UBS AG

Postfach
8098 Zrich
Tel. +41-44-234 11 11
www.ubs.com

UBS SWIFT Usage Guide

SWIFT Standards Release 2012
Technical Formatting of Corporate Action Message
Types
Relevant for Booking Center Switzerland (BC001)

Classification
Date
Version

Generally accessible
19 November 2012
1.0

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Table of Contents

1.
1.1
1.2
1.3
1.4
1.5

Introduction ......................................................................................................................... 3
Purpose.................................................................................................................................. 3
Structure ................................................................................................................................ 3
Target audience ..................................................................................................................... 3
General remarks..................................................................................................................... 3
Further information ................................................................................................................ 3

2.
2.1
2.2
2.3
2.4
2.5
2.6
2.7

Income related Notification & Confirmation Messages .................................................... 5

Income related formatting rules for MT564 ............................................................................ 5
Income related formatting rules for MT566 ............................................................................ 6
Message Examples for "Cash Dividend" ................................................................................. 7
Message Examples for "Payment of Interest".......................................................................... 8
Message Examples for "Early Redemption"........................................................................... 10
Message Examples for "Partial Redemption" ........................................................................ 11
Message Examples for "Liquidation Payment" ...................................................................... 12

3.
3.1
3.2
3.3
3.4
3.5

Corporate Action related Notification & Confirmation Messages ................................. 13

Non Income related formatting rules for MT564 ................................................................... 13
Non Income related formatting rules for MT566 ................................................................... 14
Message Examples for "Split"............................................................................................... 15
Message Examples for "Tender"........................................................................................... 16
Message Examples for "Rights Issue" ................................................................................... 18

UBS AG, Version 1.0, 19 November 2012

Page 2 of 20


1.

Introduction

1.1

Purpose

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

This "UBS SWIFT Usage Guide Technical Formatting of Corporate Action Message Types" shall enable
efficient SWIFT communication with UBS AG Switzerland. By providing formatting rules and message
examples it helps to format messages compliant to UBS' requirements. These message examples can be
used for internal testing purposes. The content can be freely adapted to your needs.

Structure

1.2

Chapter 2 explains UBS-specific field formatting rules and message examples for SWIFT income related
Corporate Action Notifications & Confirmations message types 564 and 566.
Chapter 3 contains UBS-specific field formatting rules and message examples for SWIFT non income
related Corporate Action Notifications & Confirmations message types 564 and 566.

Target audience

1.3

This guide has been designed for business analysts and other experts in SWIFT messaging.
We recommend to use this guide if you plan to implement or amend IT systems which
- process incoming SWIFT messages from UBS Switzerland
- format outgoing SWIFT messages to UBS Switzerland

General remarks

1.4

SMPG rules
- Our ISO 15022 messages are fully compliant with rules defined by the Securities Market
Practices Group (SMPG).
BIC

1.5

Please send all messages to UBSWCHZH80A.

UBS AG Switzerland sends all corporate actions messages from UBSWCHZH80A.

Nevertheless, the message header information will contain a BIC consisting of 12 digits, e.g.
UBSWCHZHB80A. The 9th digit is for SWIFT internal use only and can change over time. This
character can be ignored completely.

Further information

UBS AG Switzerland offers in its Custody Info Portal further SWIFT usage guides:
- Settlement Formatting Specialities by Market
- Settlement Formatting Specialities for Funds by Custodian
- Technical Formatting of Reconciliation Message Types

UBS AG, Version 1.0, 19 November 2012

Page 3 of 20

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Technical Formatting of Settlement Message Types

Changes due to SWIFT Standard Release 2012
MT548 Reason Codes & MT548 Reason Codes for Funds

General information on SWIFT messaging can be found in the official SWIFT user handbooks
(www.swift.com).

If you have any questions regarding this document, please do not hesitate to contact us.

UBS AG, Version 1.0, 19 November 2012

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2.

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Income related Notification & Confirmation Messages

In this chapter, you will find UBS specific SWIFT formatting rules and several SWIFT message examples
for pre-advices (MT564) and confirmations (MT566).
2.1

Income related formatting rules for MT564

Remarks:
The SWIFT tag number is equivalent to the numbering in the SWIFT MT564 Format Specifications for the SWIFT Standard Release 2012.
SWIFT
tag

Generic
Tag

UBS rule

Mandatory Sequence A General Information

3
20C
CORP
Reference
Corporate Action
Reference

:4!c//16x

:4!c//16x

UBS usage of 16x:

10x = UBS cash flow number
4x = UBS sequence number
UBS usage of 16x:
4x = UBS branch
2x = UBS application ID
10x = UBS transaction reference

20C

Qualifier

Content/
Options

no

SEME

Field Name

Reference

Detailed Field Name

Sender's message
reference

Mandatory Sequence B Underlying Securities

15
35B
Identification of the
Financial Instrument

[ISIN1!e12!c]
[4*35x]

Mandatory repetitive Subsequence B2 Account Information

27
97a
SAFE
Account
Safekeeping
:4!c//35x
Account

28

94a

SAFE

Place

Place of Safekeeping
:4!c/[8c]/4!c[/30x]

