Home

Asset Servicing Client User Manual

1. ATO000193370 VA HYPNOE CMS SCHVO05 17 4 Event Name INTR Interest Payment Status Notified Event Type MandatoryWithoutChoice Face Value Currency EUR Ex Record Date 11 05 2015 Eligible Rem Quantity 5 000 000 5 000 000 FAMT Create Breakdown Instruction View Breakdown Instructions General Information Options Entitlements Narrative Notifications Sec Acc Notification Type Mise Type Msg Function Msg Format Creation Date 236500 Corporate Action Notification 564 NEWM Swift 21 04 2015 09 15 17 Ey Figure 11 Event Detail Notifications INFO Depending on the selected event Event Name the tabs showing the detailed information may contain different fields and data 20 Income Events CSD GmbH How to search for an income event Step by Step 1 5 6 In the menu bar select the menu item Search Event The search screen appears The system automatically inserts the appropriate predefined values into the fields Party topmost entry in the list of available securities accounts Event Name all Event Type mandatory Reference Date from date one week before the current date Reference Date to date two weeks after the current date Max Results per Page 25 TIP If necessary modify the entries in the automatically filled in fields Enter the desired search criteria in the available fields Click on the search button The search result list containing all events matching your
2. Field Descriptions Options Entitlements Tab Cash and Securities Movements Information Explanation Option Number This is the unique number of the option as specified in the notification 28 Income Events Information Option Type Default Option Instructed Cash Movement see above Cash Movements Securities Movement see below Securities Movements CSD GmbH Explanation This is the type of option INFO The current version of the Asset Servicing Client supports options of the type Cash Option only This indicates whether the settled option is a default option or not In the case of events for which a breakdown instruction has been created this is the total of the instructed quantity Entitlements Based on Positions Calculation Safekeeping Quantity Securities Movement Status This is the custody type the custodian and the position nature of the financial instrument Possible custody types GS collective clearing custody WR fiduciary collective custody B individual custody The entry Settled under Position Nature indicates a settled securities position the entry Blocked indicates a blocking securities account This is the eligible quantity or nominal value as per reference date This is the quantity of the securities credited or debited or to be credited or debited This is the processing status of the event Possible entries confirmed confirmation was sent event
3. each based on the selected party To limit your search you can enter a period of time within which the entitlements were determined How to Open the Search Event Screen Step by Step 1 In the menu bar select the menu item Search Event The search screen appears Search Criteria Main Reference Event Name at o O Event Type mandatory Reference Date from 01 05 2015 Reference Date to 22 05 2015 Ez Max Results per Page 5 search Figure 6 Search Event TIP Clicking on search without entering search criteria lists all events available in the system for the first securities account displayed in the list If you have the user permission to access more than one securities account and want to search for specific events for a different securities account or for events of a specific category enter criteria in the fields which best characterise the events you are looking for Income Events Max Result on Pas search 1 Main Reference Event Name Sec Acc ISIN Ref Date Eligible Quantity Detail INTROOO29920 INTR Interest Payment 227200 ATOOQOOAQEXO2 09 01 2015 332 500 FAMT INTROOO 9921 INTR Interest Payment 227200 ATOOO0A0G2V0 09 01 2015 2 606 000 FAMT INTROOO29952 INTR Interest Payment 227200 ATO000342696 09 01 2015 281 000 FAMT INTROOO29954 INTR Interest Payment 227200 ATOOO0A04637 09 01 2015 206 000 FAMT INTROO045495 INTR Interest Payment 227200 ATOO00342704 09 01 2015 300 000 FAMT INTROO046
4. search only for instructions to events with the event code PCAL PRED Partial Redemption without Reduction of Nominal Value to search only for instructions to events with the event code PRED REDM Final Maturity to search only for instructions to events with the event code INTR SHPR Shares Premium Dividend to search only for instructions to events with the event code SHPR 41 Instructions Field Content by system Entry by user Input Assist Length Event Type mandatory z INFO The current version of the Asset Servicing Client supports the search for events without choice only Creation Date range within which the creation Calendar icon DD MM YYYY Date from date of the instruction s to be found to shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Max 25 Selection from 10 25 and 50 Selection Results per The system displays 25 search Page results on each page of the search result list 42 Instructions CekB CSD GmbH 5 2 Instruction Authorisation You can approve breakdown instructions which were created but have not yet been released according to the 4 eyes principle reject their approval or cancel instructions you entered previously The Instruction Authorisation list shows all instructions in the system currently awaiting a
5. 2015 Ez Creation Date to 08 05 2015 Max Results per Page search Figure 27 Search Notifications Create Date tron x75 _ Create Date to aa 7 search Main Reference Sec Acc Notification Type Msg Type Msg Function Msg Format Creation Date INTROOO29920 227200 Corporate Action Notification 564 NEWM Swift 12 01 2015 14 21 41 Li aa w AA a a A a lt a 4 R201 a Figure 28 Search Notifications search result list The following four types of notifications are available in the Asset Servicing Client CA Confirmation Reverse MT566 CA Narrative MT568 CA Notification MT564 46 Notifications CSD GmbH CA Confirmation MT566 6 1 1 Searching for Notifications If you want to see the original SWIFT message of a notification or the PDF report depending on the communication method specified for the securities account you need to search for the notification you are looking for Then you can select the required notification in the search result list 47 Notifications TIP Alternatively you will find the notifications in the Notifications tab of the Event Details screen 1 FOLOEKOATWOXXXX0000000000 2 IS64RZBAATWWAXXXN 3 108 C521057430 4 16R GENL 20C CORP INTROO029920 20C SEME CS21057430 23G NEWM 22F CAEV INTR 22F CAMV MAND 98C PREP 20150112142937 25D PROC COMP 165 GENL 16R USECU 35B ISIN ATOOOQOAOCEXO2 BAWPSK WOHNB WA10 25 01 16R FIA 22
6. 4 3 Detail View of Events with Securities Movements Options Entitlements Tab Breakdown Instructions for Events 4 5 1 Non Redemption of Securities at Maturity Cash Collection 4 5 2 Notification of Reduced Withholding Tax Rate Tax Breakdown 4 5 3 View Breakdown Instructions for an Event 5 Instructions 5 1 I All Breakdown Instructions 5 1 1 Searching for a Breakdown Instruction 5 1 2 Field Descriptions Search All Breakdown Instructions Instruction Authorisation 5 2 1 Approving or Rejecting a Breakdown Instruction 5 2 2 Cancelling a Breakdown Instruction 6 Notifications 6 1 Search Notifications o C o CO N N O O oo i i i o i NM O N N Oo N O NNN O O1 OS N on 28 30 32 34 35 36 38 38 39 40 43 43 44 46 46 Table of Contents 6 1 1 Searching for Notifications 6 1 2 Field Descriptions Search Notifications 7 Glossary 8 Index 47 49 51 53 Table of Figures CSD GmbH T able of Figures Figure 1 Login Portal for OeKB Online Services ssssecssecccccssssscsecccesccsssceeccceeseassssessccesaeasssssecceceneasseesscceesoaaseates 10 Figure 2 List of available services in the OeKB Login Portal cccccccccssssssseeccccccsssssacccccceeassssaseccceneassesaseceeeeaasesess 11 Figure 3 Entry page Home of the Asset Servicing Client 00 0 eeesssecccccccssssssececcceeeeesseeccccceseeesseececcessueasseeeecees
7. Breakdown Instructions Instruction Authorisation Content Servicing Client and of the user manual Structure of the Asset Servicing Client user interface and overview of the user interface s elements Search income events and create breakdown instructions Search specific breakdown instructions in the system Display breakdown instructions waiting for release and open breakdown instructions and approve reject or cancel them User Benefit Users will learn how to get started with the Asset Servicing Client and become familiar with the Asset Servicing Client user manual Users will find support when learning how to use the Asset Servicing Client and find out about the structure of the Asset Servicing Client s user interface and all elements used on the interface Users will learn how to search for income events and how to create breakdown instructions starting from there Users will learn how to search for specific breakdown instructions Users will see all open breakdown instructions and breakdown instructions waiting for release and will learn how to authorise them or reject their approval and how to cancel instructions they entered previously User Group Users working with the Asset Servicing Client for the first time Users working with the Asset Servicing Client for the first time Users looking for an overview of GUI elements and how to use them Users whose task it is to w
8. E A E T A E A E T 12 aC UVE TOO aaa a AEE 12 da e medar E E N 13 disabled field accncsyasvesasaccusdavysevenotesseasoinrstedaisceeeperereuenntaes 12 drop down field ssesseeeenssssseeeessssseeeessssseesesssssseeeesssss 13 grey TEI ies ciavivesctanaustapetisawibavenctdseveneavharestbuiaNiscntioneinvedetess 12 HOUT E Cl E AT 12 PAINTS o E E E S A E E EENS 12 number Meld senrenieri kne 12 Final Mat rity ecni 18 39 Final Maturity event category coooooooo00000000000 18 39 fiscal handling cacensiasstevssieadsnssassteorkanctetivasctetscteoteiseasetonetits 32 Full Call Early Redemption cccccccsssssssseceeees 18 39 Full Call Early Redemption event category 18 39 function link GK REE EE AE E E E EE 14 lOD a ale cate aa aaa eens cence 14 icon a E A A A E E AA EEA EA A E EEE 12 A with arrow pointing GOWN cccccccssssseseeceeeeeeeeeeeeeess 14 A with arrow pointing Up s eessssssseersssssseeesssssseeerssssseee 14 e EEIE PTE N A E 14 arrow between horizontal liN S cccccssseeseeceeecseeeeeees 14 arrow pointing down between horizontal lines 14 arrow pointing up with line ON tOp ce eeeeseceeeeeeeeeeees 14 arrow With double line ON tOP eececccccsessseeeeececeeeeeeees 14 See EE EE E E E E 13 SNS a E N E EE ENE 14 CISD ccucasanvicatseneucnsicirecudaiiusassenvinutieeiabiee Gare wmuansowns 14 double line with arrow pointing UP
