SWIFT Standards Release 2020 Summary of Changes

July 2020

SWIFT has designated the weekend of November 22, 2020 as the implementation date for the 2020 SWIFT Standards Release (SR2020).

As your SWIFT service provider, BBH Infomediary® invests heavily to prepare for this annual, industry- wide initiative to ensure a successful transition for all our clients to SWIFT’s newest standards. Each year our team of SWIFT experts coordinate hundreds of BBH Infomediary mapping updates in response to these messaging and market practice changes. BBH Infomediary applies the required changes within our InfoAction® application as well.

In general, the updates BBH Infomediary manages relate to mandatory standards for the processing of messaging by SWIFT. However, there are also optional changes clients may consider to comply with certain market practice guidelines or a SWIFT counterpart's request. BBH Infomediary recommend every client reference the SR2020 change summary books by following the attached link in order to assess any potential impacts to your organization.

In recognition of the operational stresses that the Covid-19 pandemic is putting on the global financial community, and especially on smaller institutions therein, SWIFT has decided to prioritize only the Universal Payment Confirmation (MT103), MT Category 5 (Securities Markets) for the November 2020 release.

If you require further information, BBH Infomediary will be happy to provide a more detailed list of the standards updates as well as a copy of the SWIFT Standards Release Guide 2020 upon request.

Please contact your Relationship Manager if you have any questions or would like to discuss BBH Infomediary’s SR2020 plans in greater detail.

Best regards, BBH Infomediary

Table of Contents 1. BBH Infomediary Approach 2. SWIFT Standards Release 15022 (MT) 2020 Highlights 3. SWIFT Standards Release 20022 (MX) 2020 Highlights 4. SWIFT Standards Release 15022 (MT) 2020 Details and 20022 (MX) 2020 Details 5. Category 5 15022 (MT) 2020 Changes: Securities Markets 6. 20022 (MX) 2020 Changes: Securities Events 7. Corporate Action Notification (seev.031.001.xx) changes 8. Corporate Action Notification (seev.031.002.xx) changes 9. Corporate Action Instruction Status Advice (seev.034.001.xx) changes 10. Corporate Action Instruction Status Advice (seev.034.002.xx) changes 11. Corporate Action Movement Preliminary Advice (seev.035.001.xx) changes 12. Corporate Action Movement Preliminary Advice (seev.035.002.xx) changes 13. Corporate Action Movement Confirmation (seev.036.001.xx) changes 14. Corporate Action Movement Confirmation (seev.036.002.xx) changes 15. Corporate Action Movement Reversal Advice (seev.037.001.xx) changes 16. Corporate Action Movement Reversal Advice (seev.037.002.xx) changes 17. Corporate Action Cancellation Advice (seev.039.001.xx) changes 18. Corporate Action Cancellation Advice (seev.039.002.xx) changes 19. Corporate Action Instruction Cancellation Request Status Advice (seev.041.001.xx) changes 20. Corporate Action Instruction Cancellation Request Status Advice (seev.041.002.xx) changes

1. BBH Infomediary Approach

In preparation for the SWIFT Standards Release each year, BBH Infomediary creates a project team to focus on the changes that impact all of our client work flows. This section provides an overview of the analysis approach and focus areas for our clients in implementing the Standards Release. BBH Infomediary has divided this into two categories for your convenience in identifying the impacts to your organization and follow-up with your providers.

Infomediary Product Modules and Tools

The SR2020 updates will be made to ensure messaging compliance with all of BBH Infomediary's product modules and on-line tools. The BBH Infomediary products modules include InfoFX®, InfoUploader, InfoRecon®, Connect-to-Connect, InfoAction®.

The Infomediary on-line tools include InfoMonitor, Message Entry, Message View and Repair, Data Manager, InfoFX® Report Card, InfoFX®Live, InfoSelf Service, and InfoReports.

BBH Infomediary will be applying the required changes within the following on-line tool(s): InfoAction, as these are the only on-line tools requiring development changes to meet the new messaging guidelines. The changes are related to qualifiers and codes available within these BBH Infomediary applications.

File and Data Mapping

Infomediary File Format (IFF) or Proprietary Format to SWIFT Format Mapping: BBH Infomediary clients utilizing a proprietary file format or one of many of the IFFs may be required to add or modify specific data fields in their files in order to prepare for some or all of the new requirements that result from this Standards Release. The changes to these files may be dependent on codes and qualifiers that will no longer be supported as of November 22, 2020. As a result, it is possible that SR2020 will require a development change by both Infomediary and its clients to ensure continued SWIFT compliance. These workflows may include files that contain SWIFT- formatted messages sent by clients to Infomediary via FTP/MQ/leased line that are enriched or transformed by Infomediary. Likewise, BBH Infomediary also suggests that clients that utilize Infomediary for inbound data routing from service providers review all related SR2020 changes.

SWIFT Format to IFF or Proprietary Format Mapping: BBH Infomediary clients that have SWIFT flows translated into a proprietary file format may be notified of required changes as this may impact the file format, data in the file, or structure of the file that Infomediary creates. Infomediary will be assessing each message type to determine the impact to each client’s specific file, denoting required mapping and development to support new field formats, qualifiers, and codes. As requirements are completed, Infomediary will schedule meetings with each client to discuss the recommended changes.

SWIFT Format to SWIFT Format: BBH Infomediary understands that clients who send messages to Infomediary in a “pass-through” capacity are responsible for updating all applicable data formats in order to accommodate the SR2020. However, the Infomediary project team is available for guidance and messaging expertise as needed to support any questions as they arise.

*Note: Any of the above-mentioned file and data mapping changes may also include maps that support client workflows related to Infomediary product modules i.e. InfoFX and Connect-to-Connect

2. SWIFT Standards Release 15022 (MT) 2020 Highlights

This section is intended to provide a high-level overview of the 15022 changes for the SR2020. Please be advised that this section does not represent all changes related to the release; the subsequent sections of this document provide detailed field changes from a formatting perspective.

BBH Infomediary plans to move all message changes into production on Saturday, November 21st, 2020. Messages sent and received by BBH Infomediary from November 22, 2020 (08:00 EST / 14:00 CET) onward must comply with the SR2020 Standards.

The main highlights of the 15022 SR2020 include the following changes:

Category 5 - Securities Markets:

Corporate Actions:

• A new optional reference qualifier in subsequence A1 called MITI should be added to the MT566 similar to already existing reference fields in other security messages. • Amend the name and definition of the rate type code CDFI from qualifiers GRSS and NETT in field 92a in sequence E and E2 of MT 564 and in sequence D and D2 of MT 566. Amend the name and definition of the qualifier CDFI in field 19B in sequence E2 of MT 564 and in sequence D2 of MT 566. • Delete code PRII from qualifier CAEV in field 22F in sequence A. • Add new qualifier EMAL in field 70a in sequence C. To enable provisioning of an email address for the beneficial owner in the instruction. “Z” character set will be added to the :70a::CETI qualifier in the BENODET sequence. • Add new field 92a with new qualifier TAXR in sequence C of MT 565. • Add the three new codes TAXI, TAXM, TAXN to qualifier PEND and REJT in field 24B in subsequence A2a in MT 567. • Add a new qualifier to the Flag field 17B in sequence D.

Settlement and Reconciliation: • Change implementation of penalties information in the messages: - new fields, qualifiers or codes - definitions updates - restructure fields in the message. • Add cash account to be debited or credited and the payment date. • Delete code PRII from qualifier CAEV in field 22F in sequence A. • Addition of a narrative field 70E underneath the field 25D status code in Sequence B. • Add a Buy-in processing indicator with three codes. Add a Deferred Buy-in indicator with two codes. Add a Cash compensation amount. Add a Price of the securities bought in.

Collateral Management: • No Changes

Trade Initiation and Confirmation: • No Changes

Other Category 5 changes: • Delete code PRII from qualifier CAEV in field 22F in sequence A.

3. SWIFT Standards Release 20022 (MX) 2020 Highlights

This section is intended to provide a high-level overview of the 20022 changes for the SR2020. Please be advised that this section does not represent all changes related to the release; the subsequent sections of this document provide detailed field changes from a formatting perspective.

The main highlights of the 20022 SR2020 include the following changes:

Corporate Action Notification (031.001.xx and 031.002.xx) • Amend the name and definition of the rate type code CDFI from qualifiers GRSS and NETT in field 92a in sequence E and E2 of MT 564 and in sequence D and D2 of MT 566. • Amend the name and definition of the qualifier CDFI in field 19B in sequence E2 of MT 564 and in sequence D2 of MT 566. • Delete code PRII from qualifier CAEV in field 22F in sequence A.

Corporate Action Instruction Status Advice (034.001.xx and 034.002.xx) • Delete code PRII from qualifier CAEV in field 22F in sequence A. • Add new field 92a with new qualifier TAXR in sequence C of MT 565. Add the three new codes TAXI, TAXM, TAXN to qualifier PEND and REJT in field 24B in subsequence A2a in MT 567.

Corporate Action Movement Preliminary Advice (035.001.xx and 035.002.xx)

• Amend the name and definition of the rate type code CDFI from qualifiers GRSS and NETT in field 92a in sequence E and E2 of MT 564 and in sequence D and D2 of MT 566. Amend the name and definition of the qualifier CDFI in field 19B in sequence E2 of MT 564 and in sequence D2 of MT 566. To enable the South African market to distinguish between a local and a foreign dividend. A dividend will be classified as a foreign when it is paid from outside the borders of South Africa. • Delete code PRII from qualifier CAEV in field 22F in sequence A.

Corporate Action Movement Confirmation (036.001.xx and 036.002.xx)

• Add qualifier MITI in field 20C in sequence E1. • Amend the name and definition of the rate type code CDFI from qualifiers GRSS and NETT in field 92a in sequence E and E2 of MT 564 and in sequence D and D2 of MT 566. Amend the name and definition of the qualifier CDFI in field 19B in sequence E2 of MT 564 and in sequence D2 of MT 566. To enable the South African market to distinguish between a local and a foreign dividend. A dividend will be classified as a foreign when it is paid from outside the borders of South Africa.

• Delete code PRII from qualifier CAEV in field 22F in sequence A.

Corporate Action Movement Reversal Advice (037.001.xx and 037.002.xx)

• Add qualifier MITI in field 20C in sequence E1. • Delete code PRII from qualifier CAEV in field 22F in sequence A. • Add a narrative field. The status code field contains a reject code. There is no field underneath this field to describe the actual reject reason.

Corporate Action Cancellation Advice (039.001.xx and 039.002.xx)

• Delete code PRII from qualifier CAEV in field 22F in sequence A.

Corporate Action Instruction Cancellation Request Status Advice (041.001.xx and 041.002.xx)

• Delete code PRII from qualifier CAEV in field 22F in sequence A.

4. SWIFT Standards Release 15022 (MT) 2020 Details and 20022 (MX) 2020 Details

This section is intended to provide the detailed changes for the SR2020. Please be advised that this does not represent all changes related to the release across every message type. This represents the critical changes and message types commonly utilized.

Please note the following: • This table has been sorted by message type then change type • Text in blue indicates new SWIFT qualifiers, codes or fields for MT • Text in green indicates new SWIFT qualifiers, codes or fields for MX • Text in red indicates removed SWIFT qualifiers, codes or fields • Sequence refers to the SWIFT message sequence • O/M/C refers to Optional, Mandatory and Conditional

5. Category 5 15022 (MT) 2020 Changes: Securities Markets

status of status of Generic Detailed impacted impacted Sequence Tag Qualifier Field Field Changes TAG SEQUENC Name Name O/M/C E O/M/C Message MT Type Name

MT508 Intra- B O M 22F N/A Indicator Indicator The change is mandatory on outbound messages Positi on CODES Advice If Qualifier is CAEV and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a bond at the election of the bondholder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of securities. Shareholders of mutual funds, unit trusts, or sicavs may be recipients of capital gains distributions which are often reinvested in additional equity of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but 11

unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities, generally convertible bonds or preferred equity, into another form of securities, usually common equity. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfill his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, usually units comprised of warrants and bonds or warrants and equities. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. DLST Trading Status: Delisted Security is no longer able to comply with the listing 12

requirements of a stock exchange and is removed from official board quotation. DRAW Drawing Securities are redeemed in part before the scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where cash dividend is rolled over into additional shares in the issuing company. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares, cash or both. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise Warrant conversion. Option offered to holders to buy (call 13

warrant) or to sell (put warrant) a specific amount of stock, cash, or commodity, at a predetermined price, during a predetermined period of time (which usually corresponds to the life of the issue). INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. This event may include a cash payout to holders. INFO Information Information provided by the issuer having no accounting/financial impact on the holder. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event. PARI Pari-Passu Assimilation. Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, that is, pari-passu. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor 14

reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRII Interest Payment with Principal An event which consists of two components, the decrease of the amortized value of a pool factor security and an interest payment. PRIO Priority Issue Form of open or public offer where, due to a limited amount of securities available, priority is given to existing shareholders. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders. RHDI Intermediate Securities Distribution The distribution of intermediate securities that gives the holder the right to take part in a future event. RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with 15

different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TNDP Tax On Non-Distributed Proceeds Taxable component on non-distributed proceeds, for example, Australian deemed income or US 871m income regulation. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting

MT530 Transa B M M 22F N/A Indicator Indicator QUALIFIER ction (Error code(s): T89) Proces sing Comm Order M/O Qualifier R/N CR Options Qualifier Description and 1 O BORR N C2 F Automatic Borrowing Indicator 2 O CONP N C2 F Retain Indicator 3 O LINK N C2 F Linking Indicator 4 O MTCH N C2 F Matching Deny Indicator 5 O PRIR N C2 F Priority Indicator 6 O PROC R C2 F Processing Indicator 7 O PRTL N C2 F Partial Settlement Indicator 8 O RTGS N C2 F Securities Real-Time Gross Settlement Indicator 9 O SETT N C2 F Settlement Process Indicator 10 O SPLT N C2 F Unilateral Split Processing Indicator 11 O BYIY N C2 F Buy-in Indicator 12 O BDEF N C2 F Buy-in Deferral Indicator

DEFINITION

This qualified generic field specifies:

BDEF Buy-in Deferral Indicator Specifies that the buy-in transaction was deferred or not. BORR Automatic Borrowing Indicator Specifies whether automatic borrowing needs to take place to achieve settlement. BYIY Buy-in Indicator Specifies the state of the buy-in transaction. CONP Retain Indicator Specifies whether a failed instruction due to expire should be retained. LINK Linking Indicator Specifies what linkage action needs to be performed. MTCH Matching Deny Indicator Specifies what matching deny process to be performed. PRIR Priority Indicator Specifies the execution priority of the instruction. PROC Processing Indicator Specifies another processing change. PRTL Partial Settlement Indicator Specifies whether partial settlement is allowed. 17

RTGS Securities Real-Time Gross Settlement Indicator Specifies whether settlement is to be executed through an RTGS system. SETT Settlement Process Indicator Specifies whether instruction is to be presented for settlement. SPLT Unilateral Split Processing Indicator Specifies that the transaction is requested to be unilaterally split.

CODES

If Qualifier is BYIY and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

BSSN Unsuccessful The buy-in was unsuccessful. BSSP Partially Successful The buy-in was partially successful. BSSY Successful The buy-in was successful.

CODES

If Qualifier is BDEF and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

DEFN Buy-in Not Deferred The buy-in is not deferred. DEFY Buy-in Deferred The buy-in is deferred.

MT530 Transa C O O 90A N/A Price: Price: Buy- NEW FIELD: ction Buy-in in Price Proces Price MT 530 Field Specifications sing Comm 23. Field 90a: Price: Buy-in Price and FORMAT

Option A :4!c//4!c/[N]15d (Qualifier)(Percentage Type Code)(Sign)(Price) Option B :4!c//4!c/3!a15d (Qualifier)(Amount Type Code)(Currency Code)(Price)

PRESENCE

Optional in optional sequence C

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 O BYIY N A or B Buy-in Price 19

DEFINITION

This qualified generic field specifies:

BYIY Buy-in Price Price of the traded financial instrument in the buy-in transaction.

CODES

In option A, Percentage Type Code must contain one of the following codes (Error code(s): K90):

DISC Discount Price expressed as the number of percentage points below par, for example, a discount price of 2.0% equals a price of 98 when par is 100. PRCT Percentage Price expressed as a percentage of par. PREM Premium Price expressed as the number of percentage points above par, for example, a premium price of 2.0% equals a price of 102 when par is 100. YIEL Yield Price expressed as a yield.

CODES

In option B, Amount Type Code must contain one of the following codes (Error code(s): K90):

ACTU Actual Amount Price expressed as an amount of currency per unit or per share. DISC Discount Price expressed as a discount amount. PREM Premium Price expressed as a premium.

NETWORK VALIDATED RULES

Currency Code must be a valid ISO 4217 currency code (Error code(s): T52).

The integer part of Price must contain at least one digit. A decimal comma is mandatory and is included in the maximum length (Error code(s): T40,T43).

Sign may only be present if Percentage Type Code is YIEL (Error code(s): T69). 20

If Price is zero, Sign must not be present (Error code(s): T14).

USAGE RULES

The number of decimal digits in Price is not validated against the currency specified.

Sign must be present when Price is negative.

MT530 Transa C O O 19A N/A Amount: Amount: NEW FIELD ction Cash Cash Proces Compens Compensat MT 530 Field Specifications sing ation ion Amount Comm Amount 24. Field 19A: Amount: Cash Compensation Amount and FORMAT

Option A :4!c//[N]3!a15d (Qualifier)(Sign)(Currency Code)(Amount)

PRESENCE

Optional in optional sequence C

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 O BCAM N A Cash Compensation Amount

DEFINITION

This qualified generic field specifies:

BCAM Cash Compensation Amount Amount of money that has to be paid by the failing trading party in case of an unsuccessful or partially successful buy-in transaction.

NETWORK VALIDATED RULES

The integer part of Amount must contain at least one digit. A decimal comma is mandatory and is included in the maximum length. The number of digits following the comma must not exceed the maximum allowed for the specified currency (Error code(s): C03,T40,T43).

Currency Code must be a valid ISO 4217 currency code (Error code(s): T52).

If Amount is zero, Sign must not be present (Error code(s): T14).

USAGE RULES

Sign is used when the Amount is credited while the practice or the transaction type would normally imply that the Amount should be debited (or vice versa).

MT536 State B1a2 M O 98A N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Transa ctions QUALIFIER (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description 1 O ASTS N C Acknowledged Status Timestamp 2 1 M ESET N A or C Effective Settlement Date/Time 3 O MTCH N C Matched Status Timestamp 4 2 O SETT N A, B, or C Settlement Date/Time 5 3 O TRAD N A, B, or C Trade Date/Time 6 4 O VALU N A or C Value Date/Time

DEFINITION

This qualified generic field specifies:

ASTS Acknowledged Status Timestamp The timestamp of acceptance or acknowledgement of the instruction by the account servicer. ESET Effective Settlement Date/Time Date/time at which a transaction effectively settled. MTCH Matched Status Timestamp The timestamp of matching of the instruction by the account servicer. SETT Settlement Date/Time Date/time at which the financial instruments are to be delivered or received. TRAD Trade Date/Time Date/time at which the trade was executed. VALU Value Date/Time Date/time at which the amount of money has been credited/debited when different from the date/time at which the securities have been credited/debited.

MT536 State B1a2 M O 22A N/A Indicator Indicator The change is mandatory on outbound messages ment of CODES Transa ctions In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy involves formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but 25

unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. 26

DLST Trading Status: Delisted Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation. DRAW Drawing Securities are redeemed in part before the scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the market rather than creating new share capital in exchange for the dividend. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction, Bid Tender An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. Shareholder must take cash and may be offered a choice of currency. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of 27

intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise/Warrant Conversion Option to buy (call warrant) or to sell (put warrant) a specific amount of equities, cash, commodity, etc, at a predetermined price over a specific period of time. INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INFO Information Information provided by the issuer having no accounting/financial impact on the holder. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for 28

example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRII Interest Payment with Principal An event which consists of two components, the decrease of the amortized value of a pool factor security and an interest payment. PRIO Priority Issue Form of open or public offer where priority is given to existing shareholders due to limited amount of securities available in the offer. Shareholders can buy a type of security during a short period of time. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders. RHDI Intermediate Securities Distribution The distribution of intermediate securities 29

that gives the holder the right to take part in a future event. RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TNDP Tax On Non-Distributed Proceeds Taxable component on non-distributed proceeds, for example, Australian deemed income or US 871m income regulation. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

MT537 State B2b M O 98A N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa (Error code(s): T89) ctions Order M/O Qualifier R/N CR Options Qualifier Description

1 O ADEL N A or C Late Delivery Date/Time 2 O ASTS N C Acknowledged Status Timestamp 3 1 O EXSE N A or C Expected Settlement Date/Time 4 O EXVA N A or C Expected Value Date/Time 5 O MTCH N C Matched Status Timestamp 6 2 M SETT N A, B, or C Settlement Date/Time 3 O ADEL N A or C Late Delivery Date/Time 7 4 O TRAD N A, B, or C Trade Date/Time 5 O EXVA N A or C Expected Value Date/Time

DEFINITION

This qualified generic field specifies:

ADEL Late Delivery Date/Time Date/time after the settlement date specified in the trade, used for pool trades resulting from the original To Be Assigned (TBA) securities. ASTS Acknowledged Status Timestamp The timestamp of acceptance or acknowledgement of the instruction by the account servicer. EXSE Expected Settlement Date/Time Date/time at which the Sender expects settlement. EXVA Expected Value Date/Time For against payment transactions, the value date/time at which the Sender expects the settlement amount to be credited or debited. MTCH Matched Status Timestamp The timestamp of matching of the instruction by the account servicer. SETT Settlement Date/Time Date/time at which the financial instruments are to be

delivered or received. TRAD Trade Date/Time Date/time at which the trade was executed.

MT537 State C2 M O 98A N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa (Error code(s): T89) ctions Order M/O Qualifier R/N CR Options Qualifier Description

DEFINITION

This qualified generic field specifies:

delivered or received. TRAD Trade Date/Time Date/time at which the trade was executed.

MT537 State D M O 22F N/A Penalty Penalty List This change is optional for outbound messages for institutions that are impacted by ment List Type Type CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Complet Complete/ and their clients. Pendi e/Updat UpdatesInd ng esIndicat icator 72. Field 22F: Indicator: Penalty List Type Complete/Updates Indicator Transa or Indicator ctions Indicator QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M CODE N F Penalty List Type Complete/Updates Indicator

DEFINITION

This qualified generic field specifies:

CODE Penalty List Type Complete/Updates Indicator Specifies the type of information held in the report: new penalties, amendments only or both new and amended penalties. whether the statement is complete or contains changes only.