Optional repetitive Subsequence E2 Cash Movement

90
97a
CASH
Account
Cash Account

UBS AG, Version 1.0, 19 November 2012

:4!c//35x

UBS usage:
ISIN followed with ISIN number
x35 - 1st occurrence:
/CH/Swiss Valorennummer
x35 - 2nd to 4th occurrence:
UBS description of the FI
UBS usage:
Only format option A is used
UBS usage of 35x:
4x = Swiss Clearing number of
UBS Branch
12x = UBS account number
UBS usage:
Format option B is used
The Place of Safekeeping is only
provided for 'Shares held
elsewhere'; therefore only SWIFT
Code 'SHHE' is used
UBS usage of 30x:
4x = UBS depository code
1x = '/'
11x = BIC of the depositary
1x = '/'
2x = ISO Country Code.
UBS usage:
Only format option A is used
UBS usage of 35x:
4x = Swiss Clearing number of
UBS Branch
12x = UBS account number

Page 5 of 20


2.2

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Income related formatting rules for MT566

Remarks:
The SWIFT tag number is equivalent to the numbering in the SWIFT MT564 Format Specifications for the SWIFT Standard Release 2012.
SWIFT
tag
no

Generic
Tag

Options

UBS rule

Mandatory Sequence A General Information

2
20C
CORP
Reference
Corporate Action
Reference

:4!c//16x

:4!c//16x

UBS usage of 16x:

10x = UBS cash flow number
4x = UBS sequence number
UBS usage of 16x:
4x = UBS branch
2x = UBS application ID
10x = UBS transaction reference

20C

Qualifier

Content/

SEME

Field Name

Reference

Detailed Field Name

Sender's message
reference

Mandatory Sequence B Underlying Securities

14
97A
SAFE
Account
Safekeeping
Account

15

16

94a

SAFE

Place

35B

Place of
Safekeeping

:4!c/[8c]/4!c[/30x]

Identification of the
Financial Instrument

[ISIN1!e12!c]
[4*35x]

Optional repetitive Subsequence D2 Cash Movement

78
97a
CASH
Account
Cash Account

UBS AG, Version 1.0, 19 November 2012

:4!c//35x

:4!c//35x

UBS usage:
Only format option A is used
UBS usage of 35x:
4x = Swiss Clearing number of
UBS Branch
12x = UBS account number
UBS usage:
Format option B is used
The Place of Safekeeping is only
provided for 'Shares held
elsewhere'; therefore only SWIFT
Code 'SHHE' is used
UBS usage of 30x:
4x = UBS depository code
1x = '/'
11x = BIC of the depositary
1x = '/'
2x = ISO Country Code.
UBS usage:
ISIN followed with ISIN number
x35 - 1st occurrence:
/CH/Swiss Valorennummer
x35 - 2nd to 4th occurrence:
UBS description of the FI
UBS usage:
Only format option A is used
UBS usage of 35x:
4x = Swiss Clearing number of
UBS Branch
12x = UBS account number

Page 6 of 20


2.3

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Cash Dividend"

Example "DVCA Cash Dividend with fields 92F NETT

/ 92A TAXC"
(MT564, Outbound)
:16R:GENL
:20C::CORP//01000796950003
:20C::SEME//0206KE4887048
:23G:NEWM
:22F::CAEV//DVCA
:22F::CAMV//MAND
:98C::PREP//20121011223900
:25D::PROC//COMP
:16R:LINK
:20C::CORP//01000796950003
:16S:LINK
:16S:GENL
:16R:USECU
:35B:ISIN GB0005405286
/CH/411161
SHS HSBC HOLDINGS PLC
USD 0.50
:16R:FIA
:11A::DENO//USD
:16S:FIA
:16R:ACCTINFO
:97A::SAFE//02060000999999S1
:94B::SAFE//SHHE/2100
:93B::ELIG//UNIT/24900,
:16S:ACCTINFO
:16S:USECU
:16R:CADETL
:98A::RDTE//20121114
:98A::XDTE//20121115
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//CASH
:17B::DFLT//Y
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02060000999999600000V
:19B::GRSS//GBP17291,66
:19B::RESU//GBP15562,5
:19B::NETT//USD23999,73
:19B::ENTL//USD23999,73
:19B::TAXC//GBP1729,16
:98A::PAYD//20121115
:98A::VALU//20121115
:92F::NETT//GBP0,625
:92A::TAXC//10,
:92B::EXCH//GBP/USD/1,54215
:16S:CASHMOVE
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "DVCA Cash Dividend with fields 92A

