UBS SWIFT Usage Guide - UBS Global topics · PDF fileUBS SWIFT Usage Guide . SWIFT Standards Release 2013 . ... General information on SWIFT messaging can be found in the official

UBS Switzerland AG

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UBS SWIFT Usage Guide SWIFT Standards Release 2013 Technical Formatting of Reconciliation Message Types

Relevant for Booking Center Switzerland (BC001)

Classification Generally accessible Date 29 November 2013 Version 1.0

http://www.ubs.com/

Generally accessible UBS SWIFT Usage Guide, SWIFT SR 2013 SWIFT Standards Release 2013 Technical Formatting of Reconciliation Message Types

UBS Switzerland AG, Version 1.0, 29

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Table of Contents

1. Introduction................................................................................................................................................................................................................. 3 1.1 Purpose ......................................................................................................................................................................................................................... 3 1.2 Structure........................................................................................................................................................................................................................ 3 1.3 Target audience ............................................................................................................................................................................................................. 3 1.4 General remarks ............................................................................................................................................................................................................ 3 1.5 Further information ....................................................................................................................................................................................................... 4

2. Reconciliation Messages – field-specific UBS formatting rules .............................................................................................................................. 5 2.1 Field formatting rules for MT535 – Statement of Holdings, Outbound .......................................................................................................................... 5 2.2 Field formatting rules for MT536 – Statement of Transactions, Outbound..................................................................................................................... 7

3. Message Examples...................................................................................................................................................................................................... 8 3.1 Example of a Valuated MT535 Statement of Holdings ................................................................................................................................................... 8 3.2 Example of a Non-Valuated MT535 Statement of Holdings ......................................................................................................................................... 16 3.3 Example of a MT536 Statement of Transactions .......................................................................................................................................................... 24



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1. Introduction

1.1 Purpose

This "UBS SWIFT Usage Guide – Technical Formatting of Reconciliation Message Types" shall enable efficient SWIFT communication with UBS Switzerland 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.

1.2 Structure

Chapter 2 explains UBS' specific field formatting rules for SWIFT reconciliation message types 535 and 536. Chapter 3 contains message examples for both message types.

1.3 Target audience

This guide has been designed for business analysts and other experts in SWIFT messaging.

We recommend using this guide if you plan to implement or amend IT systems which process incoming SWIFT messages from UBS Switzerland.

1.4 General remarks

SMPG rules

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

BIC

- UBS Switzerland AG Switzerland sends all reconciliation 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.



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1.5 Further information

UBS Switzerland AG Switzerland offers in its Custody Info Portal further SWIFT usage guides: - Settlement Formatting Specialities by Market - Technical Formatting of Corporate Action Message Types - Changes due to SWIFT Standards Release 2013 (S&R; CA)

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.

http://www.swift.com/



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2. Reconciliation Messages – f ield-specif ic UBS formatting rules

2.1 Field formatting rules for MT535 – Statement of Holdings, Outbound

Remark: The "SWIFT Tag no." is equivalent to the numbering in the SWIFT MT535 Format Specifications for the SWIFT Standards Release 2013.

SWIFT

Tag no.

Tag

Qualifier

Generic

Field Name

Detailed Field Name

Content/

Options

UBS Rule

Mandatory Sequence A General Information

4 20C SEME Reference Sender's Message

Reference

:4!c//16x UBS usage of 16x:

4!n = Year

3!n = Day according to the Gregorian calendar

2!a = Application ID

7!n = Sequence number

13 97a SAFE Account Safekeeping account :4!c//35x UBS usage of 35x:

4!n = Branch

10!c = Client number

2c = Object number

Optional Repetitive Subsequence B1 Financial Instrument

22 35B Identification of

Financial Instrument

[ISIN1!e12!c]

[4*35x]

[/xx/31x]

[3*35x]

UBS uses the ISIN as standard for the identification of financial instruments.

For exceptional cases alternative identification schemes - as the Swiss Valorennummer - can

additionally be provided.

63 70E HOLD Narrative Holdings Narrative :4!c//10*35x Field is only used by UBS to display values or quantities that are too long for their designated

fields in subsequence B1.



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2.1 Field formatting rules for MT535 – Statement of Holdings, Outbound continued

Optional Subsequence B1a Financial Instrument Attributes

34 35B Identification of

Financial Instrument

[ISIN1!e12!c]

[4*35x]

[/xx/31x]

[3*35x]


For exceptional cases alternative identification schemes - as the Swiss Valorennummer - can


Optional Repetitive Subsequence B1b Sub-Balance

50 70C SUBB Narrative Sub-Balance Details

Narrative

:4!c//4*35x This field is used to display

a) values or quantities that are too long for their designated fields in subsequence B1b.

b) additional information to specific sub-balance holdings. The following sub-balance qualifiers

are affected:

- BLOK Blocked

- BLOT Blocked Trading

- BLOV Blocked Authenticity

- REGO Out for Registration

- RSTR Restricted



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2.2 Field formatting rules for MT536 – Statement of Transactions, Outbound

Remark: The "SWIFT Tag no." is equivalent to the numbering in the SWIFT MT535 Format Specifications for the SWIFT Standards Release 2013.