CODES

If Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

CURR Current It is used by asset servicers or those securities settlement systems that report the new penalties and the modified penalties in one single message/report. FWAM ForwardAmend The message reports a penalty list that contains only updated and/or removed penalties. is used to report a penalty list that has been amended (that is, the penalty list contains only updated and/or removed penalties that have already been previously reported in a FWIS Penalty List). FWIS Forward Initial Submission The message is used to report a Daily Penalty List 35

created for the first time (that is, the penalty list that contains only new computed penalties ) .

MT537 State D1 O O 98A N/A Date/Ti Date/Time: This change is optional for outbound messages for institutions that are impacted by ment me: Computati CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Computa on and their clients. Pendi tion Date/Time ng Date/Ti QUALIFIER Transa me ctions (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O DACO N A or C Penalty Detection Computation Date/Time 2 O PAYD N A Payment Date

DEFINITION

This qualified generic field specifies:

DACO Penalty Detection Computation Date/Time It is the day for which the penalty was computed. It is the date on which the instruction matched for Late Matching Fail Penalty (LMFP) or the date on which an instruction fails to settle for Settlement Fail Penalty (SEFP). Note: This date is not updated upon re-calculation of the penalty and always relates to the business day for which the penalty was initially computed. The date on which the instruction fails to settle and for which a penalty is calculated. This date does not change through the life of the penalty. Updates are still reported with this date even if the update took place on another day. PAYD Payment Date Pre-advice Payment Date.

MT537 Statement D1 M O 95A N/A Party Party This change is optional for outbound messages for institutions that are impacted by of Pending CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Transactio and their clients. ns QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M REPA N P, Q, or R Related Party 2 O CASD N P or Q Counterparty's Account Servicer/Depository 3 O DCSD N P or Q Depository of the CSD 4 3 O ALTE N L Alternate Identification

DEFINITION

This qualified generic field specifies:

ALTE Alternate Identification Alternate identification for a party. CASD Counterparty's Account Servicer/Depository Party that services the account of the counterparty to the party reported as Related Party. DCSD Depository of the CSD Depository/intermediary that is used by an ICSD to access a specific counterparty's CSD (the party that services the account). REPA Related Party Identification of the party reported as party imposed with the penalties reported or party credited with the penalty(ies).

MT537 State D1 M O 22F N/A Party Party This change is optional for outbound messages for institutions that are impacted by ment Capacity Capacity CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Indicator Indicator and their clients. Pendi ng CODES Transa ctions If Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

CCPA Central Counterparty Provided when the failing or non-failing party of the penalty/claim is a CCP. CSDP CSD Participant Provided when the failing or non-failing party of the penalty/claim is neither a CSD nor a CCP but it and its party type is a legal entity that is a CSD Participant. EXTE External CSD Provided when the failing or non-failing party of the penalty/claim is neither a CSD nor a CCP and its party type is an external CSD in T2S. ICSD International Central Securities Depositary Provided when the ICSD itself is the failing or non-failing party of the penalty/claim. This is used to differentiate between the ICSD as account servicer/depository and the ICSD as participant of itself and is mainly relevant in cross-CSD settlement. The AccountServicer/Depository of the party provided in the message is the BIC of the ICSD of the party, not the parent BIC of the party . NAPI Natural Person Provided when the failing or non-failing party of the penalty/claim is neither a CSD nor a CCP but is a CSD Participant that is a natural person. NCSD National Central Securities Depository Provided when the CSD itself is the failing or non-failing party of the penalty/claim. This is used to differentiate between the CSD as account servicer/depositary and the CSD as participant of itself. The AccountServicer/Depository of the party provided in the message is the BIC of the CSD of the party, not the parent BIC of the party .

MT537 State D1 M O 19A N/A Amount Amount This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O AGDE N A Aggregated Debit Amount 2 O AGCR N A Aggregated Credit Amount 3 O GBNT N A Global Net Amount

DEFINITION

This qualified generic field specifies:

AGCR Aggregated Credit Amount The sum of all the net bilateral amounts, in the relevant currency, that the party is entitled to receive. AGDE Aggregated Debit Amount The sum of all the net bilateral amounts, in the relevant currency, that were imposed to the party. GBNT Global Net Amount The global net amount for a party is the sum of all cash penalties in this currency that this party is entitled to receive minus the sum of all cash penalties in this currency that are imposed to the party. A positive amount indicates that the party will be credited with this amount; a negative amount indicates that the amount will be debited.

MT537 State D1a M O 22F N/A Party Party This change is optional for outbound messages for institutions that are impacted by ment Capacity Capacity CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Indicator Indicator and their clients. Pendi ng CODES Transa ctions If Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

MT537 State D1a1 M 0 20C N/A Referenc Reference This change is optional for outbound messages for institutions that are impacted by ment e CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng Transa QUALIFIER ctions (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M PREF N C Penalty Reference 1 2 M O PCOM N C Penalty Common Reference 2 O PPCM N C Previous Penalty Common Reference 3 O PPRF N C Previous Penalty Reference 4 O PREF N C Penalty Reference

DEFINITION

This qualified generic field specifies:

PCOM Penalty Common Reference Reference assigned by the market infrastructure (for example T2S) to the penalty and that is common for both the failing and the non- failing participant. PPCM Previous Penalty Common Reference If the penalty for which the details are provided was created from a re-allocation, this field provides the common identification of the penalty that is re-allocated. This is the penalty that existed previously but was removed when the re-allocated penalty was created. PPRF Previous Penalty Reference If the penalty for which the details are provided was created from a re-allocation, this field provides the identification of the penalty that is re-allocated. PREF Penalty Reference Reference assigned by the market infrastructure to the penalty and that is the individual identification of the penalty for the relevant account owner (that is, either for the failing participant or for the non-failing participant).

MT537 State D1a1 M O 22H N/A 22H: 22H: This change is optional for outbound messages for institutions that are impacted by ment Indicator Indicator CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of 22F: 22F: and their clients. Pendi Penalty Penalty ng Type Type MT 537 Field Specifications Transa Indicator Indicator: ctions : Penalty Penalty 87. Field 22H: Indicator 22F: Penalty Type Indicator: Penalty Type Type Type FORMAT

Option H :4!c//4!c (Qualifier)(Indicator)

Option F :4!c/[8c]/4!c (Qualifier)(Data Source Scheme)(Indicator)

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M PNTP N H F Penalty Type 2 M CALM N H Calculation Method

DEFINITION

This qualified generic field specifies:

CALM Calculation Method Indicates the calculation rule used to compute the penalty. PNTP Penalty Type Indicates the type of penalty.

CODES

If Qualifier is PNTP,Indicatormust contain one of the following codes (Error code(s): K22):

LMFP Late Matching Fail Penalty Applies from the intended settlement date until the matching date. The penalty is charged to the participant who was last to enter or modify the relevant settlement instruction (for example, "accepted timestamp" is later than the one of the counterparty's instruction) for the periods between the ISD and the day of matching of the instruction. SEFP Settlement Fail Penalty Penalties apply to instructions that fail to settle on the intended settlement date. A settlement instruction that "fails to settle on that business day" must be understood as a settlement instruction that is not cancelled and remaining to be settled, fully or partially, by the time of the end of processing of the relevant cut-off.

CODES

If Qualifier is CALM, Indicator must contain one of the following codes (Error code(s): K22):

BOTH Sum of Penalties Based on Securities and Cash That is the sum of the penalty based on the quantity of securities failed to be delivered and penalty rate of the ISIN; and the penalty based on the amount of cash failed to be delivered and the discount rate of the currency. CASH Penalty Based on Cash Penalty is based on the amount of cash failed to be delivered and the penalty rate is the discount rate of the relevant currency. MIXE Penalty Based on the Discount Rate The penalty is based on the quantity of securities failed to be delivered and penalty rate is the discount rate of the relevant currency. SECU Penalty Based on Securities The penalty is based on the quantity of securities failed to be delivered and penalty rate of the ISIN.

MT537 State D1a1 O O 17B N/A Amount Amount This change is optional for outbound messages for institutions that are impacted by ment Compute Computed CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of d Flag: Flag: and their clients. Pendi Amount Amount ng Consider Considered Amount Computed Flag: Amount Considered For Aggregation Computed Flag Transa ed For For ctions Aggregat Aggregatio QUALIFIER ion n Compute Computed (Error code(s): T89) d Flag Flag

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 O CMPU N B Amount Considered For Aggregation ComputedFlag

DEFINITION

This qualified generic field specifies:

reported in the message this means that the penalty is considered for the calculation of aggregated amounts. Indicate if the amount computed will be added to the bilateral net or not. The amount computed will not be added to the bilateral net if one of the parties to the instruction is a CCP or is insolvent.

MT537 State D1a1 M O 19A N/A Amount: Amount: This change is optional for outbound messages for institutions that are impacted by ment Amount Amount CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Compute Computed and their clients. Pendi d ng DEFINITION Transa ctions This qualified generic field specifies:

AMCO Amount Computed Amount of the penalty calculated based on the security and instruction characteristics and the reason for the fail. For a Late Matching Fail Penalty (LMFP) that spans several business days, this amount is the sum of the amounts calculated for each applicable business day. A positive amount indicates that the party is entitled to the penalty whereas a negative amount indicates that the penalty is due to the counterparty.

MT537 State D1a1 O O 24B N/A Reason Reason This change is optional for outbound messages for institutions that are impacted by ment Code Code CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O ACTV N B Active Reason 2 O REMO N B Remove Reason 3 O UPDT N B Update Not Computed Reason 4 O NCOM N B Not Computed Reason

DEFINITION

This qualified generic field specifies:

ACTV Active Reason Provides the reason why a penalty is active. The penalty can be new or can become active again, for example, as the result of a re-allocation or a re- inclusion. NCOM Not Computed Reason Provides the reason why a penalty was not computed. REMO Remove Reason Specifies the reason why the penalty instruction is removed cancelled . UPDT Update Not Computed Reason This reason for the status Active (ACTV) is provided when the penalty has been updated due to the change in the relevant reference data or after the re-inclusion of the penalty. Reason for the status Active (ACTV) provided when the penalty has been updated by T2S due to the change in the relevant reference data or after the re-inclusion of the penalty. It also includes the situation of a penalty that is reincluded (every time a penalty is reincluded, T2S recalculates it to ensure latest data is taken).

CODES

If Qualifier is ACTV and Data Source Scheme is not present, Reason Code must contain one of the following codes (Error code(s): K24):

NEWP New Penalty Penalty is new. OTHR Other See narrative. RALO Reallocated Reason Re-allocation of a Late Matching Fail Penalty (LMFP) from the instructing party to the delivering/receiving party, or from the failing party to the non-failing party, or vice versa . SWIC Switch Reason Switch between the failing and non-failing party of a cash penalty. UPDT Update Reason The penalty has been updated due to the change in the relevant reference data or after the re-inclusion of the Updated of previously calculated penalty.

CODES

If Qualifier is REMO and Data Source Scheme is not present, Reason Code must contain one of the following codes (Error code(s): K24):

CORP Corporate Action Specifies that due to a specific corporate action, the security does no longer exists. INSO Insolvency Penalty was removed because insolvency proceedings are opened against the failing participant. OTHR Other See narrative. RALO Reallocated Reason Re-allocation of a Late Matching Fail Penalty (LMFP) from the instructing party to the delivering/receiving party, or from the failing party to the non-failing party, or vice versa . SEMP Settlement on Multiple Platforms Settlement on multiple platforms where one of the platforms is closed for settlement (either cash or securities). SESU Settlement Suspended Penalty was removed because ISIN is suspended from settlement due to a reconciliation issue. SUSP Trading Suspended Penalty was removed because of ISIN suspension from trading. SWIC Switch Reason Switch between the failing and non-failing party of a cash penalty. TEIM Technical Impossibilities Penalty was removed because there were technical 49

impossibilities at the CSD level that prevent settlement, such as: a failure of the infrastructure components, a cyber-attack, network problems.

CODES

If Qualifier is UPDT or Qualifier is NCOM and Data Source Scheme is not present, Reason Code must contain the following code (Error code(s): K24):

OTHR Other See narrative.

MT537 State D1a1 O O 19A N/A Amount: Amount: This change is optional for outbound messages for institutions that are impacted by ment Amount Amount CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Compute Computed and their clients. Pendi d ng DEFINITION Transa ctions This qualified generic field specifies:

MT537 State D1a1 M O 22F N/A Calculati Calculation This change is optional for outbound messages for institutions that are impacted by ment on Method CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Method Indicator: and their clients. Pendi Indicator Calculation ng : Method MT 537 Field Specifications Transa Calculati ctions on 92. Field 22F: Calculation Method Indicator: Calculation Method Method FORMAT

Option F :4!c/[8c]/4!c (Qualifier)(Data Source Scheme)(Indicator)

PRESENCE

Mandatory in optional subsequence D1a1

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 M CALM N F Calculation Method

DEFINITION

This qualified generic field specifies:

CALM Calculation Method Indicates the calculation rule used to compute the penalty.

CODES

Indicator must contain one of the following codes (Error code(s): K22):

MT537 State D1a1A M 0 98A N/A Date/Ti Date/Time: This change is optional for outbound messages for institutions that are impacted by ment me: Penalty CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Penalty Date/Time and their clients. Pendi Date/Ti ng me DEFINITION Transa ctions This qualified generic field specifies:

PEDA Penalty Date/Time Date that composes the penalty. For Late Matching Fail Penalty (LMFP), there will be as many penalty dates as business days where a transaction fails to settle due to the late matching. The penalty date can be in the past compared to the penalty detection date. For Settlement Fail Penalty (SEFP) there is only 1 penalty date. Date/time on which the penalty is calculated. In case of an update, this is the date on which the new values are calculated.

MT537 State D1a1A O O 17B N/A Missing Missing This change is optional for outbound messages for institutions that are impacted by ment Referenc Reference CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of e Data Data Flag: and their clients. Pendi Flag: Missing ng Missing Reference DEFINITION Transa Referenc Data ctions e Data Information provided for penalties where there is missing reference data on this business day.

This qualified generic field specifies:

MRED Missing Reference Data Information provided for penalties where there is missing reference data on this business day. The flag is used to indicate an exceptional situation and the value Y indicates that the penalty is detected but missing reference data prevented the calculation of the penalty amount. If the flag is not reported in the message this means that the reference data is available to calculate the penalty.

MT537 State D1a1A1 O O 17B N/A Flag Flag This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O LIQU N B Liquid 2 O OKPE N B Security Subject To Penalties 3 2 O SMEM N B SME Growth Market

DEFINITION

This qualified generic field specifies:

LIQU Liquid The Liquidity is a binary classification of securities that applies for shares, that is, when the Financial Instrument type Type of the security is "SHRS" and that specifies whether the security is "Liquid" or "Illiquid". Absence of this flag indicates that liquidity is not relevant for the ISIN reported, for example because the financial instrument is not a share . OKPE Security Subject To Penalties This flag indicates if the security is subject to penalties. It is used to indicate an exceptional situation. Absence of the flag indicates a value Yes, meaning that the security is subject to penalties. SMEM SME Growth Market Binary classification that specifies whether the security was traded in a SME Growth Market or not. According to the CSDR regulation, the SME Growth Market is not a characteristic of the ISIN but it is based on the value of the place of trade (Market Identifier Code) of the underlying transaction. The list of SME Growth Markets is a static list, maintained by ESMA for the CSDR regulation. Absence of this flag indicates that the place of trade is not known or is not relevant for the ISIN reported.

MT537 State D1a1A1 O O 92A N/A Rate Rate This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O CBON N A Corporate Bonds 2 O EXCH R N B Exchange Rate 3 O GBON N A SME Growth Market (non-Bonds) 4 O GOMB N A Government and Municipal Bonds 5 O ILSH N A Illiquid Shares 6 O LISH N A Liquid Shares 7 O NBON N A SME Growth Market Bonds 8 O OTHR N A Other Financial Instruments

MT537 State D1a1A1 O O 19A N/A Amount Amount This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng DEFINITION Transa ctions This qualified generic field specifies:

CASH Cash Side Penalty based on the amount of cash failed to be delivered and the discount rate of the relevant currency. A positive amount indicates that the party is entitled to the penalty whereas a negative amount indicates that the penalty is due to the counterparty. SECU Securities Side Penalty based on the quantity of securities failed to be delivered and penalty rate of the ISIN (or the discount rate of the currency in case the calculation method is MIXE). A positive amount indicates that the party is entitled to the penalty whereas a negative amount indicates that the penalty is due to the counterparty. ISIN.

MT537 State D1a1B M O 20C N/A Referenc Reference This change is optional for outbound messages for institutions that are impacted by ment D1a1A2 e CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng PRESENCE Transa ctions Mandatory in optional subsequence D1a1B D1a1A2

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M ACOW N C Account Owner Reference 2 O ASRF N C Account Servicer Reference 3 O PCTI N C Processor Transaction Identification 4 O MITI N C Market Infrastructure Transaction Identification 3 5 O COMM N C Common Reference 4 6 O CORP N C Corporate Action Reference 5 O MITI N C Market Infrastructure Transaction Identification 6 O NESP N C Netting Service Provider Reference 7 O PCTI N C Processor Transaction Identification 8 7 O RELA N C Related Reference

DEFINITION

This qualified generic field specifies:

ACOW Account Owner Reference Reference assigned to the reported transaction by the account owner. ASRF Account Servicer Reference Reference assigned to the reported transaction by the account servicer. COMM Common Reference Unique reference agreed upon by the Investment Manager and the Broker/Dealer to identify the trade. This reference should be passed 59

down and up through the whole life cycle of the transaction. CORP Corporate Action Reference Reference assigned by the account servicer to unambiguously identify a related corporate action event. MITI Market Infrastructure Transaction Identification Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. NESP Netting Service Provider Reference Identification assigned by the netting service provider to identify the net transaction resulting from the netting process. PCTI Processor Transaction Identification Identification of the transaction assigned by the processor of the instruction other than the account owner/the account servicer and the market infrastructure. RELA Related Reference Reference of the linked message which was previously received.

MT537 State D1a1B1 M O 22a: N/A Indicator Indicator This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a 22F: CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng MT 537 Field Specifications Transa ctions 114. Field 22a: 22F:Indicator

FORMAT

Option F :4!c/[8c]/4!c (Qualifier)(Data Source Scheme)(Indicator) Option H :4!c//4!c (Qualifier)(Indicator)

PRESENCE

Mandatory in optional subsequence D1a1B1 D1a1A2a

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M REDE N H Receive/Deliver Indicator 2 M PAYM N H Payment Indicator 3 1 M TRTR N F Trade Transaction Type or SETR N F Type of Settlement Transaction Indicator 4 M TRAN N F Transaction Indicator 5 O CAEV N F Corporate Action Event Indicator 6 O BDEV N F Business Day Event

DEFINITION

This qualified generic field specifies:

BDEV Business Day Event Code identifying the event that is responsible for the relevant cut-off . CAEV Corporate Action Event Indicator Specifies the type of corporate event. PAYM Payment Indicator Specifies whether the instruction is free or against payment. REDE Receive/Deliver Indicator Specifies whether the transaction is a receipt or delivery of financial instruments. SETR Type of Settlement Transaction Indicator Specifies underlying information regarding the type of settlement transaction. TRAN Transaction Indicator Specifies the type of activity to which this instruction relates. TRTR Trade Transaction Type Specifies the type of transaction of which the order is a component.

CODES

In option H, if Qualifier is REDE, Indicator must contain one of the following codes (Error code(s): K22):

DELI Deliver Financial Instruments will be debited from the safekeeping account. RECE Receive Financial Instruments will be credited to the safekeeping account.

CODES

In option H, if Qualifier is PAYM, Indicator must contain one of the following codes (Error code(s): K22):

APMT Against Payment Against payment. FREE Free Free of payment.

CODES

In option F, if If Qualifier is TRTR and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

BASK Basket Trade Transaction is a single order to buy and sell several financial instruments for the purpose of simultaneous buying and selling. Baskets are often used for a set of 15 or more financial instruments and play a role in arbitrage activity. BRKR Broker to Broker Trade Transaction is a trade from a broker to another broker. FUND Fund to Fund Trade Transaction is a trade from an investment fund to another investment fund. INDX Index Trade Transaction is a single order to buy or sell all underlying financial instruments of an index, for example, S&P500. LIST List Trade Transaction is a trade of a predetermined set of financial instruments. PALL Pre-Allocation Transaction is a pre-allocation. PROG Program Trade Transaction relates to computer-driven automatically executed trades in large volumes of a set of several financial instruments. TRAD Trade Transaction is a regular trade.