NETT / 92A TAXC"
(MT566, Outbound)
:16R:GENL
:20C::CORP//01000796950001
:20C::SEME//0230KE4893360
:23G:NEWM
:22F::CAEV//DVCA
:98C::PREP//20121012100500
:16R:LINK
:20C::CORP//01000796950001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/2100
:35B:ISIN GB0005405286
/CH/411161
SHS HSBC HOLDINGS PLC
USD 0.50
:16R:FIA
:11A::DENO//USD
:16S:FIA
:93B::CONB//UNIT/111375,
:16S:USECU
:16R:CADETL
:98A::RDTE//20121130
:98A::XDTE//20121128
:16S:CADETL
:16R:CACONF
:13A::CAON//001
:22H::CAOP//CASH
:11A::OPTN//GBP
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999540000G
:19B::GRSS//GBP61875,
:19B::PSTA//GBP55687,5
:19B::TAXC//GBP6187,5
:98A::POST//20121012
:98A::VALU//20121204
:98A::PAYD//20121204
:92A::TAXC//10,
:92F::NETT//GBP0,5
:16S:CASHMOVE
:16S:CACONF
:16R:ADDINFO
:70E::ADTX//INCLUDING TAX CREDIT OF 11.11 PCT
FROM NET CASH DIVIDEND.
:16S:ADDINFO
-

Page 7 of 20


2.4

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Payment of Interest"

Example "INTR Interest Payment with field 92F INTP

(Amount per Nominal"
(MT564, Outbound)
:16R:GENL
:20C::CORP//01000806690001
:20C::SEME//0230KE5068528
:23G:NEWM
:22F::CAEV//INTR
:22F::CAMV//MAND
:98C::PREP//20121019222900
:25D::PROC//COMP
:16R:LINK
:20C::CORP//01000806690001
:16S:LINK
:16S:GENL
:16R:USECU
:35B:ISIN XS0175478873
/CH/1665530
5 3/8 EURO MEDIUM-TERM NOTES
ROCHE FINANCE EUROPE BV
2003-29.8.2023
:16R:FIA
:22F::MICO//A006
:11A::DENO//GBP
:98A::COUP//20120829
:92A::NXRT//5,375
:16S:FIA
:16R:ACCTINFO
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/3650/CEDELULLXXX/XZ
:93B::ELIG//FAMT/55000,
:16S:ACCTINFO
:16S:USECU
:16R:CADETL
:98A::RDTE//20121203
:98A::XDTE//20121130
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//CASH
:17B::DFLT//Y
:92F::INTP//GBP5,375
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999710000K
:19B::GRSS//GBP2956,25
:19B::ENTL//GBP2956,25
:98A::PAYD//20121204
:98A::EARL//20121204
:98A::VALU//20121204
:16S:CASHMOVE
:70E::ADTX//AMOUNT PER NOMINAL: 100
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "INTR Interest Payment with filed 92F INTP

(Amount per Nominal)"
(MT566, Outbound)
:16R:GENL
:20C::CORP//01000806690001
:20C::SEME//0230KE5046829
:23G:NEWM
:22F::CAEV//INTR
:98C::PREP//20121019101000
:16R:LINK
:20C::CORP//01000806690001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/3650/CEDELULLXXX/XZ
:35B:ISIN XS0175478873
/CH/1665530
5 3/8 EURO MEDIUM-TERM NOTES
ROCHE FINANCE EUROPE BV
2003-29.8.2023
:16R:FIA
:22F::MICO//A006
:11A::DENO//GBP
:98A::COUP//20120829
:92A::NXRT//5,375
:16S:FIA
:93B::CONB//FAMT/278415,
:16S:USECU
:16R:CADETL
:98A::RDTE//20121203
:98A::XDTE//20121130
:16S:CADETL
:16R:CACONF
:13A::CAON//001
:22H::CAOP//CASH
:11A::OPTN//GBP
:92F::INTP//GBP5,375
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999540000G
:19B::GRSS//GBP14964,81
:19B::PSTA//GBP14964,81
:98A::POST//20121019
:98A::VALU//20121205
:98A::PAYD//20121205
:98A::EARL//20121205
:16S:CASHMOVE
:16S:CACONF
:16R:ADDINFO
:70E::ADTX//AMOUNTS PER NOMINAL:100
:16S:ADDINFO
-

Page 8 of 20

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Final Maturity"

Example "REDM Final Maturity"
(MT564, Outbound)
:16R:GENL
:20C::CORP//01000912470002
:20C::SEME//0230KE1547458
:23G:NEWM/COPY
:22F::CAEV//REDM
:22F::CAMV//MAND
:98C::PREP//20121016225700
:25D::PROC//COMP
:16R:LINK
:20C::CORP//01000912470002
:16S:LINK
:16S:GENL
:16R:USECU
:35B:ISIN CH0045039655
/CH/4503965
AKT CIE FINANCIERE RICHEMONT AG
GENF CHF 1
:16R:FIA
:11A::DENO//CHF
:16S:FIA
:16R:ACCTINFO
:97A::SAFE//02300000999999S1
:94B::SAFE//SHHE/1000
:93B::ELIG//UNIT/N25000,
:16S:ACCTINFO
:16S:USECU
:16R:CADETL
:98A::RDTE//20121123
:98A::XDTE//20121121
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//CASH
:17B::DFLT//Y
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN CH0045039655
/CH/4503965
AKT CIE FINANCIERE RICHEMONT AG
GENF CHF 1
:36B::ENTL//UNIT/25000,
:98A::PAYD//20121124
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//DEBT
:97A::CASH//02300000999999010000Y
:19B::GRSS//CHF931250,
:19B::ENTL//CHF931250,
:98A::PAYD//20121124
:98A::EARL//20121126
:98A::VALU//20121126
:90B::OFFR//ACTU/CHF37,25
:16S:CASHMOVE
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "REDM Final Maturity"