SWIFT

Tag no.

Tag

Qualifier

Generic

Field Name

Detailed Field

Name

Content/

Options

UBS rule

Mandatory Sequence A General Information

4 20C SEME Reference Sender's

Message

Reference


4!n = Year

3!n = Day according to the Gregorian calendar

2!a = Application ID

7!n = Sequence number

14 97a SAFE Account Safekeeping

account


4!n = Branch

10!c = Client number

2c = Object number

Optional Repetitive Subsequence B1 Financial Instrument

23 35B Identification

of Financial

Instrument

[ISIN1!e12!c]

[4*35x]

[/xx/31x]

[3*35x]


For exceptional cases alternative identification schemes – as the Swiss Valorennummer – can


Optional Subsequence B1a2 Transactions Details

41 70E TRDE Narrative Transaction

Details

Narrative

:4!c//10*35x The client can choose whether the UBS internal movements are reported or not.

If reported and the status of specific sub-balance holdings changes, additional information will be

shown. The following sub-balance qualifiers are affected:

- BLOK Blocked

- BLOT Blocked Trading

- BLOV Blocked Authenticity

- REGO Out for Registration

- RSTR Restricted



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3. Message Examples

3.1 Example of a Valuated MT535 Statement of Holdings

:16R:GENL :28E:1/MORE :20C::SEME//2012321YW1973527 :23G:NEWM :98C::PREP//20121116105306 :98A::STAT//20121228 :22F::SFRE//DAIL :22F::CODE//COMP :22F::STTY//ACCT :22F::STBA//SETT :97A::SAFE//02300000123456S1 :17B::ACTI//Y :17B::CONS//N :16S:GENL :16R:SUBSAFE :16R:FIN :35B:/CH/129801 UBS TIME DEPACC :16R:FIA :22F::PFRE//ANNU :98A::MATU//20140110 :98A::DDTE//20120110 :92A::INTR//0,25 :13B::LOTS//94328 :16S:FIA :93B::AGGR//FAMT/1200000, :93B::AVAI//FAMT/1200000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/1200000, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90A::INDC//PRCT/100, :98A::PRIC//20121228 :99A::DAAC//348 :19A::HOLD//CHF1202900,

:19A::ACRU//CHF2900, :19A::BOOK//CHF1200000, :16S:SUBBAL :19A::HOLD//CHF1202900, :19A::ACRU//CHF2900, :16S:FIN :16R:FIN :35B:/CH/591602 FI UBS JERSEY :16R:FIA :98A::MATU//20130118 :98A::DDTE//20120118 :92A::INTR//1,38651 :13B::LOTS//2958008 :16S:FIA :93B::AGGR//FAMT/700000, :93B::AVAI//FAMT/700000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/700000, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90A::INDC//PRCT/100, :98A::PRIC//20121228 :99A::DAAC//345 :19A::HOLD//EUR709301, :19A::ACRU//EUR9301, :19A::BOOK//EUR700000, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF857130, :19A::ACRU//CHF11240, :16S:FIN :16R:FIN :35B:/CH/591602 FI UBS JERSEY

:16R:FIA :98A::MATU//20130606 :98A::DDTE//20120606 :92A::INTR//0,01343 :13B::LOTS//4290018 :16S:FIA :93B::AGGR//FAMT/1000000, :93B::AVAI//FAMT/1000000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/1000000, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90A::INDC//PRCT/100, :98A::PRIC//20121228 :99A::DAAC//205 :19A::HOLD//CHF1000076, :19A::ACRU//CHF76, :19A::BOOK//CHF1000000, :16S:SUBBAL :19A::HOLD//CHF1000076, :19A::ACRU//CHF76, :16S:FIN :16R:FIN :35B:/CH/62061190 UBSAG C 11 DEC12 :16R:FIA :98A::EXPI//20121222 :35B:ISIN CH0024899483 /CH/2489948 UBS N :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL

:93B::AWAS//UNIT/100, :94B::PRIC//VEND :94B::SAFE//SHHE/5000/INSECHZZXXX/US :90B::INDC//ACTU/USD4,05 :98A::PRIC//20121115 :19A::HOLD//USD40500, :19A::BOOK//USD100000, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF38232, :16S:FIN :16R:FIN :35B:/CH/62061192 UBSAG C 10 DEC12 :16R:FIA :98A::EXPI//20121222 :35B:ISIN CH0024899483 /CH/2489948 UBS N :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::PRIC//VEND :94B::SAFE//SHHE/5000/INSECHZZXXX/US :90B::INDC//ACTU/USD5,05 :98A::PRIC//20121115 :19A::HOLD//USD50500, :19A::BOOK//USD110000, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF47672, :16S:FIN :16R:FIN