CODES

In option F, if If Qualifier is SETR and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

BSBK Buy Sell Back Relates to a buy sell back transaction. BYIY Buy In The transaction relates to a buy-in by the market following a delivery transaction failure. CLAI Market Claim Transaction resulting from a market claim. CNCB Central Bank Collateral Operation Relates to a collateral delivery/receipt to a National Central Bank for central bank credit operations. COLI Collateral In Relates to a collateral transaction, from the point of view of the collateral taker or its agent. COLO Collateral Out Relates to a collateral transaction, from the point of view of the collateral giver or its agent. CONV DR Conversion Relates to a depository receipt conversion. ETFT Exchange Traded Funds Relates to an exchange traded fund (ETF) creation or redemption. FCTA Factor Update Relates to a factor update. INSP Move of Stock Relates to a movement of shares into or out of a pooled account. ISSU Issuance Relates to the issuance of a security such as an equity or a depository receipt. 63

MKDW Mark-Down Relates to the decrease of positions held by an ICSD at the common depository due to custody operations (repurchase, pre-release, proceed of corp. event realigned). MKUP Mark-Up Relates to the increase of positions held by an ICSD at the common depository due to custody operations (repurchase, pre-release, proceed of corporate event realigned). NETT Netting Relates to the netting of settlement instructions. NSYN Non Syndicated Relates to the issue of medium and short term paper (CP, CD, MTN, notes ...) under a program and without syndication arrangement. OWNE External Account Transfer Relates to an account transfer involving more than one instructing party (messages sender) and/or account servicer (messages receiver). OWNI Internal Account Transfer Relates to an account transfer involving one instructing party (messages sender) at one account servicer (messages receiver). PAIR Pair-Off Relates to a pair-off: the transaction is paired off and netted against one or more previous transactions. PLAC Placement Relates to the placement/new issue of a financial instrument. PORT Portfolio Move Relates to a portfolio move from one investment manager to another and/or from an account servicer to another. It is generally charged differently than another account transfer (OWNE, OWNI, INSP), hence the need to identify this type of transfer as such. PREA Pre-Advice Transaction is a pre-advice, that is for matching purposes only. REAL Realignment Relates to a realignment of positions. REDI Withdrawal Relates to the withdrawal of specified amounts from specified sub- accounts. REDM Redemption (Funds) Relates to a redemption of Funds (Funds Industry ONLY). RELE DR Release/Cancellation Relates to a release (into/from local) of Depository Receipt operation. REPU Repo Relates to a repurchase agreement transaction. RODE Return of Delivery Without Matching Relates to the return of financial instruments resulting from a rejected delivery without matching operation. RVPO Reverse Repo Relates to a reverse repurchase agreement transaction. SBBK Sell Buy Back Relates to a sell buy back transaction. SBRE Borrowing Reallocation Internal reallocation of a borrowed holding from one safekeeping account to another. SECB Securities Borrowing Relates to a securities borrowing operation. SECL Securities Lending Relates to a securities lending operation. 64

SLRE Lending Reallocation Internal reallocation of a holding on loan from one safekeeping account to another. SUBS Subscription (Funds) Relates to a subscription to funds (Funds Industry ONLY). SWIF Switch From Transaction is a change of an investment from one sub-fund to another sub-fund (redemption-leg). SWIT Switch To Transaction is a change of an investment from one sub-fund to another sub-fund (subscription-leg). SYND Syndicate of Underwriters Relates to the issue of financial instruments through a syndicate of underwriters and a Lead Manager. TBAC TBA Closing Relates to a To Be Announced (TBA) closing trade. TRAD Trade Relates to the settlement of a trade. TRPO Triparty Repo Relates to a triparty repurchase agreement. TRVO Triparty Reverse Repo Relates to a triparty reverse repurchase agreement. TURN Turnaround Relates to a turnaround: the same security is bought and sold to settle the same day, to or from different brokers.

CODES

In option F, if Qualifier is TRAN and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

CORP Corporate Action Activity Transaction relates to corporate action. SETT Settlement and Clearing Activity Transaction relates to settlement and clearing.

CODES

In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy involves formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change 66

the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. DLST Trading Status: Delisted Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation. DRAW Drawing Securities are redeemed in part before the scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the 67

market rather than creating new share capital in exchange for the dividend. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction, Bid Tender An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. Shareholder must take cash and may be offered a choice of currency. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise/Warrant Conversion Option to buy (call warrant) or to sell (put warrant) a specific amount of equities, cash, commodity, etc, at a predetermined price over a specific period of time. INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INFO Information Information provided by the issuer having no accounting/financial impact on the holder. 68

INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies 69

and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRIO Priority Issue Form of open or public offer where priority is given to existing shareholders due to limited amount of securities available in the offer. Shareholders can buy a type of security during a short period of time. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders. RHDI Intermediate Securities Distribution The distribution of intermediate securities that gives the holder the right to take part in a future event. RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are 70

reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TNDP Tax On Non-Distributed Proceeds Taxable component on non-distributed proceeds, for example, Australian deemed income or US 871m income regulation. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

CODES

In option F, if Qualifier is BDEV and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

EBAT End of BATM End of the bilaterally agreed treasury management operations cut-off. ECBO End of CBO End of Central Bank operations cut-off. EDVP End of DVP End of the delivery versus payment cut-off. EFOP End of FOP End of the free of payment cut-off.

MT537 State D1a1B1 M O 98A N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions Mandatory in optional subsequence D1a1B1 D1a1A2a

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O ADEL N A or C Late Delivery Date/Time 2 O ASTS N C Acknowledged Status Timestamp 3 O CUTS N C Cut-Off Timestamp 4 1 O EXSE N A or C Expected Settlement Date/Time 5 O EXVA N A or C Expected Value Date/Time 6 O MTCH N C Matched Status Timestamp 7 O SCTS N C Scheduled Cut-Off Timestamp 8 2 M SETT N A, B, or C Settlement Date/Time 3 O ADEL N A or C Late Delivery Date/Time 9 4 O TRAD N A, B, or C Trade Date/Time 5 O EXVA N A or C Expected Value Date/Time

DEFINITION

This qualified generic field specifies:

EXVA Expected Value Date/Time For against payment transactions, the value date/time at which the Sender expects the settlement amount to be credited or debited. MTCH Matched Status Timestamp The timestamp of matching of the instruction by the account servicer. SCTS Scheduled Cut-Off Timestamp Scheduled time for the cut-off event. SETT Settlement Date/Time Date/time at which the financial instruments are to be delivered or received. TRAD Trade Date/Time Date/time at which the trade was executed.

MT537 State D1a1B1 O O 97A N/A Account Account This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions Mandatory in optional subsequence D1a1B1 D1a1A2a

MT537 State D1a1B1 O O 95A N/A Party Party This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions Mandatory in optional subsequence D1a1B1 D1a1A2a

MT537 State D1a1A2a M O 22H N/A Indicator Indicator This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng MT 537 Field Specifications Transa ctions 116. Field 22H: Indicator

FORMAT

Option H :4!c//4!c (Qualifier)(Indicator)

PRESENCE

Mandatory in optional subsequence D1a1A2a

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 M REDE N H Receive/Deliver Indicator 2 M PAYM N H Payment Indicator

DEFINITION

This qualified generic field specifies:

PAYM Payment Indicator Specifies whether the instruction is free or against payment. REDE Receive/Deliver Indicator Specifies whether the transaction is a receipt or delivery of financial instruments.

CODES

If Qualifier is REDE, Indicator must contain one of the following codes (Error code(s): K22):

DELI Deliver Financial Instruments will be debited from the safekeeping account. RECE Receive Financial Instruments will be credited to the safekeeping account.

CODES

If Qualifier is PAYM, Indicator must contain one of the following codes (Error code(s): K22):

APMT Against Payment Against payment. FREE Free Free of payment.

MT537 State D1a1B1 M O 36B N/A Quantity Quantity of This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a of Financial CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Financial Instrument and their clients. Pendi Instrume Instrument ng nt : Posting 118. Field 36B: Quantity of Financial Instrument Instrument: Posting Quantity Transa Instrume Quantity ctions nt: PRESENCE Posting Quantity Mandatory in optional subsequence D1a1B1 D1a1A2a

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M PSTA R B Posting Quantity 2 O RSTT N B Quantity of Financial Instrument Remaining to be Settled

DEFINITION

This qualified generic field specifies:

PSTA Posting Quantity Quantity of financial instrument posted to the safekeeping account. RSTT Quantity of Financial Instrument Remaining to be Settled Quantity of financial instrument remaining to be settled.

MT537 State D1a1A2a M O 98C N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng MT 537 Field Specifications Transa ctions 119. Field 98C: Date/Time

FORMAT

Option C :4!c//8!n6!n (Qualifier)(Date)(Time)

PRESENCE

Mandatory in optional subsequence D1a1A2a

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 M ASTS N C Acknowledged Status Timestamp 2 O MTCH N C Matched Status Timestamp 3 O CUTS N C Cut-Off Timestamp

DEFINITION

This qualified generic field specifies:

ASTS Acknowledged Status Timestamp The timestamp of acceptance or acknowledgement of the instruction by the account servicer. CUTS Cut-Off Timestamp Effective time for the cut-off event. MTCH Matched Status Timestamp The timestamp of matching of the instruction by the account servicer.

NETWORK VALIDATED RULES

Date must be a valid date expressed as YYYYMMDD (Error code(s): T50).

Time must be a valid time expressed as HHMMSS (Error code(s): T38).

MT537 State D1a1B1 O O 19A N/A Amount: Amount: This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a Posting Posting CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Amount Amount and their clients. Pendi ng 119. Field 19A: Amount: Posting Amount Transa ctions PRESENCE

Optional in optional subsequence D1a1B1 D1a1A2a

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O PSTA N A Posting Amount 2 O RSTT N A Remaining Settlement Amount

DEFINITION

This qualified generic field specifies:

PSTA Posting Amount Amount of money that was posted to the account. RSTT Remaining Settlement Amount Amount of money remaining to be settled.

MT537 State D1a1A2a M O 98A N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng MT 537 Field Specifications Transa ctions 119. Field 98C: Date/Time

FORMAT

Option C :4!c//8!n6!n (Qualifier)(Date)(Time)

PRESENCE

Mandatory in optional subsequence D1a1A2a

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 M ASTS N C Acknowledged Status Timestamp 2 O MTCH N C Matched Status Timestamp 3 O CUTS N C Cut-Off Timestamp

DEFINITION

This qualified generic field specifies:

NETWORK VALIDATED RULES

Date must be a valid date expressed as YYYYMMDD (Error code(s): T50).

Time must be a valid time expressed as HHMMSS (Error code(s): T38).

MT537 State D1a1B1a M 0 25D N/A Status Status This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a1 Code Code CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of and their clients. Pendi ng QUALIFIER Transa ctions Mandatory in optional subsequence D1a1B1 D1a1A2a

MT537 State D1a1B1a1 M 0 24B N/A Reason Reason This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a1 Code Code CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of A and their clients. Pendi ng QUALIFIER Transa ctions Mandatory in optional subsequence D1a1B1 D1a1A2a

MT537 State D1a1B1a1 M 0 70D N/A Narrativ Narrative: This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a1 e: Reason CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of A Reason Narrative and their clients. Pendi Narrativ ng e QUALIFIER Transa ctions Mandatory in optional subsequence D1a1B1 D1a1A2a

MT537 State D1a1B1 O 0 70E N/A Narrativ Narrative: This change is optional for outbound messages for institutions that are impacted by ment D1a1A2a e: Additional CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Addition Informatio and their clients. Pendi al n Narrative ng Informat QUALIFIER Transa ion ctions Narrativ Mandatory in optional subsequence D1a1B1 D1a1A2a e

MT537 State D1 M O 98A N/A Date/Ti Date/Time: This change is optional for outbound messages for institutions that are impacted by ment me: Computati CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Computa on and their clients. Pendi tion Date/Time ng Date/Ti 76. Field 98a: Date/Time: Computation Date/Time Transa me ctions QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O DACO N A or C Penalty Detection Computation Date/Time 2 O PAYD N A Payment Date

DEFINITION

This qualified generic field specifies:

MT537 State D1 M O 97A N/A Account: Account: This change is optional for outbound messages for institutions that are impacted by ment Cash Cash CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants of Account Account and their clients. Pendi ng MT 537 Field Specifications Transa ctions 77. Field 97a: Account: Cash Account

FORMAT

Option A :4!c//35x (Qualifier)(Account Number) Option E :4!c//34x (Qualifier)(International Bank Account Number)

PRESENCE

Optional in optional subsequence D1

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 O CASH N A or E Cash Account

DEFINITION

This qualified generic field specifies:

CASH Cash Account Account in which cash is maintained.

USAGE RULES

The account provided is the account of the party specified in this sequence.

MT537 State B2b M O 22A N/A Indicator Indicator The change is mandatory on outbound messages. ment of CODES Pendi ng In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must Transa contain one of the following codes (Error code(s): K22): ctions ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy involves formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but 87

unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. 88

MT537 State C2 M o 22A N/A Indicator Indicator The change is mandatory on outbound messages. ment of CODES Pendi ng In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must Transa contain one of the following codes (Error code(s): K22): ctions ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy involves formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but 93

unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. 94

MT538 State B2b O M 22F N/A Indicator Indicator: The change is mandatory on outbound messages. ment : Corporate of Corporat Action CODES Intra- e Action Event Positi Event Indicator If Data Source Scheme is not present, Indicator must contain one of the following on Indicator codes (Error code(s): K22): Advice s ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a bond at the election of the bondholder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of securities. Shareholders of mutual funds, unit trusts, or sicavs may be recipients of capital gains distributions which are often reinvested in additional equity of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but 99

104

MT548 Settle B M O 98A N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces QUALIFIER sing Advice (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O ADEL N A or C Late Delivery Date/Time 2 O ASTS N C Acknowledged Status Timestamp 3 1 O EXSE N A or C Expected Settlement Date/Time 4 O EXVA N A or C Expected Value Date/Time 5 O MTCH N C Matched Status Timestamp 6 2 M SETT N A, B, or C Settlement Date/Time 3 O ADEL N A or C Late Delivery Date/Time 7 4 O TRAD N A, B, C, or E Trade Date/Time 5 O EXVA N A or C Expected Value Date/Time

DEFINITION

This qualified generic field specifies:

SETT Settlement Date/Time Date/time at which the financial instruments are to be delivered or received. TRAD Trade Date/Time Date/time at which the trade was executed.

106

MT548 Settle C M 0 22F N/A Indicator: This change is optional for outbound messages for institutions that are impacted by ment Indicator Penalty List CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status : Penalty Type and their clients. and List Type Complete/ Proces Complet Updates 35. Field 22F: Indicator: Penalty List Type Complete/Updates Indicator sing e/Updat Indicator Advice es QUALIFIER Indicator (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M CODE N F Penalty List Type Complete/Updates Indicator

DEFINITION

This qualified generic field specifies:

CODES

If Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

107

created for the first time (that is, the penalty list that contains only new computed penalties ) .

108

MT548 Settle C1 O O 98A N/A This change is optional for outbound messages for institutions that are impacted by ment Date/Ti Date/Time: CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status me: Penalty and their clients. and Penalty Detection Proces Detectio Computati 39. Field 98a: Date/Time: Penalty Detection Computation Date/Time sing n on Advice Computa Date/Time QUALIFIER tion Date/Ti (Error code(s): T89) me

Order M/O Qualifier R/N CR Options Qualifier Description

1 O DACO N A or C Penalty Detection Computation Date/Time

DEFINITION

This qualified generic field specifies:

109

MT548 Settle C1 M O 95A N/A Party Party This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces QUALIFIER sing Advice (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M REPA N P, Q, or R Related Party 2 O CASD N P or Q Counterparty's Account Servicer/Depository 3 O ALTE N L Alternate Identification

110

MT548 Settle C1 M 0 22F N/A Indicator Indicator: This change is optional for outbound messages for institutions that are impacted by ment : Party Party CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status Capacity Capacity and their clients. and Indicator Indicator Proces CODES sing Advice If Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

111

MT548 Settle C1a M O 22F N/A Indicator: This change is optional for outbound messages for institutions that are impacted by ment Indicator Party CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status : Party Capacity and their clients. and Capacity Indicator Proces Indicator CODES sing Advice If Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

112

MT548 Settle C1a1 M O 20C N/A Referenc Reference This change is optional for outbound messages for institutions that are impacted by ment e CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces QUALIFIER sing Advice (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M PREF N C Penalty Reference 1 2 M O PCOM N C Penalty Common Reference 2 O PPCM N C Previous Penalty Common Reference 3 O PPRF N C Previous Penalty Reference 4 O PREF N C Penalty Reference

DEFINITION

This qualified generic field specifies:

113

MT548 Settle C1a1 M 0 22H N/A 22H: 22H: This change is optional for outbound messages for institutions that are impacted by ment Indicator Indicator CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status 22F: 22F: and their clients. and Penalty Penalty Proces Type Type MT 548 Field Specifications sing Indicator Indicator: Advice : Penalty Penalty 48. Field 22H: Indicator 22F: Penalty Type Indicator: Penalty Type Type Type Option H :4!c//4!c (Qualifier)(Indicator)

Option F :4!c/[8c]/4!c (Qualifier)(Data Source Scheme)(Indicator)

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M PNTP N H F Penalty Type 2 M CALM N H Calculation Method

DEFINITION

This qualified generic field specifies:

CALM Calculation Method Indicates the calculation rule used to compute the penalty. PNTP Penalty Type Indicates the type of penalty.

CODES

If Qualifier is PNTP,Indicatormust contain one of the following codes (Error code(s): K22):

LMFP Late Matching Fail Penalty Applies from the intended settlement date until the matching date. The penalty is charged to the participant who was last to enter or 114

modify the relevant settlement instruction (for example, "accepted timestamp" is later than the one of the counterparty's instruction) for the periods between the ISD and the day of matching of the instruction. SEFP Settlement Fail Penalty Penalties apply to instructions that fail to settle on the intended settlement date. A settlement instruction that "fails to settle on that business day" must be understood as a settlement instruction that is not cancelled and remaining to be settled, fully or partially, by the time of the end of processing of the relevant cut-off.

CODES

If Qualifier is CALM, Indicator must contain one of the following codes (Error code(s): K22):

115

MT548 Settle C1a1 O O 17B N/A Amount Amount This change is optional for outbound messages for institutions that are impacted by ment Compute Computed CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status d Flag: Flag: and their clients. and Amount Amount Proces Consider Considered 49. Field 17B: Amount Computed Flag: Amount Considered For Aggregation sing ed For For ComputedFlag Advice Aggregat Aggregatio ion n QUALIFIER Compute Computed d Flag Flag (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O CMPU N B Amount Considered For Aggregation Computed Flag

DEFINITION

This qualified generic field specifies:

CMPU Amount Considered For Aggregation Computed Flag Indicates whether or not the amount calculated for the reported penalty will be added to the aggregated amounts at global level. There could be several reasons for not considering the penalty amount. The flag is used to indicate an exceptional situation. If the flag is not reported in the message this means that the penalty is considered for the calculation of aggregated amounts . Indicate if the amount computed will be added to the bilateral net or not. The amount computed will not be added to the bilateral net if one of the parties to the instruction is a CCP or is insolvent.

116

MT548 Settle C1a1 O O 24B N/A Reason Reason This change is optional for outbound messages for institutions that are impacted by ment Code Code CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces QUALIFIER sing Advice (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O ACTV N B Active Reason 2 O REMO N B Remove Reason 3 O UPDT N B Update Not Computed Reason 4 O NCOM N B Not Computed Reason

DEFINITION

This qualified generic field specifies:

CODES

117

If Qualifier is ACTV and Data Source Scheme is not present, Reason Code must contain one of the following codes (Error code(s): K24):

CODES

If Qualifier is REMO and Data Source Scheme is not present, Reason Code must contain one of the following codes (Error code(s): K24):

impossibilities at the CSD level that prevent settlement, such as: a failure of the infrastructure components, a cyber-attack, network problems.

CODES

If Qualifier is UPDT or Qualifier is NCOM and Data Source Scheme is not present, Reason Code must contain the following code (Error code(s): K24):

OTHR Other See narrative.

119

MT548 Settle C1a1 M 0 19A N/A Amount: Amount: This change is optional for outbound messages for institutions that are impacted by ment Amount Amount CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status Compute Computed and their clients. and d Proces DEFINITION sing Advice This qualified generic field specifies:

120

MT548 Settle C1a1 M 0 22F N/A Calculati Calculation This change is optional for outbound messages for institutions that are impacted by ment on Method CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status Method Indicator: and their clients. and Indicator Calculation Proces : Method MT 548 Field Specifications sing Calculati Advice on 54. Field 22F: Calculation Method Indicator: Calculation Method Method FORMAT

Option F :4!c/[8c]/4!c (Qualifier)(Data Source Scheme)(Indicator)

PRESENCE

Mandatory in optional subsequence C1a1

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

121

1 M CALM N F Calculation Method

DEFINITION

This qualified generic field specifies:

CALM Calculation Method Indicates the calculation rule used to compute the penalty.

CODES

Indicator must contain one of the following codes (Error code(s): K22):

122

MT548 Settle C1a1A M O 98A N/A Date/Ti Date/Time: This change is optional for outbound messages for institutions that are impacted by ment me: Penalty CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status Penalty Date/Time and their clients. and Date/Ti Proces me DEFINITION sing Advice This qualified generic field specifies:

123

MT548 Settle C1a1A O O 17B N/A Missing Missing This change is optional for outbound messages for institutions that are impacted by ment Referenc Reference CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status e Data Data Flag: and their clients. and Flag: Missing Proces Missing Reference DEFINITION sing Referenc Data Advice e Data Information provided for penalties where there is missing reference data on this business day.

This qualified generic field specifies:

124

MT548 Settle C1a1A1 O O 17B N/A Flag Flag This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces QUALIFIER sing Advice (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O LIQU N B Liquid 2 O OKPE N B Security Subject To Penalties 3 2 O SMEM N B SME Growth Market

DEFINITION

This qualified generic field specifies:

125

MT548 Settle C1a1A1 O O 92A N/A Rate Rate This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces QUALIFIER sing Advice (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

126

MT548 Settle C1a1A1 O O 19A N/A Amount Amount This change is optional for outbound messages for institutions that are impacted by ment CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces DEFINITION sing Advice This qualified generic field specifies:

127

MT548 Settle C1a1B M O 20C N/A Referenc Reference This change is optional for outbound messages for institutions that are impacted by ment C1a1A2 e CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces Mandatory in optional subsequence C1a1B C1a1A2 sing Advice QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

DEFINITION

This qualified generic field specifies:

CORP Corporate Action Reference Reference assigned by the account servicer to unambiguously identify a related corporate action event. MITI Market Infrastructure Transaction Identification Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. NESP Netting Service Provider Reference Identification assigned by the netting service provider to identify the net transaction resulting from the netting process. PCTI Processor Transaction Identification Identification of the transaction assigned by the processor of the instruction other than the account owner/the account servicer and the market infrastructure. RELA Related Reference Reference of the linked message which was previously received.

129

MT548 Settle C1a1B1 M O 22a: N/A Indicator Indicator This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a 22F:Indi CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status cator and their clients. and Proces MT 548 Field Specifications sing Advice 75. Field 22a: 22F:Indicator

FORMAT

Option F :4!c/[8c]/4!c (Qualifier)(Data Source Scheme)(Indicator) Option H :4!c//4!c Mandatory in optional subsequence C1a1B1 C1a1A2a

QUALIFIER

(Error code(s): T89) Order M/O Qualifier R/N CR Options Qualifier Description

DEFINITION

This qualified generic field specifies:

REDE Receive/Deliver Indicator Specifies whether the transaction is a receipt or delivery of financial instruments. SETR Type of Settlement Transaction Indicator Specifies underlying information regarding the type of settlement transaction. TRAN Transaction Indicator Specifies the type of activity to which this instruction relates. TRTR Trade Transaction Type Specifies the type of transaction of which the order is a component.

CODES

In option H, if Qualifier is REDE, Indicator must contain one of the following codes (Error code(s): K22):

DELI Deliver Financial Instruments will be debited from the safekeeping account. RECE Receive Financial Instruments will be credited to the safekeeping account.