(MT566, Outbound)
:16R:GENL
:20C::CORP//01000912090001
:20C::SEME//0230KE1540958
:23G:NEWM
:22F::CAEV//REDM
:98C::PREP//20121017075400
:16R:LINK
:20C::CORP//01000912090001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:35B:ISIN CH0045039655
/CH/4503965
AKT CIE FINANCIERE RICHEMONT AG
GENF CHF 1
:16R:FIA
:11A::DENO//CHF
:16S:FIA
:93B::CONB//UNIT/294,
:16S:USECU
:16R:CADETL
:98A::RDTE//20121119
:98A::XDTE//20121115
:16S:CADETL
:16R:CACONF
:13A::CAON//001
:22H::CAOP//CASH
:11A::OPTN//CHF
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN CH0045039655
/CH/4503965
AKT CIE FINANCIERE RICHEMONT AG
GENF CHF 1
:36B::PSTA//UNIT/294,
:94B::SAFE//SHHE/1000
:98A::POST//20121017
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999050000W
:19B::GRSS//CHF2940,
:19B::PSTA//CHF2940,
:98A::POST//20121017
:98A::VALU//20121120
:98A::PAYD//20121120
:98A::EARL//20121017
:90B::OFFR//ACTU/CHF10,
:16S:CASHMOVE
:16S:CACONF
-

Page 9 of 20


2.5

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Early Redemption"

Example "MCAL Early Redemption"

(MT564, Outbound)
:16R:GENL
:20C::CORP//01000912490001
:20C::SEME//0230KE1547461
:23G:NEWM/COPY
:22F::CAEV//MCAL
:22F::CAMV//MAND
:98C::PREP//20121016225700
:25D::PROC//COMP
:16R:LINK
:20C::CORP//01000912490001
:16S:LINK
:16S:GENL
:16R:USECU
:35B:ISIN XS0155312829
/CH/1490585
7 1/8 DEUTSCHE TELEKOM FINANCE BV
2002-26.09.2012
GLOBAL NOTES
:16R:FIA
:11A::DENO//GBP
:16S:FIA
:16R:ACCTINFO
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/3650/CEDELULLXXX/XZ
:93B::ELIG//FAMT/N1000000,
:16S:ACCTINFO
:16S:USECU
:16R:CADETL
:98A::RDTE//20121128
:98A::XDTE//20121126
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//CASH
:17B::DFLT//Y
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN XS0155312829
/CH/1490585
7 1/8 DEUTSCHE TELEKOM FINANCE BV
2002-26.09.2012
GLOBAL NOTES
:36B::ENTL//FAMT/1000000,
:98A::PAYD//20121129
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//DEBT
:97A::CASH//02300000099999540000G
:19B::GRSS//GBP1000000,
:19B::ENTL//GBP1000000,
:98A::PAYD//20121129
:98A::EARL//20121129
:98A::VALU//20121129
:90A::OFFR//PRCT/100,
:16S:CASHMOVE
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "MCAL Early Redemption"

(MT566, Outbound)
:16R:GENL
:20C::CORP//01000912110001
:20C::SEME//0230KE1540979
:23G:NEWM
:22F::CAEV//MCAL
:98C::PREP//20121019002000
:16R:LINK
:20C::CORP//01000912110001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/3662/CEDELULLXXX/XZ
:35B:ISIN XS0155312829
/CH/1490585
7 1/8 DEUTSCHE TELEKOM FINANCE BV
2002-26.09.2012
GLOBAL NOTES
:16R:FIA
:11A::DENO//GBP
:16S:FIA
:93B::CONB//FAMT/400000,
:16S:USECU
:16R:CADETL
:98A::RDTE//20121129
:98A::XDTE//20121127
:16S:CADETL
:16R:CACONF
:13A::CAON//001
:22H::CAOP//CASH
:11A::OPTN//GBP
:92A::INTP//100,
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN XS0155312829
/CH/1490585
7 1/8 DEUTSCHE TELEKOM FINANCE BV
2002-26.09.2012
GLOBAL NOTES
:36B::PSTA//FAMT/400000,
:94B::SAFE//SHHE/3662/CEDELULLXXX/XZ
:98A::POST//20121019
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999540000G
:19B::GRSS//GBP400000,
:19B::PSTA//GBP400000,
:98A::POST//20121019
:98A::VALU//20121130
:98A::PAYD//20121130
:98A::EARL//20121019
:90A::OFFR//PRCT/100,
:16S:CASHMOVE
:16S:CACONF
:16R:ADDINFO
:70E::TXNR//EXCH/+REGR/GBP/CHF/1.499150
:16S:ADDINFO
-

Page 10 of 20


2.6

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Partial Redemption"