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:35B:/CH/6485635 NIK225 C 4000 DEC12 :16R:FIA :98A::EXPI//20121214 :35B:ISIN XC0009692440 /CH/998407 NIKKEI 225 INDEX :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::PRIC//VEND :94B::SAFE//SHHE/8600/INSECHZZXXX/JP :90B::MRKT//ACTU/JPY4830, :98A::PRIC//20121115 :19A::HOLD//JPY482999998, :19A::BOOK//JPY1000000, :92B::EXCH//JPY/CHF/0,012093263 :16S:SUBBAL :19A::HOLD//CHF5841046, :16S:FIN :16R:FIN :35B:/CH/6521173 NIK225 C 3000 DEC12 :16R:FIA :98A::EXPI//20121214 :35B:ISIN XC0009692440 /CH/998407 NIKKEI 225 INDEX :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::PRIC//VEND :94B::SAFE//SHHE/8600/INSECHZZXXX/JP :90B::MRKT//ACTU/JPY5830, :98A::PRIC//20121115 :19A::HOLD//JPY582999973, :19A::BOOK//JPY1000000, :92B::EXCH//JPY/CHF/0,012093263 :16S:SUBBAL :19A::HOLD//CHF7050372, :16S:FIN

:16R:FIN :35B:/CH/8598419 NIK225 C 4500 SEP12 :16R:FIA :98A::EXPI//20120914 :35B:ISIN XC0009692440 /CH/998407 NIKKEI 225 INDEX :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::SAFE//SHHE/8600/INSECHZZXXX/JP :90E::MRKT//UKWN :19A::HOLD//JPY0, :92B::EXCH//JPY/CHF/0,012093263 :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN CH001878471E /CH/1878471 WITHHOLD. - UBSCHGLASTCHFHD A :93B::AGGR//FAMT/1484461,5 :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/1484461,5 :16R:SUBBAL :93C::BLOK//FAMT/NAVL/1484461,5 :94B::SAFE//SHHE/1041/ /IE :90E::MRKT//UKWN :19A::HOLD//CHF0, :70C::SUBB//EQUALIZATION WITHHOLDING FROM FUND SUBSCRIPTI :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN CH001878471P /CH/1878471 PREPAY - UBSCHGLASTCHFHD A :93B::AGGR//UNIT/1047144, :93B::AVAI//UNIT/0, :93B::NAVL//UNIT/1047144, :16R:SUBBAL

:93C::BLOK//UNIT/NAVL/1047144, :94B::PRIC//VEND :94B::SAFE//SHHE/1040/UBSWCHZH80A/HF :90B::INDC//ACTU/CHF1, :98A::PRIC//20121228 :19A::HOLD//CHF1047144, :70C::SUBB//PREPAYMENT FOR FUND SUBSCRIPTION :16S:SUBBAL :19A::HOLD//CHF1047144, :16S:FIN :16R:FIN :35B:ISIN CH001878471R /CH/1878471 WITHHOLD. - UBSCHGLASTCHFHD A :93B::AGGR//FAMT/250113, :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/250113, :16R:SUBBAL :93C::BLOK//FAMT/NAVL/250113, :94B::SAFE//SHHE/1042/UBSWCHZH80A/HF :90E::MRKT//UKWN :19A::HOLD//CHF0, :70C::SUBB//WITHHOLDING FROM PARTIAL FUND REDEM PTION :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN CH0018784717 /CH/1878471 UBSCHGLASTCHFHD A :93B::AGGR//UNIT/199679, :93B::AVAI//UNIT/199679, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/199679, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90B::MRKT//ACTU/CHF1207,349 :98A::PRIC//20120928 :19A::HOLD//CHF241082241, :19A::BOOK//CHF5168103, :16S:SUBBAL :19A::HOLD//CHF241082241, :16S:FIN

:16R:FIN :35B:ISIN CH0024608447 /CH/2460844 UBS DAILY ACCR BILL :93B::AGGR//UNIT/N1600, :93B::AVAI//UNIT/N1600, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/N1600, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90B::INDC//ACTU/CHF1037,268 :98A::PRIC//20121115 :19A::HOLD//NCHF1659629, :19A::BOOK//NCHF779000, :16S:SUBBAL :19A::HOLD//NCHF1659629, :16S:FIN :16R:FIN :35B:ISIN CH0024608488 /CH/2460848 UBS DAILY ACCR BILL :93B::AGGR//UNIT/101110464, :93B::AVAI//UNIT/101110464, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/101110464, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90B::INDC//ACTU/EUR1092,72 :98A::PRIC//20121115 :19A::HOLD//EUR110485426222, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF133512186666, :16S:FIN :16R:FIN :35B:ISIN CH0024899483 /CH/2489948 UBS N :93B::AGGR//UNIT/140000, :93B::AVAI//UNIT/140000, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/140000, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH



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:90B::MRKT//ACTU/CHF14,316086108 :98A::PRIC//20121115 :19A::HOLD//CHF2004252, :19A::BOOK//CHF1400000, :16S:SUBBAL :19A::HOLD//CHF2004252, :16S:FIN :16R:FIN :35B:ISIN CH0055895715 /CH/5589571 UBSN C 12 DEC12 :16R:FIA :98A::EXPI//20121224 :35B:ISIN CH0024899483 /CH/2489948 UBS N :16S:FIA :93B::AGGR//UNIT/300, :93B::AVAI//UNIT/300, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/300, :94B::PRIC//VEND :94B::SAFE//SHHE/1030/ /XZ :90B::MRKT//ACTU/CHF2,34 :98A::PRIC//20121115 :19A::HOLD//CHF77571, :19A::BOOK//CHF342050, :16S:SUBBAL :19A::HOLD//CHF77571, :16S:FIN :16R:FIN :35B:ISIN CH0065492438 /CH/6549243 UBSN C 8 DEC12 :16R:FIA :98A::EXPI//20121224 :35B:ISIN CH0024899483 /CH/2489948 UBS N :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::PRIC//VEND

:94B::SAFE//SHHE/1030/ /XZ :90B::MRKT//ACTU/CHF6,28 :98A::PRIC//20121115 :19A::HOLD//CHF62800, :19A::BOOK//CHF50000, :16S:SUBBAL :19A::HOLD//CHF62800, :16S:FIN :16R:FIN :35B:ISIN CH0105217761 /CH/10521776 EFG 38 :16R:FIA :98A::EXPI//20381215 :16S:FIA :93B::AGGR//FAMT/N20000, :93B::AVAI//FAMT/N20000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/N20000, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90A::INDC//PRCT/61,83 :98A::PRIC//20121115 :19A::HOLD//NCHF12366, :19A::BOOK//NCHF20000, :16S:SUBBAL :19A::HOLD//NCHF12366, :16S:FIN :16R:FIN :35B:ISIN CH0604429966 /CH/60442996 UBSN C 11 DEC12 :16R:FIA :98A::EXPI//20121224 :35B:ISIN CH0024899483 /CH/2489948 UBS N :16S:FIA :93B::AGGR//UNIT/10400, :93B::AVAI//UNIT/10400, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/10400, :94B::PRIC//VEND :94B::SAFE//SHHE/1030/ /XZ :90B::MRKT//ACTU/CHF3,32

:98A::PRIC//20121115 :19A::HOLD//CHF3280160, :19A::BOOK//CHF9967765, :16S:SUBBAL :19A::HOLD//CHF3280160, :16S:FIN :16R:FIN :35B:ISIN CH0616262702 /CH/61626270 FSMI DEC 12 :16R:FIA :35B:ISIN CH0009980894 /CH/998089 SMI OHNE DIV.-KORR :16S:FIA :93B::AGGR//UNIT/60, :93B::AVAI//UNIT/60, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/60, :94B::PRIC//VEND :94B::SAFE//SHHE/1030/ /XZ :90B::MRKT//ACTU/CHF6575, :98A::PRIC//20121115 :19A::HOLD//CHF0, :19A::BOOK//CHF6000, :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN DE0005550651 /CH/330447 DRAEGERWERK S -A- G :93B::AGGR//UNIT/499988, :93B::AVAI//UNIT/499988, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/499988, :94B::PRIC//VEND :94B::SAFE//SHHE/1100/INSECHZZXXX/PL :90B::MRKT//ACTU/EUR320, :98A::PRIC//20121115 :19A::HOLD//EUR159996160, :19A::BOOK//EUR80000000, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF193341673,

:16S:FIN :16S:SUBSAFE - :16R:GENL :28E:2/MORE :20C::SEME//2012321YW1973527 :23G:NEWM :98C::PREP//20121116105306 :98A::STAT//20121228 :22F::SFRE//DAIL :22F::CODE//COMP :22F::STTY//ACCT :22F::STBA//SETT :97A::SAFE//02300000123456S1 :17B::ACTI//Y :17B::CONS//N :16S:GENL :16R:SUBSAFE :16R:FIN :35B:ISIN DE0007236101 /CH/827766 SIEMENS N :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::PRIC//VEND :94B::SAFE//SHHE/1100/INSECHZZXXX/PL :90B::MRKT//ACTU/EUR77,36 :98A::PRIC//20121115 :19A::HOLD//EUR7736, :19A::BOOK//EUR1000, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF9348, :16S:FIN :16R:FIN :35B:ISIN FR0010690925 /CH/4843630 6.125 AL FIN 12 :16R:FIA :22F::PFRE//ANNU :98A::MATU//20121128 :98A::DDTE//20081128 :92A::INTR//6,125



