page 75

DIT

No.

Feeder

Application


Group

No.

1063 WS80 Rückkauf über 2. Linie Rachat sur 2ème ligne Riscatto sulla 2. linea Repurchase on 2nd line 1002

1064 WS80 Rücknahme von

Fondsanteilen

Reprise de parts de fonds Ripresa di parti di fondi Repayment of invest.fund units 1006

1065 WS80 Optionsausübung Exercice d’options Esercizio dell’opzione Exercise warrants 1002

1066 WS80 Ausübung von Put-

Optionen

Exercice de put options Esercizio delle put opzione Exercise put warrants 1002

1067 WS80 Ausübung von Index-

Optionen

Exercice d’index options Esercizio dell’index-opzione Exercise index-options 1002

1068 WS80 Liquidation Liquidation Liquidazione Liquidation 1002

1069 WS80 Wertloserklärung Déclaration sans valeur Ammortamento No value declaration 1002

1070 WS80 Verfall Echéance Scadenza Expiry 1002

1071 WS80 Kapitalred. ohne

Rückzahlung

Réduction du capital Riduzione di capitale Capit.reduct.without

redempt.

1002

1072 WS80 Konversion Conversion Converzione Conversion 1002

1073 WS80 Kapitalred. mit

Rückzahlung

Réduction du capital Riduzione di capitale Cap.reduction with redempt. 1002

1074 WS80 Einzahlung von non versé Paiement du non versé Pagamento del non versé Payment of non versé 1002


Verlosung

Remb.suite au tirage au sort Rimb.in seguito a estrazione Redemption due to drawing 1007

1076 WS80 Vorzeitige Rückzahlung Remboursement anticipé Rimborso anticipato Premature redemption 1007


Kündigung

Remb. suite à la dénonciation Rimborso in seguito a disdetta Redemption due to calling 1007

1080 WS80 Rückzahlung per

endverfall

Remb.suite à l’échéance finale Rimb.in seguito a scad.finale Redempt.on the final due

date

1007

1081 WS80 Rückzahl. auf Wunsch

Gläubiger

Remb.à la demande du

créancier

Rimb.su richiesta del credit. Redempt.on req.of the

creditor

1007

1082 WS80 Kapitalredukt. mit

Rückzahlung

Réduction du capital Riduzione di capitale Capital reduct.with

redemption

1007

1083 WS80 Liquidation Liquidation Liquidazione Liquidation 1002

1084 WS80 Rückzahlung Remboursement Rimborso Redemption 1007

1085 WS80 Inkasso Encaissement Incasso Collection 1005

1086 WS80 Inkasso Encaissement Incasso Collection 1005

1087 WS80 VEGA provisorisch VEGA provisorisch VEGA provisorisch VEGA provisorisch 1002

1088 WS80 Namensänderung Changement de nom Cambiamento del nome Change of name 1002

1089 WS80 Valorennummernänderun

g

Changement du numéro de

valeur

Cambiam. del numero di valore Change of security number 1002

1090 WS80 Umtausch

Beteiligungspapiere

Echange de titres de particip. Scambio di titoli di partecip. Exchange equities 1002

1091 WS80 Laufzeitverlängerung Prorogation de l’échéance Proroga della durata Extension of maturity 1002

1092 WS80 Umtausch aufgrund

Uebernahme

Echange suite à la reprise Permuta in seg. a rilevamento Conversion due to a take-

over

1002

1094 WS80 Gleichstellung Assimilation Equiparazione Assimilation 1002

1095 WS80 Umtausch Echange Scambio Exchange 1002

1096 WS80 Fusion Fusion Fusione Merger 1002

1097 WS80 Entflechtung Décartellisation Scorporazione della Decartelization 1002

1098 WS80 Trennung Séparation Separazione Separation 1002

1099 WS80 Zusammenlegung Assimilation Raggruppamento Consolidation 1002

1100 WS80 Ausgabe von Hedge-

Funds

Emission de parts de fonds Emissione di parti di fondi Issue of Hedge funds 1006

1101 WS80 Umtausch Echange Scambio Exchange 1002

1102 WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depository 1002

1103 WS80 Wandlung Conversion Conversione Conversion 1002

1104 WS80 Ausübung von

Optionsscheinen

Levée options/warrants Esercizio opzioni/warrants Exercise options/warrants 1002

1105 WS80 Ausübung von Coto

Optionen

Exécution coto options Esercizio di opzioni coto Exercise of coto options 1002

1106 WS80 Split ohne Valorennr-

Aenderung

Split sans changement n° val. Split senza cambiam. n° valore Split without change

secur.Nr

1002

1107 WS80 Split Split Split Split 1002

1108 WS80 Split Split Split Split 1002

1109 WS80 Rev.Split ohne Valorennr-

Aend.

Rev. split sans chang. n° val. Rev. split senza camb. n° val. Rev.split without change

secNr

1002

1110 WS80 Rev.Split mit ValorenNr-

Aend.

Rev.split avec chang. n° val. Rev. split con camb. n° Val. Rev. split with change sec.

nr

1002

1111 WS80 reverse split reverse split reverse split Reverse split 1002

1112 WS80 Aenderung Stück-

/Nomin.-Notiz

Changement de valeur

nominale

Modifica del valore nominale Change of nominal value 1002



/Page 75

DIT

No.

Feeder

Application


Group

No.

1113 WS80 Aenderung Stück-

/Nomin.-Notiz

Changement de valeur

nominale

Modifica del valore nominale Change of nominal value 1002

1114 WS80 Kapitalisierung von

Reserven

Capitalisation de réserves Capitalizzazione di riserve Capitalisation of reserves 1002

1115 WS80 Kapitalred.mit

Rückzahlung

Réduct. de capital avec remb. Riduz. di capitale con rimb. Capital reduct. with refund 1002

1116 WS80 Kapitalred.ohne

Rückzahlung

Réduct. du capital sans remb. Riduz. di capitale senza rimb. Capital reduct. without

refund

1002

1117 WS80 Einzahlung von non versé Paiement du non versé Pagamento di non versé Payement of non versé 1002

1118 WS80 Kapitaleinforderung Libération du capital Richiesta di capitale Call for non-paid-in capital 1002

1119 WS80 Kapitaleinforderung Libération du capital Richiesta di capitale Call for non-paid-in capital 1002

1120 WS80 Bestandeskorrektur Correction de la position Rettifica di posizione Correction of position 1003

1121 WS80 Interne Titelkorrektur Correction interne de titres Rettifica interna di titoli Int. correction of securities 1003

1122 WS80 Titelkorrektur

Namenaktien

Correction titres act. nomin. Securit. correct. az. nom. Securit. correct. reg. shares 1003

1123 WS80 Deponierung Mise sous dépôt Messa in deposito Deposit 1003

1124 WS80 Deponierung Mise sous dépôt Messa in deposito Deposit 1003

1125 WS80 Depotübertrag Transfert de dépôt Trasferimento di deposito Transfer 1003

1126 WS80 Depotübertrag Transfert de dépôt Trasferimento di deposito Transfer 1003

1127 WS80 Transfer Transfert Trasferimento Transfer 1003

1128 WS80 Sec. Lending and

Borrowing

Sec. Lending and Borrowing Sec. Lending and Borrowing Sec. Lending and Borrowing 1008

1129 WS80 Depotausgang Sortie de dépôt Uscita di deposito Custody account withdrawal 1003


1131 WS80 Sendung an Deponent Envoi au déposant Invio al depositante Send to depositor 1003



1134 WS80 Freistellung Mise à disposition Messa a disposizione Custody account withdrawal 1003

1135 WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depositary 1003

1136 WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depositary 1003

1137 WS80 Titelumbuchung Changement inscription titres Cambiamento iscrizione titoli Reregistration of securities 1003

1138 WS80 Herbeorderung Rapatriement Richiamo Repatriation 1003

1139 WS80 Titelumlagerung Transfert titres Trasferimento titoli Change of depository 1003

1140 WS80 Wegbeorderung Expatriement Ritorno Expatriation 1003

1141 WS80 Zinszahlung Paiement d’intérêts Pagamento d’interessi Interest payment 1005

1142 WS80 Bardividende Dividende en espèces Dividendo in contanti Cash dividend 1005

1143 WS80 Nachrechnen Ertrag

Steuerverz.