Example "PRED Partial Redemption without

reduction of nominal value"
(MT564, Outbound)
:16R:GENL
:20C::CORP//01000796970001
:20C::SEME//0230KE4888119
:23G:NEWM
:22F::CAEV//PRED
:22F::CAMV//MAND
:98C::PREP//20121011224000
:25D::PROC//COMP
:16R:LINK
:20C::CORP//01000796970001
:16S:LINK
:16S:GENL
:16R:USECU
:35B:ISIN CH0010379300
/CH/1037930
4 SCHWEIZERISCHE
EIDGENOSSENSCHAFT
2000-11.02.2013
:16R:FIA
:11A::DENO//CHF
:16S:FIA
:16R:ACCTINFO
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:93B::ELIG//FAMT/10,
:16S:ACCTINFO
:16S:USECU
:16R:CADETL
:98A::RDTE//20121128
:98A::XDTE//20121129
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//CASH
:17B::DFLT//Y
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999710000K
:19B::GRSS//CHF3,4
:19B::ENTL//CHF3,4
:98A::PAYD//20121129
:98A::EARL//20121129
:98A::VALU//20121129
:92A::RATE//33,902575
:16S:CASHMOVE
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "PRED Partial Redemption without

reduction of nominal value"
(MT566, Outbound)
:16R:GENL
:20C::CORP//01000796970001
:20C::SEME//0230KE4893385
:23G:NEWM
:22F::CAEV//PRED
:98C::PREP//20121012094300
:16R:LINK
:20C::CORP//01000796970001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000999999S1
:94B::SAFE//SHHE/1000
:35B:ISIN CH0010379300
/CH/1037930
4 SCHWEIZERISCHE
EIDGENOSSENSCHAFT
2000-11.02.2023
:16R:FIA
:11A::DENO//CHF
:16S:FIA
:93B::CONB//FAMT/200145,
:16S:USECU
:16R:CADETL
:98A::RDTE//20121130
:98A::XDTE//20121127
:16S:CADETL
:16R:CACONF
:13A::CAON//001
:22H::CAOP//CASH
:11A::OPTN//CHF
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000999999010000Y
:19B::GRSS//CHF67854,3
:19B::PSTA//CHF67854,3
:98A::POST//20121012
:98A::VALU//20121203
:98A::PAYD//20121203
:98A::EARL//20121203
:92A::RATE//33,902575
:16S:CASHMOVE
:16S:CACONF
-

Page 11 of 20


2.7

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Liquidation Payment"

Example "LIQU Liquidation Payment"

(MT564, Outbound)
:16R:GENL
:20C::CORP//01000797110001
:20C::SEME//0230KE4905700
:23G:NEWM
:22F::CAEV//LIQU
:22F::CAMV//MAND
:98C::PREP//20121012223100
:25D::PROC//COMP
:16R:LINK
:20C::CORP//01000797110001
:16S:LINK
:16S:GENL
:16R:USECU
:35B:ISIN BSP2388J1092
/CH/873442
PTG SHS -A- CERBERUS
INTERNATIONAL LTD VOTING
USD -.01
:16R:FIA
:11A::DENO//USD
:16S:FIA
:16R:ACCTINFO
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/3650/CEDELULLXXX/XZ
:93B::ELIG//UNIT/N303,
:16S:ACCTINFO
:16S:USECU
:16R:CADETL
:98A::EFFD//20121112
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//CASH
:17B::DFLT//Y
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN BSP2388J1092
/CH/873442
PTG SHS -A- CERBERUS
INTERNATIONAL LTD VOTING
USD -.01
:36B::ENTL//UNIT/9,254
:92D::NEWO//3,0541555/100,
:98A::PAYD//20121116
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//DEBT
:97A::CASH//02300000099999050000T
:19B::GRSS//USD212,38
:19B::RESU//USD212,38
:19B::ENTL//CHF197,25
:98A::PAYD//20121116
:98A::EARL//20121116
:98A::VALU//20121116
:92B::EXCH//USD/CHF/0,9288
:90B::OFFR//ACTU/USD22,95
:16S:CASHMOVE
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "LIQU Liquidation Payment"

(MT566, Outbound)
:16R:GENL
:20C::CORP//01000797110001
:20C::SEME//0230KE4893420
:23G:NEWM
:22F::CAEV//LIQU
:98C::PREP//20121012100500
:16R:LINK
:20C::CORP//01000797110001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/5000/INSECHZZXXX/US
:35B:ISIN BSP2388J1092
/CH/873442
PTG SHS -A- CERBERUS
INTERNATIONAL LTD VOTING
USD -.01
:16R:FIA
:11A::DENO//USD
:16S:FIA
:93B::CONB//UNIT/307425,
:16S:USECU
:16R:CADETL
:98A::EFFD//20121111
:16S:CADETL
:16R:CACONF
:13A::CAON//001
:22H::CAOP//CASH
:11A::OPTN//USD
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN BSP2388J1092
/CH/873442
PTG SHS -A- CERBERUS
INTERNATIONAL LTD VOTING
USD -.01
:36B::PSTA//UNIT/9389,238
:94B::SAFE//SHHE/5000/INSECHZZXXX/US
:92D::NEWO//3,0541555/100,
:98A::POST//20121012
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999500000C
:19B::GRSS//USD215483,01
:19B::PSTA//USD215483,01
:98A::POST//20121012
:98A::VALU//20121116
:98A::PAYD//20121116
:98A::EARL//20121116
:90B::OFFR//ACTU/USD22,95
:16S:CASHMOVE
:16S:CACONF
-

Page 12 of 20

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

3.