9. Instructions Step by step instructions guide you through the described procedure in the Asset Servicing Client and lead to the desired result in individual steps The steps are listed individually in the form of a numbered list How to proceed to get this result Step by Step 1 Perform step 1 2 You have the following options About the Manual CSD GmbH a For option a proceed like this b For option b proceed like this 3 Perform step 3 2 2 5 Typographic Conventions The following table indicates how different types of information are displayed in the user documentation These conventions facilitate reading and highlight information of particular importance Type of Information Representation Menu paths In italics starting at the main menu entry and using the symbol gt between all menu items Example Search Instructions gt All Breakdown Instructions Menu items In italics Example Menu item Search Event GUI elements In boldface Example the search button the General Information tab Cross references Hyperlinks Example see chapter Income Events When you are using the PDF version of the user manual the links also function as hyperlinks The Asset Servicing Client 3 The Asset Servicing Client The Asset Servicing Client provides access to the Asset Servicing of the OeKB CSD The Asset Servicing Client is used for the settlement of income It also includes functionalities for creating breakdown instructions and fo
10. Servicing Client The Asset Servicing Client will open in a separate window of your web browser The Asset Servicing Client CekB CSD GmbH Change password Logged in Mrazek Karoline amp Logout E m B Login Portal gt Home Downloads T T E T T E gia am Cat Ga F indicated below To access a service click on its name T Login Portal User Manual Please contact your company s in house administrator if you need further authorisations If OeKB is managing a your company s Users please contact the competent Service Center News 3 10 2014 New Conditions of Use for the OeKB Login Portal The new Conditions of Use for the OeKB Login Portal are valid after April 4th 2014 If you agree to the new Conditions of Use no further action is required for questions please contact us A TOP OeKB Oesterreichische Kontrolibank AG 2015 Privacy Policy Legal Notice Figure 2 List of available services in the OeKB Group Login Portal INFO The Asset Servicing Client is optimised for Internet Explorer and Mozilla Firefox in their latest versions It is not recommended to use other browsers 3 2 Logout To log out from the Asset Servicing Client simply close the browser window This logs off your user and terminates your user session 11 The Asset Servicing Client 3 3 Fields Buttons and Icons INFO Mandatory fields are marked with the character in the Asset Servicing Client They must be filled
11. eeeeccceeeeeeeeeeeeees 14 OWO essari AEN E donee aaasacnceseececess 14 lines with arrow pointing COWN cccccceeesseeeeeeceaeeeeees 14 lines with arrow pointing UP ssesssssssssseessssssereessssseeerss 14 E A E EAA AA EEE EE 14 PION CATION orasan a a a 14 E E E A A E A TE E A N 14 income event B 2 e E E A NE A E Oe 19 39 information DOK sssseescecessosssssssssecececcccosssssssseeeseceecosssssss 8 information types eeeseeeessssssssssesecececcccssssssssseeeeececcosssssss 9 MPU HON sacs sacnsaseceseseassteusensateesensae Gp enemrnesstpeeteeecun 12 input field disabled oooooooooessseseoooooesssssssssssssssooseses 12 Instruction Authorisation esessssseccccssssseccccsssseececossssee 43 Interest Payment s sisisssiiisirerosissssrinisinerisinrvesdsisissnininits 18 39 Interest Payment event category sccsssssees 18 39 CSD GmbH INI Rennan 18 39 MrodUCION creron EE AE 7 ISIN field Event Detail SCrEO N csscccccssseccccesecccceesececseeeceeeees 23 Search All Breakdown Instructions screen cceeeeee 40 SEO CI Event SCT CON erensia air NEN 22 Search Notifications SCrEQN cssscccceesscccceessccceeeeees 49 ISIN Melden 12 L l AV aA O TAO AONNE 11 line with arrow pointing dOWn essssssssseccccsssseecceossssee 14 line with arrow pointing UpP ssssssssesscossssseccosssseccccossssee 14 link 8E e EE EAS EAE AEE EA O eeuaesanceu
12. i EA EE E ET OE R 45 Figure 26 Confirmation cancellation cccccssssssssscccccsssssssseecccccessssssecccecccaaseseesccceseassssescccecacasscseseccceneasssesseceesoaanseaees 45 IOS 27 Car Gil NOC a e E EO E EEEE E 46 Figure 28 Search Notmications search result NSi sosisini aaa NENA A EAEN ENa ea ERAN 46 Figure 29 Original SWIFT message of a notification ssssssesssssssseerssssssseeresssssseeressssssseresssssseereesssseeceressssseeeresssssseeeesses 48 Document Versions and History of Changes 1 Document Versions and History of Changes Version Date Chapter Changes 1 0 29 07 2015 About the Manual 2 About the Manual CSD GmbH The manual describes the Asset Servicing Client of the OeKB CSD for use in the daily work processes You will learn how to work with the user interface which inputs and activities in the Asset Servicing Client produce the desired results and which general or special functions are available for the effective settlement of income from securities instructions 2 1 Structure of the Asset Servicing Client User Manual The following overview outlines the individual chapters of the Asset Servicing Client user manual and their contents The third column of the table describes the main benefit from the chapter for the intended user group in the last column Presentation of the Asset Introduction Instructions Chapter About the Manual The Asset Servicing Client Search Event All
13. is settled confirmation sent by SWIFT or e mail i e there are eligible positions and the pay date has already arrived not confirmed the event is not yet finally settled or the entry displayed refers to a cash collection breakdown instruction of a settled event 29 Income Events 4 4 3 Detail View of Events with Securities Movements Options Entitlements Tab For events with only securities movements in the Options Entitlements tab you will see the expected or effected worthless derecognitions TIP The table below the screenshot describes the information displayed in the Options Entitlements tab in greater detail General Information Options Entitlements Narrative Notifications Option Number Option Type Default Option Instructed 001 Lapse Option Yes 0 Securities Movement Impact Type Out Price Pay Date 21 01 2015 Parity ISIN ATO0D0A10VG7 Secunties Description RCE DISC ZERT 07 13 E Entitlements Safekeeping Quantity Secunties Movement Status 65 OEKE Settled 1 1 UNIT Confirmed Figure 14 Options Entitlements Tab for events with securities movements Field Descriptions Options Entitlements Tab Securities Movements Information Explanation Option Number This is the unique number of the option as specified in the notification Option Type This is the type of option INFO The current version of the Asset Servicing Client supports options of the type Cash Option only Default Option This indicates
14. nite ies catesct a aeescetnees 18 39 Status field Event Detail SCrE N csssscecccccseessseeecccsseessseeeceseeees 24 Search All Breakdown Instructions screen 0eeeeee 41 Step by step instructions description cccccccccceceeeees 8 SWIFT message notification ccccccccssssssssseseees 47 T TAK TE E E E E 32 35 UP DOW E 8 top function INK aesicccessacesessesceueseeeasceceanssec seneseseserenszaee 14 type KOUTO E E E E E 46 Type of Custody field Event Detail SClECM ciacescoxspcasioansnncy nition aa 25 CSD GmbH typographic conventions seesscssssseccccssssescccossssesecossssee 9 V View Breakdown Instruction button ccccssssssseees 13 RNS UA CUES aprini a A GE 8 W Warrant Exercise Mandatory cccsssssssssssssseees 18 39 Warrant Exercise Mandatory event category 18 39 WITRNOIGINE FAX assnret 32 withholding tax rate eessssssecccosssssecccssssescecossseeeesossssee 35 NOTTIE SS asai A 18 39 Worthless event category ssssssssssssssssesscceessssssss 18 39 ard e ONEEN 18 39 X h A E A A E E AE 18 Z zero withholding TAX eesscssssscccccosssesccccsssseececosssessesosss 35 57 OQ CENTRAL SECURITIES DEPOSITORY CeKB CSD GmbH Strauchgasse 3 1010 Vienna Austria Tel 43 1531 27 2100 csd oekb csd at www oekb csd at
15. unit which may be processed in the Asset Servicing Client Confirmation of entered data and submittal of the record to the system Unit of the Asset Servicing Client user interface which contains several elements fields for entering or displaying details of information List displayed after a search run was performed Search result lists contain the results which meet the defined search criteria See Four Eyes Principle Notification of a reduced withholding tax rate by means of a Breakdown Instruction Pop up text providing helpful information or explaining a certain screen element A tooltip is displayed when you hover the mouse pointer over e g a button or any other screen element for about 2 seconds Entries 0 E CSD GmbH 8 Index 0 Search Notifications screen sseeeeeesessssssssserreeeeresess 50 Creation Date to field 0 withholding taX sseeescosssseccccssssseccccssssecccosssseseeosos 32 Search All Breakdown Instructions screen eee 42 Search Notifications SCreen sssssssssssecccccccccceeeeeees 50 A Custodian field Event Detail screen sseseeeeeressssssssssrrreeereesssssssssreeeee 25 AOO a ssaaaceeseseecancstesnseeesnoneessuaecuncsteaaes 14 All Breakdown Instructions ssssssssssseeccccccsssssssssseseeeoo 38 D ADE OW Asipa E 43 approve dato Teld siriasi a 13 breakdown instructions essssssssseeessesssssssessssssssssssssses 43 d cimal pla CES srsansnnsaa asteece
16. which you have access if the according to your user permissions logged on user Is authorised to access more than one securities accounts ISIN ISIN of the event to be found 12 alphanum Main Unique reference of the event to be 16 max Reference found alphanum Event all Selection from the list Selection Name The system searches for CAPD Capital Distribution to search events with any event code only for events with the event code capital distribution CAPG Capital Gains Distribution to search only for events with the event code capital gains distribution DECR Decrease in Value to search only for events with the event code decrease in value DVCA Cash Dividend to search only for events with the event code cash dividend EXWA MAND Warrant Exercise Mandatory to search only for events with the event code warrant exercise mandatory INTR Interest Payment to search only for events with the event code interest payment MCAL Full Call Early Redemption to search only for events with the event code full call early redemption PCAL Partial Redemption with Reduction of Nominal Value to search only for events with the event code partial redemption with reduction of nominal value PRED Partial Redemption without Reduction of Nominal Value to search only for events with the event code partial redemption without reduction of nominal value REDM Final Maturi