Recalcul. revenus rel. fiscaux Nuovo calc.proventa dist.fisc. Check.of profit for tax-reg. 1005

1144 WS80 Barausschüttung Distribution en espèce Distribuzione in contanti Distribution in cash 1005

1145 WS80 Stockdividende in Bar Stockdividende en espèces Stockdividendo in contanti Stock dividend in cash 1005

1146 WS80 Naturalausschüttung Distribution en nature Ripartizione in natura Dividend paid in kind 1005

1147 WS80 Liq. ausschüttung Ertrag Distr. de liquidation revenu Ripartizione di liquidazione Liquid. distribution proceeds 1005

1148 WS80 Kapitalgewinn Bénéfice en capital Utile di capitale Capital gain 1005

1149 WS80 Kapitalrückzahlung Remboursement de capital Rimborso di capitale Repayment of principal 1005

1150 WS80 Ertragszahlung Paiement de revenu Pagamento dei redditi Income payment 1005

1151 WS80 Geldabrechnung Décompte espèces Conteggio contanti Cash settlement 1005

1152 WS80 Zinszahlung Einreicher Paiement d’intérêt remettant Pagamento interessi presentatore Presenter’s interest

payment

1005

1153 WS80 Bardividende Einreicher Bardividende Einreicher Bardividende Einreicher Bardividende Einreicher 1005

1154 WS80 Bardiv. mit Kapital-

Gewinnteil

Bardiv. mit Kapital-Gewinnteil Bardiv. mit Kapital-Gewinnteil Bardiv. mit Kapital-

Gewinnteil

1005

1155 WS80 Stockdiv.Bar

o.Wahlmögl.Dep

Stockdiv.Bar o.Wahlmögl.Dep Stockdiv.Bar o.Wahlmögl.Dep Stockdiv.Bar

o.Wahlmögl.Dep

1005

1156 WS80 Stockdiv.Bar

m.Wahlmögl.Dep

Stockdiv.Bar m.Wahlmögl.Dep Stockdiv.Bar m.Wahlmögl.Dep Stockdiv.Bar

m.Wahlmögl.Dep

1005

1157 WS80 Naturalausschüttung Naturalausschüttung Naturalausschüttung Naturalausschüttung 1005

1158 WS80 Liq. Ausschüttung Liq. Ausschüttung Liq. Ausschüttung Liq. Ausschüttung 1005

1159 WS80 Kapitalgewinn Kapitalgewinn Kapitalgewinn Kapitalgewinn 1005

1160 WS80 Kapitalrückzahlung

Einreicher

Kapitalrückzahlung Einreicher Kapitalrückzahlung Einreicher Kapitalrückzahlung

Einreicher

1005

1161 WS80 Zinszahlung Paiement d’intérêts Pagamento d’interessi Interest payment 1005

1163 WS80 Bardividende Dividende en espèces Dividendo in contanti Cash dividend 1005

1165 WS80 Nachrechnen Ertrag

Steuerverz.

Recalcul. revenus rel. fiscaux Nuovo calc.proventa dist.fisc. Check.of profit for tax-reg. 1005



1171 WS80 Naturalausschüttung Distribution en nature Ripartizione in natura Dividend paid in kind 1005



/Page 75

DIT

No.

Feeder

Application


Group

No.

1173 WS80 Liq. ausschüttung Ertrag Distr. de liquidation revenu Ripartizione di liquidazione Liquid. distribution proceeds 1005

1175 WS80 Kapitalgewinn Bénéfice en capital Utile di capitale Capital gain 1005

1177 WS80 Kapitalrückzahlung Remboursement de capital Rimborso di capitale Repayment of principal 1005

1179 WS80 Erhol.Seite

Kapitalfälligkeit

Erhol.Seite Kapitalfälligkeit Erhol.Seite Kapitalfälligkeit Erhol.Seite Kapitalfälligkeit 1005

1180 WS80 Deckblatt

Einreichunglosung

1ère feuille remettants 1.o.foglio presentatori Cover page presenters 1008

1181 WS80 Deckblatt Sendung 1ère feuille envoi 1.o.foglio inoltro Cover page consignment 1008

1182 WS80 Korrektur

Ertragsabrechnung

Korrektur Ertragsabrechnung Korrektur Ertragsabrechnung Korrektur

Ertragsabrechnung

1005

1183 WS80 Korrektur

Ertragsabrechnung

Korrektur Ertragsabrechnung Korrektur Ertragsabrechnung Korrektur

Ertragsabrechnung

1005

1184 WS80 Steuersachen Domaine fiscal Imposta Fiscal matters 1011

1185 WS80 Steuerrückerstattung Remboursement de l’impôt Rimborso dell’imposta Repayment of withholding

tax

1011

1186 WS80 Generalversammlungseinl

adung

Invitation assemblée générale Invito all’assemblea generale Invitation to AGM 1002

1187 WS80 Class-Action Class-Action Class-Action Class-Action 1002

1188 WS80 Gläubigerversammlung Assemblée des Céanciers Assemblea dei creditori Meeting of creditors 1002

1189 WS80 Neukotierung Valor Nouvelle cotation de valeur Nuova quotazione del valore New listing of security 1002

1190 WS80 Sonstige Avis Autre avis Altro avviso Other notification 1009

1191 WS80 Avis b.Aenderung in

Titelbed.

Avis b.Aenderung in Titelbed. Avis b.Aenderung in Titelbed. Avis b.Aenderung in

Titelbed.

1009

1192 WS80 Avis bei Titeländ.

sonstiges

Avis bei Titeländ. sonstiges Avis bei Titeländ. sonstiges Avis bei Titeländ. sonstiges 1009

1193 WS80 Verfallavis bei Cps-

Fälligk.

Verfallavis bei Cps-Fälligk. Verfallavis bei Cps-Fälligk. Verfallavis bei Cps-Fälligk. 1016

1194 WS80 Verfallavis

Wiederanlagevors.

Verfallavis Wiederanlagevors. Verfallavis Wiederanlagevors. Verfallavis

Wiederanlagevors.

1009

1195 WS80 Verfallavis sonstiges Verfallavis sonstiges Verfallavis sonstiges Verfallavis sonstiges 1009

1196 WS80 Selektive Avisierung Notification sélective Avviso selettivo Selective notification 1009

1197 WS80 TO&FF-Tagesauszug TO&FF extrait journalier TO&FF estratto giornaliere TO&FF daily extract 1010

1198 WS80 Auszug Firstphone Extrait Firstphone Estratto Firstphone Extract Firstphone 1008

1199 WS80 Sammel-GA für OMark GO global pour OPICS Genere d’op. globale per OPICS Collective TD for OPICS 1008

1200 WS80 Sammel-GA für US-

GAAP

GO global pour US-GAAP GO globale per US-GAAP Coll. TD for US-GAAP 1008

1201 WS80 Adjustierungs-Faktor

Spezial

Coeffic. d’ajustement spécial Coeff. d’aggiustaggio speciale Adjustement factor special 1008

1202 WS80 BESL-Korrektur Corrections CLMO Correzioni CIMP AMK corrections 1008

1203 WS80 EK Uebernahme

Bewegung

EK Uebernahme Bewegung EK Uebernahme Bewegung EK Uebernahme Bewegung 1008

1204 WS80 EK.Korrektur aktueller

Saldo

Correction CAM solde actuel Correzione CAM saldo attuale Correction current balance 1008