Corporate Action related Notification & Confirmation

Messages

3.1

Non Income related formatting rules for MT564

Remarks:
The SWIFT tag number is equivalent to the numbering in the SWIFT MT564 Format Specifications for the SWIFT Standard Release 2012.
SWIFT
tag

Generic

UBS rule

Mandatory Sequence A General Information

3
20C
CORP
Reference
Corporate Action
Reference

:4!c//16x

:4!c//16x

UBS usage:
max. 16x = UBS transaction
number
UBS usage of 16x:
3x = UBS internal application
number
max. 13x = technical key

20C

Qualifier

Content/
Options

no

Tag

SEME

Field Name

Reference

Detailed Field Name

Sender's message
reference

Mandatory Sequence B Underlying Securities

15
35B
Identification of the
Financial Instrument

UBS AG, Version 1.0, 19 November 2012

[ISIN1!e12!c]
[4*35x]

UBS usage:
ISIN followed with ISIN number
x35 - 1st occurrence:
UBS description of the FI

Page 13 of 20


3.2

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Non Income related formatting rules for MT566

Remarks:
The SWIFT tag no is equivalent to the numbering in the SWIFT MT566 Format Specifications for the SWIFT Standard Release 2012.
SWIFT
tag
no

Generic
Tag

Options

UBS rule

Mandatory Sequence A General Information

2
20C
CORP
Reference
Corporate Action
Reference

:4!c//16x

:4!c//16x

UBS usage:
max. 16x = UBS transaction
number
UBS usage of 16x:
4x = UBS branch
2x = UBS application ID
10x = UBS transaction reference

20C

Qualifier

Content/

SEME

Field Name

Reference

Detailed Field Name

Sender's message
reference

Mandatory Sequence B Underlying Securities

14
97A
SAFE
Account
Safekeeping
Account

15

16

94a

SAFE

Place

35B

Place of
Safekeeping

:4!c/[8c]/4!c[/30x]

Identification of the
Financial Instrument

[ISIN1!e12!c]
[4*35x]

Optional repetitive Subsequence D2 Cash Movement

78
97a
CASH
Account
Cash Account

UBS AG, Version 1.0, 19 November 2012

:4!c//35x

:4!c//35x

UBS usage:
Only format option A is used
UBS usage of 35x:
4x = Swiss Clearing number of
UBS Branch
12x = UBS account number
UBS usage:
Format option B is used
The Place of Safekeeping is only
provided for 'Shares held
elsewhere'; therefore only SWIFT
Code 'SHHE' is used
UBS usage of 30x:
4x = UBS depository code
1x = '/'
11x = BIC of the depositary
1x = '/'
2x = ISO Country Code.
UBS usage:
ISIN followed with ISIN number
x35 - 1st occurrence:
/CH/Swiss Valorennummer
x35 - 2nd to 4th occurrence:
UBS description of the FI
UBS usage:
Only format option A is used
UBS usage of 35x:
4x = Swiss Clearing number of
UBS Branch
12x = UBS account number

Page 14 of 20


3.3

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Split"

Example "SPLF - Split"

(MT564, Outbound)
:16R:GENL
:20C::CORP//23991
:20C::SEME//GHQ10279695929
:23G:NEWM
:22F::CAEV//SPLF
:22F::CAMV//MAND
:98C::PREP//20121003163306
:25D::PROC//PREU
:16S:GENL
:16R:USECU
:35B:ISIN CH0010474218
Day Software Hldg N
:16R:ACCTINFO
:97A::SAFE//02300000999999S1
:94B::SAFE//SHHE/1000/CH
:93B::ELIG//UNIT/363,
:93B::SETT//UNIT/363,
:16S:ACCTINFO
:16S:USECU
:16R:CADETL
:98A::ANOU//20121002
:98A::RDTE//20121011
:98A::XDTE//20121008
:22F::ADDB//CNTR
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//SECU
:17B::DFLT//N
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN CH0010474218
Day Software Hldg N
:16R:FIA
:36B::MINO//UNIT/1,
:16S:FIA
:22F::DISF//RDDN
:92D::NEWO//10,/1,
:98A::PAYD//20111013
:16S:SECMOVE
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN CH0010474218
Day Software Hldg N
:98A::PAYD//20111013
:16S:SECMOVE
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "SPLF Split"

(MT566, Outbound)
:16R:GENL
:20C::CORP//SPLF005071400000
:20C::SEME//0230EG2516450001
:23G:NEWM
:22F::CAEV//SPLF
:98C::PREP//20121015134140
:16R:LINK
:13A::LINK//565
:20C::RELA//TESTRXR
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:35B:ISIN US0258161092
/CH/906153
AMERICAN EXPRESS
:93B::CONB//UNIT/6153,
:16S:USECU
:16R:CACONF
:13A::CAON//013
:22H::CAOP//SECU
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN US0258161092
/CH/906153
AMERICAN EXPRESS
:36B::PSTA//UNIT/6153,
:94B::SAFE//SHHE/1000
:92D::NEWO//2,/1,
:98C::POST//20121015133713
:98A::PAYD//20121115
:16S:SECMOVE
:16S:CACONF
-