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:16S:FIA :93B::AGGR//FAMT/N500000, :93B::AVAI//FAMT/N500000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/N500000, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90A::INDC//PRCT/100,13 :98A::PRIC//20121115 :19A::HOLD//NEUR500650, :19A::BOOK//NEUR516000, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//NCHF604993, :16S:FIN :16R:FIN :35B:ISIN GB00B02FFZ25 /CH/1922259 PRUDENTIAL6.75 REGS :16R:FIA :22F::PFRE//QUTR :98A::DDTE//20040806 :92A::INTR//6,75 :16S:FIA :93B::AGGR//UNIT/13, :93B::AVAI//UNIT/13, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/13, :94B::PRIC//VEND :94B::SAFE//SHHE/5000/INSECHZZXXX/US :90B::MRKT//ACTU/USD25,25 :98A::PRIC//20121115 :19A::HOLD//USD328, :19A::BOOK//USD294, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF310, :16S:FIN :16R:FIN :35B:ISIN GB0001300267 /CH/239240 IGNIS CORP BD ACC :93B::AGGR//UNIT/500060, :93B::AVAI//UNIT/500060, :93B::NAVL//UNIT/0,

:16R:SUBBAL :93B::AWAS//UNIT/500060, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90B::INDC//ACTU/GBP2,7427 :98A::PRIC//20121115 :19A::HOLD//GBP1371514, :19A::BOOK//GBP1181683, :92B::EXCH//GBP/CHF/1,51294886 :16S:SUBBAL :19A::HOLD//CHF2075031, :16S:FIN :16R:FIN :35B:ISIN GB0007648891 /CH/404170 SCHROD EUROP SM ACA :93B::AGGR//UNIT/500000, :93B::AVAI//UNIT/500000, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/500000, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90B::INDC//ACTU/GBP3,265 :98A::PRIC//20121115 :19A::HOLD//GBP1632500, :19A::BOOK//GBP1453000, :92B::EXCH//GBP/CHF/1,51294886 :16S:SUBBAL :19A::HOLD//CHF2469889, :16S:FIN :16R:FIN :35B:ISIN GROI15559319 /CH/15559319 EUR GROI12 :16R:FIA :98A::EXPI//20121022 :16S:FIA :93B::AGGR//FAMT/100000, :93B::AVAI//FAMT/100000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/100000, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90A::INDC//PRCT/100, :98A::PRIC//20091022

:19A::HOLD//EUR100000, :19A::BOOK//EUR100100, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF120841, :16S:FIN :16R:FIN :35B:ISIN IE0000360275 /CH/454220 MAN AHL DIVERSIFIED :93B::AGGR//UNIT/N489, :93B::AVAI//UNIT/N489, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/N489, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90B::MRKT//ACTU/USD89,84 :98A::PRIC//20121112 :19A::HOLD//NUSD43932, :19A::BOOK//NUSD4890, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//NCHF41472, :16S:FIN :16R:FIN :35B:ISIN IE0005304773 /CH/1240963 PIMCO EUR BD INV AC :93B::AGGR//UNIT/100000, :93B::AVAI//UNIT/100000, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100000, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90B::MRKT//ACTU/EUR18,61 :98A::PRIC//20121114 :19A::HOLD//EUR1861000, :19A::BOOK//EUR1500000, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF2248859, :16S:FIN :16R:FIN :35B:ISIN KYG0151T171E /CH/811599

WITHHOLD. - ALBATROSS ARBIT CHF :93B::AGGR//FAMT/856930, :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/856930, :16R:SUBBAL :93C::BLOK//FAMT/NAVL/856930, :94B::SAFE//SHHE/1041/ /IE :90E::MRKT//UKWN :19A::HOLD//CHF0, :70C::SUBB//EQUALIZATION WITHHOLDING FROM FUND SUBSCRIPTI :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN KYG0151T171P /CH/811599 PREPAY - ALBATROSS ARBIT CHF :93B::AGGR//UNIT/883050, :93B::AVAI//UNIT/0, :93B::NAVL//UNIT/883050, :16R:SUBBAL :93C::BLOK//UNIT/NAVL/883050, :94B::PRIC//VEND :94B::SAFE//SHHE/1040/UBSWCHZH80A/HF :90B::INDC//ACTU/CHF1, :98A::PRIC//20121228 :19A::HOLD//CHF883050, :70C::SUBB//PREPAYMENT FOR FUND SUBSCRIPTION :16S:SUBBAL :19A::HOLD//CHF883050, :16S:FIN :16R:FIN :35B:ISIN KYG0151T171R /CH/811599 WITHHOLD. - ALBATROSS ARBIT CHF :93B::AGGR//FAMT/267342, :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/267342, :16R:SUBBAL :93C::BLOK//FAMT/NAVL/267342, :94B::SAFE//SHHE/1042/UBSWCHZH80A/HF :90E::MRKT//UKWN :19A::HOLD//CHF0,