1205 WS80 Bewertungskurs

Korrektur

Bewertungskurs Korrektur Bewertungskurs Korrektur Bewertungskurs Korrektur 1008

1206 WS80 Administrationsgebühr Commissions d’administration Tassa amministrative Administration Fees 1011

1207 WS80 Vermögensverwaltungsge

bühren

Frais de gestion Diritti amministrativi Portfolio management fees 1011

1208 WS80 Investment

Perform.Calculation

Investment

Perform.Calculation

Investment Perform.Calculation Investment

Perform.Calculation

1011

1210 WS80 Titel/CP-Bogen

Erneuerung

Renouvel. titre/cédule Rinnovo titolo/cedole Secur./coupon sheet

renewal

1002

1211 WS80 Stückelungsumtausch Stückelungsumtausch Stückelungsumtausch Stückelungsumtausch 1002

1212 WS80 Geldbuchung Décompte espèces Conteggio contanti Cash settlement 1008

1213 WS80 Ratazins

Kassenobligationen

Intérêt pro rata OC Interessi pro rata OC Broken-period interest MT-

note

1005

1214 WS80 Zinsaufwand

Kassenobligationen

Charge d’intérêt OC Onere d’interessi OC Interest expenditure MT-

notes

1005

1215 WS80 Fälliger Kapitalaufwand

KO

Charge de capital échue OC Onere di capitale maturato OC Due capital expendit. MT-

notes

1005

1216 WS80 Kurs-G/V im

Eigenbestand

P/P brut aux fonds propres P/P lordi in posizioni N/P Kurs-G/V im Eigenbestand 1008

1217 WS80 Uebernahme

Comptantbestand

Uebernahme

Comptantbestand

Uebernahme Comptantbestand Uebernahme

Comptantbestand

1008

1218 WS80 Uebernahme

Terminfestbestand

Uebernahme

Terminfestbestand

Uebernahme Terminfestbestand Uebernahme

Terminfestbestand

1008

1219 WS80 EB Depotübertrag mit

Kurs

Transfert dépôt FP à cours Trasf. deposito FP a corso tit Depot transf own

pos.w.price

1003



/Page 75

DIT

No.

Feeder

Application


Group

No.

1220 WS80 EB Depotübertrag mit

Kurs

Transfert dépôt FP à cours Trasf. deposito FP a corso tit Depot transf own

pos.w.price

1003

1221 WS80 EB-Depotübertrag zum

Inv.Kurs

Transfert dépôt FP à cours inv Trasf. deposito NP a corso inv Depot transf. own position 1003

1222 WS80 Erledigung EB-

Systempendenzp.

Traitement suspens de

système

Tratamento sospeso di sistema Erledigung EB-

Systempendenzp.

1008

1223 WS80 Autom.Wertberechtigung

im EB

Rectif. automatique de valeur Rettifica automatica di valore Autom.Wertberechtigung im

EB

1008

1224 WS80 Einzel-Wertberechtigung Rectif.individuelle de valeur Rettific. individ. di valore Einzel-Wertberechtigung 1008

1225 WS80 Geldbuchung zu EB

zuordnen

Comptab. d’espèces liée aux

FP

Registra moneta a pos. NP Geldbuchung zu EB

zuordnen

1008

1226 WS80 Wertloserklärung im WS-

EB

Déclaration “sans valeur” FP Dichiaraz. “senza valore” NP Wertloserklärung im WS-EB 1002

1227 WS80 Einstandskurs-Korrektur

im EB

Correction du CAM FP Correzione di CCM NP Einstandskurs-Korrektur im

EB

1008

1228 WS80 Einseitige Buchung im EB Ecriture unilatérale FP Registrazione unilaterale a NP Einseitige Buchung im EB 1008

1229 WS80 Mut-Korrekt.Fiche (MC

10 & 11)

Mut-Korrekt.Fiche (MC 10 &

11)

Mut-Korrekt.Fiche (MC 10 & 11) Mut-Korrekt.Fiche (MC 10

& 11)

1008

1230 WS80 Mut-Sendung (MC 26) Mut-Sendung (MC 26) Mut-Sendung (MC 26) Mut-Sendung (MC 26) 1008

1231 WS80 Mut-int.Ein-/Ausb.(MC27

& 28)

Mut-int.Ein-/Ausb.(MC27 &

28)

Mut-int.Ein-/Ausb.(MC27 & 28) Mut-int.Ein-/Ausb.(MC27 &

28)

1008

1232 WS80 Mut-Anr.Verk./

Kauf(MC31 & 32)

Mut-Anr.Verk./Kauf(MC31 &

32)

Mut-Anr.Verk./Kauf(MC31 & 32) Mut-Anr.Verk./Kauf(MC31

& 32)

1002

1233 WS80 Mut-Auslosungsumb.(MC

35 & 36)

Mut-Auslosungsumb.(MC 35

& 36)

Mut-Auslosungsumb.(MC 35 &

36)

Mut-Auslosungsumb.(MC 35 &

36)

1002

1234 WS80 Vereinnahmen Kapital Comptabilis. capital Contabil. capitale Book capital 1002

1235 WS80 Fremdwährungssaldoberi

chtigung

Ajust. solde monnaie

étrangère

Rettifica saldo moneta estera Correctn. foreign curr.balance 1008

1236 WS80 Avis: Kauf Avis: Achat Avviso: Compera Advice: Purchase 1012

1237 WS80 Avis: Kauf Avis: Achat Avviso: Compera Advice: Purchase 1012

1238 WS80 Avis: Exercise Avis: Exercise Avviso: Exercise Advice: Exercise 1012

1239 WS80 Avis: Repo Opening Avis: Repo Opening Avviso: Repo Opening Advice: Repo Opening 1009

1240 WS80 Avis: Reverse Repo

Closing

Avis: Reverse Repo Closing Avviso: Reverse Repo Closing Advice: Reverse Repo Closing 1009

1241 WS80 Avis: Verkauf Avis: Vente Avviso: Vendita Advice: Sale 1012

1242 WS80 Avis: Verkauf Avis: Vente Avviso: Vendita Advice: Sale 1012

1243 WS80 Avis: Assignment Avis: Assignment Avviso: Assignment Advice: Assignment 1012

1244 WS80 Avis: Repo Closing Avis: Repo Closing Avviso: Repo Closing Notification: Repo Closing 1009

1245 WS80 Avis: Reverse Repo

Opening

Avis: Reverse Repo Opening Avviso: Reverse Repo Opening Advice: Reverse Repo Opening 1009

1246 WS80 Avis: Report Avis: Report Avviso: Riporto Advice: Contango 1012

1247 WS80 Avis: Deport Avis: Déport Avviso: Deporto Advice: Backwardation 1012

1248 WS80 Avis: Abandonnierung Avis: Abandon Avviso: Abandono Advice: Abandonment 1012

1249 WS80 Avis: Gutschrift Termin-

Liquidation

Avis: Liquidation crédit Avviso: Accredito liquidaz. a

termine

Advice: Credit entry closing

forw.pos.

1012

1250 WS80 Avis: Belastung Termin-

Liquidation

Avis: Liquidation débit Avviso: Addebito liquidaz. a

termine

Advice: Debit entry closing forw.

pos.

1012

1251 WS80 Avis: Bestandeszugang

Termin-Liq.

Avis: Augmentation de position

liq.

Avviso: Augmento di posizione liq. Advice: Increase of position liq. 1012

1252 WS80 Avis: Best.-Verminderung

Termin-Liq.

Avis: Réduction de position liq. Avviso: Riduzione di posizione liq. Advice: Reduction of position liq. 1012

1253 WS80 Avis: Bestandesänderung

Termin-Liq.

Avis: Modification de position

liq.

Avviso: Modifica di posizione liq. Advice: Change in position liq. 1012

1254 WS80 Avis: Liq. Endabrechnung Avis: Décompte final

liquidation

Avviso: Conteggio finale

liquidazione

Advice: Forward trans.final

settlement

1012

1256 WS80 Avis: Repo Ausgleich Avis: Repo Decompte Final Avviso: Repo Conte. Finale Advice: Repo Final Settlem. 1009

1257 WS80 Avis: Rev. Repo

Ausgleich

Avis: Rev.Repo Dec.Final Avviso: Rev.RepoCont.Finale Advice: Rev.Repo Final Sett. 1009

1258 WS80 Avis: Emission Avis: Emission Avviso: Emissione Advice: New issue 1015

1259 WS80 Avis: Emission Avis: Emission Avviso: Emissione Advice: New issue 1015

1260 WS80 Avis: Vorrechtszeichnung Avis: Souscription privilégiée Avviso: Sottoscrizione privilegiata Advice: Preferential right

aubscriptn

1013

1261 WS80 Avis: Vorrechtszeichnung

+ Anrechten

Avis: Souscription privil. droits Avviso:

Sottoscriz.priv.dir.d’opzione

Advice: Pref.right

subscript+rights

1013

1262 WS80 Avis: Ausgabe von

Fondsanteilen

Avis: Emission de parts de

fonds

Avviso: Emissione di parti di fondi Advice: Issue of investment fund

units

1013

1263 WS80 Avis: Kapitalerhöhung Avis: Augmentation de capital Avviso: Aumento di capitale Advice: Capital increase 1013

1264 WS80 Avis: Kapitalerhöhung Avis: Augmentation de capital Avviso: Aumento di capitale Advice: Capital increase 1013



/Page 75

DIT

No.