17. with data before the record can be saved All fields in the following table may be mandatory fields Element Usage Function Fields Input field active All screens Input fields are active fields which you can fill with data Depending on the field field type they allow the input of text numbers dates or times Display field All screens Display fields are disabled for input They are displayed with a grey disabled field background You cannot enter data into a display field Number field All screens Only the following characters are allowed in number fields i The figures 0 to 9 Dots as thousands separators One comma per field as decimal comma NOTE When entering numbers please note that the number format used in the Asset Servicing Client is the German notation of numbers i e a full stop is used as the thousands separator and a comma is used as the decimal point You have the option to enter amounts unformatted without a thousands separator or formatted with a thousands separator The system validates the field entries e g when you save data and adds any thousands separators Depending on the field the figure is either displayed with or without decimal places ISIN field All screens In ISIN fields you can enter the 12 digit International Securities Identi AToOOOOT 0008 fication Number e g ATO0000720008 The Asset Servicing Client Element Usage Date field All screens 08 09 2014 Drop down fi
18. 611 INTR Interest Payment 227200 ATOOQOQAQMPEB1 09 01 2015 10 000 FAMT pa a a e m eA an O EAMT Figure 7 Search Event search result list The Asset Servicing Client offers the following twelve categories of income events Event Name CAPD Capital Distribution CAPG Capital Gains Distribution DECR Decrease in Value DVCA Cash Dividend EXWA Warrant Exercise Mandatory INTR Interest Payment MCAL Full Call Early Redemption PCAL Partial Redemption with Reduction of Nominal Value PRED Partial Redemption without Reduction of Nominal Value REDM Final Maturity SHPR Shares Premium Dividend WRTH Worthless Income Events CekBP CSD GmbH 4 1 1 Searching an Income Event If you want to see the details of an income event or create a Breakdown Instruction for it you need to search for the event you are looking for Then you can select the required event in the search result list Detail INTR00000050 Party 236500 Main Reference INTROOO00050 Event Name INTR Interest Payment Event Type Mandatory WithoutChoice Ex Record Date 11 05 2015 General Information Quantity 5 000 000 FAMT Options Entitlements Narrative Type of Custody Custodian GS OEKE Figure 8 Event Detail General Information Detail INTR00000050 Party 236500 Main Reference INTROOOO0050 Event Name INTR Interest Payment Event Type Mandatory WithoutChoice Ex Record Date 11 05 2015 Gener
19. A EE TEN A 46 47 aa aa a E E EON 46 AOLINGAON 2 asenr atedoia senate 46 notification VDE sea A 46 POFTODO a E RAN 47 SWIF I MESSAGE caninin na eE S 47 LY DS SEEE EE E ETE A T A E T 46 notification type GONG OL esasen E EEEE EAEE 47 Confirmation Reverse sesssessseeesssseessseceesseeessseeresseeeeese 46 MIGO Eea e tale nie a 46 MISO Buan an a A 46 NA UNE hear a E 46 NOUNCAUON esec E T 46 N tification Type serrie 46 Notification Type field Search Notifications screen essssseeessseeesssecessserersseeeesse 50 Notifications nedre a a aes to ieee O 46 notifications ICOMesian aaa aan a 14 number feld eios ds cdvenwicsisbessctscwsoee 12 O original message notification sssseseccccssossssssssseeee 47 own securities MOM FEGEMID UO eo anra E E E A 34 P Partial Redemption with Reduction of Nominal Value 18 39 Partial Redemption with Reduction of Nominal Value event categ OLY oeenn R OO 39 Partial Redemption without Reduction of Nominal Value NEN I PET E AE E A I E EEA e E AEN 18 39 Partial Redemption without Reduction of Nominal Value event CATEZOLY ccccccrssscccccsssccccssssscccssssscecseeeees 18 39 Party field Event Detall Sreem a saa a 23 Search All Breakdown Instructions screen 06ccceees 40 Seal Cl EVEN SCCM sci ics acsvacovscandoasaansanduseavauee susmanswosssaaes 22 Search Notifications screen ccccsesseccccessececeeesecceeees 49 PGR ernea ae A AE 18 39 PDF rep
20. Asset Servicing Client User Manual Version 1 0 July 2015 CSD GmbH Copyright Copyright All rights reserved Reproduction of text and data inclusive storage and usage on optical and electronic media is only allowed as agreed in contract or with the prior consent of Oesterreichische Kontrollbank AG The usage of data inclusive the insertion of this data in online services databases or websites by unauthorised third persons is prohibited Table of Contents Table of Contents 1 Document Versions and History of Changes 2 About the Manual 2 1 Led Structure of the Asset Servicing Client User Manual Visual Cues in the Asset Servicing Client User Manual 2 2 1 Tip Boxes 2 2 2 Information Boxes 2 2 3 Notes Boxes 2 2 4 Step by Step Instructions 2 2 9 Typographic Conventions 3 The Asset Servicing Client 3 1 3 2 3 3 3 4 Login Logout Fields Buttons and Icons The Entry Page Home 3 4 1 The Menu Bar 4 Income Events 4 1 4 2 4 3 4 4 4 9 Search Event 4 1 1 Searching an Income Event 4 1 2 Field Descriptions Search Event Information Displayed in the Event Detail View Information Displayed in the General Information Tab of the Event Detail View Information Displayed in the Options Entitlements Tab of the Event Detail View 4 4 1 Detail View of Events with Cash Movements Options Entitlements Tab 4 4 2 Detail View of Events with Cash and Securities Movements Options Entitlements Tab 4
21. E If necessary modify the entries in the automatically filled in fields Click on the search button The search result list containing all breakdown instructions matching your search criteria appears In the row of the notification you want to see click on the Notification icon E txt or pdf in the rightmost column to open the SWIFT message or the PDF report of the notification The system displays the SWIFT message in a new browser window Remember to close this browser window after viewing the message 6 Click on the previous browser window to return to the Search Notifications screen 6 1 2 Field Descriptions Search Notifications The following table describes the fields of the Search All Breakdown Instructions screen Field Content by system Entry by user Input Assist Length Party Main safekeeping account Selection from the securities Selection number accounts to which you have access if the logged ISIN according to your user permissions on user is authorised to access more than one securities accounts ISIN in the notification s to be found 12 alphanum 49 Notifications Main Reference Notification Type Message Format Creation Date from to Max Results per Page 50 Content by system all The system searches for notifications by SWIFT message type The system searches for notifications with any format The system displays 25 search results on each page of
22. F MICO A006 11A DENO EUR 98A COUP 20150111 984 MATU 20250111 16S5 FIA i16R ACCTINFO 97A SAFE 227200 94F SAFE CUST OEKOATWO 93B ELIG FAMT 332500 93B SETT FAMT 332500 16S ACCTINFO 165 USECU 16R CADETL 984A XDTE 20150112 69A INPE 20140111 20150110 994 DAAC 365 924 INTR 4 165 CADETL 16R CAOPIN 13A CAON 001 22F CAOP CASH 11A OPTN EUR 17B DFLT Y 16R CASHMOVE 22H CRDB CRED 984A PAYD 20150112 92A4 INTP 4 165 CASHMOVE 165 CAOPIN i16R ADDINFO 70E PACO Please contact BERT for Corporate action or Gerhard for Income 165 ADDINFO Figure 29 Original SWIFT message of a notification NOTE The system displays the SWIFT message in a new browser window Remember to close this browser window after viewing the message 48 Notifications OQ CSD GmbH How to Search for a Notification Step by Step 1 In the menu bar select the menu item Search Notifications The search screen appears The system automatically inserts the appropriate predefined values into the fields Party topmost entry in the list of available securities accounts Notification Type all Message Format all Creation Date from date one week before the current date Creation Date to the current date Max Results per Page 25 2 Enter an ISIN 3 Enter the desired search criteria in the available fields TIP NOT
23. a 32 Sali 1 E A A E AA A AT 17 Calendar ICON sisssesscsscststacsnsesvessssietessntessesssstuiossmnesscsscssasaess 13 event categories cccccscsscscscsssssssssssssscssscsssessssscesesees 18 39 CAPD on E 18 39 07N DION 18 39 CAPU Snan EE E E E 18 39 E e ee ee 18 39 Capital DistribUtion ccsccssscssrcesreeseestsceseeeees 18 39 Capital Distribution c ccscccsseccssesesseceeseseeseceeseeeeeeees 18 39 Capital Distribution event Category sereees 18 39 Capital Gains Distribution cccccescesseseeseseeteseeseens 18 39 Capital Gains Distribution ssssssecsssesssessseeeees 18 39 Cash NTA Ose accents abe ee Serie ance 18 39 Capital Gains Distribution event category s 18 39 O 18 39 ASU OUI SIO sri O 18 39 Decrease in VAalUC oooooccooocceoocecoooeeoooeeeoooeeo ooo 18 39 Cash Dividend event Category sssesersssereeree 18 39 BG PA E E T eee 18 39 Chapter OVerVieW ssssssesssssseseeeeeeesseeeeserrreeeeeeseseeeeeseeeeeeeeeeeeet 7 EW E A E E A tienes 18 39 Close applicatif assia 11 Final Maturity cccccscescececeeseceesecsesecsesecsesecseseceeeeceeees 18 39 confirmation seesseoosssosssoosseesssoosssosssoossessssossssosssosssee 47 Full Call Early Redemption ccccseccssecceseceeseceeseceeees 18 39 CONTIFIMAUON VEVErS Esiri an 46 Interest PayMent c cccccsccscesseseeceseeseseceescsescseenceeens 18 39 CONTO a chesereneerc agen excocavedconsscaseraseveseoctansuessde
24. aceescsiceeceeterectone 12 approve DULTON cecnandecinan 13 DEOR oean A 18 39 arrow between horizontal lines csscsessssssreeeseees 14 Decrease in Value ccsssccsssssccsssrccessscccsssecesseeees 18 39 arrow With double line on top eesssssssssessssscsscsscccsssesssess 14 Decrease in Value event category sssccsssssssoee 18 39 Asset Servicing Client definition scccccceceseees 10 Details a thorisati ON ssassn sarina 43 E 1 EESE A AEEA AAA EEE 19 39 EAE E E mee tacerseiaceeuens 19 39 B download ICON sssr 14 drop down field eeeeeeeooosssssssseseeccccocosssssssseseeeeeecosssssss 13 back function linKk ssesssesssesssesseesseessesseesseesseeseeeseesseessee 14 DATAE ARAE A E E A T T 18 39 breakdown instruction DO OS E A niet Aone E AAO 43 E SS Sec ET A T E E AT 38 button Eligible Rem Quantity field CDE OWS ve vaca susaboraeansepsacusetoesGanitoreaautetaratoessemmouseunmeuen 13 Event Detail SCre Nn cccccccssssscccccssscccocssscccceesesecees 24 Create Breakdown INStruction eee eeseseeeeeeeeessseeeees 13 Eligible Pos field EET E IE EAS E AS EANA SNA E 13 Event Detail screen 0sscccccssssscocsssecccccssseccccnssecceens 25 E E E S EE E E AE 13 GIVER Y Pal 14 View Breakdown INStruction cccccccccccccseessssssssseees 13 event WE 1 EATE N E EE EE E E E EE E 19 39 C NOMPECSIMP LON seroiiersisisroi teosesse roeier oii ter
