Xact via SWIFT

User Guide

12 February 2018

Xact via SWIFT User Guide

12 February 2018

Document number: 6044

This document is the property of Clearstream Banking and information in this document may not be reproduced ortransmitted in any form or for any purpose, other than for intended business use, without the express written consentof Clearstream Banking. Clearstream Banking (or Clearstream) in this document refers collectively to ClearstreamBanking S.A. (CBL) and Clearstream Banking AG (CBF). When referring to Clearstream in this document, this shallalso apply to LuxCSD S.A. unless otherwise specified.

Copyright Clearstream Banking (2018). All rights reserved.

Clearstream Banking is a Deutsche Brse Group company.

Clearstream is a registered trademark of Clearstream International S.A. SWIFT is a registered trademark of the Societyfor Worldwide Interbank Financial Telecommunication. Euroclear is a registered trademark of Euroclear Bank, operator ofthe Euroclear system.

Clearstream International S.A. is a Deutsche Brse Group company.

Foreword

The Xact via SWIFT User Guide provides customers of Clearstream with an overview of the formats thatmust be adhered to when sending securities instructions and the report layout available through theSWIFT connectivity service.

This Guide will be updated periodically. You will also be notified from time to time of any change incommunications procedures and formats through announcements on the Clearstream website.

The examples, sample reports and case studies in this manual are provided for information purposesonly.

For general information about Clearstream services, please see the relevant Customer Handbooks.

OneClearstream

OneClearstream offers access to T2S, Eurobond and Global markets. The OneClearstream serviceoffers a unique value proposition for all CSD & ICSD customers with harmonised end-to-end processesand service standards.

Customers have a choice between the ICSD model and the CSD model, or any combination of the two,through one operating model and one common infrastructure. This Xact via SWIFT User Guide containsinformation for all customers using the OneClearstream service, whether they are ClearstreamBanking S.A. (CBL), Clearstream Banking AG (CBF) or LuxCSD S.A.(LuxCSD) customers.

For some SWIFT fields there may be more than one type of Usage listed, please see the definitionsbelow:

Usage: Applicable to CBL, CBF and LuxCSD.

CBL usage: Applicable to CBL, CBF 6-series accounts and LuxCSD 43xxx accounts.

CBL/LuxCSD usage: Applicable to CBL, CBF 6-series accounts and all LuxCSD accounts.

CBF/LuxCSD usage: Applicable to CBF and LuxCSD 48xxx acccounts.

CBF usage: Applicable to CBF only.

LuxCSD usage: Applicable to LuxCSD only.

Clearstream Banking 12 February 2018Xact via SWIFT User Guide i

12 February 2018 Clearstream Banking

How this Guide is organised

SWIFT is constantly improving its services, with the enhancement of existing message types and theaddition of new ones, and Clearstream is continuously coordinating its efforts to bring these new andenhanced features into service for its customers.

This manual is organised in such a way as to minimise disruption to the existing documentation whenadding or amending information. Details of new message types can be slotted into position withoutdisturbing the current pagination, and changes or additions to the details of a message type will causea minimum of repagination.

The organisation of the manual is reflected in its page-numbering. Each chapter begins withintroductory and generic information, which is page-numbered in folio-by-chapter format, as follows:41, 51, 61 and so on.

The chapters are presented in numeric order of SWIFT message type within business activity. If amessage type can be used to carry more than one type of statement or report, details are provided foreach statement or report type in turn within the message type sequence. For example:

39401 is page 1 of details for a Cash Suspense Report via MT940 (15022), in chapter 3.

4540RF1 is page 1 of details for a Receive Free instruction via MT540, in chapter 4.

5545RAP/c1 is page 1 of details for a Receive Against Payment confirmation via MT545, inchapter 5.

65371 is page 1 of details for a Statement of Pending Transactions via MT537, in chapter 6.

7564NO1 is page 1 of details for a Corporate Action Notification via MT564, in chapter 7.

Thus, the Guide is constructed in a modular fashion so that the current information can be extendedand new sections or chapters added with minimum inconvenience.

For information about: See:Common Group Messages

via MTn92, n95Chapter 1. Common Group messages

Cash instructionsvia MT103, 200, 202, 210, 299

Chapter 2. Cash instructions

Cash statements and reportsvia MT900, 910, 940, 942, 950

Chapter 3. Cash statements and reports

Clearing and settlement instructionsvia MT540, 541, 542, 543

Chapter 4. Clearing and settlement instructions

Clearing and settlement reportsvia MT544, 545, 546, 547, 548, 578

Chapter 5. Clearing and settlement reports

Securities statements via MT535, 536, 537, 538, 586

Chapter 6. Securities statements

Custody instructions and reportsvia MT564, 565, 566, 567, 568

Chapter 7. Custody instructions and reports

Triparty Repo Service instructions and reportsvia MT527, MT558 (Only valid for CBL customers)

Chapter 8. Triparty Collateral messages

Fees and interest reportsvia MT290, 935 (Only valid for CBL customers)

Chapter 9. Fees and interest reports

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Field format notation

The following is a key to symbols used in the message format tables:

Contact details

For further information or if you have specific questions regarding communications with ClearstreamBanking, please refer to your Customer Service Officer or contact the Connectivity Support Help Deskby telephone, fax or email, as detailed on the Clearstream website.

6!n 6 numeric characters, fixed length 6*50x up to 6 lines of up to 50 characters each1!e one blank space 1!n one numeric character3!a 3 alpha characters, fixed length 15!d 15 numeric characters including

decimal separator, fixed lengthISIN1!e12!c ISIN followed by one blank,

followed by the ISIN, fixed length/XS/9n XS between slashes followed by the

Common Code, up to 9 digits

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http://www.clearstream.com/clearstream-en/contacts/connectivity

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Contents

Foreword...................................................................................................... iOneClearstream........................................................................................................... iHow this Guide is organised ........................................................................................ iiField format notation ................................................................................................... iiiContact details ............................................................................................................. iii

General introduction .................................................................................... ixSending instructions to Clearstream Banking ............................................................ xValidation of instructions ............................................................................................. xiTransaction Reference Numbers ................................................................................ xiMT n9x .......................................................................................................................... 1--1

1. Common Group messages ................................................................... 1-1MTn92 - Cancellation Request..................................................................................... 1-n92-1MTn95 - Queries........................................................................................................... 1-n95-1MT 1xx/2xx.................................................................................................................... 2--1

2. Cash instructions ................................................................................. 2-1Conditional rules for cash instructions via MT103/103+............................................. 2-3MT103/103+ - Single customer transfer (type 90)....................................................... 2-103-90-1MT103/103+ - Single customer transfer via TARGET2 (type 90) ................................. 2-103-90/T2-1MT103/103+ - Single customer transfer (type 9X)....................................................... 2-103-9X-1MT200 - Financial institution transfer - own account (type 90) .................................. 2-200-90-1MT200 - Financial institution transfer - own account via TARGET2 (type 90) ............ 2-200-90/T2-1MT202 - General financial institution transfer (type 90) ............................................. 2-202-90-1MT202 - General financial institution transfer via TARGET2 (type 90) ....................... 2-202-90/T2-1MT202 - General financial institution transfer (type 9X) ............................................. 2-202-9X-1MT210 - Notice to receive (type 10) ............................................................................. 2-210-10-1MT299 - Free-format message (type 9E)..................................................................... 2