Feeder

Application


Group

No.

1265 WS80 Avis: Mitarbeiteraktien Avis: Actions en faveur du

personnel

Avviso: Azioni per collaboratori Advice: Staff shares 1013

1266 WS80 Avis: Gratisemission Avis: Attribution gratuite Avviso: Emissione gratuita Advice: Issue of bonus shares 1013

1267 WS80 Avis: Gratisemission Avis: Attribution gratuite Avviso: Emissione gratuita Advice: Issue of bonus shares 1013

1269 WS80 Avis: Aktionärsoptionen Avis: Options actionnaires Avviso: Opzioni d’azionisti Advice: Shareholder warrants 1013

1271 WS80 Avis: Kapitalisierung von

Reserven

Avis: Capitalisation de réserves Avviso: Capitalizzazione di riserve Advice: Capitalisation of

reserves

1013

1272 WS80 Avis: Stockdividende Avis: Stock dividend Avviso: Stock dividendo Advice: Stock dividend 1013

1274 WS80 Avis: Portefeuille-

Ausschüttung

Avis: Distribution de

portefeuille

Avviso: Distribuzione in portafoglio Advice: Portfolio distribution 1013

1276 WS80 Avis: Spin off Avis: Spin off Avviso: Spin off Advice: Spin off 1013

1277 WS80 Avis: Stockdividende Avis: Stock dividend Avviso: Stock dividendo Advice: Stock dividend 1013

1278 WS80 Avis: Portefeuille-

Ausschüttung

Avis: Distribution de

portefeuille

Avviso: Distribuzione in portafoglio Advice: Portfolio distribution 1013

1280 WS80 Avis: Eingang

Fondsanteile IK

Avis: Entrée de parts de fonds

CI

Avviso: Entrata di parti di fondi CI Advice: Entry of fund units IA 1017

1281 WS80 Avis: Ausgang

Fondsanteile IK

Avis: Sortie de parts de fonds

CI

Avviso: Uscita di parti di fonti CI Advice: Withdrawal of fund units

IA

1017

1282 WS80 Avis: Abgeltung von

Werten

Avis: Indemnisation de valeurs Avviso: Indennizzo di valori Advice: Indemnification of

securities

1013

1284 WS80 Avis: Barabgeltung von

Coto Opt.

Avis: Encaissement de coto Avviso: Rimborso in contanti di

coto

Advice: Compensation in cash

for coto

1013

1286 WS80 Avis: Rückzahlung durch

Verlosung

Avis: Remb.suite au tirage au

sort

Avviso: Rimb. in seguito a

estrazione

Advice: Redemption due to

drawing

1018

1287 WS80 Avis: Vorzeitige

Rückzahlung

Avis: Remboursement Avviso: Rimborso Advice: Premature redemption 1018


Kündigung

Avis: Remb. suite à la

dénonciation

Avviso: Rimborso in seguito a

disdetta


calling

1018

1289 WS80 Avis: Rückzahlung per

Endverfall

Avis: Remb.suite à l’échéance

finale

Avviso: Rimb.seguito a

scadenz.finale

Advice: Redempt.on the final

due date

1018

1290 WS80 Avis: Rückz. auf Wunsch

Gläubiger

Avis: Remb.à la demande du

créancier

Avviso: Rimb.su richiesta del

credit.

Advice: Redempt.on req.of the

creditor

1018

1291 WS80 Avis: Kapitalredukt. mit

Rückzahlung

Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Capital reduct.with

redemption

1018

1293 WS80 Avis: Rückzahlung Avis: Remboursement Avviso: Rimborso Advice: Redemption 1018

1294 WS80 Avis: Optionsverfall Avis: Echéance d’option Avviso: Scadenza d’opzione Advice: Traded options expiry 1013

1295 WS80 Avis: Rückkauf Aufgrund

Uebernahme

Avis: Rachat suite à la reprise Avviso: Risc.in seguito a

rilevamento

Advice: Repurchase due to a

take-over

1013

1296 WS80 Avis: Rückkauf durch

Gesellschaft

Avis: Rachat par la société Avviso: Riscatto della società Advice: Repurchase by company 1013

1298 WS80 Avis: Rückkauf eigener

Gesellschaft

Avis: Rachat par la société Avviso: Riscatto della propria

società

Advice: Repurchase by own

company

1013

1299 WS80 Avis: Rückkauf über 2.

Linie

Avis: Rachat sur 2ème ligne Avviso: Riscatto sulla 2. linea Advice: Repurchase on 2nd line 1013

1300 WS80 Avis: Rücknahme von

Fondsanteilen

Avis: Reprise de parts de

fonds

Avviso: Ripresa di parti di fondi Advice: Repayment of

invest.fund units

1017

1301 WS80 Avis: Optionsausübung Avis: Exercice d’options Avviso: Esercizio dell’opzione Advice: Exercise warrants 1013

1302 WS80 Avis: Ausübung von Put-

Optionen

Avis: Exercice de put options Avviso: Esercizio delle put opzione Advice: Exercise put warrants 1013

1303 WS80 Avis: Ausübung von

Index-Optionen

Avis: Exercice d’index options Avviso: Esercizio dell’index-

opzione

Advice: Exercise index-options 1013

1304 WS80 Avis: Liquidation Avis: Liquidation Avviso: Liquidazione Advice: Liquidation 1013

1305 WS80 Avis: Wertloserklärung Avis: Déclaration sans valeur Avviso: Ammortamento Advice: No value declaration 1013

1306 WS80 Avis: Verfall Avis: Echéance Avviso: Scadenza Advice: Expiry 1013

1307 WS80 Avis: Kapitalred. ohne

Rückzahlung

Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Capit.reduct.without

redempt.

1013

1308 WS80 Avis: Konversion Avis: Conversion Avviso: Converzione Advice: Conversion 1013

1309 WS80 Avis: Kapitalred. mit

Rückzahlung

Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Cap.reduction with

redempt.

1013

1310 WS80 Avis: Einzahlung von non

versé

Avis: Paiement du non versé Avviso: Pagamento del non versé Advice: Payment of non versé 1013


Verlosung

Avis: Remb.suite au tirage au

sort

Avviso: Rimb.in seguito a

estrazione


drawing

1018

1312 WS80 Avis: Vorzeitige

Rückzahlung

Avis: Remboursement anticipé Avviso: Rimborso anticipato Advice: Premature redemption 1018


Kündigung

Avis: Remb. suite à la

dénonciation

Avviso: Rimborso in seguito a

disdetta


calling

1018

1316 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 75

DIT

No.

Feeder

Application


Group

No.

1317 WS80 Avis: Rückzahl. auf

Wunsch Gläubiger

Avis: Remb.à la demande du

créancier

Avviso: Rimb.su richiesta del

credit.