25. al Information Option Number Cash Movement Impact Type Pay Date Options Entitlements Narrative Option Type Cash Option In 11 05 2015 Figure 9 Event Detail Options Entitlements Securities Account 236500 ISIN AT0000193370 VA HYPNOE CMS SCHV05 17 4 Status Notified Face Value Currency EUR Eligible Rem Quantity 5 000 000 5 000 000 FAMT Create Breakdown Instruction View Breakdown Instruc tons Notifications Pos Nature Eligible Pos Pend to reveice Pend to deliver Settled 5 000 000 0 0 Securities Account 236500 ISIN AT0000193370 VA HYPNOE CMS SCHV05 17 4 Status Hotfied Face Value Currency EUR Eligible Rem Quantity 5 000 000 5 000 000 FAMT Create Breakdown Instruc ton View Breakdown Instruc tons Notifications Default Option Instructed Yes 0 Price 5 19165 EUR Tax Rate 19 Income Events Detail INTROOO00050 Party 236500 Securities Account 236500 Main Reference INTROOOOO050 ISIN AT0000193370 VA HYPNOE CMS SCHV05 17 4 Event Name INTR Interest Payment Status Notified Event Type MandatoryWithoutChoice Face Value Currency EUR Ex Record Date 11 05 2015 Eligible Rem Quantity 5 000 000 5 000 000 FAMT Create Breakdown Instruction View Breakdown Instructions General Information Options Entitlements Narrative Notifications Figure 10 Event Detail Narrative Detail INTR00000050 Party 236500 Securities Account 236500 Main Reference INTROOO00050 ISIN
26. alue Currency Even DEA ane A ase 24 ISIN EVENE DOIR EET AONA 23 Search Breakdown INStruCtiOn csscccccsesseccceesseccenens 40 CANCE VC OEE AAO AAA 22 Searc NOUNCIUONS airia EEEE ENE 49 Main Reference EVONG DCT eaa E TAAA A A E 23 Search Breakdown INStruCtiOn cscccccccsseseceeeeeseceeeees 40 SGI CH EVEN eorr renn viguanes vaste wh eaguasmaudana N 22 SAI CH INOUNCAUONS reenen rie iaee ENE EE TE E 50 Max Results per Page Search Breakdown INStruCtiOn cscccccccseeseccceeeseceeeees 42 SEIrCEVONT rire ea a O NAAN 23 Search NOUNCAUONS xisiiecteaicrkeusacccenitdsseeetaariedibaistaceds 50 Message Format Search NOUIECATIONS scaccsscits cai debdanse eercan eases oaca tows 50 Notification Type Search NOCIONS one se Ee E 50 Party Event Delale aeiniar e AT 23 Search Breakdown INStruCtiOn ccscccccccessecccceeeseceeeees 40 SCAM EVCN anann ctor estas a 22 Seal CH NOUNGAHONS sirin a r 49 Pend to deliver Eveni DOTA eanes inene EE E E ddeoe EA D 25 Pend to receive EVON DO A e A E E AE 25 Pos Nature Event DEl a E AE T ER 25 Quantity EVENE DEII aiar ETNEA NENEA 25 Reference Date from SAIC EVON eri a a a 23 Reference Date to SCORN EVON cctsa ice e ai eae cakes eee 23 Securities Account Entries N Event Delal resena a ate eet non lanae 23 Status Evon DO aI eee ene a E EEEE 24 Search Breakdown Instruction cccccccsssseseececcenaeeeeeees 41 Type of Custody EVENE DO I orree EE E E 25 Ee
27. ance details for Austrian and international securities and can enter instructions TOP OeKB CSD GmbH 2015 Figure 3 Entry page Home of the Asset Servicing Client 3 4 1 The Menu Bar ft Home Search Event Search Instructions Search Notifications Figure 4 Menu bar of the Asset Servicing Client A At gt Contacts Asset Servicing Service Center 43 1 53127 2010 B 43 1 53127 5010 B assetservicing oekb csd at Links 1 OeKB CSD GmbH Downloads ly Asset Servicing Client Benutzerhandbuch ty Asset Servicing Client User Manual Legal Notice Disclaimer The menu bar shows all functions available to you when you are logged in as a user Depending on your user permissions some of the menu items shown below may be missing in your version of the client 15 The Asset Servicing Client Asset Servicing Client Menu Structure Search Instructions All Breakdown Instructions Instruction Authorisation Search Notifications Figure 5 Menu structure of the Asset Servicing Client Income Events CSD GmbH 4 Income Events Via the menu item Search Event you can search for specific events in the system and from there you can access the functionalities Create Breakdown Instruction and View Breakdown Instruction 4 1 Search Event You can search for events of different event codes event names for events involving a specific ISIN or for events meeting a combinations of these criteria
28. aneeeeeeae 14 TOD i E cutee encensdorc 14 LOSI a A 10 HO FOUL AEP E E A E A E E 11 M ULE ALLL cca AEE E E E E E E E EA 14 Main Reference field Event Detall Soi CEN keeseen 23 Search All Breakdown Instructions screen ccceeeeee 40 Search Event screen cscccccsssecccccesscccceesecceceeeeceeeenees 22 Search Notifications SCr n csseccccsesscccceesseceeeenees 50 mandatory fields iscsi ai 12 Max Results per Page field Search All Breakdown Instructions Maske 0008 42 Search Event screen cscccccssssccccesscceceesscceceesseceeeenees 23 Search Notifications SCr Qn sssccccessscccceesseceeeenees 50 E e T EEE E T T T PE E E 18 39 PIT SIMU Dal scacovcessac cana n E 15 menu item OG NC VO see voces E E E E A ET TTE 17 Search MNstruUctOnS sisisisisicisisisisrirsriissrsrasiessivsninsdidavinisena 38 Search Notifications ccccssssccccsesscccceesecccceesseceeeeeees 46 Menu tems seririseiierisirisnnn nna 15 Message Format field Search Notifications SCr QN csscccccsesscccceesseccceeeees 50 MIS Oi rnnnnnnan aE 46 IVE DO PPE E A 46 47 NET DOS EE A E ATE T A P A T A E 46 N narrative MOLTICANON TYGE saranen 46 NON FECSMPCON s sisssscsnsssdessasssacdsnsndssnsessssecsvssscsssvssasesivs 32 34 NOLES DOK ninina 8 notification Conmaicne eea ia 47 Entries O S connata rOver Eien vice alancteseseeteyselaenasevecsaetes 46 ARRE SiE PA EE E A E
29. asestutencesualdoes 40 Max Results per PASC 205 cacey sort aewenauer er wnssnseoeQeureorsenieees 42 Feel ly eienn casi EEA E TON E een dealer tadol 40 IUS sissccrnesdutowiessndteeeadst OA i AE TONS 41 SEALGCH EVEN Eor 17 Search EVEN onanan naa a 17 Search Event fields Event NGING eena AEA AIEEE 22 EVENT FYNE aaa ae e A O 23 OIN ieta E EE T EN 22 Main RELCT CN CEs unratunrarananaa a aa a ates 22 Max Results per Page ccccsssscccccssesccccssesccccessecceees 23 E A EE AE E E E E A E A E cease 22 Rererence Date MOMhessnriesiasianio ee 23 Search Instructi ns sic eserse esisitseescsusesei inini nesio idonis 38 Search Notifications cccccccsssssssccccccsssssccccccesesscees 46 Search Notifications fields OIN oannamen aa e n E 49 Man RETEPONGCicccscssssececcseseisesdesteatsbesdcansacsncesobavneeedienaded 50 Max R sults per Pafe mepi nan aE 50 Message Formales eeno A 50 NOUPCALONS TV OG akee E EE 50 Entries T Z FP AI EW arose EA A E EE Noa E Ne 49 Search Notifications fields Creation Date OM vinvicisscediecsidundiuete seniarescosdavsinewianeanesicuade 50 search DUTOT seriene 13 Securities Account field Event Detall Sere Oiissecinesrrer enre enrera E 23 Shares Premium Dividend ccccccccccccscccccceeeees 18 39 Shares Premium Dividend event category 18 39 Sheet ICOM ciesavcossssavesigtscnesineavncoasnavineienesenatsnivecssonaensnseuiveses 14 SHPR cc catsea cece ceases cece cececc
30. atus Event Type Face Value Currency Ex Record Date Eligible Rem Quantity 24 Entry Possible entries for the event code designation according to the SWIFT Manual CAPD Capital Distribution CAPG Capital Gains Distribution DECR Decrease in Value DVCA Cash Dividend EXWA MAND Warrant Exercise Mandatory INTR Interest Payment MCAL Full Call Early Redemption PCAL Partial Redemption with Reduction of Nominal Value PRED Partial Redemption without Reduction of Nominal Value REDM Final Maturity SHPR Shares Premium Dividend WRTH Worthless Current processing status of the event Possible entries Created event was created Notified notification was sent Waiting Payment event is waiting for payment Confirmed event is settled Possible entries MandatoryWithoutChoice INFO The current version of the Asset Servicing Client supports the search for events without choice only The face value currency INFO For financial instruments with a price per unit this field shows the entry XXX for financial instruments with a price as percentage of par this field shows the ISO Code of the currency Ex date and or record data Eligible Quantity eligible securities position Remaining Quantity eligible positions minus the quantity for which a valid breakdown instruction either of the type Cash Collection or Tax Breakdown was issued Income Events CSD GmbH 4 3 Informati
31. cancellation How to Cancel a Breakdown Instruction You Entered Previously Step by Step 1 In the menu bar select Search Instructions gt Instruction Authorisation The list of open breakdown instructions and breakdown instructions awaiting approval appears 2 In the row of the breakdown instruction you want to see click on the Detail icon 5 in the rightmost column to open the Detail screen of the instruction The system displays the instruction details 3 To cancel the instruction click reject A confirmation screen appears 4 Click on yes to confirm the cancellation of the instruction The record will be deleted and is no longer displayed The Instruction Authorisation list appears again 45 Notifications 6 Notifications Via the menu item Search Notifications you can search for notifications about parties or ISIN 6 1 Search Notifications You can search for all notifications in the system for notifications of a specific type for notifications in a certain message format or for notifications meeting a combination of these criteria each based on a selected party and ISIN To limit your search you can enter a period of time within which the notification was created How to Open the Search Notifications Screen Step by Step 1 In the menu bar select the menu item Search Notifications The search screen appears 7 Search Criteria Main Reference OOOO Notification Type MessageFormat ali Creation Date from 01 05
32. ccesscassaessaderaeats 14 INTR oocoooocccoooccecooee cee 18 39 Create Breakdown Instruction button see 13 IG e EAE TE T O 18 39 Creation Date from field Search All Breakdown Instructions screen 0 08 42 Partial Redemption with Reduction of Nominal Value 18 39 53 Entries F F Partial Redemption without Reduction of Nominal Value 18 39 OP Uecietag edt vas eps teeta A 18 39 PRED cacsecaceuce E eeanvuenn saevaeeaeaceacnaoas 18 39 REDMI t 18 39 Shares Premium Dividend sssssesssessesssssessssesssssessessee 18 39 SHP R aaa A a 18 39 Warrant Exercise Mand eessesssssessessssssssssessessessesse 18 39 Warrant Exercise Mandatory cccccsssesseccceceeeeeeees 18 39 WHORES Sis devicnsensideedaicetinecncelcespsuesecegeeattacdecsbinegesieee 18 39 WRTA curae n G 18 39 event COGC sieeossi on ni ao ia e 18 39 Event Detail fields Cuslodiaii anelai comes autoaeel tay autaoeceaiees 25 ENEIDE FOS parenta e a E N NTS 25 Event Nare smrrinus irutan A A a ae 24 Event IW DCs ccassserscevsssracai a danced shendageeaseacses 24 Face Valle CUrrenGy sensore irsini oasen 24 S a AE E E AAE A E T I 23 Mali Refere nC eeann daa N 23 PI a E E E OE NO 23 Pend tO dElNVe ndra a teak gauGhiacwe iene anaes 25 Pend PO MECEIV EG igun a O A 25 Pos Nalu Gai T 25 CQ GIAE OY NEE E E AE E AE E E E EEE 25 SECUTITIOS ACCOUN riai a came Miecudereiace 23 SLUG aen a O E tase 24 Type O