Page 12 of 31

:70C::SUBB//WITHHOLDING FROM PARTIAL FUND REDEM PTION :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN KYG0151T1711 /CH/811599 ALBATROSS ARBIT CHF :93B::AGGR//UNIT/2871, :93B::AVAI//UNIT/2611, :93B::NAVL//UNIT/260, :16R:SUBBAL :93B::AWAS//UNIT/2611, :94B::PRIC//VEND :94B::SAFE//SHHE/3626/UBSWIE2DXXX/IE :90B::MRKT//ACTU/CHF205,98 :98A::PRIC//20120831 :19A::HOLD//CHF537814, :19A::BOOK//CHF829383, :16S:SUBBAL :16R:SUBBAL :93C::PEND//UNIT/NAVL/260, :94B::PRIC//VEND :94B::SAFE//SHHE/3626/UBSWIE2DXXX/IE :90B::MRKT//ACTU/CHF205,98 :98A::PRIC//20120831 :19A::HOLD//CHF53555, :19A::BOOK//CHF82589, :16S:SUBBAL :19A::HOLD//CHF591369, :16S:FIN :16R:FIN :35B:ISIN KYG437181327 /CH/4375055 HEADST FD B1/USD :93B::AGGR//UNIT/79640, :93B::AVAI//UNIT/79640, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/79640, :94B::PRIC//VEND :94B::SAFE//SHHE/3701/CITCIE2DXXX/IE :90B::MRKT//ACTU/USD1937,2 :98A::PRIC//20120607 :19A::HOLD//USD154278608,

:19A::BOOK//USD159280, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF145639006, :16S:FIN :16R:FIN :35B:ISIN KYG5204Q116R /CH/3704961 WITHHOLD. - SP CAPRI FXG10 SP :93B::AGGR//FAMT/98800, :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/98800, :16R:SUBBAL :93C::BLOK//FAMT/NAVL/98800, :94B::SAFE//SHHE/1042/UBSWCHZH80A/HF :90E::MRKT//UKWN :19A::HOLD//CHF0, :70C::SUBB//WITHHOLDING FROM PARTIAL FUND REDEM PTION :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN KYG5204Q1165 /CH/3704961 SP CAPRI FXG10 SP :93B::AGGR//UNIT/503749, :93B::AVAI//UNIT/503749, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/503749, :94B::PRIC//VEND :94B::SAFE//SHHE/3701/CITCIE2DXXX/IE :90B::MRKT//ACTU/CHF161,5412 :98A::PRIC//20120630 :19A::HOLD//CHF81376218, :19A::BOOK//CHF1286893, :16S:SUBBAL :19A::HOLD//CHF81376218, :16S:FIN :16R:FIN :35B:ISIN LU0039343222 /CH/618669 UBS(LU)SF-FI(CHF)PA :93B::AGGR//UNIT/N13910, :93B::AVAI//UNIT/N13910,

:93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/N13910, :94B::PRIC//VEND :94B::SAFE//SHHE/3690/UBSWLULLXXX/LU :90B::MRKT//ACTU/CHF1752,45 :98A::PRIC//20121114 :19A::HOLD//NCHF24376580, :19A::BOOK//NCHF984100, :16S:SUBBAL :19A::HOLD//NCHF24376580, :16S:FIN :16R:FIN :35B:ISIN LU0039343651 /CH/618666 UBS(LU)SF-FI(EUR)PD :93B::AGGR//UNIT/22000, :93B::AVAI//UNIT/22000, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::PRIC//VEND :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :90B::MRKT//ACTU/EUR1164,35 :98A::PRIC//20121114 :19A::HOLD//EUR5821750, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :16R:SUBBAL :93B::AWAS//UNIT/17000, :94B::PRIC//VEND :94B::SAFE//SHHE/3690/UBSWLULLXXX/LU :90B::MRKT//ACTU/EUR1164,35 :98A::PRIC//20121114 :19A::HOLD//EUR19793950, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF30954382, :16S:FIN :16R:FIN :35B:ISIN LU051687914P /CH/11436259 PREPAY - FDTAP L OPT TR A :93B::AGGR//UNIT/123123, :93B::AVAI//UNIT/0, :93B::NAVL//UNIT/123123, :16R:SUBBAL