Advice: Redempt.on req.of the

creditor

1018

1318 WS80 Avis: Kapitalredukt. mit

Rückzahlung

Avis: Réduction du capital Avviso: Riduzione di capitale Advice: Capital reduct.with

redemption

1018

1319 WS80 Avis: Liquidation Avis: Liquidation Avviso: Liquidazione Advice: Liquidation 1013

1320 WS80 Avis: Rückzahlung Avis: Remboursement Avviso: Rimborso Advice: Redemption 1018

1321 WS80 Avis: Inkasso Avis: Encaissement Avviso: Incasso Advice: Collection 1016

1322 WS80 Avis: Inkasso Avis: Encaissement Avviso: Incasso Advice: Collection 1016

1323 WS80 Avis: VEGA provisorisch Avis: VEGA provisorisch Avviso: VEGA provisorisch Advice: VEGA provisorisch 1013

1324 WS80 Avis: Namensänderung Avis: Changement de nom Avviso: Cambiamento del nome Advice: Change of name 1013

1325 WS80 Avis:

Valorennummernänderun

g

Avis: Changement du numéro

de valeur

Avviso: Cambiam. del numero di

valore

Advice: Change of security

number

1013

1326 WS80 Avis: Umtausch

Beteiligungspapiere

Avis: Echange de titres de

particip.

Avviso: Scambio di titoli di

partecip.

Advice: Exchange equities 1013

1327 WS80 Avis:

Laufzeitverlängerung

Avis: Prorogation de

l’échéance

Avviso: Proroga della durata Advice: Extension of maturity 1013

1328 WS80 Avis: Umtausch aufgrund

Uebernahme

Avis: Echange suite à la

reprise

Avviso: Permuta in seg. a

rilevamento

Advice: Conversion due to a

take-over

1013

1331 WS80 Avis: Umtausch Avis: Echange Avviso: Scambio Advice: Exchange 1013

1332 WS80 Avis: Fusion Avis: Fusion Avviso: Fusione Advice: Merger 1013

1333 WS80 Avis: Entflechtung Avis: Décartellisation Avviso: Scorporazione della Advice: Decartelization 1013

1334 WS80 Avis: Trennung Avis: Séparation Avviso: Separazione Advice: Separation 1013

1335 WS80 Avis: Zusammenlegung Avis: Assimilation Avviso: Raggruppamento Advice: Consolidation 1013

1336 WS80 Avis: Ausgabe von

Hedge-Funds

Avis: Emission de parts de

fonds

Avviso: Emissione di parti di fondi Advice: Issue of Hedge funds 1017

1337 WS80 Avis: Umtausch Avis: Echange Avviso: Scambio Advice: Exchange 1013

1338 WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depository 1014

1339 WS80 Avis: Wandlung Avis: Conversion Avviso: Conversione Advice: Conversion 1013

1340 WS80 Avis: Ausübung von

Optionsscheinen

Avis: Levée options/warrants Avviso: Esercizio opzioni/warrants Advice: Exercise

options/warrants

1013

1341 WS80 Avis: Ausübung von Coto

Optionen

Avis: Exécution coto options Avviso: Esercizio di opzioni coto Advice: Exercise of coto

options

1013

1342 WS80 Avis: Split ohne

Valorennr-Aenderung

Avis: Split sans changement

n° val.

Avviso: Split senza cambiam. n°

valore

Advice: Split without change

secur.Nr

1013

1343 WS80 Avis: Split Avis: Split Avviso: Split Advice: Split 1013

1344 WS80 Avis: Split Avis: Split Avviso: Split Advice: Split 1013

1345 WS80 Avis: Rev.Split ohne

Valorennr-Aend.

Avis: Rev. split sans chang. n°

val.

Avviso: Rev. split senza camb. n°

val.

Advice: Rev.split without

change secNr

1013

1346 WS80 Avis: Rev.Split mit

ValorenNr-Aend.

Avis: Rev.split avec chang. n°

val.

Avviso: Rev. split con camb. n°

Val.

Advice: Rev. split with change

sec. nr

1013

1347 WS80 Avis: reverse split Avis: reverse split Avviso: reverse split Advice: Reverse split 1013

1348 WS80 Avis: Aenderung Stück-

/Nomin.-Notiz

Avis: Changement de valeur

nominale

Avviso: Modifica del valore

nominale

Advice: Change of nominal

value

1013

1349 WS80 Avis: Aenderung Stück-

/Nomin.-Notiz

Avis: Changement de valeur

nominale

Avviso: Modifica del valore

nominale

Advice: Change of nominal

value

1013

1350 WS80 Avis: Kapitalisierung von

Reserven

Avis: Capitalisation de réserves Avviso: Capitalizzazione di riserve Advice: Capitalisation of

reserves

1013

1351 WS80 Avis: Kapitalred.mit

Rückzahlung

Avis: Réduct. de capital avec

remb.

Avviso: Riduz. di capitale con

rimb.

Advice: Capital reduct. with

refund

1013

1352 WS80 Avis: Kapitalred.ohne

Rückzahlung

Avis: Réduct. du capital sans

remb.

Avviso: Riduz. di capitale senza

rimb.

Advice: Capital reduct. without

refund

1013

1353 WS80 Avis: Einzahlung von non

versé

Avis: Paiement du non versé Avviso: Pagamento di non versé Advice: Payement of non

versé

1013

1354 WS80 Avis: Kapitaleinforderung Avis: Libération du capital Avviso: Richiesta di capitale Advice: Call for non-paid-in

capital

1013

1355 WS80 Avis: Kapitaleinforderung Avis: Libération du capital Avviso: Richiesta di capitale Advice: Call for non-paid-in

capital

1013

1356 WS80 Avis: Bestandeskorrektur Avis: Correction de la position Avviso: Rettifica di posizione Advice: Correction of position 1014

1357 WS80 Avis: Interne

Titelkorrektur

Avis: Correction interne de

titres

Avviso: Rettifica interna di titoli Advice: Int. correction of

securities

1014

1358 WS80 Avis: Titelkorrektur

Namenaktien

Avis: Correction titres act.

nomin.

Avviso: Securit. correct. az. nom. Advice: Securit. correct. reg.

shares

1014

1359 WS80 Avis: Deponierung Avis: Mise sous dépôt Avviso: Messa in deposito Advice: Deposit 1014

1360 WS80 Avis: Deponierung Avis: Mise sous dépôt Avviso: Messa in deposito Advice: Deposit 1014

1361 WS80 Avis: Depotübertrag Avis: Transfert de dépôt Avviso: Trasferimento di deposito Advice: Transfer 1014

1362 WS80 Avis: Depotübertrag Avis: Transfert de dépôt Avviso: Trasferimento di deposito Advice: Transfer 1014

1363 WS80 Avis: Transfer Avis: Transfert Avviso: Trasferimento Advice: Transfer 1014



/Page 75

DIT

No.

Feeder

Application


Group

No.

1364 WS80 Avis: Sec. Lending and

Borrowing

Avis: Sec. Lending and

Borrowing

Avviso: Sec. Lending and

Borrowing

Advice: Sec. Lending and

Borrowing

1009

1365 WS80 Avis: Depotausgang Avis: Sortie de dépôt Avviso: Uscita di deposito Advice: Custody account

withdrawal

1014


withdrawal

1014

1367 WS80 Avis: Sendung an

Deponent

Avis: Envoi au déposant Avviso: Invio al depositante Advice: Send to depositor 1014


withdrawal

1014


withdrawal

1014

1370 WS80 Avis: Freistellung Avis: Mise à disposition Avviso: Messa a disposizione Advice: Custody account

withdrawal

1013

1371 WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depositary 1014

1372 WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depositary 1014

1373 WS80 Avis: Titelumbuchung Avis: Changement inscription

titres

Avviso: Cambiamento iscrizione

titoli

Advice: Reregistration of

securities

1014

1374 WS80 Avis: Herbeorderung Avis: Rapatriement Avviso: Richiamo Advice: Repatriation 1014

1375 WS80 Avis: Titelumlagerung Avis: Transfert titres Avviso: Trasferimento titoli Advice: Change of depository 1014

1376 WS80 Avis: Wegbeorderung Avis: Expatriement Avviso: Ritorno Advice: Expatriation 1014

1377 WS80 Avis: Zinszahlung Avis: Paiement d’intérêts Avviso: Pagamento d’interessi Advice: Interest payment 1016

1378 WS80 Avis: Bardividende Avis: Dividende en espèces Avviso: Dividendo in contanti Advice: Cash dividend 1016

1379 WS80 Avis: Nachrechnen Ertrag

Steuerverz.

Avis: Recalcul. revenus rel.

fiscaux

Avviso: Nuovo calc.proventa

dist.fisc.