33. ce which displays data in the form of a table For example lists are filled with the appropriate data after a search was performed The lists display data in a predefined layout Registration of a user at a software application For this purpose user data are entered which identify the user within the system A successful login is the prerequisite for working with the Asset Servicing Client Login is carried out on the login page for OeKB CSD Online Services 51 OQ Glossary Begriffe und Termini Logout Menu Online Services Record Save Screen Search result list Second Person Authorisation Tax Breakdown Tooltip 52 Erl uterung Exiting of a user from a software application Users log out from the Asset Servicing Client by closing the browser window This ends the current user session with the system A new login is possible via the Login Portal for OeKB CSD Online Services The main menu of the Asset Servicing Client contains all available program functions in the form of menu items grouped in a clear hierarchical structure Services of the OeKB e g for the settlement of income providing state of the art user friendly real time systems and professional support The Login Portal of the OeKB Online Services is where you can log on to the Asset Servicing Client A data set which together represents a certain information unit An information unit may be e g a breakdown instruction i e an information
34. date EOD If applicable compensations and adjustments are also displayed TIP The table below the screenshot describes the information displayed in the Options Entitlements tab in greater detail 25 Income Events General Information Option Number Option Type Default Option Instructed 001 Cash Option Yes 0 Cash Movement Impact Type In Price 0 5 EUR Pay Date 23 04 2015 Tax Rate Entitlements Safekeeping Value Date Quantity Gross Tax Fees Net Status GS OEKB Settled 23 04 2015 177 500 887 50 EUR 0 00 EUR 887 50 EUR Confirmed Compensation Entitlements Safekeeping Value Date Quantity Gross Tax Fees Net Status Figure 12 Options Entitlements Tab for events with cash movements Field Descriptions Options Entitlements Tab Cash Movements Information Explanation Option Number This is the unique number of the option as specified in the notification Option Type This is the type of option INFO The current version of the Asset Servicing Client supports options of the type Cash Default Option Instructed Cash Movement Impact Type Price Pay Date 26 Options Entitlements Narrative Option only Notifications This indicates whether the settled option is a default option or not In the case of events for which a breakdown instruction has been created this is the total of the instructed quantity This indicates whether the cash movement is inbound or outbound Depending on the event type this shows
35. e Date to date two weeks after the current date Max Results per Page 25 2 Enter the desired search criteria in the available fields TIP If necessary modify the entries in the automatically filled in fields 3 Click on the search button 4 In the row of the event for which you want to create a breakdown instruction click on the Detail icon in the rightmost column to open the Detail screen of the event The system displays the event details General Information tab 5 Click on the Create Breakdown Instruction button The Create Breakdown Instruction screen appears 6 You have the following options a Enter the details of the breakdown instruction to not redeem securities at maturity cash collection b Enter the details of the breakdown instruction to notify of a reduced withholding tax rate tax breakdown 32 Income Events KB CSD GmbH Create Breakdown Instruction DVCA00006124 Party 236500 Main Reference DVCA00006124 ISIN AT0000946652 Reference Date 07 05 2015 Quantity Reason pleseslect o OE Purpose Comment Create Breakdown Instruc ton Figure 15 Create Breakdown Instruction example DVCA Cash Dividend Home gt Search Event gt Event Detail La Your Breakdown Instruction was successfully received Please make sure to authorise it Detail DVCA00006 Figure 16 Create Breakdown Instruction entry successful 33 Income Events 4 5 1 Non Redemption of Securiti
36. e size of the Asset Servicing Client on your computer screen Clicking on this icon opens the detail view of the record in this row This icon indicates a link which you can use to return to the previous view This icon at the bottom of screens indicates a link which takes you back to the top of the page The entry page of the Asset Servicing Client shows the menu bar of the Asset Servicing Client with all available functions and the telephone and fax numbers as well as the e mail address where you can reach our service centre in charge The Asset Servicing Client CekB P CSD GmbH tI www oekb csd at HOME Logged in CeKBE CSD GmbH Comprehensive Asset Servicing fn Home Search Event Search Instructions Search Notifications ty Willkommen im Asset Servicing System der OeKB CSD Welcome to the Asset Servicing System of OeKB CSD gt Home Die OeKB CSD GmbH bernimmt f r die bei ihr verwahrten nationalen und internationalen Wertpapiere s mtliche Verwaltungstatigkeiten die im Rahmen eines Wertpapier Zyklus auftreten k nnen Im Asset Servicing System erhalten OeKB CSD GmbH Kunden depotbestandsbezogene Informationen zu ihren in und ausl ndischen Wertpapieren und k nnen Instruktionen erteilen The OeKB CSD GmbH takes care of all administrative activities involved in the securities life cycle for all your securities on deposit In the Asset Servicing System OeKB CSD GmbH clients receive all account bal
37. either the period interest rate the dividend amount the redemption price or other distribution amount This is the date for which the payment is scheduled Income Events CSD GmbH Information Explanation Tax Rate This is the tax rate applied Entitlements Based on Positions Calculation Safekeeping This is the custody type the custodian and the position nature of the financial instrument Possible custody types GS collective clearing custody WR fiduciary collective custody B individual custody The entry Settled under Position Nature indicates a settled securities position the entry Blocked indicates a blocking securities account Value Date This is the expected value date Quantity This is the eligible quantity or nominal value as per reference date Gross This is the gross amount of the eligible quantity in EUR Tax This is the amount of taxes deducted Net This is the net amount of the eligible quantity after deduction of taxes and fees Fees These are any fees charged by the custodian Status This is the processing status of the event Possible entries confirmed confirmation was sent event is settled confirmation sent by SWIFT or e mail i e there are eligible positions and the pay date has already arrived not confirmed the event is not yet finally settled or the entry displayed refers to a cash collection breakdown instruction of a settled event Compensation Entitlements see above Thi
38. eld All screens Buttons approve Instruction Detail screen Instruction Authorisation Create Breakdown Instructon Instruction Detail screen reject Instruction Detail screen Instruction Authorisation search Search screens View Breakdown Instruc tons Instruction Detail screen Icons All screens CSD GmbH Function Only the following characters are allowed in date fields The figures 0 to 9 Dots as separators between day month and year The entry is restricted to 8 numbers and 2 dot characters You may enter single digit days and months without the leading zero and only the last two digits of the year A dot is required as a separator between day month and year If you enter the date without a year and or without a month the system will automatically add the current year and if applicable the current month The following entries are possible DD DDMM DDMMYY DDMMYYYY The date is always displayed in the format DD MM YYYY Drop down fields contain predefined entries from which you can select one option Click on the arrow button on the right side of the field or click into the field to display the options You cannot enter data into a drop down field Clicking on this button releases the entry It is submitted to the system for processing Clicking on this button opens the Create Breakdown Instruction screen where you can create a breakdown instruction for the selected event Cl
39. ence tion s to be found alphanum 40 Instructions CSD GmbH Field Content by system Entry by user Input Assist Length Status all Selection from the list The system searches for Created to search only for instruc breakdown instructions with tions which were created and have any instruction status already been approved according to the 4 eyes principle Cancelled to search only for in structions which have been cancelled by the Service Center Asset Servicing Executed to search only for instructions which have already been considered in the entitlement Event all Selection from the list Selection Name The system searches for CAPD Capital Distribution to search breakdown instructions with only for instructions to events with any event code the event code CAPD CAPG Capital Gains Distribution to search only for instructions to events with the event code CAPG DECR Decrease in Value to search only for instructions to events with the event code DECR DVCA Cash Dividend to search only for instructions to events with the event code DVCA EXWA MAND Warrant Exercise Mandatory to search only for instructions to events with the event code EXWA MAND INTR Interest Payment to search only for instructions to events with the event code INTR MCAL Full Call Early Redemption to search only for instructions to events with the event code MCAL PCAL Partial Redemption with Reduction of Nominal Value to
40. es at Maturity Cash Collection If you want to not redeem securities at maturity you need to create a breakdown instruction How to Issue an Instruction to Not Redeem Securities at Maturity Step by Step 1 In the menu bar select the menu item Search Event The search screen appears The system automatically inserts the appropriate predefined values into the fields Party topmost entry in the list of available securities accounts Event Name all Event Type mandatory Reference Date from date one week before the current date Reference Date to date two weeks after the current date Max Results per Page 25 2 Enter the desired search criteria in the available fields TIP If necessary modify the entries in the automatically filled in fields 3 Click on the search button 4 In the row of the event for which you want to create a breakdown instruction click on the Detail icon in the rightmost column to open the Detail screen of the event The system displays the event details General Information tab 5 Click on the Create Breakdown Instruction button The Create Breakdown Instruction screen appears The system automatically inserts the appropriate predefined values into the fields Option 001 Cash Option INFO The current version of the Asset Servicing Client only allows the selection of 001 Cash Option in the Option field 6 In the field Customer Reference enter a reference which un