:93C::BLOK//UNIT/NAVL/123123, :94B::PRIC//VEND :94B::SAFE//SHHE/1040/UBSWCHZH80A/HF :90B::INDC//ACTU/CHF1, :98A::PRIC//20121228 :19A::HOLD//CHF123123, :70C::SUBB//PREPAYMENT FOR FUND SUBSCRIPTION :16S:SUBBAL :19A::HOLD//CHF123123, :16S:FIN :16R:FIN :35B:ISIN LU051687914R /CH/11436259 WITHHOLD. - FDTAP L OPT TR A :93B::AGGR//FAMT/250000, :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/250000, :16R:SUBBAL :93C::BLOK//FAMT/NAVL/250000, :94B::SAFE//SHHE/1042/UBSWCHZH80A/HF :90E::MRKT//UKWN :19A::HOLD//CHF0, :70C::SUBB//WITHHOLDING FROM PARTIAL FUND REDEM PTION :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN LU0516879144 /CH/11436259 FDTAP L OPT TR A :93B::AGGR//UNIT/N195, :93B::AVAI//UNIT/N195, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/N195, :94B::PRIC//VEND :94B::SAFE//SHHE/FATC/ /LU :90B::MRKT//ACTU/CHF100, :98A::PRIC//20110228 :19A::HOLD//NCHF19500, :19A::BOOK//NCHF390000, :16S:SUBBAL :19A::HOLD//NCHF19500, :16S:FIN



Page 13 of 31

:16R:FIN :35B:ISIN NO0010629256 /CH/62030441 ORKLA C 40.75 DEC12 :16R:FIA :98A::EXPI//20121220 :35B:ISIN NO0003733800 /CH/599441 ORKLA -A- :16S:FIA :93B::AGGR//UNIT/400, :93B::AVAI//UNIT/400, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/400, :94B::PRIC//VEND :94B::SAFE//SHHE/4000/INSECHZZXXX/NO :90B::INDC//ACTU/NOK3,8 :98A::PRIC//20121115 :19A::HOLD//NOK153518, :19A::BOOK//NOK404000, :92B::EXCH//NOK/CHF/0,164104043 :16S:SUBBAL :19A::HOLD//CHF25193, :16S:FIN :16R:FIN :35B:ISIN NO0010629280 /CH/62030429 ORKLA C 31.81 DEC12 :16R:FIA :98A::EXPI//20121220 :35B:ISIN NO0003733800 /CH/599441 ORKLA -A- :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::PRIC//VEND :94B::SAFE//SHHE/4000/INSECHZZXXX/NO :90B::INDC//ACTU/NOK13, :98A::PRIC//20121106 :19A::HOLD//NOK131301, :19A::BOOK//NOK101000, :92B::EXCH//NOK/CHF/0,164104043

:16S:SUBBAL :19A::HOLD//CHF21547, :16S:FIN :16S:SUBSAFE - :16R:GENL :28E:3/LAST :20C::SEME//2012321YW1973527 :23G:NEWM :98C::PREP//20121116105306 :98A::STAT//20121228 :22F::SFRE//DAIL :22F::CODE//COMP :22F::STTY//ACCT :22F::STBA//SETT :97A::SAFE//02300000123456S1 :17B::ACTI//Y :17B::CONS//N :16S:GENL :16R:SUBSAFE :16R:FIN :35B:ISIN NO0010629298 /CH/62030425 ORKLA C 28.82 DEC12 :16R:FIA :98A::EXPI//20121220 :35B:ISIN NO0003733800 /CH/599441 ORKLA -A- :16S:FIA :93B::AGGR//UNIT/400, :93B::AVAI//UNIT/400, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/400, :94B::PRIC//VEND :94B::SAFE//SHHE/4000/INSECHZZXXX/NO :90B::MRKT//ACTU/NOK13,45 :98A::PRIC//20120628 :19A::HOLD//NOK543381, :19A::BOOK//NOK404000, :92B::EXCH//NOK/CHF/0,164104043 :16S:SUBBAL :19A::HOLD//CHF89171, :16S:FIN :16R:FIN

:35B:ISIN NO0010629405 /CH/62030387 ORKLA C 28.82 SEP12 :16R:FIA :98A::EXPI//20120920 :35B:ISIN NO0003733800 /CH/599441 ORKLA -A- :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::SAFE//SHHE/4000/INSECHZZXXX/NO :90E::MRKT//UKWN :19A::HOLD//NOK0, :92B::EXCH//NOK/CHF/0,164104043 :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN SE0004615615 /CH/62710763 ORKLA C 41 DEC12 :16R:FIA :98A::EXPI//20121221 :35B:ISIN NO0003733800 /CH/599441 ORKLA -A- :16S:FIA :93B::AGGR//UNIT/100, :93B::AVAI//UNIT/100, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/100, :94B::PRIC//VEND :94B::SAFE//SHHE/4500/INSECHZZXXX/SE :90B::INDC//ACTU/NOK3,5 :98A::PRIC//20121115 :19A::HOLD//NOK35002, :19A::BOOK//NOK100000, :92B::EXCH//NOK/CHF/0,164104043 :16S:SUBBAL :19A::HOLD//CHF5744, :16S:FIN :16R:FIN