CODES

In option H, if Qualifier is PAYM, Indicator must contain one of the following codes (Error code(s): K22):

APMT Against Payment Against payment. FREE Free Free of payment.

CODES

In option F, if If Qualifier is TRTR and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

FUND Fund to Fund Trade Transaction is a trade from an investment fund to another investment fund. INDX Index Trade Transaction is a single order to buy or sell all underlying financial instruments of an index, for example, S&P500. LIST List Trade Transaction is a trade of a predetermined set of financial instruments. PALL Pre-Allocation Transaction is a pre-allocation. PROG Program Trade Transaction relates to computer-driven automatically executed trades in large volumes of a set of several financial instruments. TRAD Trade Transaction is a regular trade.

CODES

In option F, if If Qualifier is SETR and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

depository due to custody operations (repurchase, pre-release, proceed of corporate event realigned). NETT Netting Relates to the netting of settlement instructions. NSYN Non Syndicated Relates to the issue of medium and short term paper (CP, CD, MTN, notes ...) under a program and without syndication arrangement. OWNE External Account Transfer Relates to an account transfer involving more than one instructing party (messages sender) and/or account servicer (messages receiver). OWNI Internal Account Transfer Relates to an account transfer involving one instructing party (messages sender) at one account servicer (messages receiver). PAIR Pair-Off Relates to a pair-off: the transaction is paired off and netted against one or more previous transactions. PLAC Placement Relates to the placement/new issue of a financial instrument. PORT Portfolio Move Relates to a portfolio move from one investment manager to another and/or from an account servicer to another. It is generally charged differently than another account transfer (OWNE, OWNI, INSP), hence the need to identify this type of transfer as such. PREA Pre-Advice Transaction is a pre-advice, that is for matching purposes only. REAL Realignment Relates to a realignment of positions. REDI Withdrawal Relates to the withdrawal of specified amounts from specified sub- accounts. REDM Redemption (Funds) Relates to a redemption of Funds (Funds Industry ONLY). RELE DR Release/Cancellation Relates to a release (into/from local) of Depository Receipt operation. REPU Repo Relates to a repurchase agreement transaction. RODE Return of Delivery Without Matching Relates to the return of financial instruments resulting from a rejected delivery without matching operation. RVPO Reverse Repo Relates to a reverse repurchase agreement transaction. SBBK Sell Buy Back Relates to a sell buy back transaction. SBRE Borrowing Reallocation Internal reallocation of a borrowed holding from one safekeeping account to another. SECB Securities Borrowing Relates to a securities borrowing operation. SECL Securities Lending Relates to a securities lending operation. SLRE Lending Reallocation Internal reallocation of a holding on loan from one safekeeping account to another. SUBS Subscription (Funds) Relates to a subscription to funds (Funds Industry ONLY). SWIF Switch From Transaction is a change of an investment from one sub-fund to 133

another sub-fund (redemption-leg). SWIT Switch To Transaction is a change of an investment from one sub-fund to another sub-fund (subscription-leg). SYND Syndicate of Underwriters Relates to the issue of financial instruments through a syndicate of underwriters and a Lead Manager. TBAC TBA Closing Relates to a To Be Announced (TBA) closing trade. TRAD Trade Relates to the settlement of a trade. TRPO Triparty Repo Relates to a triparty repurchase agreement. TRVO Triparty Reverse Repo Relates to a triparty reverse repurchase agreement. TURN Turnaround Relates to a turnaround: the same security is bought and sold to settle the same day, to or from different brokers.

CODES

In option F, if Qualifier is TRAN and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

CORP Corporate Action Activity Transaction relates to corporate action. SETT Settlement and Clearing Activity Transaction relates to settlement and clearing.

CODES

In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy involves formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. 135

COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. DLST Trading Status: Delisted Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation. DRAW Drawing Securities are redeemed in part before the scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the market rather than creating new share capital in exchange for the dividend. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction, Bid Tender An action by a party wishing to acquire a security. 136

Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. Shareholder must take cash and may be offered a choice of currency. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise/Warrant Conversion Option to buy (call warrant) or to sell (put warrant) a specific amount of equities, cash, commodity, etc, at a predetermined price over a specific period of time. INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INFO Information Information provided by the issuer having no accounting/financial impact on the holder. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by 137

the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to 138

an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRIO Priority Issue Form of open or public offer where priority is given to existing shareholders due to limited amount of securities available in the offer. Shareholders can buy a type of security during a short period of time. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders. RHDI Intermediate Securities Distribution The distribution of intermediate securities that gives the holder the right to take part in a future event. RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are 139

increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TNDP Tax On Non-Distributed Proceeds Taxable component on non-distributed proceeds, for example, Australian deemed income or US 871m income regulation. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

CODES

In option F, if Qualifier is BDEV and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

140

MT548 Settle C1a1B1 M O 98A N/A Date/Ti Date/Time This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a me CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces Mandatory in optional subsequence C1a1B1 C1a1A2a sing Advice MT548 Settle C1a1B1 O O 97A N/A Account Account This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces Mandatory in optional subsequence C1a1B1 C1a1A2a sing Advice MT548 Settle C1a1B1 O O 95A N/A Party Party This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces Mandatory in optional subsequence C1a1B1 C1a1A2a sing Advice

141

MT548 Settle C1a1B1 M O 36B N/A Quantity Quantity of This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a of Financial CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status Financial Instrument and their clients. and Instrume Instrument Proces nt : Posting 79. Field 36B: Quantity of Financial Instrument Instrument: Posting Quantity sing Instrume Quantity Advice nt: PRESENCE Posting Quantity Mandatory in optional subsequence C1a1B1 C1a1A2a

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M PSTA R B Posting Quantity 2 O RSTT N B Quantity of Financial Instrument Remaining to be Settled

DEFINITION

This qualified generic field specifies:

142

MT548 Settle C1a1B1 O O 19A N/A Amount: Amount: This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a Posting Posting CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status Amount Amount and their clients. and Proces 80. Field 19A: Amount: Posting Amount sing Advice FORMAT

Option A :4!c//[N]3!a15d (Qualifier)(Sign)(Currency Code)(Amount)

PRESENCE

Optional in optional subsequence C1a1B1 C1a1A2a

QUALIFIER

(Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O PSTA N A Posting Amount 2 O RSTT N A Remaining Settlement Amount

DEFINITION

This qualified generic field specifies:

PSTA Posting Amount Amount of money that was posted to the account. RSTT Remaining Settlement Amount Amount of money remaining to be settled.

143

MT548 Settle C1a1B1a M O 25D N/A Status Status This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a1 Code Code CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status and their clients. and Proces Mandatory in optional subsequence C1a1B1a C1a1A2a1 sing Advice MT548 Settle C1a1B1a1 M O 24B N/A Reason Reason This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a1 Code Code CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status A and their clients. and Proces Mandatory in optional subsequence C1a1B1a1 C1a1A2a1A sing Advice MT548 Settle C1a1B1a1 O O 70D N/A Narrativ Narrative: This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a1 e: Reason CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status A Reason Narrative and their clients. and Narrativ Proces e Mandatory in optional subsequence C1a1B1a1 C1a1A2a1A sing Advice MT548 Settle C1a1B1 O O 70E N/A Narrativ Narrative: This change is optional for outbound messages for institutions that are impacted by ment C1a1A2a e: Additional CSDR like settlement platforms, trading venues, CCPS, CSDs and all their participants Status Addition Informatio and their clients. and al n Narrative Proces Informat Mandatory in optional subsequence C1a1B1 C1a1A2a sing ion Advice Narrativ e MT548 Settle N/A N/A N/A N/A N/A N/A N/A Network Validated Rules ment Status https://www2.swift.com/mystandards/#/crimpact/cr/1519/mt/2020.November/548/ and node/ConditionalRule Proces sing Advice 144

MT564 Corpo E O O 92A N/A Rate Rate This is a change of long code name and definition and does not impact the message rate structure. Action Notific CODES ation In option J, if Qualifier is GRSS and Data Source Scheme is not present, Rate Type Code must contain one of the following codes (Error code(s): K92):

CAPO Capital Portion Rate relating to the underlying security for which capital is distributed. CDFI Conduit ForeignIncome Rate relating to a conduit foreign income type such as conduit foreign income . FLFR Fully Franked Rate resulting from a fully franked dividend paid by a company; rate includes tax credit for companies that have made sufficient tax payments during fiscal period. INCO Income Portion Rate relating to the underlying security for which income is distributed. INTR Interest Rate relating to the underlying security for which interest is paid. LTCG Long Term Capital Gain Long term capital gain. REES Real Estate Property Income Portion Rate of income distribution originated by real estate investment. SOIC Sundry/Other Income Rate relating to the underlying security for which other income is paid. STCG Short Term Capital Gain Short term capital gain. TXBL Taxable Portion Rate relating to the underlying security for which tax is charged. TXDF Tax Deferred Rate relating to the underlying security for which tax is deferred. TXFR Tax Free Rate relating to the underlying security which is not taxable. UNFR Unfranked Unfranked.

CODES

In option J, if Qualifier is NETT and Data Source Scheme is not present, Rate Type Code must contain one of the following codes (Error code(s): K92):

CAPO Capital Portion Rate relating to the underlying security for which capital is distributed. 145

CDFI Conduit ForeignIncome Rate relating to a conduit foreign income type such as conduit foreign income . FLFR Fully Franked Rate resulting from a fully franked dividend paid by a company; rate includes tax credit for companies that have made sufficient tax payments during fiscal period. INCO Income Portion Rate relating to the underlying security for which income is distributed. INTR Interest Rate relating to the underlying security for which interest is paid. REES Real Estate Property Income Portion Rate of income distribution originated by real estate investment. SOIC Sundry/Other Income Rate relating to the underlying security for which other income is paid. TXBL Taxable Portion Rate relating to the underlying security for which tax is charged. TXDF Tax Deferred Rate relating to the underlying security for which tax is deferred. TXFR Tax Free Rate relating to the underlying security which is not taxable. UNFR Unfranked Unfranked.

146

MT564 Corpo E2 O O 92A N/A Rate Rate This is a change of long code name and definition and does not impact the message rate structure. Action Notific CODES ation In option J, if Qualifier is GRSS and Data Source Scheme is not present, Rate Type Code must contain one of the following codes (Error code(s): K92):

CODES

In option J, if Qualifier is NETT and Data Source Scheme is not present, Rate Type Code must contain one of the following codes (Error code(s): K92):

CAPO Capital Portion Rate relating to the underlying security for which capital is distributed. 147

148

MT564 Corpo E2 C O 19B N/A Amount Amount This is a change of long code name and definition and does not impact the message rate structure. Action Notific QUALIFIER ation (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O ENTL N B Entitled Amount 2 O RESU N C1 B Resulting Amount 3 O OCMT N B Original Currency and Ordered Amount 4 O CAPG N B Capital Gains Amount 5 O INDM N B Indemnity Amount 6 O CINL N B Cash in Lieu of Shares 7 O CHAR N B Charges/Fees Amount 8 O FLFR N B Fully Franked Amount 9 O UNFR N B Unfranked Amount 10 O TXFR N B Tax Free Amount 11 O TXDF N B Tax Deferred Amount 12 O SOIC N B Sundry/Other Income Amount 13 O GRSS N B Gross Amount 14 O INTR N B Interest Amount 15 O MKTC N B Market Claim 16 O NETT N B Net Cash Amount 17 O PRIN N B Principal or Corpus 18 O REIN N B Reinvestment Amount 19 O TAXC N B Amount of Tax Credit 20 O TAXR N B Withholding Tax Amount 21 O WITL N B Second Level Tax Amount 22 O REDP N B Redemption Premium Amount 23 O ATAX N B Additional Tax Amount 24 O INCO N B Income Portion 25 O EXEC N B Executing Broker's Amount 26 O LOCO N B Local Broker's Commission 149

27 O PAMM N B Paying/Sub-paying Agent Commission 28 O REGF N B Regulatory Fees 29 O SHIP N B Shipping 30 O SOFE N B Solicitation Fee 31 O STAM N B Stamp Duty 32 O STEX N B Stock Exchange Tax 33 O VATA N B Value-Added Tax 34 O FISC N B Fiscal Stamp 35 O MFDV N B Manufactured Dividend/Payment 36 O TXRC N B Reclaim of Taxes 37 O EUTR N B EU Tax Retention Amount 38 O ACRU N B Accrued Interest Amount 39 O EQUL N B Equalisation Amount 40 O FTCA N B FATCA Tax Amount 41 O NRAT N B NRA Tax Amount 42 O BWIT N B Back Up Withholding Tax Amount 43 O TXIN N B Tax on Income Amount 44 O TRAX N B Transaction Tax 45 O DEEM N B Deemed Amount 46 O CDFI N B Conduit ForeignIncome Amount 47 O DEDI N B Deemed Dividend Amount 48 O DEFP N B Deemed Fund Amount 49 O DEIT N B Deemed Interest Amount 50 O DERY N B Deemed Royalties Amount

DEFINITION

This qualified generic field specifies:

ACRU Accrued Interest Amount Amount of interest that has been accrued in between coupon payment periods. ATAX Additional Tax Amount Amount of additional taxes that cannot be categorised. BWIT Back Up Withholding Tax Amount Amount of tax related to back up withholding. CAPG Capital Gains Amount Amount of money distributed as the result of a capital gain. 150

CDFI Conduit ForeignIncome Amount Amount relating to a foreign income such as a conduit foreign income. CHAR Charges/Fees Amount Amount of money paid for the provision of financial services that cannot be categorised by another qualifier. CINL Cash in Lieu of Shares Cash disbursement in lieu of a fractional quantity of, for example, equity. DEDI Deemed Dividend Amount Deemed amount resulting from the difference between the rate of dividend proceeds attributed to the security holder for the taxable year and the rate of dividend proceeds previously notified to the security holder in relation to cash distributions for the year. DEEM Deemed Amount Amount of proceeds which is not actually paid to the security holder but on which withholding tax is applicable. DEFP Deemed Fund Amount Deemed amount resulting from the difference between the rate of the proceeds components comprising a fund payment attributed to the security holder for the taxable year and the rate of the fund proceeds previously notified to the security holder in relation to cash distributions for the year. DEIT Deemed Interest Amount Deemed amount resulting from the difference between the rate of interest proceeds attributed to the security holder for the taxable year and the rate of interest proceeds previously notified to the security holder in relation to cash distributions for the year. DERY Deemed Royalties Amount Deemed amount resulting from the difference between the rate of royalty proceeds attributed to the security holder for the taxable year and the rate of royalty proceeds previously notified to the security holder in relation to cash distributions for the year. ENTL Entitled Amount Cash amount based on terms of corporate action event and balance of underlying securities, entitled to/from account owner (which may be positive or negative). EQUL Equalisation Amount Average accrued income included in the purchase price for units bought during the account period. EUTR EU Tax Retention Amount Total amount of tax withheld at source in conformance with the EU Savings Directive. EXEC Executing Broker's Amount Amount of money paid to an executing broker as a commission. FISC Fiscal Stamp Amount of fiscal tax to apply. FLFR Fully Franked Amount Amount resulting from a fully franked dividend paid by a company; amount includes tax credit for companies that have made sufficient tax 151

payments during the fiscal period. FTCA FATCA Tax Amount FATCA (Foreign Account Tax Compliance Act) related tax amount. GRSS Gross Amount Amount of money before any deductions and allowances have been made. INCO Income Portion Amount relating to the underlying security for which income is distributed. INDM Indemnity Amount (Unique to France) Amount due to a buyer of securities dealt prior to ex date which may be subject to different rate of taxation. INTR Interest Amount Amount of money representing a coupon payment. LOCO Local Broker's Commission Local broker's commission. MFDV Manufactured Dividend/Payment Amount of money that the borrower pays to the lender as a compensation. It does not entitle the lender to reclaim any tax credit and is sometimes treated differently by the local tax authorities of the lender. Also covers compensation/indemnity of missed dividend concerning early/late settlements if applicable to a market. MKTC Market Claim Amount of money resulting from a market claim. NETT Net Cash Amount Amount of money after deductions and allowances have been made, if any, that is, the total amount +/- charges/fees. NRAT NRA Tax Amount Amount of tax related income subject to NRA (Non Resident Alien). OCMT Original Currency and Ordered Amount Posting/settlement amount in its original currency when conversion from/into another currency has occurred. PAMM Paying/Sub-paying Agent Commission Amount of paying/sub-paying agent commission. PRIN Principal or Corpus Amount of money representing a distribution of a bond's principal, for example, repayment of outstanding debt. REDP Redemption Premium Amount Amount of money (not interest) in addition to the principal at the redemption of a bond. REGF Regulatory Fees Amount of money charged by a regulatory authority, for example, Securities and Exchange fees. REIN Reinvestment Amount Amount of money reinvested in additional securities. RESU Resulting Amount Amount of money that results from a foreign exchange conversion. SHIP Shipping All costs related to the physical delivery of documents such as stamps, postage, carrier fees, insurances or messenger services. 152

SOFE Solicitation Fee Cash premium made available if the securities holder consents or participates to an event, for example consent fees or solicitation fees. SOIC Sundry/Other Income Amount Amount of money related to taxable income that cannot be categorised. STAM Stamp Duty Amount of stamp duty. STEX Stock Exchange Tax Amount of stock exchange tax. TAXC Amount of Tax Credit Amount of taxes that have been previously paid in relation to the taxable event. TAXR Withholding Tax Amount Amount of a cash distribution that will be withheld by the tax authorities of the jurisdiction of the issuer, for which a relief at source and/or reclaim may be possible. TRAX Transaction Tax Amount of transaction tax. TXDF Tax Deferred Amount Amount of income eligible for deferred taxation. TXFR Tax Free Amount Amount of money that has not been subject to taxation. TXIN Tax on Income Amount Amount of overall tax withheld at source by fund managers prior to considering the tax obligation of each unit holder. TXRC Reclaim of Taxes Amount that was paid in excess of actual tax obligation and was reclaimed. UNFR Unfranked Amount Amount resulting from an unfranked dividend paid by a company; the amount doesn't include tax credit and is subject to withholding tax. VATA Value-Added Tax Amount of value added tax. WITL Second Level Tax Amount Amount of money withheld by the jurisdiction other than the jurisdiction of the issuer's country of tax incorporation, for which a relief at source and/or reclaim may be possible. It is levied in complement or offset of the withholding tax rate (TAXR) levied by the jurisdiction of the issuer's tax domicile.

153

MT564 Corpo A M M 22F N/A Indicator Indicator The change is mandatory on outbound messages. rate Action CODES Notific ation If Qualifier is CAEV and Data Source Scheme is not present, Indicator must contain one of the following codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without 154

increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfill his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default 155

events under the bond agreement and that have not been remedied. DLST Trading Status: Delisted Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation. DRAW Drawing Securities are redeemed in part before the scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the market rather than creating new share capital in exchange for the dividend. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. Shareholder must take cash and may be offered a choice of currency. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue 156

(rights/coupons) is composed of two events, the first event being the distribution of intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise Option offered to holders to buy (call warrant) or to sell (put warrant) a specific amount of stock, cash, or commodity, at a predetermined price, during a predetermined period of time (which usually corresponds to the life of the issue). INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INFO Information Information provided by the issuer having no accounting/financial impact on the holder. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, 157

shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRII Interest Payment with Principal An event which consists of two components, the decrease of the amortized value of a pool factor security and an interest payment. PRIO Priority Issue Form of open or public offer where, due to a limited amount of securities available, priority is given to existing shareholders. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders. 158

RHDI Intermediate Securities Distribution The distribution of intermediate securities that gives the holder the right to take part in a future event. RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TNDP Tax On Non-Distributed Proceeds Taxable component on non-distributed proceeds, for example, Australian deemed income or US 871m income regulation. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

159

MT564 Corpo D O O 17B N/A Flag Flag QUALIFIER rate (Error code(s): T89) Action Notific ation Order M/O Qualifier R/N CR Options Qualifier Description

1 O CERT N B Certification/Breakdown Flag 2 O RCHG N B Charges Flag 3 O COMP N B Information to be Complied With 4 O ACIN N B Accrued Interest Indicator 5 O LEOG N B Letter of Guaranteed Delivery Flag 6 O SRDC N B Shareholder Rights Directive Indicator

DEFINITION

This qualified generic field specifies:

ACIN Accrued Interest Indicator Indicates whether the holder is entitled to accrued interest. CERT Certification/Breakdown Flag Indicates whether certification/breakdown is required. COMP Information to be Complied With Indicates whether restrictions apply to the event. LEOG Letter of Guaranteed Delivery Flag Indicates whether a letter of guaranteed delivery can be submitted in order to participate in the offer on full eligible position. It is not intended for use in situations arising from failed or late trades. RCHG Charges Flag Indicates whether charges apply to the holder, for instance redemption charges. SRDC Shareholder Rights Directive Indicator Indicates whether the announcement was initiated by the first intermediary in the custody chain in accordance with SRD II.

160

MT565 Corpo A M M 22F N/A Indicator Indicator: The change is mandatory on outbound messages. rate : Corporate Action Corporat Action CODES Instru e Action Event ction Event Indicator If Data Source Scheme is not present, Indicator must contain one of the following Indicator codes (Error code(s): K22):

ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy is involuntary and usually involves a formal court ruling. The securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. 161

CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfill his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. DLST Trading Status: Delisted Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation. 162

DRAW Drawing Securities are redeemed in part before the scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the market rather than creating new share capital in exchange for the dividend. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the 163

security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise Option offered to holders to buy (call warrant) or to sell (put warrant) a specific amount of stock, cash, or commodity, at a predetermined price, during a predetermined period of time (which usually corresponds to the life of the issue). INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in 164

part before their scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRII Interest Payment with Principal An event which consists of two components, the decrease of the amortized value of a pool factor security and an interest payment. PRIO Priority Issue Form of open or public offer where, due to a limited amount of securities available, priority is given to existing shareholders. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders. RHDI Intermediate Securities Distribution The distribution of intermediate securities that gives the holder the right to take part in a future event. RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in 165

cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in securities has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

166

MT565 Corpo C O O 70A N/A Narrativ Narrative: This change is optional for outbound messages. rate e: Certificatio Action Certificat n/Breakdo 70a: 70E:Narrative: Certification/Breakdown Narrative Instru ion/Brea wn ction kdown Narrative FORMAT Narrativ e Option E :4!c//10*35x (Qualifier)(Narrative) Option G :4!c//10*35z (Qualifier)(Narrative)

QUALIFIER (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O CETI R E or G Certification/Breakdown Narrative

167

MT565 Corpo C O O 92A N/A Rate: Rate: This change is optional for outbound messages. rate Withhold Withholdin Action ing Tax g Tax Rate MT 565 Field Specifications Instru Rate ction 36. Field 92a: Rate: Withholding Tax Rate

FORMAT

Option A :4!c//[N]15d (Qualifier)(Sign)(Rate) Option F :4!c//3!a15d (Qualifier)(Currency Code)(Amount) Option K :4!c//4!c (Qualifier)(Rate Type Code)

PRESENCE

Optional in optional sequence C

QUALIFIER (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 O TAXR N A, F, or K Withholding Tax Rate

DEFINITION

This qualified generic field specifies:

TAXR Withholding Tax Rate Requested percentage of a cash distribution that will be withheld by the tax authorities of the jurisdiction of the issuer, for which a relief at source and/or reclaim may be possible.