41. icing Client offers the following twelve categories of income events Event Name CAPD Capital Distribution CAPG Capital Gains Distribution DECR Decrease in Value DVCA Cash Dividend EXWA Warrant Exercise Mandatory INTR Interest Payment MCAL Full Call Early Redemption PCAL Partial Redemption with Reduction of Nominal Value PRED Partial Redemption without Reduction of Nominal Value REDM Final Maturity SHPR Shares Premium Dividend a WRTH Worthless 5 1 1 Searching for a Breakdown Instruction If you want to see the details of a breakdown instruction you need to search for the instruction you are looking for Then you can select the required instruction in the search result list Instruction Detail INTROO041358 Party 227200 Main Reference INTROOO41358 ISIN AT0000330519 Reference Date 26 03 2015 Remaining Quantity Securities Account 27700 Customer Reference 6100015567 Option 001 Cash Option iv Quantity 1 000 000 Reason please select v Purpose Paid via issuer w Comment Created by SC Custody Authorised by SC Custody Figure 21 Instruction Detail 39 Instructions How to Search for a Breakdown Instruction Step by Step 1 In the menu bar select Search Instructions gt All Breakdown Instructions The search screen appears The system automatically inserts the appropriate predefined values into the fields Party topmost entry in the list of available securities accounts Even
42. icking on this button prevents the record to be released for settlement Clicking on this button launches the search using the search criteria you have entered Clicking on this button displays all breakdown instructions previously entered for this event Clicking on this icon opens the calendar In the calendar you can select a date which will automatically be copied into the corresponding field of the input screen OQ The Asset Servicing Client Element Usage te Event Detail screen Event Detail screen Options Entitlements tab Event Detail screen Options Entitlements tab All screens A All screens All screens pe Search result lists Function Links T back Edit screens and details views A TOP All screens 3 4 The Entry Page Home Function Clicking on this icon opens the original view of the notification in a new browser window This icon indicates a drop down screen section where you can see more information Clicking on this icon opens the drop down screen section This icon indicates a dropped down screen section where you can see more information Clicking on this icon hides the screen section Only the icon see above remains visible Clicking on this icon reduces the size of the Asset Servicing Client on your computer screen Clicking on this icon sets the size of the Asset Servicing Client on your computer screen to its default size Clicking on this icon increases th
43. iquely identifies the breakdown instruction 7 inthe field Quantity enter the required quantity greater than O but not exceeding the available quantity TIP You can see the available quantity in the dark grey section above the input fields next to Remaining Quantity 8 In the field Purpose choose Paid via issuer 9 Click on the Create Breakdown Instruction button to save the instruction see fig 15 The detail view is still available on the screen with a confirmation that the instruction has been entered in the system see fig 16 34 Income Events CSD GmbH 4 5 2 Notification of Reduced Withholding Tax Rate Tax Breakdown If you want to issue a notification of reduced withholding tax you need to search for the expected event to set its tax rate to zero Then you can create the corresponding breakdown instruction How to Issue a Notification of Reduced Withholding Tax Rate Step by Step 1 In the menu bar select the menu item Search Event The search screen appears The system automatically inserts the appropriate predefined values into the fields Party topmost entry in the list of available securities accounts Event Name all Event Type mandatory Reference Date from date one week before the current date Reference Date to date two weeks after the current date Max Results per Page 25 2 Enter the desired search criteria in the available fields TIP If necessary modify the e
44. l CUSTORY iiare a OAOA 25 Event Details fields Eligible Rem Quantity oeennnsesseeennnssseeernssssseeressssseee 24 EXS RECORD AL ne a a a a a a 24 Event Name field Event DELIN SCEE eaeoe a oT 24 Search All Breakdown Instructions screen 06ccceeee 41 Search Event SCreC Nura E 22 Event Type field Event D tail SChEGM vna a 24 Search All Breakdown Instructions screen 0ccceeeee 42 SECM EVEN SCEE Miaa A 23 Ex Record Date field Event Detal SCrEO N arainn i A 24 EXW A ourna N 18 39 F Face Value Currency field Eyent Detall sireunn ee aa a E a 24 field Creation Date from Search Breakdown Instruction ccccccceeecccesecccesesceeeess 42 Search Notifications rirdi nornai testes 50 Creation Date to Search Breakdown Instruction ccccccceseccceseccceeecceeeess 42 Search Notifications cacccsiccasdcvncodsessieonsssoueobsesshece sdevutes 50 54 Custodian Event DEII rT EA NNA AAE TATE 25 Eligible Rem Quantity Event Detal S eriaren e S E NARA 24 Eligible Pos Event DOl ale aAA nee ee en 25 Event Name Event Delal sroine n AA 24 Search Breakdown INStruCtiOn ccccccccccssescccceeeseceeeees 4 SOA CH SEVOMI sivas a EIER O EAEN 22 Event Type EVERC DEAN aca tosanestasusireiacoiaretevesde E E A 24 Search Breakdown INStruCtiOn ccccccccccseeeccceeeeseceeeees 42 SONON EVO iritsi NEIE EEEE AO ETETE OE EEE 23 Ex Record Date Event Detall zasun o e a N N 24 Face V
45. n Clicking on this field with the left mouse button triggers a certain program function Instruction to not redeem securities at maturity by means of a Breakdown Instruction See Detail View screen in the Asset Servicing Client where data are displayed but which does not allow these data to be modified by users screen in the Asset Servicing Client where users may edit and modify data Whether a specific user may modify a specific record depends on the user s permissions and the processing status of the record Unit of the Asset Servicing Client user interface which allows the entry or display of a specific information detail of a record Different types of fields in the Asset Servicing Client support the entry of different types of information such as textual information numbers and amounts date entries etc Two level verification method for entering modifying and deleting instructions and other records where the instructions entered in the Asset Servicing Client must be approved by a person other than the one who has originally entered the data Only after approval by the second user the information will be released for further processing Link in screens and detail views which triggers a specific action similar to buttons Graphical display element without text of the Asset Servicing Client user interface which functions as a link that triggers a certain action See Screen Unit of the Asset Servicing Client user interfa
46. n the Detail screen of the instruction The system displays the instruction details 3 You have the following options al To authorise the instruction click approve A confirmation screen appears a2 Click on yes to confirm the approval of the instruction The breakdown instruction is now released and will be submitted for further processing b1 To decline authorisation of the instruction click reject A confirmation screen appears b2 Click on yes to confirm the rejection of the instruction The record will be deleted and is no longer displayed The Instruction Authorisation list appears again NOTE It is not possible to cancel an approved instruction If this should be required please send an email to the service Center Custody custody oekb at 5 2 2 Cancelling a Breakdown Instruction NOTE It is only possible to cancel instructions previously entered by yourself as long as they have neither been released nor rejected by another user 44 Instructions CSD GmbH Instruction Detail DVCA00006124 Party 236500 Main Reference DVCAO0006124 ISIN AT0000946652 Reference Date 07 05 2015 Securities Account 236500 Customer Reference EXMKAcncTST Option 001 Cash Option Quantity 50 438 Reason please select Purpose Paid via issuer Comment EXMKAcncTST Created by exmka 27 04 2015 13 20 48 Authorised by Figure 25 Instruction Detail cancellation Confirm reject Figure 26 Confirmation
47. ng a specific ISIN for instructions showing a certain status or for instructions meeting a combinations of these criteria each based on the selected party To limit your search you can enter a period of time within which the instruction was created How to Open the All Breakdown Instructions Screen Step by Step 1 Inthe menu bar select Search Instructions gt All Breakdown Instructions The search screen appears Search Criteria Main Reference Status please select Event Name Event Type mandatory Creation Date from 1 52015 Creation Dateto wss O S Max Results per Page search Figure 19 Search All Breakdown Instructions TIP Clicking on search without entering search criteria lists all breakdown instructions available in the system for the first securities account displayed in the list If you have the user permission to access more than one securities account and want to search for specific breakdown instructions for a different securities account or for instructions of a specific category enter criteria in the fields which best characterise the instructions you are looking for Max Result on Page re a search Main Reference ISIN Client Reference Sec Acc Option Quantity Purpose Creation Date Status Detail gt DVCA00123791 ATOOOO 79061 kal2ZO150109B003 227200 001 10 000 Tax Free 09 01 me Executed ao Figure 20 Search Breakdown Instruction search result list 38 Instructions CSD GmbH The Asset Serv
48. ntries in the automatically filled in fields 3 Click on the search button 4 In the row of the event for which you want to create a breakdown instruction click on the Detail icon cer in the rightmost column to open the Detail screen of the event The system displays the event details General Information tab 5 Click on the Create Breakdown Instruction button The Create Breakdown Instruction screen appears The system automatically inserts the appropriate predefined values into the fields Option 001 Cash Option INFO The current version of the Asset Servicing Client only allows the selection of 001 Cash Option in the Option field 6 In the field Customer Reference enter a reference which uniquely identifies the breakdown instruction 35 OQ Income Events 7 inthe field Quantity enter the required quantity greater than 0 but not exceeding the available quantity TIP You can see the available quantity in the dark grey section above the input fields next to Remaining Quantity 8 In the field Purpose choose Tax Free NOTE In the case of tax free breakdown instructions the field Reason becomes a mandatory field l e it is mandatory to specify a reason in this case 9 Inthe field Reason select a reason for the reduction of the withholding tax NOTE If the option Anderes is selected in the field Reason the field Comment becomes a mandatory field l e it is mandatory to specify a reason in the