Page 15 of 20


3.4

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Tender"

Example "TEND - Tender"

(MT564, Outbound)
:16R:GENL
:20C::CORP//23931
:20C::SEME//GHQ10278693233
:23G:NEWM/COPY
:22F::CAEP//REOR
:22F::CAEV//TEND
:22F::CAMV//VOLU
:98C::PREP//20121005114614
:25D::PROC//PREC
:16S:GENL
:16R:USECU
:35B:ISIN CH0010474218
Day Software Hldg N
:16R:ACCTINFO
:97A::SAFE//02300000999999S1
:94B::SAFE//SHHE/1000/INSECHZHXXX/CH
:93B::ELIG//UNIT/5000,
:93B::SETT//UNIT/5000,
:16S:ACCTINFO
:16S:USECU
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//CASH
:17B::DFLT//N
:98A::RDDT//20121024
:69A::PWAL//20121010/20121025
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN CH0010474218
:98B::PAYD//UKWN
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//CRED
:98B::PAYD//UKWN
:90B::OFFR//ACTU/CHF2,
:16S:CASHMOVE
:16S:CAOPTN
:16R:CAOPTN
:13A::CAON//002
:22F::CAOP//NOAC
:17B::DFLT//N
:98A::RDDT//20121024
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Example "TEND - Tender (1st leg)"

(MT566, Outbound)
:16R:GENL
:20C::CORP//TEND005073200000
:20C::SEME//0230EG2522278001
:23G:NEWM
:22F::CAEV//TEND
:98C::PREP//20121019140930
:16R:LINK
:13A::LINK//565
:20C::RELA//TESTRXR 20/64
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:35B:ISIN US1912161007
/CH/919390
COCA-COLA CO.
:93B::CONB//UNIT/1000,
:16S:USECU
:16R:CACONF
:13A::CAON//001
:22H::CAOP//OTHR
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN US1912161007
/CH/919390
COCA-COLA CO.
:36B::PSTA//UNIT/1000,
:94B::SAFE//SHHE/1000
:98C::POST//20121019140552
:98A::PAYD//20121130
:16S:SECMOVE
:16S:CACONF
Example "Tender (2nd leg)"
(MT566, Outbound)
:16R:GENL
:20C::CORP//TEND005073200000
:20C::SEME//0230EG2522278002
:23G:NEWM
:22F::CAEV//TEND
:98C::PREP//20121019140930
:16R:LINK
:22F::LINK//AFTE
:13A::LINK//566
:20C::PREV//0230EG2522278001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:35B:ISIN US1912161007
/CH/919390
COCA-COLA CO.
:93B::CONB//UNIT/1000,
:16S:USECU
:16R:CACONF
:13A::CAON//001
:22H::CAOP//OTHR
:16R:CASHMOVE
:22H::CRDB//CRED
:97A::CASH//02300000099999600000Z

Page 16 of 20

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

:19B::GRSS//EUR11904,
:19B::PSTA//EUR11904,
:98A::VALU//20121130
:98C::POST//20121019140552
:90B::OFFR//ACTU/EUR5,952
:16S:CASHMOVE
:16S:CACONF
-

UBS AG, Version 1.0, 19 November 2012

Page 17 of 20


3.5

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

Message Examples for "Rights Issue"

Example "RHTS - Rights Issue"

(MT564, Outbound)
:16R:GENL
:20C::CORP//23975
:20C::SEME//GHQ10279695450
:23G:NEWM
:22F::CAEV//RHTS
:22F::CAMV//VOLU
:98C::PREP//20121005125026
:25D::PROC//PREC
:16S:GENL
:16R:USECU
:35B:ISIN GRS003013000
Nat Bank Greece Reg
:16R:ACCTINFO
:97A::SAFE//02600000999999S1
:94B::SAFE//SHHE/3552/CITIGRAAXXX/GR
:93B::ELIG//UNIT/5000,
:93B::SETT//UNIT/5000,
:16S:ACCTINFO
:16S:USECU
:16R:INTSEC
:35B:ISIN GRS003013023
Nat Bank Greece Reg Rts
:22F::DISF//RDDN
:22F::SELL//RENO
:92D::RTUN//1,/1,
:98A::POST//20121017
:98B::EXPI//UKWN
:69A::TRDP//20121017/20121026
:16S:INTSEC
:16R:CADETL
:98A::RDTE//20121019
:98A::XDTE//20121017
:16S:CADETL
:16R:CAOPTN
:13A::CAON//001
:22F::CAOP//EXER
:22F::DISF//RDDN
:17B::DFLT//N
:98A::RDDT//20121026
:69A::PWAL//20121017/20121029
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN GRS003013023
:98A::PAYD//20121031
:16S:SECMOVE
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN GRS003013000
:92D::NEWO//1,/1,
:98A::PAYD//20121031
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//DEBT
:98B::PAYD//UKWN
:90B::PRPP//ACTU/EUR2,
:16S:CASHMOVE
:16S:CAOPTN
:16R:CAOPTN
:13A::CAON//002
:22F::CAOP//SLLE
:17B::DFLT//N
:16R:SECMOVE