CODES

In option K, Rate Type Code must contain the following code (Error code(s): K92):

UKWN Unknown Rate Rate is unknown by the sender or has not been established. 168

NETWORK VALIDATED RULES

The integer part of Rate and Amount must contain at least one digit. A decimal comma is mandatory and is included in the maximum length (Error code(s): T40,T43).

If Rate is zero, Sign must not be present (Error code(s): T14).

Currency Code must be a valid ISO 4217 currency code (Error code(s): T52).

USAGE RULES

Sign must be present when Rate is negative.

Except if notified differently in the rate definition, when used with format option A (:4!c//[N]15d), the rate must be expressed as a percentage, not as a decimal fraction (12% must be identified by 12, and not 0,12).

169

MT566 Corpo A1 M O 20C N/A Referenc Reference This change is optional for outbound messages. rate e Action QUALIFIER Confir (Error code(s): T89) matio n Order M/O Qualifier R/N CR Options Qualifier Description

1 M CORP N C Corporate Action Reference or PREV N C2 C Previous Message Reference or RELA N C Related Message Reference or CACN N C Case Number or COAF N C Official Corporate Action Event Reference or MITI N C Market Infrastructure Transaction Identification

DEFINITION

This qualified generic field specifies:

CACN Case Number Reference assigned by a court to a class action. COAF Official Corporate Action Event Reference Official and unique reference assigned by the official central body/entity within each market at the beginning of a corporate action event. CORP Corporate Action Reference Reference assigned by the account servicer to unambiguously identify a corporate action event. MITI Market Infrastructure Transaction Identification Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. PREV Previous Message Reference Message reference of the linked message which was previously sent. RELA Related Message Reference Message reference of the linked message which was previously received.

170

MT566 Corpo D O M 92A N/A Rate Rate This is a change of long code name and definition and does not impact the message rate structure. Action Confir CODES matio n In option J, if Qualifier is GRSS and Data Source Scheme is not present, Rate Type Code must contain one of the following codes (Error code(s): K92):

CODES

In option J, if Qualifier is NETT and Data Source Scheme is not present, Rate Type Code must contain one of the following codes (Error code(s): K92):

CAPO Capital Portion Rate relating to the underlying security for which capital is distributed. 171

172

MT566 Corpo D2 M O 19B N/A Amount Amount This is a change of long code name and definition and does not impact the message rate structure. Action Confir QUALIFIER matio n (Error code(s): T89)

Order M/O Qualifier R/N CR Options Qualifier Description

1 M PSTA N B Posting Amount 2 O RESU N C1 B Resulting Amount 3 O OCMT N B Original Currency and Ordered Amount 4 O CAPG N B Capital Gains Amount 5 O INDM N B Indemnity Amount 6 O CINL N B Cash in Lieu of Shares 7 O CHAR N B Charges/Fees Amount 8 O FLFR N B Fully Franked Amount 9 O UNFR N B Unfranked Amount 10 O TXFR N B Tax Free Amount 11 O TXDF N B Tax Deferred Amount 12 O SOIC N B Sundry/Other Income Amount 13 O GRSS N B Gross Amount 14 O INTR N B Interest Amount 15 O MKTC N B Market Claim 16 O NETT N B Net Cash Amount 17 O PRIN N B Principal or Corpus 18 O REIN N B Reinvestment Amount 19 O TAXC N B Amount of Tax Credit 20 O TAXR N B Withholding Tax Amount 21 O WITL N B Second Level Tax Amount 22 O REDP N B Redemption Premium Amount 23 O ATAX N B Additional Tax Amount 24 O INCO N B Income Portion 25 O EXEC N B Executing Broker's Amount 173

26 O LOCO N B Local Broker's Commission 27 O MFDV N B Manufactured Dividend/Payment 28 O PAMM N B Paying/Sub-paying Agent Commission 29 O REGF N B Regulatory Fees 30 O SHIP N B Shipping 31 O SOFE N B Solicitation Fee 32 O STAM N B Stamp Duty 33 O STEX N B Stock Exchange Tax 34 O VATA N B Value-Added Tax 35 O FISC N B Fiscal Stamp 36 O TXRC N B Reclaim of Taxes 37 O EUTR N B EU Tax Retention Amount 38 O CABF N B Cash Amount Brought Forward 39 O CACF N B Cash Amount Carried Forward 40 O NDIP N B Notional Dividend Payable 41 O NTAX N B Notional Tax 42 O ARRE N B Tax Arrear Amount 43 O ACRU N B Accrued Interest Amount 44 O EQUL N B Equalisation Amount 45 O FTCA N B FATCA Tax Amount 46 O NRAT N B NRA Tax Amount 47 O BWIT N B Back Up Withholding Tax Amount 48 O TXIN N B Tax on Income Amount 49 O TRAX N B Transaction Tax 50 O DEEM N B Deemed Amount 51 O CDFI N B Conduit ForeignIncome Amount 52 O DEDI N B Deemed Dividend Amount 53 O DEFP N B Deemed Fund Amount 54 O DEIT N B Deemed Interest Amount 55 O DERY N B Deemed Royalties Amount 56 O ADJS N B Adjusted Subscription Amount 57 O REFU N B Refunded Subscription Amount

DEFINITION

This qualified generic field specifies: 174

ACRU Accrued Interest Amount Amount of interest that has been accrued in between coupon payment periods. ADJS Adjusted Subscription Amount Amount of money debited or credited to adjust for the difference between the estimated and the final subscription rate for Rights Exercise events. ARRE Tax Arrear Amount Amount of money paid by the Tax Authorities in addition to the payment of the tax refund itself. ATAX Additional Tax Amount Amount of additional taxes that cannot be categorised. BWIT Back Up Withholding Tax Amount Amount of tax related to back up withholding. CABF Cash Amount Brought Forward Indicate cash retained from previous dividend. CACF Cash Amount Carried Forward Indicate the balance carried forward to next dividend. CAPG Capital Gains Amount Amount of money distributed as the result of a capital gain. CDFI Conduit ForeignIncome Amount Amount relating to a foreign income such as a conduit foreign income. CHAR Charges/Fees Amount Amount of money paid for the provision of financial services that cannot be categorised by another qualifier. CINL Cash in Lieu of Shares Cash disbursement in lieu of a fractional quantity of, for example, equity. DEDI Deemed Dividend Amount Deemed amount resulting from the difference between the rate of dividend proceeds attributed to the security holder for the taxable year and the rate of dividend proceeds previously notified to the security holder in relation to cash distributions for the year. DEEM Deemed Amount Amount of proceeds which is not actually paid to the security holder but on which withholding tax is applicable . DEFP Deemed Fund Amount Deemed amount resulting from the difference between the rate of the proceeds components comprising a fund payment attributed to the security holder for the taxable year and the rate of the fund proceeds previously notified to the security holder in relation to cash distributions for the year. DEIT Deemed Interest Amount Deemed amount resulting from the difference between the rate of interest proceeds attributed to the security holder for the taxable year and the rate of interest proceeds previously notified to the security holder in relation to cash distributions for the year. 175

DERY Deemed Royalties Amount Deemed amount resulting from the difference between the rate of royalty proceeds attributed to the security holder for the taxable year and the rate of royalty proceeds previously notified to the security holder in relation to cash distributions for the year. EQUL Equalisation Amount Average accrued income included in the purchase price for units bought during the account period. EUTR EU Tax Retention Amount Total amount of tax withheld at source in conformance with the EU Savings Directive. EXEC Executing Broker's Amount Amount of money paid to an executing broker as a commission. FISC Fiscal Stamp Amount of fiscal stamp to apply. FLFR Fully Franked Amount Amount resulting from a fully franked dividend paid by Australian company; amount includes tax credit for companies that have made sufficient tax payments during the fiscal period. FTCA FATCA Tax Amount FATCA (Foreign Account Tax Compliance Act) related tax amount. GRSS Gross Amount Amount of money before any deductions and allowances have been made. INCO Income Portion Amount relating to the underlying security for which income is distributed. INDM Indemnity Amount (Unique to France) amount due to a buyer of securities dealt prior to ex date which may be subject to different rate of taxation. INTR Interest Amount Amount of money representing a coupon payment. LOCO Local Broker's Commission Local broker's commission. MFDV Manufactured Dividend/Payment Amount of money that the borrower pays to the lender as a compensation. It does not entitle the lender to reclaim any tax credit and is sometimes treated differently by the local tax authorities of the lender. Also covers compensation/indemnity of missed dividend concerning early/late settlements if applicable to a market. MKTC Market Claim Amount of money resulting from a market claim. NDIP Notional Dividend Payable Amount of cash that would have been payable if the dividend had been taken in the form of cash rather than shares. NETT Net Cash Amount Amount of money after deductions and allowances have been made, if any, that is, the total amount +/- charges/fees. NRAT NRA Tax Amount Amount of tax related income subject to NRA (Non Resident Alien). 176

NTAX Notional Tax Where new securities are issued in lieu of a cash dividend, the notional tax is the tax on the amount of cash that would have been paid. OCMT Original Currency and Ordered Amount Posting/settlement amount in its original currency when conversion from/into another currency has occurred. PAMM Paying/Sub-paying Agent Commission Amount of paying/sub-paying agent commission. PRIN Principal or Corpus Amount of money representing a distribution of a bond's principal, for example, repayment of outstanding debt. PSTA Posting Amount Amount of money that is to be/was posted to the account. REDP Redemption Premium Amount Amount of money (not interest) in addition to the principal at the redemption of a bond. REFU Refunded Subscription Amount Amount of money refunded from the original subscription cost for a Rights Exercise event. This occurs when the event is prorated and the subscription cost relating to the unaffected (unaccepted) balance is returned to the holder. REGF Regulatory Fees Amount of money charged by a regulatory authority, for example, Securities and Exchange fees. REIN Reinvestment Amount Amount of money reinvested in additional securities. RESU Resulting Amount Amount of money that results from a foreign exchange conversion. SHIP Shipping All costs related to the physical delivery of documents such as stamps, postage, carrier fees, insurances or messenger services. SOFE Solicitation Fee Cash premium made available if the securities holder consents or participates to an event, for example consent fees or solicitation fees. SOIC Sundry/Other Income Amount Amount of money related to taxable income that cannot be categorised. STAM Stamp Duty Amount of stamp duty. STEX Stock Exchange Tax Amount of stock exchange tax. TAXC Amount of Tax Credit Amount of taxes that have been previously paid in relation to the taxable event. TAXR Withholding Tax Amount Amount of a cash distribution that will be withheld by the tax authorities of the jurisdiction of the issuer, for which a relief at source and/or reclaim may be possible. TRAX Transaction Tax Amount of transaction tax. TXDF Tax Deferred Amount Amount of income eligible for deferred taxation. TXFR Tax Free Amount Amount of money that has not been subject to taxation. 177

TXIN Tax on Income Amount Amount of overall tax withheld at source by fund managers prior to considering the tax obligation of each unit holder. TXRC Reclaim of Taxes Amount that was paid in excess of actual tax obligation and was reclaimed. UNFR Unfranked Amount Amount resulting from an unfranked dividend paid by a company; the amount doesn't include tax credit and is subject to withholding tax. VATA Value-Added Tax Amount of value added tax. WITL Second Level Tax Amount Amount of money withheld by the jurisdiction other than the jurisdiction of the issuer's country of tax incorporation, for which a relief at source and/or reclaim may be possible. It is levied in complement or offset of the withholding tax rate (TAXR) levied by the jurisdiction of the issuer's tax domicile.

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MT566 Corpo D2 O M 92A N/A Rate Rate This is a change of long code name and definition and does not impact the message rate structure. Action Confir CODES matio n In option J, if Qualifier is GRSS and Data Source Scheme is not present, Rate Type Code must contain one of the following codes (Error code(s): K92):

CAPO Capital Portion Rate relating to the underlying security for which capital is distributed. CDFI Conduit ForeignIncome Rate relating to a conduit foreign income type such as conduit foreign income . FLFR Fully Franked Rate resulting from a fully franked dividend paid by a company; rate includes tax credit for companies that have made sufficient tax payments during fiscal period. FUPU Full Period Units Income Portion Distribution rate relating to the full period units, for example Group I units in UK. INCO Income Portion Rate relating to the underlying security for which income is distributed. INTR Interest Rate relating to the underlying security for which interest is paid. LTCG Long Term Capital Gain Long term capital gain. PAPU Part Way Period Units Income Portion Distribution rate relating to the part way period units, for example Group II units in UK. REES Real Estate Property Income Portion Rate of income distribution originated by real estate investment. SOIC Sundry/Other Income Rate relating to the underlying security for which other income is paid. STCG Short Term Capital Gain Short term capital gain. TXBL Taxable Portion Rate relating to the underlying security for which tax is charged. TXDF Tax Deferred Rate relating to the underlying security for which tax is deferred. TXFR Tax Free Rate relating to the underlying security which is not taxable. UNFR Unfranked Unfranked.

CODES

In option J, if Qualifier is NETT and Data Source Scheme is not present, Rate Type 179

Code must contain one of the following codes (Error code(s): K92):

CAPO Capital Portion Rate relating to the underlying security for which capital is distributed. CDFI Conduit ForeignIncome Rate relating to a conduit foreign income type such as conduit foreign income . FLFR Fully Franked Rate resulting from a fully franked dividend paid by a company; rate includes tax credit for companies that have made sufficient tax payments during fiscal period. FUPU Full Period Units Income Portion Distribution rate relating to the full period units, for example Group I units in UK. INCO Income Portion Rate relating to the underlying security for which income is distributed. INTR Interest Rate relating to the underlying security for which interest is paid. PAPU Part Way Period Units Income Portion Distribution rate relating to the part way period units, for example Group II units in UK. REES Real Estate Property Income Portion Rate of income distribution originated by real estate investment. SOIC Sundry/Other Income Rate relating to the underlying security for which other income is paid. TXBL Taxable Portion Rate relating to the underlying security for which tax is charged. TXDF Tax Deferred Rate relating to the underlying security for which tax is deferred. TXFR Tax Free Rate relating to the underlying security which is not taxable. UNFR Unfranked Unfranked.

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MT566 Corpo A M M 22F N/A Indicator Indicator: The change is mandatory on outbound messages. rate : Corporate Action Corporat Action CODES Confir e Action Event matio Event Indicator If Data Source Scheme is not present, Indicator must contain one of the following n Indicator codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without 181

(rights/coupons) is composed of two events, the first event being the distribution of intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise Option offered to holders to buy (call warrant) or to sell (put warrant) a specific amount of stock, cash, or commodity, at a predetermined price, during a predetermined period of time (which usually corresponds to the life of the issue). INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for 184

example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRII Interest Payment with Principal An event which consists of two components, the decrease of the amortized value of a pool factor security and an interest payment. PRIO Priority Issue Form of open or public offer where, due to a limited amount of securities available, priority is given to existing shareholders. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders. RHDI Intermediate Securities Distribution The distribution of intermediate securities that gives the holder the right to take part in a future event. 185

RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TNDP Tax On Non-Distributed Proceeds Taxable component on non-distributed proceeds, for example, Australian deemed income or US 871m income regulation. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

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MT567 Corpo A M M 22F N/A Indicator Indicator: The change is mandatory on outbound messages. rate : Corporate Action Corporat Action CODES Status e Action Event and Event Indicator If Data Source Scheme is not present, Indicator must contain one of the following Proces Indicator codes (Error code(s): K22): sing Advice ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification 187

requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfill his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied. DLST Trading Status: Delisted Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation. DRAW Drawing Securities are redeemed in part before the scheduled final maturity 188

date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the market rather than creating new share capital in exchange for the dividend. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may 189

be subject to holder's approval. EXWA Warrant Exercise Option offered to holders to buy (call warrant) or to sell (put warrant) a specific amount of stock, cash, or commodity, at a predetermined price, during a predetermined period of time (which usually corresponds to the life of the issue). INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor 190

different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

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MT567 Corpo A2a M O 24B N/A Reason Reason CODES rate Code Code Action If Qualifier is PEND and Data Source Scheme is not present, Reason Code must Status contain one of the following codes (Error code(s): K24): and Proces ADEA Account Servicer Deadline Missed Received after the account servicer's sing deadline. Processed on best effort basis. Advice AUTH Sent to Tax Authorities For tax reclaim, the event is pending because the reclaim is sent to the tax authorities. CERT Incorrect Certification The provided certification is incorrect or incomplete. DQCS Disagreement on Cash Amount Unrecognised or invalid instructed cash amount. DQUA Disagreement on Quantity Unrecognised or invalid instructed quantity. FULL Pending Beneficiary Owner Details Pending receipt of beneficiary owner details. ITAX Incorrect Tax Rate Tax rate provided is incorrect. It falls outside the acceptable values for that investment country. LACK Lack of Securities Insufficient financial instruments in your account. LATE Market Deadline Missed Instruction was received after market deadline. MCER Missing or Invalid Certification Awaiting receipt of adequate certification. MONY Insufficient Cash Insufficient cash in your account. MTAX Missing Tax Rate Tax rate is missing. NARR Narrative Reason See narrative field for reason. NPAY Payment Not Made Payment has not been made by issuer. NSEC Securities Not Delivered Financial instruments have not been delivered by the issuer. NTAX Inconsistent Tax Rate Tax rate is not consistent with the documentation in place. PENR Pending Receipt The instruction is pending receipt of securities, for example, from a purchase, loan etc. VLDA Valid for Tax Authorities For tax reclaim, the event is pending, the tax reclaim is valid for the tax authorities.

CODES

If Qualifier is REJT and Data Source Scheme is not present, Reason Code must contain one of the following codes (Error code(s): K24): 193

ADEA Account Servicer Deadline Missed Received after the account servicer's deadline. CANC Cancelled Option is not valid; it has been cancelled by the market or service provider, and cannot be responded to. Any responses already processed against this option are considered void and new responses will be required. CERT Incorrect Certification Instruction is rejected since the provided certification is incorrect or incomplete. DCAN Rejected Since Already Cancelled Cancellation request was rejected since the instruction has already been cancelled. DPRG Rejected Since In Progress Cancellation request has been rejected because the instruction process is in progress or has been processed. DQAM Instruction Type Rejection Invalid use of instructed amount (QCAS) or of instructed quantity (QINS) qualifiers . DQBI Invalid Bid Increment Bid price/basis points/percentage increments rejected due to invalid bid increment for the event (generally used in Dutch Auctions or Bid Tenders). DQBV Invalid Bid Value Bid price/basis points/percentage falls outside of bid range for the event (generally used in Dutch Auctions or Bid Tenders). DQCC Currency Rejection Invalid instructed currency. DQCS Amount Rejection Unrecognised or invalid instructed cash amount. DQUA Quantity Rejection Unrecognised or invalid instructed quantity. DSEC Security Rejection Unrecognised or invalid financial instrument identification. EVNM Unrecognised Corporate Action Event Number Rejection Unrecognised corporate action event number. FULL Missing Beneficiary Owner Details Rejected due to missing beneficiary owner details. INIR Instruction Irrevocable The instruction is irrevocable. INTV Inactive Option is not active and can no longer be responded to. Any responses already processed against this option will remain valid, for example, expired option. INVA Invalid for Tax Authorities For tax reclaim, the reclaim is invalid for the tax authorities. IRDQ Invalid Use Round Up Quantity Instruction is rejected due to invalid use of additional round up quantity (RDUQ). ITAX Incorrect Tax Rate Tax rate provided is incorrect. It falls outside the acceptable values for that investment country. 194

LACK Lack of Securities Instructed position exceeds the eligible balance. LATE Market Deadline Missed Received after market deadline. MTAX Missing Tax Rate Tax rate is missing. NARR Narrative Reason See narrative field for reason. NMTY Mismatch Option Number and Option Type Rejection Mismatch between option number and option type. NTAX Inconsistent Tax Rate Tax rate is not consistent with the documentation in place. OPNM Option Number Rejection Unrecognised option number. OPTY Option Type Rejection Invalid option type. REFT Refused by the Tax Authorities Reclaim is refused by the tax authorities. SAFE Safekeeping Account Rejection Unrecognised or invalid message sender's safekeeping account. SHAR Shareholder Number Missing Shareholder number or reference is missing. ULNK Unknown Linked reference is unknown.