Advice: Check.of profit for tax-

reg.

1016

1380 WS80 Avis: Barausschüttung Avis: Distribution en espèce Avviso: Distribuzione in contanti Advice: Distribution in cash 1016

1381 WS80 Avis: Stockdividende in

Bar

Avis: Stockdividende en

espèces

Avviso: Stockdividendo in contanti Advice: Stock dividend in cash 1016

1382 WS80 Avis: Naturalausschüttung Avis: Distribution en nature Avviso: Ripartizione in natura Advice: Dividend paid in kind 1016

1383 WS80 Avis: Liq. ausschüttung

Ertrag

Avis: Distr. de liquidation

revenu

Avviso: Ripartizione di liquidazione Advice: Liquid. distribution

proceeds

1016

1384 WS80 Avis: Kapitalgewinn Avis: Bénéfice en capital Avviso: Utile di capitale Advice: Capital gain 1016

1385 WS80 Avis: Kapitalrückzahlung Avis: Remboursement de

capital

Avviso: Rimborso di capitale Advice: Repayment of principal 1016

1386 WS80 Avis: Ertragszahlung Avis: Paiement de revenu Avviso: Pagamento dei redditi Advice: Income payment 1016

1387 WS80 Avis: Geldabrechnung Avis: Décompte espèces Avviso: Conteggio contanti Advice: Cash settlement 1016

1388 WS80 Avis: Zinszahlung

Einreicher

Avis: Zinszahlung Einreicher Avviso: Zinszahlung Einreicher Advice: Zinszahlung Einreicher 1016

1389 WS80 Avis: Bardividende

Einreicher

Avis: Bardividende Einreicher Avviso: Bardividende Einreicher Advice: Bardividende

Einreicher

1016

1390 WS80 Avis: Bardiv. mit Kapital-

Gewinnteil

Avis: Bardiv. mit Kapital-

Gewinnteil

Avviso: Bardiv. mit Kapital-

Gewinnteil

Advice: Bardiv. mit Kapital-

Gewinnteil

1016

1391 WS80 Avis: Stockdiv.Bar

o.Wahlmögl.Dep

Avis: Stockdiv.Bar

o.Wahlmögl.Dep

Avviso: Stockdiv.Bar

o.Wahlmögl.Dep

Advice: Stockdiv.Bar

o.Wahlmögl.Dep

1016

1392 WS80 Avis: Stockdiv.Bar

m.Wahlmögl.Dep

Avis: Stockdiv.Bar

m.Wahlmögl.Dep

Avviso: Stockdiv.Bar

m.Wahlmögl.Dep

Advice: Stockdiv.Bar

m.Wahlmögl.Dep

1016

1393 WS80 Avis: Naturalausschüttung Avis: Naturalausschüttung Avviso: Naturalausschüttung Advice: Naturalausschüttung 1016

1394 WS80 Avis: Liq. Ausschüttung Avis: Liq. Ausschüttung Avviso: Liq. Ausschüttung Advice: Liq. Ausschüttung 1016

1395 WS80 Avis: Kapitalgewinn Avis: Kapitalgewinn Avviso: Kapitalgewinn Advice: Kapitalgewinn 1016

1396 WS80 Avis: Kapitalrückzahlung

Einreicher

Avis: Kapitalrückzahlung

Einreicher

Avviso: Kapitalrückzahlung

Einreicher

Advice: Kapitalrückzahlung

Einreicher

1016

1397 WS80 Avis: Zinszahlung Avis: Paiement d’intérêts Avviso: Pagamento d’interessi Advice: Interest payment 1016

1399 WS80 Avis: Bardividende Avis: Dividende en espèces Avviso: Dividendo in contanti Advice: Cash dividend 1016

1401 WS80 Avis: Nachrechnen Ertrag

Steuerverz.

Avis: Recalcul. revenus rel.

fiscaux

Avviso: Nuovo calc.proventa

dist.fisc.

Advice: Check.of profit for tax-

reg.

1016


Bar


espèces



Bar


espèces


1407 WS80 Avis: Naturalausschüttung Avis: Distribution en nature Avviso: Ripartizione in natura Advice: Dividend paid in kind 1016

1409 WS80 Avis: Liq. ausschüttung

Ertrag

Avis: Distr. de liquidation

revenu

Avviso: Ripartizione di liquidazione Advice: Liquid. distribution

proceeds

1016

1411 WS80 Avis: Kapitalgewinn Avis: Bénéfice en capital Avviso: Utile di capitale Advice: Capital gain 1016

1413 WS80 Avis: Kapitalrückzahlung Avis: Remboursement de

capital

Avviso: Rimborso di capitale Advice: Repayment of principal 1016

1415 WS80 Avis: Erhol.Seite

Kapitalfälligkeit

Avis: Erhol.Seite

Kapitalfälligkeit

Avviso: Erhol.Seite

Kapitalfälligkeit

Advice: Erhol.Seite

Kapitalfälligkeit

1016

1416 WS80 Avis: Deckblatt

Einreichunglosung

Avis: 1ère feuille remettants Avviso: 1.o.foglio presentatori Advice: Cover page presenters 1009



/Page 75

DIT

No.

Feeder

Application


Group

No.

1417 WS80 Avis: Deckblatt Sendung Avis: 1ère feuille envoi Avviso: 1.o.foglio inoltro Advice: Cover page

consignment

1009

1418 WS80 Avis: Korrektur

Ertragsabrechnung

Avis: Korrektur

Ertragsabrechnung

Avviso: Korrektur

Ertragsabrechnung

Advice: Korrektur

Ertragsabrechnung

1016

1419 WS80 Avis: Korrektur

Ertragsabrechnung

Avis: Korrektur

Ertragsabrechnung

Avviso: Korrektur

Ertragsabrechnung

Advice: Korrektur

Ertragsabrechnung

1016

1420 WS80 Avis: Steuersachen Avis: Domaine fiscal Avviso: Imposta Advice: Fiscal matters 1020

1421 WS80 Avis:

Steuerrückerstattung

Avis: Remboursement de

l’impôt

Avviso: Rimborso dell’imposta Advice: Repayment of

withholding tax

1020

1422 WS80 Avis:

Generalversammlungseinl

adung

Avis: Invitation assemblée

générale

Avviso: Invito all’assemblea

generale

Advice: Invitation to AGM 1020

1423 WS80 Avis: Class-Action Avis: Class-Action Avviso: Class-Action Advice: Class-Action 1013

1424 WS80 Avis:

Gläubigerversammlung

Avis: Assemblée des

Céanciers

Avviso: Assemblea dei creditori Advice: Meeting of creditors 1013

1425 WS80 Avis: Neukotierung Valor Avis: Nouvelle cotation de

valeur

Avviso: Nuova quotazione del

valore

Advice: New listing of security 1013

1426 WS80 Avis: Sonstige Avis Avis: Autre avis Avviso: Altro avviso Advice: Other notification 1009

1427 WS80 Avis: Avis b.Aenderung in

Titelbed.

Avis: Avis b.Aenderung in

Titelbed.

Avviso: Avis b.Aenderung in

Titelbed.

Advice: Avis b.Aenderung in

Titelbed.

1009

1428 WS80 Avis: Avis bei Titeländ.

sonstiges

Avis: Avis bei Titeländ.

sonstiges

Avviso: Avis bei Titeländ.

sonstiges

Advice: Avis bei Titeländ.

sonstiges

1009

1429 WS80 Avis: Verfallavis bei Cps-

Fälligk.

Avis: Verfallavis bei Cps-

Fälligk.

Avviso: Verfallavis bei Cps-

Fälligk.

Advice: Verfallavis bei Cps-

Fälligk.

1016

1430 WS80 Avis: Verfallavis

Wiederanlagevors.

Avis: Verfallavis

Wiederanlagevors.

Avviso: Verfallavis

Wiederanlagevors.

Advice: Verfallavis

Wiederanlagevors.