UBS AG, Version 1.0, 19 November 2012

Example "RHTS - Rights Issue (Credit of rights)"

(MT566, Outbound)
:16R:GENL
:20C::CORP//RHTS004247900000
:20C::SEME//0230EG2287156001
:23G:NEWM
:22F::CAEV//RHTS
:98C::PREP//20121025064754
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:35B:ISIN BG1100019980
/CH/944741
IH Bulgaria (BUL)
:93B::CONB//UNIT/23210,
:16S:USECU
:16R:CADETL
:98A::XDTE//20121025
:16S:CADETL
:16R:CACONF
:13A::CAON//999
:22H::CAOP//SECU
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN BG4000015116
/CH/13753583
IH Bulg R 17.10.12 (BUL)
:36B::PSTA//UNIT/23210,
:94B::SAFE//SHHE/1000
:92D::ADEX//1,/1,
:98A::POST//20121025
:98A::PAYD//20121025
:16S:SECMOVE
:16S:CACONF
Example "RHTS - Rights Issue (Exercise, debit of
rights, 1st leg)"
(MT566, Outbound)
:16R:GENL
:20C::CORP//RHTS002032200000
:20C::SEME//0230EG2290204001
:23G:NEWM
:22F::CAEV//RHTS
:98C::PREP//20121031140946
:16R:LINK
:13A::LINK//565
:20C::RELA//TEST
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:35B:ISIN BG4000015116
/CH/13753583
IH Bulg R 17.10.12 (BUL)
:93B::CONB//UNIT/68552,
:16S:USECU
:16R:CADETL
:98A::XDTE//20121003
:16S:CADETL
:16R:CACONF
:13A::CAON//001

Page 18 of 20


:22H::CRDB//DEBT
:35B:ISIN GRS003013023
:98B::PAYD//UKWN
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//CRED
:98B::PAYD//UKWN
:16S:CASHMOVE
:16S:CAOPTN
:16R:CAOPTN
:13A::CAON//003
:22F::CAOP//OVER
:17B::DFLT//N
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN GRS003013000
Nat Bank Greece Reg
:98A::PAYD//20121031
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//DEBT
:98B::PAYD//UKWN
:16S:CASHMOVE
:16S:CAOPTN
:16R:CAOPTN
:13A::CAON//004
:22F::CAOP//NOAC
:17B::DFLT//N
:16S:CAOPTN
-

UBS AG, Version 1.0, 19 November 2012

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

:22H::CAOP//EXER
:16R:SECMOVE
:22H::CRDB//DEBT
:35B:ISIN BG4000015116
/CH/13753583
IH Bulg R 17.10.12 (BUL)
:36B::PSTA//UNIT/68552,
:94B::SAFE//SHHE/1000
:98C::POST//20121031140544
:98A::PAYD//20121031
:16S:SECMOVE
:16S:CACONF
-

Example "RHTS - Rights Issue (Exercise, credit of new

shs, 2nd leg)"
(MT566, Outbound)
:16R:GENL
:20C::CORP//RHTS002032200000
:20C::SEME//0230EG2290204002
:23G:NEWM
:22F::CAEV//RHTS
:98C::PREP//20121031140946
:16R:LINK
:22F::LINK//AFTE
:13A::LINK//566
:20C::PREV//0230EG2290204001
:16S:LINK
:16S:GENL
:16R:USECU
:97A::SAFE//02300000099999S1
:94B::SAFE//SHHE/1000
:35B:ISIN BG4000015116
/CH/13753583
IH Bulg R 17.10.12 (BUL)
:93B::CONB//UNIT/68552,
:16S:USECU
:16R:CADETL
:98A::XDTE//20121003
:16S:CADETL
:16R:CACONF
:13A::CAON//001
:22H::CAOP//EXER
:16R:SECMOVE
:22H::CRDB//CRED
:35B:ISIN BG1100019980
/CH/944741
IH Bulgaria (BUL)
:36B::PSTA//UNIT/137104,
:94B::SAFE//SHHE/1000

Page 19 of 20

Generally accessible
UBS SWIFT Usage Guide, SWIFT SR 2012
SWIFT Standards Release 2012
Technical Formatting of Corporate Action
Message Types

:92D::NEWO//2,/1,
:98C::POST//20121031140544
:98A::PAYD//20121031
:16S:SECMOVE
:16R:CASHMOVE
:22H::CRDB//DEBT
:97A::CASH//02300000099999020000V
:19B::GRSS//CHF1919456,
:19B::PSTA//CHF1919456,
:98A::VALU//20121031
:98C::POST//20121031140544
:90B::PRPP//ACTU/CHF14,
:16S:CASHMOVE
:16S:CACONF
-

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UBS 1998-2012. All rights reserved.

UBS AG, Version 1.0, 19 November 2012

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