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MT568 Corpo A M M 22F N/A Indicator Indicator: The change is mandatory on outbound messages. rate : Corporate Action Corporat Action CODES Narrat e Action Event ive Event Indicator If Data Source Scheme is not present, Indicator must contain one of the following Indicator codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without 196

increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfill his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share. The number of circulating shares remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default 197

events under the bond agreement and that have not been remedied. DLST Trading Status: Delisted Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation. DRAW Drawing Securities are redeemed in part before the scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). Drawing is distinct from partial call since drawn bonds are chosen by lottery. Therefore, not every holder is affected in the same way. DRCA Cash Distribution From Non-Eligible Securities Sales Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program. DRIP Dividend Reinvestment Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the market rather than creating new share capital in exchange for the dividend. DSCL Disclosure Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer. DTCH Dutch Auction An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer. DVCA Cash Dividend Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. DVOP Dividend Option Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market. DVSC Scrip Dividend/Payment Dividend or interest paid in the form of scrip. DVSE Stock Dividend Dividend paid to shareholders in the form of equities of the issuing corporation. EXOF Exchange Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation". EXRI Call on Intermediate Securities Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of 198

intermediate securities. EXTM Maturity Extension As stipulated in the security's Terms and Conditions, the issuer or the holder may prolong the maturity date of a security. After extension, the security details may differ from the original issue. An issuer initiated extension may be subject to holder's approval. EXWA Warrant Exercise Warrant conversion. Option offered to holders to buy (call warrant) or to sell (put warrant) a specific amount of stock, cash, or commodity, at a predetermined price, during a predetermined period of time (which usually corresponds to the life of the issue). INCR Increase in Value Increase in the face value of a single security. The number of circulating securities remains unchanged. INFO Information Information provided by the issuer having no accounting/financial impact on the holder. INTR Interest Payment Interest payment distributed to holders of an interest bearing asset. LIQU Liquidation Dividend/Liquidation Payment A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security. MCAL Full Call/Early Redemption The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity. MEET Annual General Meeting Annual general meeting. MRGR Merger Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange. NOOF Non-Official Offer Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer. ODLT Odd Lot Sale/Purchase Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer. OMET Ordinary General Meeting Ordinary general meeting. OTHR Other Event Other event, use only when no other event type applies, for example, a new event type. PARI Pari-Passu Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all 199

respects, for example, pari-passu or assimilation. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc. PCAL Partial Redemption Without Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. It is done without any pool factor reduction. The redemption is reflected in a debit of the face amount (FAMT). PDEF Partial Defeasance/Pre-Funding Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity. PINK Pay In Kind Interest payment, in any kind except cash, distributed to holders of an interest bearing asset. PLAC Place of Incorporation Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar. PPMT Instalment Call An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser. PRED Partial Redemption With Pool Factor Reduction Securities are redeemed in part before their scheduled final maturity date. The redemption is reflected in a pool factor reduction. No movement of securities occurs. PRII Interest Payment with Principal An event which consists of two components, the decrease of the amortized value of a pool factor security and an interest payment. PRIO Priority Issue Form of open or public offer where, due to a limited amount of securities available, priority is given to existing shareholders. REDM Final Maturity The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity. REDO Redenomination Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency. REMK Remarketing Agreement Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the 200

holders. RHDI Intermediate Securities Distribution The distribution of intermediate securities that gives the holder the right to take part in a future event. RHTS Rights Issue/Subscription Rights/Rights Offer Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event. SHPR Shares Premium Dividend This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications. SMAL Smallest Negotiable Unit Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit. SOFF Spin-Off A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment. SPLF Stock Split/Change in Nominal Value/Subdivision Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly. SPLR Reverse Stock Split/Change in Nominal Value Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly. SUSP Trading Status: Suspended Trading in the security has been suspended. TEND Tender/Acquisition/Takeover/Purchase Offer An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities. TNDP Tax On Non-Distributed Proceeds Taxable component on non-distributed proceeds, for example, Australian deemed income or US 871m income regulation. TREC Tax Reclaim Event related to tax reclaim activities. WRTH Worthless Booking out of valueless securities. WTRC Withholding Tax Relief Certification Certification process for withholding tax reduction or exemption based on the tax status of the holder. XMET Extraordinary or Special General Meeting Extraordinary or special general meeting.

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MT575 Repor B1a2 M O 22A N/A Indicator Indicator The change is mandatory on outbound messages. t of Combi CODES ned Activit In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must y contain one of the following codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without 202

increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default 203

207

MT575 Repor B1a3 M O 22A N/A Indicator Indicator The change is mandatory on outbound messages. t of Combi CODES ned Activit In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must y contain one of the following codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without 208

increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default 209

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MT575 Repor C2 M O 22A N/A Indicator Indicator The change is mandatory on outbound messages. t of Combi CODES ned Activit In option F, if Qualifier is CAEV and Data Source Scheme is not present, Indicator must y contain one of the following codes (Error code(s): K22):

ACCU Accumulation Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes. ACTV Trading Status: Active Trading in the security has commenced or security has been re-activated after a suspension in trading. ATTI Attachment Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention. BIDS Repurchase Offer/Issuer Bid/Reverse Rights Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities. BMET Bond Holder Meeting Physical meeting of bond holders. BONU Bonus Issue/Capitalisation Issue Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding. BPUT Put Redemption Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value. BRUP Bankruptcy Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless. CAPD Capital Distribution The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged. CAPG Capital Gains Distribution Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund. CAPI Capitalisation Increase of the current principal of a debt instrument without 214

increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation. CERT Non-US TEFRA D Certification Non-US beneficial owner certification requirement for exchange of temporary to permanent notes. CHAN Change Information regarding a change further described in the corporate action details. CLSA Class Action/Proposed Settlement Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction. CMET Court Meeting Announcement of a meeting at a Court. CONS Consent Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond. CONV Conversion Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio. COOP Company Option A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date. CREV Credit Event An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfil his financial obligations (as defined in terms and conditions). DECR Decrease in Value Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders. DETI Detachment Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention. DFLT Bond Default Failure by the company to perform obligations defined as default 215

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MT586 State B O O 25D N/A Status Status This change is optional for outbound messages for institutions that are doing ment Code: Code: portfolio transfers. of Allegeme Allegement Settle nt Status Status CODES ment Allege If Data Source Scheme is not present, Status Code must contain one of the following ments codes (Error code(s): K25):

CAND Cancelled Allegement has been cancelled since the previous delta statement. The allegement was cancelled because of a mistake by the sender or because the alleging party cancelled its instruction. REJT Rejected Allegement has been rejected since the previous delta statement. The allegement was rejected because of a reason mentionned in the reason field. REMO Removed Allegement has been removed since the previous delta statement. The allegement was removed because the alleged party sent its instruction.

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MT586 State B2 M O 24B N/A Reason Reason This change is optional for outbound messages for institutions that are doing ment Code Code portfolio transfers. of Settle MT 586 Field Specifications ment Allege 23. Field 24B: Reason Code ments FORMAT

Option B :4!c/[8c]/4!c (Qualifier)(Data Source Scheme)(Reason Code)

PRESENCE

Mandatory in optional subsequence B2

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 M CAND N B Cancellation Reason 221

or REJT N B Rejection Reason or REMO N B Remove Reason

DEFINITION

This qualified generic field specifies:

CAND Cancellation Reason Specifies the reason why the instruction is cancelled. REJT Rejection Reason Specifies the reason why the instruction/request has a rejected status. REMO Remove Reason Specifies the reason why the instruction is cancelled.

CODES

If Qualifier is CAND or Qualifier is REMO and Data Source Scheme is not present, Reason Code must contain the following code (Error code(s): K24):

NARR Narrative Reason See narrative field for reason.

CODES

If Qualifier is REJT and Data Source Scheme is not present, Reason Code must contain one of the following codes (Error code(s): K24):

BENO Beneficial Ownership Disagreement Disagreement in beneficial ownership. CAEV Corporate Action Rejection Corporate action pending on the financial instrument instructed. DQUA Quantity Rejection Unrecognised or invalid instructed quantity. DSEC Disagreement Financial Instrument Financial instrument identification does not match, that is, ISIN differs, or Financial Instrument Attributes differs. NARR Narrative Reason See narrative field for reason. PODU Possible Duplicate Possible duplicate instruction. SAFE Safekeeping Account Rejection Unrecognised or invalid safekeeping account. SSID Standing Settlement Instruction Rejection Standing Settlement Instruction is unknown or invalid.

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USAGE RULES

Usage of a settlement status/reason alone means that the transaction is matched (if a matching process exists in the concerned market or at the concerned account servicer).

A pending transaction (PEND) becomes a failing transaction (PENF) on the settlement date instructed in the message, during the end of day reporting.

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MT586 State B2 O O 70D N/A Narrativ Narrative: This change is optional for outbound messages for institutions that are doing ment e: Reason portfolio transfers. of Reason Narrative Settle Narrativ MT 586 Field Specifications ment e Allege 24. Field 70D: Narrative: Reason Narrative ments FORMAT

Option D :4!c//6*35x (Qualifier)(Narrative)

PRESENCE

Optional in optional subsequence B2

QUALIFIER

(Error code(s): T89)

Order

M/O

Qualifier

R/N

Options

Qualifier Description

1 O REAS N D Reason Narrative 224

DEFINITION

This qualified generic field specifies:

REAS Reason Narrative Provides additional reason information.

USAGE RULES

Unless bilaterally agreed between the Sender and Receiver, narrative field 70a must not contain information that can be provided in a structured field.

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MT586 State B3 B2 M 0 ALL N/A ALL ALL TAGS This change is optional for outbound messages for institutions that are doing ment TAGS TAGS portfolio transfers. of Settle PRESENCE ment Allege Optional in optional subsequence B3 B2 ments MT586 State B4 B3 M M ALL N/A ALL ALL TAGS This change is optional for outbound messages for institutions that are doing ment TAGS TAGS portfolio transfers. of Settle PRESENCE ment Allege Optional in optional subsequence B4 B3 ments MT586 State B4a B3a M O ALL N/A ALL ALL TAGS This change is optional for outbound messages for institutions that are doing ment TAGS TAGS portfolio transfers. of Settle PRESENCE ment Allege Optional in optional subsequence B4a B3a ments MT586 State B5 B4 M O ALL N/A ALL ALL TAGS This change is optional for outbound messages for institutions that are doing ment TAGS TAGS portfolio transfers. of Settle PRESENCE ment Allege Optional in optional subsequence B5 B4 ments MT586 State B6 B5 M M ALL N/A ALL ALL TAGS This change is optional for outbound messages for institutions that are doing ment TAGS TAGS portfolio transfers. of Settle PRESENCE ment Allege Optional in optional subsequence B6 B5 ments

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MT586 State B6a B5a M M ALL N/A ALL ALL TAGS This change is optional for outbound messages for institutions that are doing ment TAGS TAGS portfolio transfers. of Settle PRESENCE ment Allege Optional in optional subsequence B6a B5a ments MT586 State B6b B5b M O ALL N/A ALL ALL TAGS This change is optional for outbound messages for institutions that are doing ment TAGS TAGS portfolio transfers. of Settle PRESENCE ment Allege Optional in optional subsequence B6b B5b ments MT586 State N/A N/A N/A N/A N/A N/A N/A This change is optional for outbound messages for institutions that are doing ment portfolio transfers. of Settle Network Validated Rules ment Allege https://www2.swift.com/mystandards/#/crimpact/cr/1532/mt/2020.November/586/ ments node/ConditionalRule

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6. 20022 (MX) 2020 Changes: Securities Events

7. Corporate Action Notification (seev.031.001.xx) changes

SWIFTNet Message Element (XML SWIFTNet Message Building Block tag - The XML tag that represents Multiplicity Type SWIFTNet Message Building Block Definition Element the message element in the ISO 20022 XML schema.

228

Scope The CorporateActionNotification message is sent by an account servicer to an account owner or its designated agent to notify details of a corporate action event and optionally account information, eligible balance and entitlements. It may also include possible elections or choices available to the account owner. The account servicer can initially send the CorporateActionNotification message as a preliminary advice, subsequently replaced by another CorporateActionNotification message with complete or CorporateActionNotificationV10 CorpActnNtfctn confirmed information. It may also CorporateActionNotificationV09 be sent to an account owner or its designated agent, to remind of event details and/or of missing or incomplete instructions for a corporate action event. Usage The message may also be used to: - re- send a message previously sent (the sub-function of the message is Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

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Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V10 (seev.031.001.10) Value (short code) Corporate Action Option Detailas /Document/CorpActnNtfctn/CorpA CDFI GrossDividendRateType6CodeGros Rate and Amount Details ctnOptnDtls/RateAndAmtDtls/Grss [1..1] sDividendRateType4Code (based CDFI Gross dividend Rate DvddRate/RateTpAndAmtAndRateS Definition on string) Rate Type And Amount Rate Status ts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V10 (seev.031.001.10) Value (short code) Corporate Action Option Detailas /Document/CorpActnNtfctn/CorpA CDFI NetDividendRateType6CodeNetDivi Rate and Amount Details ctnOptnDtls/RateAndAmtDtls/Net [1..1] dendRateType4Code (based on CDFI Net Dividend Rate DvddRate/RateTpAndAmtAndRateS Definition string) Rate Type And Amount Rate Status ts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

230

ActiveCurrencyAndAmount (based Corporate Anction Notification V10 on decimal) (seev.031.001.10) /Document/CorpActnNtfctn/CorpA Amount relating to a foreign FrgnIncmAmt [0..1] •fractionDigits: 5 Cash Movement Details ctnOptnDtls/CshMvmntDtls/AmtDt income such as a conduit foreign CndtFrgnIncmAmt •totalDigits: 18 Amount Details ls/FrgnIncmAmt CndtFrgnIncmAmt income. •minInclusive: 0 Foreign Income Amount

Corporate Anction Notification V10 (seev.031.001.10) /Document/CorpActnNtfctn/CorpA ActiveCurrencyCode (based on Cash Movement Details ctnOptnDtls/CshMvmntDtls/AmtDt [0..1] string) Ccy Medium of exchange of value. Amount Details ls/FrgnIncmAmtCndtFrgnIncmAmt/ •pattern: [A-Z]{3,3} Foreign Income Amount @Ccy Xml Attribute Currency

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V10 (seev.031.001.10) Value (short code) Cash Movement Details /Document/CorpActnNtfctn/CorpA CDFI GrossDividendRateType7CodeGros Rate and Amount Details ctnOptnDtls/CshMvmntDtls/RateA [1..1] sDividendRateType5Code (based CDFI Gross Dividend Rate ndAmtDtls/GrssDvddRate/RateTpA Definition on string) Rate Type And Amount Rate Status ndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

231

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V10 (seev.031.001.10) Value (short code) Cash Movement Details /Document/CorpActnNtfctn/CorpA CDFI NetDividendRateType7CodeNetDivi Rate and Amount Details ctnOptnDtls/CshMvmntDtls/RateA [1..1] dendRateType5Code (based on CDFI Net Dividend Rate ndAmtDtls/NetDvddRate/RateTpA Definition string) Rate Type And Amount Rate Status ndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

232

233

Provides the web address Corporate Action Notification V10 Max2048Text (based on string) published for the event, that is, the (seev.031.001.10) /Document/CorpActnNtfctn/AddtlI [0..*] •minLength: 1 URLAdr address for the Universal Resource Additioanl Information nf/URLAdr •maxLength: 2048 Locator (URL), for example, used URL Address over the www (HTTP) service.

234

235

Corporate Action Notification V10 Event which consists of two (seev.031.001.10) components, the decrease of the CorporateActionEventType31Code Corporate Action general /Document/CorpActnNtfctn/CorpA amortized value of a pool factor [1..1] CorporateActionEventType26Code PRII Information ctnGnlInf/EvtTp/Cd security and an interest payment. (based on string) Event Type Value (short code) Code PRII

236

Scope The CorporateActionNotification message is sent by an account servicer to an account owner or its designated agent to notify details of a corporate action event and optionally account information, eligible balance and entitlements. It may also include possible elections or choices available to the account owner. The account servicer can initially send the CorporateActionNotification message as a preliminary advice, subsequently replaced by another CorporateActionNotific CorporateActionNotification ationV10 message with complete or CorpActnNtfctn confirmed information. It may also CorporateActionNotific be sent to an account owner or its ationV09 designated agent, to remind of event details and/or of missing or incomplete instructions for a corporate action event. Usage The message may also be used to: - re- send a message previously sent (the sub-function of the message is Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

237

Definition Corporate Action notification V10 Vote against management. CorporateActionOption11CodeCor (seev.031.001.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details AMGT ctnOptnDtls/OptnTp/Cd on string) OptionType

Code Value (short code) AMGT

Definition Corporate Action notification V10 Vote with management. CorporateActionOption11CodeCor (seev.031.001.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details MNGT ctnOptnDtls/OptnTp/Cd on string) OptionType

Code Value (short code) MNGT

Issue a proxy card in case of voting. Corporate Action notification V10

CorporateActionOption11CodeCor (seev.031.001.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details PROX ctnOptnDtls/OptnTp/Cd on string) OptionType Value (short code) Code PROX

Option to give a split instruction, for example, a split voting Corporate Action notification V10 instruction on a meeting. CorporateActionOption11CodeCor (seev.031.001.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details SPLI ctnOptnDtls/OptnTp/Cd on string) OptionType

Code Value (short code) SPLI

238

Add an indicator to the MT564/seev.031/seev.001/seev.04 5 to confirm the announcement is made under SRDII obligations.

According to SRDII, all corporate event (including meetings) announcements should be communicated by the issuer to the first intermediary and along the chain of intermediaries to the shareholder. However, as the corporate events are often announced via other sources (e.g. stock exchange) prior to the first intermediary's announcement, after the implementation of SRDII

we need to ensure intermediaries are able to easily identify when an announcement comes from the first intermediary compared to other sources so to know when their SRDII compliance obligations kick-in.

Who needs to implement This change is mandatory on inbound and outbound messages as any intermediary in the custody chain must be able to receive the indicator and to send it to the next intermediary down the chain if the value of the indicator is "Yes".

239

Indicates whether the announcement was initiated by the first intermediary in the custody chain in accordance with SRD II. Add a new qualifier to the Flag field 17B in sequence D. An indicator is needed to ensure intermediaries are able to easily /Document/CorpActnNtfctn/CorpA identify when an announcement [0..1] YesNoIndicator (based on boolean) ShrhldrRghtsDrctvInd ctnDtls/ShrhldrRghtsDrctvInd comes from the first intermediary compared to other sources so to know when their SRD II (Shareholders Rights Directive) compliance obligations kick-in. Add an indicator to the MT564/seev.031/seev.001/seev.04 5 to confirm the announcement is made under SRDII obligations.

240

8. Corporate Action Notification (seev.031.002.xx) changes

241

242

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification002 V10 (seev.031.002.10) Value (short code) Corporate Action Option Detailas /Document/CorpActnNtfctn/CorpA CDFI GrossDividendRateType6CodeGros Rate and Amount Details ctnOptnDtls/RateAndAmtDtls/Grss [1..1] sDividendRateType4Code (based CDFI Gross dividend Rate DvddRate/RateTpAndAmtAndRateS Definition on string) Rate Type And Amount Rate Status ts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification002 V10 (seev.031.002.10) Value (short code) Corporate Action Option Detailas /Document/CorpActnNtfctn/CorpA CDFI NetDividendRateType6CodeNetDivi Rate and Amount Details ctnOptnDtls/RateAndAmtDtls/Net [1..1] dendRateType4Code (based on CDFI Net dividend Rate DvddRate/RateTpAndAmtAndRateS Definition string) Rate Type And Amount Rate Status ts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

243

RestrictedFINActiveCurrencyAndA Corporate Anction Notification mount (based on decimal) /Document/CorpActnNtfctn/CorpA 002V10 (seev.031.002.10) Amount relating to a conduit [0..1] •fractionDigits: 5 ctnOptnDtls/CshMvmntDtls/AmtDt CndtFrgnIncmAmt Cash Movement Details foreign income. •totalDigits: 14 ls/CndtFrgnIncmAmt Amount Details •minInclusive: 0

Corporate Anction Notification ActiveCurrencyCode (based on 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA [0..1] string) Cash Movement Details ctnOptnDtls/CshMvmntDtls/AmtDt Ccy Medium of exchange of value.

•pattern: [A-Z]{3,3} Amount Details ls/CndtFrgnIncmAmt/@Ccy Conduit Foreign Income Amount

244

Definition

The number of fractional digits (or minor unit of currency) must comply with ISO 4217. Note: The decimal separator is a dot. Error Code Corporate Anction Notification ActiveCurrencyCode (based on 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA D00007 [0..1] string) Cash Movement Details ctnOptnDtls/CshMvmntDtls/AmtDt Ccy Error Text

•pattern: [A-Z]{3,3} Amount Details ls/CndtFrgnIncmAmt/@Ccy Conduit Foreign Income Amount Invalid currency code or too many decimal digits SWIFTNet Validation

true Severity

Fatal

RestrictedFINActiveCurrencyAndA mount (based on decimal) Corporate Anction Notification /Document/CorpActnNtfctn/CorpA Amount relating to a foreign •fractionDigits: 5 002V10 (seev.031.002.10) [0..1] ctnOptnDtls/CshMvmntDtls/AmtDt FrgnIncmAmt income such as a conduit foreign •totalDigits: 14 Cash Movement Details ls/FrgnIncmAmt income. •minInclusive: 0 Amount Details

245

Corporate Anction Notification ActiveCurrencyCode (based on 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA Medium of exchange of value. [0..1] string) Cash Movement Details ctnOptnDtls/CshMvmntDtls/AmtDt Ccy

•pattern: [A-Z]{3,3} Amount Details ls/FrgnIncmAmt/@Ccy Foreign Income Amount

Definition The number of fractional digits (or minor unit of currency) must comply with ISO 4217. Note: The decimal separator is a dot.

Error Code D00007 Corporate Anction Notification

ActiveCurrencyCode (based on 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA

[0..1] string) Cash Movement Details ctnOptnDtls/CshMvmntDtls/AmtDt Ccy Error Text •pattern: [A-Z]{3,3} Amount Details ls/FrgnIncmAmt/@Ccy Invalid currency code or too many Foreign Income Amount decimal digits

SWIFTNet Validation true

Severity Fatal

246

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification 002V10 (seev.031.002.10) Value (short code) Cash Movement Details /Document/CorpActnNtfctn/CorpA CDFI GrossDividendRateType7CodeGros Rate and Amount Details ctnOptnDtls/CshMvmntDtls/RateA [1..1] sDividendRateType5Code (based CDFI Gross Dividend Rate ndAmtDtls/GrssDvddRate/RateTpA Definition on string) Rate Type And Amount Rate Status ndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification 002V10 (seev.031.002.10) Value (short code) Cash Movement Details /Document/CorpActnNtfctn/CorpA CDFI NetDividendRateType7CodeNetDivi Rate and Amount Details ctnOptnDtls/CshMvmntDtls/RateA [1..1] dendRateType5Code (based on CDFI Net Dividend Rate ndAmtDtls/NetDvddRate/RateTpA Definition string) Rate Type And Amount Rate Status ndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

247

248

RestrictedFINZMax2048Text (based Provides the web address on string) Corporate Action Notification published for the event, that is, the •pattern: [0-9a-zA-Z!"%&\*;<> 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/AddtlI [0..*] URLAdr address for the Universal Resource \.,\(\)\n\r/='\+:\?@#\{\-_]{1,2048} Additioanl Information nf/URLAdr Locator (URL), for example, used •minLength: 1 URL Address over the www (HTTP) service. •maxLength: 2048

249

250

Event which consists of two components, the decrease of the Corporate Action Notification amortized value of a pool factor 002V10 (seev.031.002.10) CorporateActionEventType31Code security and an interest payment. Corporate Action general /Document/CorpActnNtfctn/CorpA [1..1] CorporateActionEventType26Code PRII Information ctnGnlInf/EvtTp/Cd (based on string) Event Type

Code Value (short code) PRII

251

Scope The CorporateActionNotification message is sent by an account servicer to an account owner or its designated agent to notify details of a corporate action event and optionally account information, eligible balance and entitlements. It may also include possible elections or choices available to the account owner. The account servicer can initially send the CorporateActionNotification message as a preliminary advice, subsequently replaced by another CorporateActionNotific CorporateActionNotification ationV10 message with complete or CorpActnNtfctn confirmed information. It may also CorporateActionNotific be sent to an account owner or its ationV09 designated agent, to remind of event details and/or of missing or incomplete instructions for a corporate action event. Usage The message may also be used to: - re- send a message previously sent (the sub-function of the message is Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

252

Definition Corporate Action notification Vote against management. CorporateActionOption11CodeCor 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details AMGT ctnOptnDtls/OptnTp/Cd on string) OptionType

Code Value (short code) AMGT

Definition Corporate Action notification Vote with management. CorporateActionOption11CodeCor 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details MNGT ctnOptnDtls/OptnTp/Cd on string) OptionType

Code Value (short code) MNGT

Issue a proxy card in case of voting. Corporate Action notification

CorporateActionOption11CodeCor 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details PROX ctnOptnDtls/OptnTp/Cd on string) OptionType Value (short code) Code PROX

Option to give a split instruction, for example, a split voting Corporate Action notification instruction on a meeting. CorporateActionOption11CodeCor 002V10 (seev.031.002.10) /Document/CorpActnNtfctn/CorpA [1..1] porateActionOption7Code (based Corporate Action option Details SPLI ctnOptnDtls/OptnTp/Cd on string) OptionType

Code Value (short code) SPLI

253

Add an indicator to the MT564/seev.031/seev.001/seev.04 5 to confirm the announcement is made under SRDII obligations.