1009

1431 WS80 Avis: Verfallavis sonstiges Avis: Verfallavis sonstiges Avviso: Verfallavis sonstiges Advice: Verfallavis sonstiges 1009

1432 WS80 Avis: Selektive Avisierung Avis: Notification sélective Avviso: Avviso selettivo Advice: Selective notification 1009

1433 WS80 Avis: TO&FF-

Tagesauszug

Avis: TO&FF extrait journalier Avviso: TO&FF estratto

giornaliere

Advice: TO&FF daily extract 1019

1434 WS80 Avis: Auszug Firstphone Avis: Extrait Firstphone Avviso: Estratto Firstphone Advice: Extract Firstphone 1009

1435 WS80 Avis: Sammel-GA für

OMark

Avis: GO global pour OPICS Avviso: Genere d’op. globale per

OPICS

Advice: Collective TD for

OPICS

1009

1436 WS80 Avis: Sammel-GA für US-

GAAP

Avis: GO global pour US-

GAAP

Avviso: GO globale per US-GAAP Advice: Coll. TD for US-GAAP 1009

1437 WS80 Avis: Adjustierungs-

Faktor Spezial

Avis: Coeffic. d’ajustement

spécial

Avviso: Coeff. d’aggiustaggio

speciale

Advice: Adjustement factor

special

1009

1438 WS80 Avis: BESL-Korrektur Avis: Corrections CLMO Avviso: Correzioni CIMP Advice: AMK corrections 1009

1439 WS80 Avis: EK Uebernahme

Bewegung

Avis: EK Uebernahme

Bewegung

Avviso: EK Uebernahme

Bewegung

Advice: EK Uebernahme

Bewegung

1009

1440 WS80 Avis: EK.Korrektur

aktueller Saldo

Avis: Correction CAM solde

actuel

Avviso: Correzione CAM saldo

attuale

Advice: Correction current

balance

1009

1441 WS80 Avis: Bewertungskurs

Korrektur

Avis: Bewertungskurs

Korrektur

Avviso: Bewertungskurs

Korrektur

Advice: Bewertungskurs

Korrektur

1009

1442 WS80 Avis:

Administrationsgebühr

Avis: Commissions

d’administration

Avviso: Tassa amministrative Advice: Administration Fees 1020

1443 WS80 Avis:

Vermögensverwaltungsge

bühren

Avis: Frais de gestion Avviso: Diritti amministrativi Advice: Portfolio management

fees

1020

1444 WS80 Avis: Investment

Perform.Calculation

Avis: Investment

Perform.Calculation

Avviso: Investment

Perform.Calculation

Advice: Investment

Perform.Calculation

1020

1446 WS80 Avis: Titel/CP-Bogen

Erneuerung

Avis: Renouvel. titre/cédule Avviso: Rinnovo titolo/cedole Advice: Secur./coupon sheet

renewal

1013

1447 WS80 Avis:

Stückelungsumtausch

Avis: Stückelungsumtausch Avviso: Stückelungsumtausch Advice: Stückelungsumtausch 1013

1448 WS80 Avis: Geldbuchung Avis: Décompte espèces Avviso: Conteggio contanti Advice: Cash settlement 1009

1449 WS80 Avis: Ratazins

Kassenobligationen

Avis: Intérêt pro rata OC Avviso: Interessi pro rata OC Advice: Broken-period interest

MT-note

1016

1450 WS80 Avis: Zinsaufwand

Kassenobligationen

Avis: Charge d’intérêt OC Avviso: Onere d’interessi OC Advice: Interest expenditure

MT-notes

1016

1451 WS80 Avis: Fälliger

Kapitalaufwand KO

Avis: Charge de capital échue

OC

Avviso: Onere di capitale

maturato OC

Advice: Due capital expendit.

MT-notes

1016

1452 WS80 Avis: Kurs-G/V im

Eigenbestand

Avis: P/P brut aux fonds

propres

Avviso: P/P lordi in posizioni N/P Advice: Kurs-G/V im

Eigenbestand

1009

1453 WS80 Avis: Uebernahme

Comptantbestand

Avis: Uebernahme

Comptantbestand

Avviso: Uebernahme

Comptantbestand

Advice: Uebernahme

Comptantbestand

1009

1454 WS80 Avis: Uebernahme

Terminfestbestand

Avis: Uebernahme

Terminfestbestand

Avviso: Uebernahme

Terminfestbestand

Advice: Uebernahme

Terminfestbestand

1009

1455 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 75

DIT

No.

Feeder

Application


Group

No.

1456 WS80 Avis: EB Depotübertrag

mit Kurs


cours

Avviso: Trasf. deposito FP a

corso tit

Advice: Depot transf own

pos.w.price

1014

1457 WS80 Avis: EB-Depotübertrag

zum Inv.Kurs


cours inv

Avviso: Trasf. deposito NP a

corso inv

Advice: Depot transf. own

position

1014

1458 WS80 Avis: Erledigung EB-

Systempendenzp.

Avis: Traitement suspens de

système

Avviso: Tratamento sospeso di

sistema

Advice: Erledigung EB-

Systempendenzp.

1009

1459 WS80 Avis:

Autom.Wertberechtigung

im EB

Avis: Rectif. automatique de

valeur

Avviso: Rettifica automatica di

valore

Advice:

Autom.Wertberechtigung im

EB

1009

1460 WS80 Avis: Einzel-

Wertberechtigung

Avis: Rectif.individuelle de

valeur

Avviso: Rettific. individ. di valore Advice: Einzel-

Wertberechtigung

1009

1461 WS80 Avis: Geldbuchung zu EB

zuordnen

Avis: Comptab. d’espèces liée

aux FP

Avviso: Registra moneta a pos.

NP

Advice: Geldbuchung zu EB

zuordnen

1009

1462 WS80 Avis: Wertloserklärung im

WS-EB

Avis: Déclaration “sans valeur”

FP

Avviso: Dichiaraz. “senza valore”

NP

Advice: Wertloserklärung im

WS-EB

1013

1463 WS80 Avis: Einstandskurs-

Korrektur im EB

Avis: Correction du CAM FP Avviso: Correzione di CCM NP Advice: Einstandskurs-

Korrektur im EB

1009

1464 WS80 Avis: Einseitige Buchung

im EB

Avis: Ecriture unilatérale FP Avviso: Registrazione unilaterale a

NP

Advice: Einseitige Buchung im

EB

1009

1465 WS80 Avis: Mut-Korrekt.Fiche

(MC 10 & 11)

Avis: Mut-Korrekt.Fiche (MC

10 & 11)

Avviso: Mut-Korrekt.Fiche (MC

10 & 11)

Advice: Mut-Korrekt.Fiche

(MC 10 & 11)

1009

1466 WS80 Avis: Mut-Sendung (MC

26)

Avis: Mut-Sendung (MC 26) Avviso: Mut-Sendung (MC 26) Advice: Mut-Sendung (MC

26)

1009

1467 WS80 Avis: Mut-int.Ein-

/Ausb.(MC27 & 28)

Avis: Mut-int.Ein-

/Ausb.(MC27 & 28)

Avviso: Mut-int.Ein-/Ausb.(MC27

& 28)

Advice: Mut-int.Ein-

/Ausb.(MC27 & 28)

1009

1468 WS80 Avis: Mut-

Anr.Verk./Kauf(MC31 &

32)

Avis: Mut-

Anr.Verk./Kauf(MC31 & 32)

Avviso: Mut-


Advice: Mut-


1013

1469 WS80 Avis: Mut-

Auslosungsumb.(MC 35

& 36)

Avis: Mut-

Auslosungsumb.(MC 35 & 36)

Avviso: Mut-Auslosungsumb.(MC

35 & 36)

Advice: Mut-

Auslosungsumb.(MC 35 & 36)

1013

1470 WS80 Avis: Vereinnahmen

Kapital

Avis: Comptabilis. capital Avviso: Contabil. capitale Advice: Book capital 1013

1471 WS80 Avis:

Fremdwährungssaldoberi

chtigung

Avis: Ajust. solde monnaie

étrangère

Avviso: Rettifica saldo moneta

estera

Advice: Correctn. foreign

curr.balance

1009

1472 WS80 Repo Repo Repo Reverse Repo 1008

1473 WS80 Reverse Repo Reverse Repo Reverse Repo Reverse Repo 1008

10.4 Document Types: Statement of Investments/Investment Performance

DIT

No.