49. on Displayed in the General Information Tab of the Event Detail View Field Entry Quantity Quantity or nominal value of the financial instrument Type of Custody Custody type of the financial instrument Possible entries GS collective clearing custody WR fiduciary collective custody B individual custody Custodian Depository where the financial instrument is kept Position Nature Possible entries Settled Blocked blocking securities account Eligible Position Eligible securities position Pending to receive Balance of the open eligible settlement instructions receipt instructions Pending to deliver Balance of the open eligible settlement instructions delivery instructions 4 4 Information Displayed in the Options Entitlements Tab of the Event Detail View Depending on the type of event the detail view shows different types of information The main difference results from the fact that there are basically three types of events Events with cash movements CAPD CAPG DECR DVCA INTR PRED SHPR Events with cash and securities movements MCAL PCAL REDM EXWA Events with securities movements WRTH REDM with Option Laps 4 4 1 Detail View of Events with Cash Movements Options Entitlements Tab For events with only cash movements in the Options Entitlements tab you will see the expected or effected cash movements The tab also displays entitlements based on the positions calculation carried out on the reference
50. ork with income events create breakdown instructions or handle existing events Users who need to search for breakdown instructions for income events Users whose task it is to approve or reject breakdown instructions for income events or who need to cancel their previously entered instructions OQ About the Manual Chapter Content User Benefit User Group o Search Search notifications from Users will learn how to search Users who require infor 2 Notifications breakdown instructions for notifications by party and by mation about notifications o ISIN zZ Glossary Overview of the terms Users can look up the most All users S used important terms used in the ye Asset Servicing Client user O interface and the user manual with a brief definition 2 2 Visual Cues in the Asset Servicing Client User Manual The user manual contains elements to emphasise information which is of particular importance to the user 2 2 1 Tip Boxes TIP Tip boxes contain instructions on how to work more easily with the Asset Servicing Client or point out anything that you must take care of when using a certain function 2 2 2 Information Boxes INFO Information boxes contain explanations on how the Asset Servicing Client works or background information 2 2 3 Notes Boxes NOTE Notes boxes contain warnings about possible errors indicate mandatory entries or describe system limitations of the Asset Servicing Client 2 2 4 Step by Step
51. ort notification eeesesossssssssseeececcccossssssssseeee 47 Pend to deliver field Event Detail SereeN insere ea AN 25 Pend to receive field Event DeLall SChECN iorotan E AR 25 Pos Nature field Event Detal SCree unora eoe A 25 PRED aurana A O NN 18 39 56 Q Quantity field Event Detail SCreeM i cuestneeladest adele A 25 R REDM oeeie a O vieaueemuceds 18 39 reduced withholding tax essesssssescccsssseecccssssseeceossssee 35 Reference Date from field Sear M EVENtS CIE i aniran Oa 23 Reference Date to field Search EVS SCEE oaea aA Ea 23 reject breakdown instruction 2sisicciesdsceccstsisasesdianeccsteasgcuataneaoness 43 reject DUTTON sisatisssssenivesacsdineriecdicecsccdivetivadiecdsencsnesieodsvecsess 13 release ossineeiin na aA ENa E 43 S search All Breakdown Instructions esccscscveciscwaca voctvenisewaces dec teecets 38 breakdown instruction wi sarescs teetostesvaveorssscroovenvccoseseerocvies vs 38 CVO Spice OE ie loubeastteniin vid ous eiomesuletonseuis ten 17 MECOM OVER c cic5 cic scent cosaceageasacoanccdaccaaceaacwud eoseusaaseacerae cess 17 NOUITICATIONS cco sci dite date diaGvassdetcen A E 46 Search Notifications anciana a aa 46 Search Breakdown Instruction fields Creation Dale TON minia a 42 Event NaM O eaa uncer lerve ia duaneuidseian Gee aeudaceiiens 41 EVEN WDE tirons ean DEEN 42 OIN aoaaa teat oationceu genet a AAR 40 Main Reference 3 ccscsescedassetaccdceeuslccsearedeneesdded
52. own Instruction search result list How to Display the List of Existing Breakdown Instructions for an Event Step by Step 1 In the menu bar select the menu item Search Event The search screen appears The system automatically inserts the appropriate predefined values into the fields Party topmost entry in the list of available securities accounts Event Name all Event Type mandatory Reference Date from date one week before the current date Reference Date to date two weeks after the current date Max Results per Page 25 2 Enter the desired search criteria in the available fields TIP If necessary modify the entries in the automatically filled in fields 3 Click on the search button 4 In the row of the event for which you want to see the existing breakdown instructions click on the Detail icon in the rightmost column to open the Detail screen of the event The system displays the event details General Information tab 5 Click on the View Breakdown Instruction button A list showing all breakdown instructions existing for the selected event appears 37 Instructions 5 Instructions Via the menu item Search Instructions you can search for breakdown instructions approve instructions or cancel instructions you entered previously 5 1 All Breakdown Instructions You can search all breakdown instructions for instructions of different categories for instructions involvi
53. pproval and your previously entered instructions that are still open How to Open the Instruction Authorisation List Step by Step 1 In the menu bar select Search Instructions gt Instruction Authorisation The list of open breakdown instructions and breakdown instructions awaiting approval appears nstructions 1 13 of 13 VGG885761061 testtesttest i ExtrProxy ti 12 09 2013 11 34 17 GBOO07980591 001 Cash Option 18 02 2014 10 52 32 GBO007980591 1111 O01 Cash Option 18 02 2014 14 35 56 053884981013 testing 001 Cash Option 25 02 2014 10 45 02 ATOOOO758305 kal 0140319B004 001 Cash Option 19 03 2014 08 30 56 ATOOOO 79061 kal 0140319B011 001 Cash Option 19 03 2014 16 40 43 ATOOOO758008 kal20140319B021 001 Cash Option l 19 03 2014 18 36 33 kal20140319B022 i O01 Cash Option i 19 03 2014 18 37 09 Figure 22 Instruction Authorisation List 5 2 1 Approving or Rejecting a Breakdown Instruction Instruction Detail REDM00064323 Figure 23 Instruction Detail approval 43 Instructions Confirm authorisation Figure 24 Confirmation approval How to Approve or Reject a Breakdown Instruction Step by Step 1 In the menu bar select Search Instructions gt Instruction Authorisation The list of open breakdown instructions and breakdown instructions awaiting approval appears 2 In the row of the breakdown instruction you want to see click on the Detail icon 5 in the rightmost column to ope
54. r displaying notifications 3 1 Login You log on to the Asset Servicing Client via the Web link http login oekb at rsa CeKBO GRUPPE GROUP Welcome Login Portal With only one User Name and single login you can have central access to IT services of Oesterreichische Kontrollbank AG OeKB and OeKB CSD GmbH c list of accessible services 3 information on the Login Portal Login with User Name and Password Please log in with your User Name and password User Name Password Pd login gt Click here for login with RSA Key Fob Token gt Click here for login with SMS Token Forgot your password Please contact your administrator or if Oesterreichische Kontrollbank AG or OeKB CSD GmbH is carrying out user management on behalf of your company please contact your contact person at Oesterreichische Kontrollbank AG or OeKB CSD GmbH C2 www oekb at E Contact IT Service Center Tel 43 1 53127 1111 B Fax 43 1 53127 4111 f Send E Mail Service Center c List of all Service Centers OeKB c List of all Service Centers OeKB CSD Downloads Ly Juniper installer Service exe 1 7 MB Cy Citrix Ontine Plugin 12 exe 14 MB A TOP OeKB Oesterreichische Kontrolibank AG 2015 Privacy Policy Disclaimer Figure 1 Login Portal for OeKB Group Online Services After login the Asset Servicing Client is listed among the services activated for you Click on the link to launch the Asset
55. s shows eligible positions from OTC CCP trades The details given here basically have the Entitlements same meaning as the elements shown in the Entitlements section 27 Income Events 4 4 2 Detail View of Events with Cash and Securities Movements Options Entitlements Tab For events with cash and securities movements in the Options Entitlements tab you will see the expected or effected cash and units movements The tab also displays entitlements based on the positions calculation carried out on the reference date EOD TIP The table below the screenshot describes the information displayed in the Options Entitlements tab in greater detail General Information Options Entitlements Narrative Notifications Option Number Option Type Default Option Instructed 001 Cash Option Yes 0 F Cash Movement Impact Type In Price 100 EUR Pay Date 22 04 2015 Tax Rate T Entitlements Safekeeping Value Date Quantity Gross Tax Fees Net Status 65 OEKB Settled 22 04 2015 35 900 35 900 00 EUR 0 00 EUR 0 00 EUR 35 900 00 EUR Confirmed Compensation Entitlements Safekeeping Value Date Quantity Gross Tax Fees Net Status Securities Movement Impact Type Out Price Pay Date 22 04 2015 Parity ISIN ATO000315189 Securities Description VA S WOHNB WA99 15 4 Entitlements Safekeeping Quantity Securities Movement Status 65 OEKB Settled 35 900 35 900 FAMT Confirmed Figure 13 Options Entitlements Tab for events with cash and securities movements
56. saaesseeees 15 Figure 4 Menu bar of the Asset Servicing Client irccscssccccsaucdnsancdaceacenssdvasaagncoedensotneasenedhececwelensndencbeneusatnencwsedeesadestzasodeudhaess 15 Figure 5 Menu structure of the Asset Servicing Client cccccccsssssssseccccccssssssescccccceaasssecccceceeassesescceceneassssaseceesaeanseeess 16 Fe UTS ya EVE ME aaae E AEAEE AOE AAEE ec ett sags e a ee Gasee aed Guaaieees 17 Figure 7 Search Event search result list sscssscccadeecsseszsamanadendonssaandonddadsevaccentadendsavsoanacded ouddudewsncciatadanddav onddadadanadideecncdsasaons 18 Figure 8 Event Detail General Information ccccccsssssssssescccccsssssceeeccesccassssescccesceasseeseccceceassssasececeneasscessccecsonanseetss 19 Fie re 9 Event Detail Options 7 ENUEMENTS ssneprnisirsinro ini ni n E E E a E 19 Figure 10 Event Detail Narrative ennossseseeenessseseeersesseresoressssssscressssssseressssesserersssssseoeeosssssseeeesssesseteesssesseeeessserereeeess 20 Piere Ti Event Detal NotUmCatNONS eeteoceccuwacten cen rrin e EE EEE EEE EE TEE AE 20 Figure 12 Options Entitlements Tab for events with cash movements sseeeesssssseeessssssseeresssssssceressssseeeressssssseeessss 26 Figure 13 Options Entitlements Tab for events with cash and securities movements ssssssessssssseeessssssseeressssssseeesses 28 Figure 14 Options Entitlements Tab for events with securities movements sssssesssssssseresssss