254

9. Corporate Action Instruction Status Advice (seev.034.001.xx) changes

255

Scope The CorporateActionInstructionStatusA dvice message is sent by an account servicer to an account owner or its designated agent, to report status of a received corporate action election instruction. This message is used to advise the status, or a change in status, of a corporate action- related transaction previously instructed by, or executed on CorporateActionInstructionStatusA behalf of, the account owner. This dviceV11 will include the CorpActnInstrStsAdvc CorporateActionInstructionStatusA acknowledgement/rejection of a dviceV10 corporate action instruction. Usage The message may also be used to: - re-send a message previously sent (the sub-function of the message is Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

256

Definition Corporate Action Instruction Status Vote against management. CorporateActionOption14CodeCor Advice V11(seev.034.001.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction AMGT CorpActnInstr/OptnTp/Cd on string) Option Type

Code Value (short code) AMGT

Definition Corporate Action Instruction Status Vote with management. CorporateActionOption14CodeCor Advice V11(seev.034.001.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction MNGT CorpActnInstr/OptnTp/Cd on string) Option Type

Code Value (short code) MNGT

Issue a proxy card in case of voting. Corporate Action Instruction Status

CorporateActionOption14CodeCor Advice V11(seev.034.001.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction PROX CorpActnInstr/OptnTp/Cd on string) Option Type Value (short code) Code PROX

Option to give a split instruction, for example, a split voting Corporate Action Instruction Status instruction on a meeting. CorporateActionOption14CodeCor Advice V11(seev.034.001.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction SPLI CorpActnInstr/OptnTp/Cd on string) Option Type

Code Value (short code) SPLI

257

ionStatusAdviceV10 The message may also be used to: - re-send a message previously sent (the sub-function of the message is Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

258

Event which consists of two components, the decrease of the Corporate Action Instruction Status amortized value of a pool factor Advice V11 (seev.034.001.11) CorporateActionEventType29Code security and an interest payment. Corporate Action General /Document/CorpActnInstrStsAdvc/ [1..1] CorporateActionEventType20Code PRII Information CorpActnGnlInf/EvtTp/Cd (based on string) Event Type

Code Value (short code) PRII

259

260

Tax rate provided is incorrect. It Corporate Action Instruction Status falls outside the acceptable values Advice V11(seev.034.001.11) for that investment country. Instruction Processing Status RejectionReason54CodeRejectionR /Document/CorpActnInstrStsAdvc/I [1..1] Rejected ITAX eason48Code (based on string) nstrPrcgSts/Rjctd/Rsn/RsnCd/Cd Reason

Reason Code Value (short code) code ITAX

Corporate Action Instruction Status Tax rate is not consistent with the Advice V11(seev.034.001.11) documentation in place. Instruction Processing Status RejectionReason54CodeRejectionR /Document/CorpActnInstrStsAdvc/I [1..1] Rejected NTAX eason48Code (based on string) nstrPrcgSts/Rjctd/Rsn/RsnCd/Cd Reason Reason Code Value (short code) code NTAX

Corporate Action Instruction Status Tax rate is missing. Advice V11(seev.034.001.11)

Instruction Processing Status RejectionReason54CodeRejectionR /Document/CorpActnInstrStsAdvc/I [1..1] Rejected MTAX eason48Code (based on string) nstrPrcgSts/Rjctd/Rsn/RsnCd/Cd Reason Value (short code) Reason Code MTAX code

Tax rate provided is incorrect. It Corporate Action Instruction Status falls outside the acceptable values Advice V11(seev.034.001.11) for that investment country. Instruction Processing Status PendingReason54CodePendingRea /Document/CorpActnInstrStsAdvc/I [1..1] Pending ITAX son48Code (based on string) nstrPrcgSts/Pdg/Rsn/RsnCd/Cd Reason

Reason Code Value (short code) code ITAX

261

Corporate Action Instruction Status Tax rate is not consistent with the Advice V11(seev.034.001.11) documentation in place. Instruction Processing Status PendingReason54CodePendingRea /Document/CorpActnInstrStsAdvc/I [1..1] Pending NTAX son48Code (based on string) nstrPrcgSts/Pdg/Rsn/RsnCd/Cd Reason Reason Code Value (short code) code NTAX

Corporate Action Instruction Status Tax rate is missing. Advice V11(seev.034.001.11)

Instruction Processing Status PendingReason54CodePendingRea /Document/CorpActnInstrStsAdvc/I [1..1] Pending MTAX son48Code (based on string) nstrPrcgSts/Pdg/Rsn/RsnCd/Cd Reason Value (short code) Reason Code MTAX code

10. Corporate Action Instruction Status Advice (seev.034.002.xx) changes

262

263

Definition Corporate Action Instruction Status Vote against management. CorporateActionOption14CodeCor Advice 002V11(seev.034.002.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction AMGT CorpActnInstr/OptnTp/Cd on string) Option Type

Code Value (short code) AMGT

Definition Corporate Action Instruction Status Vote with management. CorporateActionOption14CodeCor Advice 002V11(seev.034.002.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction MNGT CorpActnInstr/OptnTp/Cd on string) Option Type

Code Value (short code) MNGT

Issue a proxy card in case of voting. Corporate Action Instruction Status

CorporateActionOption14CodeCor Advice 002V11(seev.034.002.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction PROX CorpActnInstr/OptnTp/Cd on string) Option Type Value (short code) Code PROX

Option to give a split instruction, for example, a split voting Corporate Action Instruction Status instruction on a meeting. CorporateActionOption14CodeCor Advice 002V11(seev.034.002.11) /Document/CorpActnInstrStsAdvc/ [1..1] porateActionOption10Code (based Corporate Action Instruction SPLI CorpActnInstr/OptnTp/Cd on string) Option Type

Code Value (short code) SPLI

264

265

Event which consists of two components, the decrease of the Corporate Action Instruction Status amortized value of a pool factor Advice 002V11 (seev.034.002.11) CorporateActionEventType29Code security and an interest payment. Corporate Action General /Document/CorpActnInstrStsAdvc/ [1..1] CorporateActionEventType20Code PRII Information CorpActnGnlInf/EvtTp/Cd (based on string) Event Type

Code Value (short code) PRII

266

267

Tax rate provided is incorrect. It Corporate Action Instruction Status falls outside the acceptable values Advice 002V11(seev.034.002.11) for that investment country. Instruction Processing Status RejectionReason54CodeRejectionR /Document/CorpActnInstrStsAdvc/I [1..1] Rejected ITAX eason48Code (based on string) nstrPrcgSts/Rjctd/Rsn/RsnCd/Cd Reason

Reason Code Value (short code) code ITAX

Corporate Action Instruction Status Tax rate is not consistent with the Advice 002V11(seev.034.002.11) documentation in place. Instruction Processing Status RejectionReason54CodeRejectionR /Document/CorpActnInstrStsAdvc/I [1..1] Rejected NTAX eason48Code (based on string) nstrPrcgSts/Rjctd/Rsn/RsnCd/Cd Reason Reason Code Value (short code) code NTAX

Corporate Action Instruction Status Tax rate is missing. Advice 002V11(seev.034.002.11)

Tax rate provided is incorrect. It Corporate Action Instruction Status falls outside the acceptable values Advice 002V11(seev.034.002.11) for that investment country. Instruction Processing Status PendingReason18CodePendingRea /Document/CorpActnInstrStsAdvc/I [1..1] Pending ITAX son14Code (based on string) nstrPrcgSts/Pdg/Rsn/RsnCd/Cd Reason

Reason Code Value (short code) code ITAX

268

Corporate Action Instruction Status Tax rate is not consistent with the Advice 002V11(seev.034.002.11) documentation in place. Instruction Processing Status PendingReason18CodePendingRea /Document/CorpActnInstrStsAdvc/I [1..1] Pending NTAX son14Code (based on string) nstrPrcgSts/Pdg/Rsn/RsnCd/Cd Reason Reason Code Value (short code) code NTAX

Corporate Action Instruction Status Tax rate is missing. Advice 002V11(seev.034.002.11)

Instruction Processing Status PendingReason18CodePendingRea /Document/CorpActnInstrStsAdvc/I [1..1] Pending MTAX son14Code (based on string) nstrPrcgSts/Pdg/Rsn/RsnCd/Cd Reason Value (short code) Reason Code MTAX code

11. Corporate Action Movement Preliminary Advice (seev.035.001.xx) changes

269

Scope The CorporateActionMovementPrelimi naryAdvice message is sent by an account servicer to an account owner or its designated agent to pre-advise upcoming posting or reversal of securities and/or cash postings. Usage The message may CorporateActionMovementPrelimi also be used to: - re-send a naryAdviceV11 message previously sent (the sub- CorpActnMvmntPrlimryAdvc CorporateActionMovementPrelimi function of the message is naryAdviceV10 Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

270

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V11 (seev.035.001.11) Value (short code) Corporate Action Option Detailas /Document/CorpActnMvmntPrlimr CDFI GrossDividendRateType6CodeGros Rate and Amount Details yAdvc/CorpActnMvmntDtls/RateAn [1..1] sDividendRateType4Code (based CDFI Gross dividend Rate dAmtDtls/GrssDvddRate/RateTpAn Definition on string) Rate Type And Amount Rate Status dAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V11 (seev.035.001.11) Value (short code) Corporate Action Option Detailas /Document/CorpActnMvmntPrlimr CDFI NetDividendRateType6CodeNetDivi Rate and Amount Details yAdvc/CorpActnMvmntDtls/RateAn [1..1] dendRateType4Code (based on CDFI Net Dividend Rate dAmtDtls/NetDvddRate/RateTpAn Definition string) Rate Type And Amount Rate Status dAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

271

ActiveCurrencyAndAmount (based Corporate Anction Notification V11 /Document/CorpActnMvmntPrlimr on decimal) (seev.035.001.11) Amount relating to a foreign yAdvc/CorpActnMvmntDtls/CshMv FrgnIncmAmt [0..1] •fractionDigits: 5 Cash Movement Details income such as a conduit foreign mntDtls/AmtDtls/FrgnIncmAmt CndtFrgnIncmAmt •totalDigits: 18 Amount Details income. CndtFrgnIncmAmt •minInclusive: 0 Foreign Income Amount

Corporate Anction Notification V11 (seev.035.001.11) /Document/CorpActnMvmntPrlimr ActiveCurrencyCode (based on Cash Movement Details yAdvc/CorpActnMvmntDtls/CshMv [0..1] string) Ccy Medium of exchange of value. Amount Details mntDtls/AmtDtls/FrgnIncmAmt •pattern: [A-Z]{3,3} Foreign Income Amount CndtFrgnIncmAmt /@ccy Xml Attribute Currency

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V11 (seev.035.001.11) Value (short code) /Document/CorpActnMvmntPrlimr Cash Movement Details CDFI GrossDividendRateType7CodeGros yAdvc/CorpActnMvmntDtls/CshMv Rate and Amount Details [1..1] sDividendRateType5Code (based mntDtls/RateAndAmtDtls/GrssDvd CDFI Gross Dividend Rate Definition on string) dRate/RateTpAndAmtAndRateSts/ Rate Type And Amount Rate Status Rate relating to a foreign income RateTp/Cd Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

272

Definition Rate relating to a conduit foreign income type. Corporate Anction Notification V11 (seev.035.001.11) Value (short code) /Document/CorpActnMvmntPrlimr Cash Movement Details CDFI NetDividendRateType7CodeNetDivi yAdvc/CorpActnMvmntDtls/CshMv Rate and Amount Details [1..1] dendRateType5Code (based on mntDtls/RateAndAmtDtls/NetDvdd CDFI Net Dividend Rate Definition string) Rate/RateTpAndAmtAndRateSts/R Rate Type And Amount Rate Status Rate relating to a foreign income ateTp/Cd Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

273

Event which consists of two Corporate Action Movement components, the decrease of the preliminary Advice V11 amortized value of a pool factor CorporateActionEventType32Code (seev.035.001.11) security and an interest payment. /Document/CorpActnMvmntPrlimr [1..1] CorporateActionEventType27Code Corporate Action general PRII yAdvc/CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

274

Corporate Action Movement Definition Preliminary Advice V11 Vote against management. CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.001.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT AMGT Corporate Action Move,ent details on string) p/Cd OptionType Code Value (short code) AMGT

275

Corporate Action Movement Definition Preliminary Advice V11 Vote with management. CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.001.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT MNGT Corporate Action Move,ent details on string) p/Cd OptionType Code Value (short code) MNGT

Corporate Action Movement Issue a proxy card in case of voting. Preliminary Advice V11 CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.001.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT PROX Corporate Action Move,ent details on string) p/Cd OptionType Value (short code) Code PROX

Option to give a split instruction, Corporate Action Movement for example, a split voting Preliminary Advice V11 instruction on a meeting. CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.001.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT SPLI Corporate Action Move,ent details on string) p/Cd OptionType Code Value (short code) SPLI

12. Corporate Action Movement Preliminary Advice (seev.035.002.xx) changes

276

277

Definition Rate relating to a conduit foreign income type. Corporate Action

MovementPreliminary Advice002 Value (short code) V11 (seev.035.002.11) /Document/CorpActnNtfctn/CorpA CDFI GrossDividendRateType6CodeGros Corporate Action Option Detailas ctnOptnDtls/RateAndAmtDtls/Grss [1..1] sDividendRateType4Code (based Rate and Amount Details CDFI DvddRate/RateTpAndAmtAndRateS Definition on string) Gross dividend Rate ts/RateTp/Cd Rate relating to a foreign income Rate Type And Amount Rate Status type such as a conduit foreign Rate Type income. Code

Value (short code) CDFI

Definition Rate relating to a conduit foreign income type. Corporate Action

MovementPreliminary Advice002 Value (short code) V11 (seev.035.002.11) /Document/CorpActnNtfctn/CorpA CDFI NetDividendRateType6CodeNetDivi Corporate Action Option Detailas ctnOptnDtls/RateAndAmtDtls/Net [1..1] dendRateType4Code (based on Rate and Amount Details CDFI DvddRate/RateTpAndAmtAndRateS Definition string) Net dividend Rate ts/RateTp/Cd Rate relating to a foreign income Rate Type And Amount Rate Status type such as a conduit foreign Rate Type income. Code

Value (short code) CDFI

278

RestrictedFINActiveCurrencyAndA Corporate Action /Document/CorpActnMvmntPrlimr mount (based on decimal) MovementPreliminary Advice002 yAdvc/CorpActnMvmntDtls/CshMv Amount relating to a conduit [0..1] •fractionDigits: 5 V11 (seev.035.002.11) CndtFrgnIncmAmt mntDtls/AmtDtls/CndtFrgnIncmAm foreign income. •totalDigits: 14 Cash Movement Details t •minInclusive: 0 Amount Details

Corporate Action MovementPreliminary Advice002 /Document/CorpActnMvmntPrlimr ActiveCurrencyCode (based on V11 (seev.035.002.11) yAdvc/CorpActnMvmntDtls/CshMv [0..1] string) Ccy Medium of exchange of value. Cash Movement Details mntDtls/AmtDtls/CndtFrgnIncmAm •pattern: [A-Z]{3,3} Amount Details t /@ccy Conduit Foreign Income Amount

279

Definition The number of fractional digits (or minor unit of currency) must comply with ISO 4217. Note: The decimal separator is a dot.

Error Code D00007 Corporate Action MovementPreliminary Advice002 /Document/CorpActnMvmntPrlimr ActiveCurrencyCode (based on V11 (seev.035.002.11) yAdvc/CorpActnMvmntDtls/CshMv [0..1] string) Ccy Cash Movement Details mntDtls/AmtDtls/CndtFrgnIncmAm Error Text •pattern: [A-Z]{3,3} Amount Details t /@ccy Invalid currency code or too many Conduit Foreign Income Amount decimal digits

SWIFTNet Validation true

Severity Fatal

280

RestrictedFINActiveCurrencyAndA mount (based on decimal) Corporate Action •fractionDigits: 5 MovementPreliminary Advice002 /Document/CorpActnMvmntPrlimr Amount relating to a foreign [0..1] •totalDigits: 14 V11 (seev.035.002.11) yAdvc/CorpActnMvmntDtls/CshMv FrgnIncmAmt income such as a conduit foreign •minInclusive: 0 Cash Movement Details mntDtls/AmtDtls/FrgnIncmAmt income. Amount Details

Corporate Action MovementPreliminary Advice002 /Document/CorpActnMvmntPrlimr ActiveCurrencyCode (based on V11 (seev.035.002.11) yAdvc/CorpActnMvmntDtls/CshMv Medium of exchange of value. [0..1] string) Ccy Cash Movement Details mntDtls/AmtDtls/FrgnIncmAmt/@c •pattern: [A-Z]{3,3} Amount Details cy Foreign Income Amount

281

Definition The number of fractional digits (or minor unit of currency) must comply with ISO 4217. Note: The decimal separator is a dot.

Error Code Corporate Action D00007 MovementPreliminary Advice002 /Document/CorpActnMvmntPrlimr ActiveCurrencyCode (based on V11 (seev.035.002.11) yAdvc/CorpActnMvmntDtls/CshMv [0..1] string) Ccy Cash Movement Details mntDtls/AmtDtls/FrgnIncmAmt/@c Error Text •pattern: [A-Z]{3,3} Amount Details cy Invalid currency code or too many Foreign Income Amount decimal digits

SWIFTNet Validation true

Severity Fatal

Definition Rate relating to a conduit foreign income type. Corporate Action

MovementPreliminary Advice002 Value (short code) V11 (seev.035.002.11) /Document/CorpActnNtfctn/CorpA CDFI GrossDividendRateType7CodeGros Cash Movement Details ctnOptnDtls/CshMvmntDtls/RateA [1..1] sDividendRateType5Code (based Rate and Amount Details CDFI ndAmtDtls/GrssDvddRate/RateTpA Definition on string) Gross Dividend Rate ndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type And Amount Rate Status type such as a conduit foreign Rate Type income. Code

Value (short code) CDFI

282

Definition Rate relating to a conduit foreign income type. Corporate Anction Preliminary Advice002 V11 (seev.035.002.11) Value (short code) Cash Movement Details /Document/CorpActnNtfctn/CorpA CDFI NetDividendRateType7CodeNetDivi Rate and Amount Details ctnOptnDtls/CshMvmntDtls/RateA [1..1] dendRateType5Code (based on CDFI Net Dividend Rate ndAmtDtls/NetDvddRate/RateTpA Definition string) Rate Type And Amount Rate Status ndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

283

Event which consists of two Corporate Action Movement components, the decrease of the preliminary Advice 002V11 amortized value of a pool factor CorporateActionEventType32Code (seev.035.002.11) security and an interest payment. /Document/CorpActnMvmntPrlimr [1..1] CorporateActionEventType27Code Corporate Action general PRII yAdvc/CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

284

Corporate Action Movement Definition Preliminary Advice 002V11 Vote against management. CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.002.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT AMGT Corporate Action Move,ent details on string) p/Cd OptionType Code Value (short code) AMGT

285

Corporate Action Movement Definition Preliminary Advice 002V11 Vote with management. CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.002.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT MNGT Corporate Action Move,ent details on string) p/Cd OptionType Code Value (short code) MNGT

Corporate Action Movement Issue a proxy card in case of voting. Preliminary Advice 002V11 CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.002.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT PROX Corporate Action Move,ent details on string) p/Cd OptionType Value (short code) Code PROX

Option to give a split instruction, Corporate Action Movement for example, a split voting Preliminary Advice 002V11 instruction on a meeting. CorporateActionOption11CodeCor /Document/CorpActnMvmntPrlimr (seev.035.002.11) [1..1] porateActionOption7Code (based yAdvc/CorpActnMvmntDtls/OptnT SPLI Corporate Action Move,ent details on string) p/Cd OptionType Code Value (short code) SPLI

286

13. Corporate Action Movement Confirmation (seev.036.001.xx) changes

Scope The CorporateActionMovementConfirm ation message is sent by an account servicer to an account owner or its designated agent to confirm posting of securities or cash as a result of a corporate action event. Usage The message CorporateActionMovementConfirm may also be used to: - re-send a ationV11 message previously sent (the sub- CorpActnMvmntConf CorporateActionMovementConfirm function of the message is ationV10 Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

287

corporate Action Movement /Document/CorpActnMvmntConf/ Provides transaction type and [0..1] TransactionIdentification1 ConfirmationV11(seev.036.001.11) TxId TxId identification information. Transaction Identification

RestrictedFINMax35Text (based on corporate Action Movement Identification of a transaction string) ConfirmationV11(seev.036.001.11) assigned by a market infrastructure /Document/CorpActnMvmntConf/ [1..1] •pattern: ([^/]+/)+([^/]+)|([^/]*) Transaction Identification MktInfrstrctrTxId other than a central securities TxId/MktInfrstrctrTxId •minLength: 1 Market Infrastructure Transaction depository, for example, Target2- •maxLength: 35 Identification Securities.