Feeder

Application


Group

No.

2000 AIS/IPC Vermögensverzeichnisse Relevé de placements Distinta patrimoniale Statements of investments 2001

2001 AIS/IPC Vermögensverzeichnisse Relevées de placements Distinte patrimoniale Statement of investments 2001

2002 AIS/IPC Performance Ausweise Relevées de performance Resoconti della performance Performance Statements 2002

2003 AIS/IPC Investment Management

Reports


Reports

Investment Management Reports Investment Management

Reports

2003

2004 AIS/IPC Premium Integrated

Report

Premium Integrated Report Premium Integrated Report Premium Integrated Report 2000



/Page 75

10.5 Document Types: Mortgages

DIT

No.

Feeder

Application


Group

No.

2710 Mortgages Mahnung Rappel Diffida Demand 2700

2720 Mortgages Zahlungsaufforderung Sommation de paiement Sollecito di pagamento Payment reminder 2700

2730 Mortgages Zahlungsaufforderung Sommation de paiement Sollecito di pagamento Payment reminder 2700

2740 Mortgages Zweite

Zahlungsaufforderung

Deuxième sommation de

paiement

Secondo sollecito di pagamento Second payment reminder 2700

2810 Mortgages Fälligkeitsanzeige Avis d’échéance Avviso di scadenza Due date advice 2700

2820 Mortgages Zins- und Kapitalausweis Attestation d’intérêts et capital Attestato d’interessi e capitale Statement of interest and

principal

2700

2840 Mortgages Ausstiegsentschädigung Indemnité pour exigibilité

anticipée

Indennizzo per uscita anticipata Early repayment penalty 2700

2850 Mortgages Konditionenänderung Modification des conditions Modifica delle condizioni Change in terms and

conditions

2700

10.6 Document Types: Account Records

DIT

No.

Feeder

Application


Group

No.

3001 XBS Tagesauszug Extrait journalier Estratto giornaliero Daily statement 3001

3002 XBS Belastungs-/

Gutschriftsanzeige

Avis de débit/crédit Avviso di addebito/accredito Debit/Credit advice 3001

3003 XBS Saldomeldung/Fälligkeits

anzeige

Communication du solde/Avis

d’échéance

Avviso di saldo/Avviso di

scadenza

Current balance

notice/Maturity advice

3001

3006 XBS Postenauszug Relevé en capital Estratto di posizione Extract of account 3001

3009 XBS 3. Säule Steuerausweis Attestation fiscale 3e pilier Attestato fiscale 3° Pilastro 3rd pillar tax certificate 3002

3017 XBS Kontoauszug Extrait du compte Estratto conto Statement of account 3002

3027 XBS Abschlussrechnung Feuille de clôture Chiusura di conto Closing statement 3002

3037 XBS Zinsstaffel Tableau d’interêts Calcolo interessi Interest table 3002

3040 XBS Schrankfach Compartiment de coffre-fort Cassetta di sicurezza Safe deposit box 3001

3075 XBS Zinsausweis/Zins- und

Kapitalausweis

Attestation d’intérêts (et de

capital)

Attestato d’interessi (e di capitale) Statement of interest (and

capital)

3002

3088 XBS Spesenabrechnung Décompte de frais Conteggio spese Expenses claim 3002

3090 XBS Schalterbelege Pièces de caiss Giustificativi dello sportello Counter receipts 3090

3091 XBS Avis: Gutschrift-/ :

Belastung Schalter

Avis: crédit/débit guichet Avviso: accredito/addebito

sportello

Advice: credit/debit entry

counter

3090



/Page 75

10.7 Document Types: Marketing/Bonus Points

DIT

No.

Feeder

Application


Group

No.

4001 Bonus Points Bonuspunkteauszug Relevé de points bonus Estratto conto dei punti bonus Bonus points statement 3001

9100 Marketing Newsletter_August Newsletter_aout Newsletter_agosto Newsletter_august 9100

9101 Marketing Newsletter_September Newsletter_septembre Newsletter_settembre Newsletter_september 9100

9102 Marketing Newsletter_Oktober Newsletter_octobre Newsletter_ottobre Newsletter_october 9100

9103 Marketing Newsletter_November Newsletter_novembre Newsletter_novembre Newsletter_november 9100

9104 Marketing Newsletter_Dezember Newsletter_decembre Newsletter_dicembre Newsletter_december 9100

9105 Marketing Newsletter_Januar Newsletter_janvier Newsletter_gennaio Newsletter_january 9100

9106 Marketing Newsletter_Februar Newsletter_fevrier Newsletter_febbraio Newsletter_february 9100

9107 Marketing Newsletter_Maerz Newsletter_mars Newsletter_marzo Newsletter_march 9100

9108 Marketing Newsletter April Newsletter_avril Newsletter_aprile Newsletter_april 9100

9109 Marketing Newsletter_Mai Newsletter_mai Newsletter_maggio Newsletter_may 9100

9110 Marketing Newsletter_Juni Newsletter_juin Newsletter_giugno Newsletter_june 9100

9111 Marketing Newsletter_ Juli Newsletter_juillet Newsletter_luglio Newsletter_july 9100

9150 Marketing NAB-Publikationen NAB-Publikationen NAB-Publikationen NAB-Publikationen 9150

9151 Marketing NAB Newsletter NAB Newsletter NAB Newsletter NAB Newsletter 9150

9152 Marketing Veranstaltungen Veranstaltungen Veranstaltungen Veranstaltungen 9150

9153 Marketing Produkte-News Produkte-News Produkte-News Produkte-News 9150

9154 Marketing Anlageperspektive Anlageperspektive Anlageperspektive Anlageperspektive 9150

9200 Marketing Preisbeilage Annexe rel. aux prix Allegato relativo ai prezzi Price change enclosure 9200

9201 Marketing Preisbeilage Fonds

alternative Anlagen

An. rel aux prix Fonds placem.

alt.

Allegato relativo ai prezzi Fondi

investimenti alternativi

Price list encl. funds

alternative inv.

9200

9300 Marketing Anlageperspektiven Rétrospective-Perspectives Retrospettiva-Prospettive Review-Outlook 9300

9400 Marketing Beilage

Deponentenschreiben

Corporate Action Notification

Enclosure


Enclosure


Enclosure

1002

9500 Marketing Kundeninformation Information à la clientèle Informazione ai clienti Client Information 9500



/Page 75

Appendix

10.8 Appendix A: Filegate Headers

fg:ProcessingProtocol/fileGateHeader element



/Page 75

fg:FileGateHeader/customerInfo element

fg:FileGateHeader/fileInfo element



/Page 75

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: FLG000000008212XE

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 75

types:Error



/Page 75

10.10 Appendix C: Glossary

Table 12: Glossary

Abbreviation Description

API Application Programming Interface

BC Bank clearing

BESR Bank payment slip with reference number

BDD Business Direct Debit

DOM Document Object Model

DTA Data carrier exchange

EPC Extended Product Code, product code

ERP Enterprise Resource Planning

Filegate Filegate is the internal Credit Suisse system responsible for payment transaction

file processing.

HTML Hyper Text Markup Language

LSV+ Direct Debit

MPO Master Payment Order

MT Message Type SWIFT

SAX Simple API for XML Parsing

SIC Swiss Interbank Clearing

SSL Secure Sockets Layer

SWIFT Society for Worldwide Interbank Financial Telecommunication

XML eXtensible Markup Language

Table 13: Glossary elements

Abbreviation Description

lsv:Creditor/lsvId LSV identification number

lsv:Creditor/bnkClrId Creditor bank clearing number

lsv:Creditor/accId Creditor account number

lsv:Creditor/esrPtcpId ESR participant number

dta:PaymentDetail/seqNumber Sequence number

dta:PaymentDetail/pmtReferenceNumber Combination of the originator ID (ATG-ID) and the transaction number for the

payment

dta:PaymentDetail/bnkClrId Bank clearing number

types:IsoAmt ISO amount (International Standards Organization)

SE

BH

4, 1

0.2

01

5