57. search criteria appears In the row of the event you want to see click on the Detail icon in the rightmost column to open the Detail screen of the event The system displays the event details and the General Information tab where you can see the general event details such as quantity nominal value type of custody custodian nature of the position eligible positions and pending receive deliver instructions You have the following options a Click on the Options Entitlements tab to see the options and the cash and or securities movements of the event b Click on the Narrative tab to see any available narrative text descriptions of the event c1 Click on the Notifications tab to see any notifications for the event ae Click on the download icon Lb to see the original text of the notification d Click on the Create Breakdown Instruction button to create an instruction for the event see Breakdown Instructions for Events e Click on the View Breakdown Instruction button to see any existing instructions for an event see Show Breakdown Instructions for an Event Click on the function link back to return to the previous screen 4 1 2 Field Descriptions Search Event The following table describes the fields of the Search Event screen 21 OQ Income Events Field Content by system Entry by user Input Assist Length Party Main safekeeping account Selection from the securities Selection number accounts to
58. ssceresssssseeresssssseeeessss 30 Figure 15 Create Breakdown Instruction example DVCA Cash Dividend sesseesssseeesssseeesssseersssseeesssseesssseeesssseeesss 33 Figure 16 Create Breakdown Instruction entry successful sssseessesssseerssssssseeressssssseresssssseseeesssseeeeressssseeeeessssseeeeessss 33 Figure 17 Instruction Detail View Breakdown Instructions nennesseeseenessseeseeresssssrseoeresserseeressssesseressssessereessserseeeeess 36 Figure 18 View Breakdown Instruction search result list seseenssesssseeresssssseeresssssseeressssssseerssssseseeressssseeeresssssseeeessss 37 Figure 19 Search All Breakdown Instructions eneenneesseseeoneesssseseresssssseeressssesseresesssrseseresssrseoreessseseeressssesseeeessserseeeeess 38 Figure 20 Search Breakdown Instruction Search result list nennossesseenessssesseressssesseoeressssseceessssessecressseseseeessserseeeesss 38 aA EA E ena D s E E E T E TA TE A TATEA A TATT 39 Figure 22 Instruction Authorisation List n ossseseeeesessereeorsesssrescreesssssseressssesserersssssscoeeosssssseeesssseseereesssesseeeessseseeeeesss 43 Figure 23 Instruction Detail approval ssssesssssseresssserssssecesssseeesssseressssceesssecessssecesssreeessseeresssecessssecesssseeessseeressseeeesss 43 Fieure 24 Confirmation AOD IOV Al ssns E A 44 Fie ure 25 instruction Detail cancelatioN sapussrccscensossarvnsrcenesnnsnestoanenaaunsneuss
59. t Name all Event Type mandatory Creation Date from date one week before the current date Creation Date to date two weeks after the current date Max Results per Page 25 2 Enter the desired search criteria in the available fields TIP If necessary modify the entries in the automatically filled in fields 3 Click on the search button The search result list containing all breakdown instructions matching your search criteria appears 4 You have the following options a In the Main Reference column click on the event reference to open the Detail screen of the event b In the row of the breakdown instruction you want to see click on the Detail icon 5 in the rightmost column to open the Detail screen of the instruction The system displays the instruction details 5 Click on the function link back to return to the previous screen 5 1 2 Field Descriptions Search All Breakdown Instructions The following table describes the fields of the Search All Breakdown Instructions screen Field Content by system Entry by user Input Assist Length Party Main safekeeping account Selection from the securities Selection number accounts to which you have access if the logged according to your user permissions on user is authorised to access more than one securities accounts ISIN ISIN of the instruction s to be found 12 alphanum Main Unique reference of the instruc 16 max Refer
60. text field in this case 10 Click on the Create Breakdown Instruction button to save the instruction see fig 15 The detail view is still available on the screen with a confirmation that the instruction has been entered in the system see fig 16 4 5 3 View Breakdown Instructions for an Event If you want to see the breakdown instructions which were created previously for an event and released you need to search for the event in question Then you can view the list of existing breakdown instructions Detail INTR00000081 Party 236500 Securities Account 236500 Main Reference INTROOO00081 ISIN ATO0000285333 VA RZE KAPM FRNII05 15 9P Event Name INTR Interest Payment Status Notfied Event Type MandatoryWithoutChoice Face Value Currency EUR Ex Record Date 29 04 2015 Eligible Rem Quantity 8 230 000 8 230 000 FAMT General Information Options Entitlements Narrative Notifications o d View Breakdown Instructions Quantity Type of Custody Custodian Pos Nature Eligible Pos Pend to reveice Pend to deliver 8 230 000 FAMT GS OEKB Settled 6 230 000 0 0 Figure 17 Instruction Detail View Breakdown Instructions 36 Income Events CSD GmbH De P ee Main Reference ISIN Customer Reference Sec Acc Option Quantity Purpose Creation Date Status Detail gt DVCA0D0000043 ATO0000741053 Bloooo0257 236500 001 Cash 15 300 Tax Free 28 01 2015 Executed fe i _ OTT S Figure 18 View Breakd
61. the search result list Entry by user Input Assist Unique reference in the notification s to be found Selection from the list Selection CA Confirmation Reverse CA Narrative CA Notification CA Confirmation Selection between Report or SWIFT By selecting Report it is possible to search exclusively for notifications which were created as a PDF report By selecting SWIFT it is possible to search exclusively for notifications which exist in SWIFT message format Date range within which the creation Calendar icon date of the notification s to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Selection from 10 25 and 50 Selection alphanum DD MM YYYY Glossary 7 Glossary Begriffe und Termini 4 eyes principle Asset Servicing Client Breakdown Instruction Button Cash Collection Detail screen Detail View Edit screen Field Four Eyes Principle Function link Icon Input screen List Login CSD GmbH Erlauterung See Four Eyes Principle system of the OeKB CSD for the settlement of income from securities instructions Instruction to not redeem securities at maturity or notification of a reduced withholding tax rate Rectangular field in the screens of the Settlement client in the form of a pushbutto
62. the processing status of the event Possible entries confirmed confirmation was sent event is settled confirmation sent by SWIFT or e mail i e there are eligible positions and the pay date has already arrived not confirmed the event is not yet finally settled or the entry displayed refers to a cash collection breakdown instruction of a settled event 31 Income Events 4 5 Breakdown Instructions for Events If you need to control how an event will be settled this is possible in the Asset Servicing Client by creating breakdown instructions Basically breakdown instructions are used for the following two purposes Instructions to not redeem securities at maturity Cash Collection Notifications of reduced withholding tax rate Tax Breakdown NOTE For tax free events the entry of a reason is mandatory INFO The reduction of the withholding tax rate is only permitted for certain AT ISIN held with OeKB CSD A breakdown instruction must be created by the time indicated in the GTC of OeKB CSD How to Open the Create Breakdown Instruction Screen Step by Step 1 In the menu bar select the menu item Search Event The search screen appears The system automatically inserts the appropriate predefined values into the fields Party topmost entry in the list of available securities accounts Event Name all Event Type mandatory Reference Date from date one week before the current date Referenc
63. ty to search only for events with the event code final 22 Income Events OQ Field Content by system Event Type mandatory INFO The current version of the Asset servicing Client supports the search for events without choice only Reference Date from to Max 25 Results per The system displays 25 search Page results on each page of the search result list 4 2 Field Entry Party Securities Account Main Reference CSD GmbH Entry by user Input Assist Length maturity SHPR Shares Premium Dividend to search only for events with the event code shares premium dividend WRTH Worthless to search only for events with the event code worthless Date range within which the date for Calendar DD MM YYYY the calculation of the eligibility icon record date or ex date minus 1 of the event to be found shall lie If you leave one of the fields empty the system will search starting from or ending with the date that has been entered If you are searching for a specific day enter the same date into both fields Selection from 10 25 and 50 Selection Information Displayed in the Event Detail View Unique customer number of the logged in customer Securities account number of the party s securities account Unique reference assigned by the system to identify the event Used in all SWIFT messages ISIN ISIN and short description of the financial instrument 23 Income Events Field Event Name St
64. whether the settled option is a default option or not Instructed In the case of events for which a breakdown instruction has been created this is the total of the instructed quantity Cash Movement see above Cash Movements 30 Income Events Information Securities Movement Impact Type Price Pay Date Parity ISIN Securities Description CSD GmbH Explanation This indicates whether the cash movement is inbound or outbound Depending on the event type this shows either the period interest rate the dividend amount the redemption price or other distribution amount This is the date for which the payment is scheduled This is the exchange ratio This is the ISIN of the financial instrument for which the income event occurs This is the designation of the financial instrument Entitlements Based on Positions Calculation Safekeeping Quantity Securities Movement Status This is the custody type the custodian and the position nature of the financial instrument Possible custody types GS collective clearing custody WR fiduciary collective custody B individual custody The entry Settled under Position Nature indicates a settled securities position the entry Blocked indicates a blocking securities account This is the eligible quantity or nominal value as per reference date This is the quantity of the securities credited or debited or to be credited or debited This is

Asset Servicing Client User Manual

Contents

Download Pdf Manuals

Related Search

Related Contents