288

289

Definition Rate relating to a conduit foreign income type. Corporate Action movement ConfirmationV11 (seev.036.001.11) Value (short code) Corporate Action Option Detailas /Document/CorpActnMvmntConf/ CDFI GrossDividendRateType6CodeGros Rate and Amount Details CorpActnConfDtls/RateAndAmtDtls [1..1] sDividendRateType4Code (based CDFI Gross dividend Rate /GrssDvddRate/RateTpAndAmtAnd Definition on string) Rate Type And Amount Rate Status RateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

Definition Rate relating to a conduit foreign income type. Corporate Action movement ConfirmationV11 (seev.036.001.11) Value (short code) Corporate Action Option Detailas /Document/CorpActnMvmntConf/ CDFI NetDividendRateType6CodeNetDivi Rate and Amount Details CorpActnConfDtls/RateAndAmtDtls [1..1] dendRateType4Code (based on CDFI Net Dividend Rate /NetDvddRate/RateTpAndAmtAnd Definition string) Rate Type And Amount Rate Status RateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

290

ActiveCurrencyAndAmount (based Corporate Action movement /Document/CorpActnMvmntConf/ on decimal) ConfirmationV11 (seev.036.001.11) Amount relating to a foreign CorpActnConfDtls/CshMvmntDtls/ FrgnIncmAmt [0..1] •fractionDigits: 5 Cash Movement Details income such as a conduit foreign AmtDtls/FrgnIncmAmt CndtFrgnIncmAmt •totalDigits: 18 Amount Details income. CndtFrgnIncmAmt •minInclusive: 0 Foreign Income Amount

Corporate Action movement ConfirmationV11 (seev.036.001.11) /Document/CorpActnMvmntConf/ ActiveCurrencyCode (based on Cash Movement Details CorpActnConfDtls/CshMvmntDtls/ [1..1] string) Ccy Medium of exchange of value. Amount Details AmtDtls/FrgnIncmAmt •pattern: [A-Z]{3,3} Foreign Income Amount CndtFrgnIncmAmt/@Ccy Xml Attribute Currency

Definition Rate relating to a conduit foreign income type. Corporate Action movement ConfirmationV11 (seev.036.001.11) Value (short code) /Document/CorpActnMvmntConf/ Cash Movement Details CDFI GrossDividendRateType7CodeGros CorpActnConfDtls/CshMvmntDtls/ Rate and Amount Details [1..1] sDividendRateType5Code (based RateAndAmtDtls/GrssDvddRate/Ra CDFI Gross Dividend Rate Definition on string) teTpAndAmtAndRateSts/RateTp/C Rate Type And Amount Rate Status Rate relating to a foreign income d Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

291

Definition Rate relating to a conduit foreign income type. Corporate Action movement ConfirmationV11 (seev.036.001.11) Value (short code) Cash Movement Details /Document/CorpActnMvmntConf/ CDFI NetDividendRateType7CodeNetDivi Rate and Amount Details CorpActnConfDtls/CshMvmntDtls/ [1..1] dendRateType5Code (based on CDFI Net Dividend Rate RateAndAmtDtls/NetDvddRate/Rat Definition string) Rate Type And Amount Rate Status eTpAndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type type such as a conduit foreign Code income.

Value (short code) CDFI

292

Event which consists of two Corporate Action Movement components, the decrease of the Confirmation V11 amortized value of a pool factor CorporateActionEventType30Code (seev.036.001.11) security and an interest payment. /Document/CorpActnMvmntConf/ [1..1] CorporateActionEventType25Code Corporate Action General PRII CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

entConfirmationV10 with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

293

Corporate Sction Movement Definition Confirmation V11(seev.036.001.11) Vote against management. CorporateActionOption12CodeCor Corporate Action Confirmation /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based AMGT Details CorpActnConfDtls/OptnTp/Cd on string) Option Type Code Value (short code) AMGT

Corporate Sction Movement Definition Confirmation V11(seev.036.001.11) Vote with management. CorporateActionOption12CodeCor Corporate Action Confirmation /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based MNGT Details CorpActnConfDtls/OptnTp/Cd on string) Option Type Code Value (short code) MNGT

Corporate Sction Movement Issue a proxy card in case of voting. Confirmation V11(seev.036.001.11) CorporateActionOption12CodeCor Corporate Action Confirmation /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based PROX Details CorpActnConfDtls/OptnTp/Cd on string) Option Type Value (short code) Code PROX

Option to give a split instruction, Corporate Sction Movement for example, a split voting Confirmation V11(seev.036.001.11) instruction on a meeting. CorporateActionOption12CodeCor Corporate Action Confirmation /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based SPLI Details CorpActnConfDtls/OptnTp/Cd on string) Option Type Code Value (short code) SPLI

294

14. Corporate Action Movement Confirmation (seev.036.002.xx) changes

295

corporate Action Movement Confirmation002V11(seev.036.002. /Document/CorpActnMvmntConf/ Provides transaction type and [0..1] TransactionIdentification1 TxId 11) TxId identification information. Transaction Identification

296

corporate Action Movement RestrictedFINMax35Text (based on Identification of a transaction Confirmation002V11(seev.036.002. string) assigned by a market infrastructure 11) /Document/CorpActnMvmntConf/ [1..1] •pattern: ([^/]+/)+([^/]+)|([^/]*) MktInfrstrctrTxId other than a central securities Transaction Identification TxId/MktInfrstrctrTxId •minLength: 1 depository, for example, Target2- Market Infrastructure Transaction •maxLength: 35 Securities. Identification

297

Definition Rate relating to a conduit foreign income type. Corporate Action movement

Confirmation002V11 Value (short code) (seev.036.002.11) /Document/CorpActnMvmntConf/ CDFI GrossDividendRateType6CodeGros Corporate Action Option Detailas CorpActnConfDtls/RateAndAmtDtls [1..1] sDividendRateType4Code (based Rate and Amount Details CDFI /GrssDvddRate/RateTpAndAmtAnd Definition on string) Gross dividend Rate RateSts/RateTp/Cd Rate relating to a foreign income Rate Type And Amount Rate Status type such as a conduit foreign Rate Type income. Code

Value (short code) CDFI

Definition Rate relating to a conduit foreign income type. Corporate Action movement

Confirmation002V11 Value (short code) (seev.036.002.11) /Document/CorpActnMvmntConf/ CDFI NetDividendRateType6CodeNetDivi Corporate Action Option Detailas CorpActnConfDtls/RateAndAmtDtls [1..1] dendRateType4Code (based on Rate and Amount Details CDFI /NetDvddRate/RateTpAndAmtAnd Definition string) Net dividend Rate RateSts/RateTp/Cd Rate relating to a foreign income Rate Type And Amount Rate Status type such as a conduit foreign Rate Type income. Code

Value (short code) CDFI

298

RestrictedFINActiveCurrencyAndA Corporate Action movement mount (based on decimal) Confirmation002V11 /Document/CorpActnMvmntConf/ Amount relating to a conduit [0..1] •fractionDigits: 5 (seev.036.002.11) CorpActnConfDtls/CshMvmntDtls/ CndtFrgnIncmAmt foreign income. •totalDigits: 14 Cash Movement Details AmtDtls/CndtFrgnIncmAmt •minInclusive: 0 Amount Details

Corporate Action movement Confirmation002V11 ActiveCurrencyCode (based on /Document/CorpActnMvmntConf/ (seev.036.002.11) [0..1] string) CorpActnConfDtls/CshMvmntDtls/ Ccy Medium of exchange of value. Cash Movement Details •pattern: [A-Z]{3,3} AmtDtls/CndtFrgnIncmAmt/@ccy Amount Details Conduit Foreign Income Amount

299

Definition The number of fractional digits (or minor unit of currency) must comply with ISO 4217. Note: The decimal separator is a dot.

Error Code D00007 Corporate Action movement

Confirmation002V11 ActiveCurrencyCode (based on /Document/CorpActnMvmntConf/ (seev.036.002.11) [0..1] string) CorpActnConfDtls/CshMvmntDtls/ Ccy Cash Movement Details •pattern: [A-Z]{3,3} AmtDtls/CndtFrgnIncmAmt/@ccy Error Text Amount Details Invalid currency code or too many Conduit Foreign Income Amount decimal digits

SWIFTNet Validation true

Severity Fatal

300

RestrictedFINActiveCurrencyAndA mount (based on decimal) Corporate Action movement •fractionDigits: 5 Confirmation002V11 /Document/CorpActnMvmntConf/ Amount relating to a foreign [0..1] •totalDigits: 14 (seev.036.002.11) CorpActnConfDtls/CshMvmntDtls/ FrgnIncmAmt income such as a conduit foreign •minInclusive: 0 Cash Movement Details AmtDtls/FrgnIncmAmt income. Amount Details

Corporate Action movement Confirmation002V11 ActiveCurrencyCode (based on /Document/CorpActnMvmntConf/ (seev.036.002.11) Medium of exchange of value. [0..1] string) CorpActnConfDtls/CshMvmntDtls/ Ccy Cash Movement Details •pattern: [A-Z]{3,3} AmtDtls/FrgnIncmAmt/@ccy Amount Details Foreign Income Amount

301

Definition The number of fractional digits (or minor unit of currency) must comply with ISO 4217. Note: The decimal separator is a dot.

Error Code Corporate Action movement D00007 Confirmation002V11 ActiveCurrencyCode (based on /Document/CorpActnMvmntConf/ (seev.036.002.11) [0..1] string) CorpActnConfDtls/CshMvmntDtls/ Ccy Cash Movement Details Error Text •pattern: [A-Z]{3,3} AmtDtls/FrgnIncmAmt/@ccy Amount Details Invalid currency code or too many Foreign Income Amount decimal digits

SWIFTNet Validation true

Severity Fatal

Definition Rate relating to a conduit foreign income type. Corporate Action movement

Confirmation002V11 Value (short code) (seev.036.002.11) /Document/CorpActnMvmntConf/ CDFI GrossDividendRateType7CodeGros Cash Movement Details CorpActnConfDtls/CshMvmntDtls/

[1..1] sDividendRateType5Code (based Rate and Amount Details RateAndAmtDtls/GrssDvddRate/Ra CDFI Definition on string) Gross Dividend Rate teTpAndAmtAndRateSts/RateTp/C Rate relating to a foreign income Rate Type And Amount Rate Status d type such as a conduit foreign Rate Type income. Code

Value (short code) CDFI

302

Definition Rate relating to a conduit foreign income type. Corporate Action movement

Confirmation002V11 Value (short code) (seev.036.002.11) /Document/CorpActnMvmntConf/ CDFI NetDividendRateType7CodeNetDivi Cash Movement Details CorpActnConfDtls/CshMvmntDtls/ [1..1] dendRateType5Code (based on Rate and Amount Details CDFI RateAndAmtDtls/NetDvddRate/Rat Definition string) Net Dividend Rate eTpAndAmtAndRateSts/RateTp/Cd Rate relating to a foreign income Rate Type And Amount Rate Status type such as a conduit foreign Rate Type income. Code

Value (short code) CDFI

303

Event which consists of two Corporate Action Movement components, the decrease of the Confirmation 002V11 amortized value of a pool factor CorporateActionEventType30Code (seev.036.002.11) security and an interest payment. /Document/CorpActnMvmntConf/ [1..1] CorporateActionEventType25Code Corporate Action General PRII CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

304

Corporate Action Movement Definition Confirmation Vote against management. CorporateActionOption12CodeCor 002V11(seev.036.002.11) /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based Corporate Action Confirmation AMGT CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code AMGT

Corporate Action Movement Definition Confirmation Vote with management. CorporateActionOption12CodeCor 002V11(seev.036.002.11) /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based Corporate Action Confirmation MNGT CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code MNGT

Corporate Action Movement Issue a proxy card in case of voting. Confirmation

CorporateActionOption12CodeCor 002V11(seev.036.002.11) /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based Corporate Action Confirmation PROX CorpActnConfDtls/OptnTp/Cd on string) Details Value (short code) Option Type PROX Code

Option to give a split instruction, Corporate Action Movement for example, a split voting Confirmation instruction on a meeting. CorporateActionOption12CodeCor 002V11(seev.036.002.11) /Document/CorpActnMvmntConf/ [1..1] porateActionOption8Code (based Corporate Action Confirmation SPLI CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code SPLI

305

15. Corporate Action Movement Reversal Advice (seev.037.001.xx) changes

306

Scope The CorporateActionMovementReversa lAdvice message is sent by an account servicer to an account owner or its designated agent to reverse previously confirmed posting of securities or cash. Usage The message may also be used to: - CorporateActionMovementReversa re-send a message previously sent lAdviceV11 CorpActnMvmntRvslAdvc (the sub-function of the message is CorporateActionMovementReversa Duplicate), - provide a third party lAdviceV10 with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

Corporate Action Movement reversal Advice /Document/CorpActnMvmntRvslAd Provides transaction type and [0..1] TransactionIdentification1 TxId V11(seev.037.001.11) vc/TxId identification information. Transaction Identification

307

Corporate Action Movement RestrictedFINMax35Text (based on Identification of a transaction reversal Advice string) assigned by a market infrastructure V11(seev.037.001.11) /Document/CorpActnMvmntRvslAd [1..1] •pattern: ([^/]+/)+([^/]+)|([^/]*) MktInfrstrctrTxId other than a central securities Transaction Identification vc/TxId/MktInfrstrctrTxId •minLength: 1 depository, for example, Target2- Market Infrastrusture Transaction •maxLength: 35 Securities. Identification

308

Definition Corporate Action Movement Event which consists of two Reversal Advice components, the decrease of the CorporateActionEventType30Code V11(seev.037.001.11) amortized value of a pool factor /Document/CorpActnMvmntRvslAd [1..1] CorporateActionEventType25Code Corporate Action General PRII security and an interest payment. vc/CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

Scope The CorporateActionMovementReversa lAdvice message is sent by an account servicer to an account owner or its designated agent to reverse previously confirmed posting of securities or cash. Usage CorporateActionMovem The message may also be used to: - entReversalAdviceV11 re-send a message previously sent CorpActnMvmntRvslAdvc (the sub-function of the message is CorporateActionMovem Duplicate), - provide a third party entReversalAdviceV10 with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

309

Corporate Action Movement Definition Reversal Advice Vote against management. CorporateActionOption12CodeCor V11(seev.037.001.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation AMGT vc/CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code AMGT

Corporate Action Movement Definition Reversal Advice Vote with management. CorporateActionOption12CodeCor V11(seev.037.001.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation MNGT vc/CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code MNGT

Corporate Action Movement Issue a proxy card in case of voting. Reversal Advice

CorporateActionOption12CodeCor V11(seev.037.001.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation PROX vc/CorpActnConfDtls/OptnTp/Cd on string) Details Value (short code) Option Type PROX Code

Option to give a split instruction, Corporate Action Movement for example, a split voting Reversal Advice instruction on a meeting. CorporateActionOption12CodeCor V11(seev.037.001.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation SPLI vc/CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code SPLI

310

16. Corporate Action Movement Reversal Advice (seev.037.002.xx) changes

Corporate Action Movement reversal Advice /Document/CorpActnMvmntRvslAd Provides transaction type and [0..1] TransactionIdentification1 TxId 002V11(seev.037.002.11) vc/TxId identification information. Transaction Identification

311

Corporate Action Movement RestrictedFINMax35Text (based on Identification of a transaction reversal Advice string) assigned by a market infrastructure 002V11(seev.037.002.11) /Document/CorpActnMvmntRvslAd [1..1] •pattern: ([^/]+/)+([^/]+)|([^/]*) MktInfrstrctrTxId other than a central securities Transaction Identification vc/TxId/MktInfrstrctrTxId •minLength: 1 depository, for example, Target2- Market Infrastrusture Transaction •maxLength: 35 Securities. Identification

312

Event which consists of two Corporate Action Movement components, the decrease of the Reversal Advice amortized value of a pool factor CorporateActionEventType30Code 002V11(seev.037.002.11) security and an interest payment. /Document/CorpActnMvmntRvslAd [1..1] CorporateActionEventType25Code Corporate Action General PRII vc/CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

Scope The CorporateActionMovementReversa lAdvice message is sent by an account servicer to an account owner or its designated agent to reverse previously confirmed posting of securities or cash. Usage CorporateActionMovem The message may also be used to: - entReversalAdviceV11 re-send a message previously sent CorpActnMvmntRvslAdvc (the sub-function of the message is CorporateActionMovem Duplicate), - provide a third party entReversalAdviceV10 with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

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Corporate Action Movement Definition Reversal Advice Vote against management. CorporateActionOption12CodeCor 002V11(seev.037.002.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation AMGT vc/CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code AMGT

Corporate Action Movement Definition Reversal Advice Vote with management. CorporateActionOption12CodeCor 002V11(seev.037.002.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation MNGT vc/CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code MNGT

Corporate Action Movement Issue a proxy card in case of voting. Reversal Advice

CorporateActionOption12CodeCor 002V11(seev.037.002.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation PROX vc/CorpActnConfDtls/OptnTp/Cd on string) Details Value (short code) Option Type PROX Code

Option to give a split instruction, Corporate Action Movement for example, a split voting Reversal Advice instruction on a meeting. CorporateActionOption12CodeCor 002V11(seev.037.002.11) /Document/CorpActnMvmntRvslAd [1..1] porateActionOption8Code (based Corporate Action Confirmation SPLI vc/CorpActnConfDtls/OptnTp/Cd on string) Details

Option Type Value (short code) Code SPLI

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17. Corporate Action Cancellation Advice (seev.039.001.xx) changes

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Scope The CorporateActionCancellationAdvice message is sent by an account servicer to an account owner or its designated agent to cancel a previously announced corporate action event in case of error from the account servicer or in case of withdrawal by the issuer. Usage CorporateActionCancellationAdvice The message may also be used to: - V10 CorpActnCxlAdvc re-send a message previously sent CorporateActionCancellationAdvice (the sub-function of the message is V09 Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

Definition Event which consists of two Corporate Action Cancellation components, the decrease of the Advice V10 (seev.039.001.10) CorporateActionEventType31Code amortized value of a pool factor Corporate Action General /Document/CorpActnCxlAdvc/Corp [1..1] CorporateActionEventType26Code PRII security and an interest payment. Information ActnGnlInf/EvtTp/Cd (based on string) Event Type

Code

Value (short code) PRII

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18. Corporate Action Cancellation Advice (seev.039.002.xx) changes

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Event which consists of two components, the decrease of the Corporate Action Cancellation amortized value of a pool factor Advice 002V10 (seev.039.002.10) CorporateActionEventType31Code security and an interest payment. Corporate Action General /Document/CorpActnCxlAdvc/Corp [1..1] CorporateActionEventType26Code PRII Information ActnGnlInf/EvtTp/Cd (based on string) Event Type

Code Value (short code) PRII

19. Corporate Action Instruction Cancellation Request Status Advice (seev.041.001.xx) changes

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Scope The CorporateActionInstructionCancell ationRequestStatusAdvice message is sent by an account servicer to an account owner or its designated agent to report status of a previously received CorporateActionInstructionCancell ationRequest message sent by the account owner. This will include the acknowledgement/rejection of a request to cancel an outstanding instruction. Usage The message CorporateActionInstructionCancell may also be used to: - re-send a ationRequestStatusAdviceV10 CorpActnInstrCxlReqStsAdvc message previously sent (the sub- CorporateActionInstructionCancell function of the message is ationRequestStatusAdviceV09 Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

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Corporate Action Instruction Definition Cancellation Request Status Advice Vote against management. CorporateActionOption14CodeCor V10(seev.041.001.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based AMGT Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Code Value (short code) AMGT

Corporate Action Instruction Definition Cancellation Request Status Advice Vote with management. CorporateActionOption14CodeCor V10(seev.041.001.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based MNGT Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Code Value (short code) MNGT

Corporate Action Instruction Issue a proxy card in case of voting. Cancellation Request Status Advice CorporateActionOption14CodeCor V10(seev.041.001.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based PROX Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Value (short code) Code PROX

Option to give a split instruction, Corporate Action Instruction for example, a split voting Cancellation Request Status Advice instruction on a meeting. CorporateActionOption14CodeCor V10(seev.041.001.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based SPLI Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Code Value (short code) SPLI

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atusAdviceV09 Duplicate), - provide a third party with a copy of a message for information (the sub-function of the message is Copy), - re-send to a third party a copy of a message for information (the sub-function of the message is Copy Duplicate), using the relevant elements in the business application header (BAH).

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Definition Corporate Action Instruction Event which consists of two Cancellation Request Status Advice components, the decrease of the CorporateActionEventType29Code V10 (seev.041.001.10) amortized value of a pool factor /Document/CorpActnInstrCxlReqSt [1..1] CorporateActionEventType20Code Corporate Action General PRII security and an interest payment. sAdvc/CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

20. Corporate Action Instruction Cancellation Request Status Advice (seev.041.002.xx) changes

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Corporate Action Instruction Definition Cancellation Request Status Advice Vote against management. CorporateActionOption14CodeCor 002V10(seev.041.002.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based AMGT Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Code Value (short code) AMGT

Corporate Action Instruction Definition Cancellation Request Status Advice Vote with management. CorporateActionOption14CodeCor 002V10(seev.041.002.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based MNGT Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Code Value (short code) MNGT

Corporate Action Instruction Issue a proxy card in case of voting. Cancellation Request Status Advice CorporateActionOption14CodeCor 002V10(seev.041.002.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based PROX Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Value (short code) Code PROX

Option to give a split instruction, Corporate Action Instruction for example, a split voting Cancellation Request Status Advice instruction on a meeting. CorporateActionOption14CodeCor 002V10(seev.041.002.10) /Document/CorpActnInstrCxlReqSt [1..1] porateActionOption10Code (based SPLI Corporate Action Instruction sAdvc/CorpActnInstr/OptnTp/Cd on string) Option Type Code Value (short code) SPLI

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Definition Corporate Action Instruction Event which consists of two Cancellation Request Status Advice components, the decrease of the CorporateActionEventType29Code 002V10 (seev.041.002.10) amortized value of a pool factor /Document/CorpActnInstrCxlReqSt [1..1] CorporateActionEventType20Code Corporate Action General PRII security and an interest payment. sAdvc/CorpActnGnlInf/EvtTp/Cd (based on string) Information Event Type Code Value (short code) PRII

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