:35B:ISIN US459056JQ10 /CH/880483 8.875 WORLDBANK 26 :16R:FIA :22F::PFRE//SEMI :98A::MATU//20260301 :98A::DDTE//19860301 :92A::INTR//8,875 :16S:FIA :93B::AGGR//FAMT/500000, :93B::AVAI//FAMT/500000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/11, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90A::INDC//PRCT/170,44 :98A::PRIC//20121115 :99A::DAAC//117 :19A::HOLD//USD19, :19A::ACRU//USD0, :19A::BOOK//USD18, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :16R:SUBBAL :93B::AWAS//FAMT/499989, :94B::PRIC//VEND :94B::SAFE//SHHE/5000/INSECHZZXXX/US :90A::INDC//PRCT/170,44 :98A::PRIC//20121115 :99A::DAAC//117 :19A::HOLD//USD866603, :19A::ACRU//USD14421, :19A::BOOK//USD823380, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF818091, :19A::ACRU//CHF13614, :16S:FIN :16R:FIN :35B:ISIN VGG4036L205P /CH/2342603 PREPAY - GGIF II DISC-12V :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/0, :93B::NAVL//UNIT/10000, :16R:SUBBAL



Page 14 of 31

:93C::BLOK//UNIT/NAVL/10000, :94B::PRIC//VEND :94B::SAFE//SHHE/1040/UBSWCHZH80A/HF :90B::INDC//ACTU/USD1, :98A::PRIC//20121228 :19A::HOLD//USD10000, :92B::EXCH//USD/CHF/0,944 :70C::SUBB//PREPAYMENT FOR FUND SUBSCRIPTION :16S:SUBBAL :19A::HOLD//CHF9440, :16S:FIN :16R:FIN :35B:ISIN XD0025135779 /CH/2513577 ALPHAGEN TUC C USD :93B::AGGR//UNIT/185, :93B::AVAI//UNIT/185, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/185, :94B::PRIC//VEND :94B::SAFE//SHHE/FATR/ /JE :90B::INDC//ACTU/USD170, :98A::PRIC//20100702 :19A::HOLD//USD31450, :19A::BOOK//NUSD26350, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF29689, :16S:FIN :16R:FIN :35B:ISIN XD004887912E /CH/4887912 WITHHOLD. - KC SPEC 5 USD-A- :93B::AGGR//FAMT/258366,23 :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/258366,23 :16R:SUBBAL :93C::BLOK//FAMT/NAVL/258366,23 :94B::SAFE//SHHE/1041/ /IE :90E::MRKT//UKWN :19A::HOLD//USD0, :92B::EXCH//USD/CHF/0,944 :70C::SUBB//EQUALIZATION WITHHOLDING FROM FUND SUBSCRIPTI

:16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN XD004887912P /CH/4887912 PREPAY - KC SPEC 5 USD-A- :93B::AGGR//UNIT/989744, :93B::AVAI//UNIT/0, :93B::NAVL//UNIT/989744, :16R:SUBBAL :93C::BLOK//UNIT/NAVL/989744, :94B::PRIC//VEND :94B::SAFE//SHHE/1040/UBSWCHZH80A/HF :90B::INDC//ACTU/USD1, :98A::PRIC//20121228 :19A::HOLD//USD989744, :92B::EXCH//USD/CHF/0,944 :70C::SUBB//PREPAYMENT FOR FUND SUBSCRIPTION :16S:SUBBAL :19A::HOLD//CHF934318, :16S:FIN :16R:FIN :35B:ISIN XD004887912R /CH/4887912 WITHHOLD. - KC SPEC 5 USD-A- :93B::AGGR//FAMT/62895, :93B::AVAI//FAMT/0, :93B::NAVL//FAMT/62895, :16R:SUBBAL :93C::BLOK//FAMT/NAVL/62895, :94B::SAFE//SHHE/1042/UBSWCHZH80A/HF :90E::MRKT//UKWN :19A::HOLD//USD0, :92B::EXCH//USD/CHF/0,944 :70C::SUBB//WITHHOLDING FROM PARTIAL FUND REDEM PTION :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN XD0048879122 /CH/4887912 KC SPEC 5 USD-A- :93B::AGGR//UNIT/11804,

:93B::AVAI//UNIT/9583, :93B::NAVL//UNIT/2221, :16R:SUBBAL :93B::AWAS//UNIT/9583, :94B::PRIC//VEND :94B::SAFE//SHHE/FATR/ /JE :90B::MRKT//ACTU/USD2, :98A::PRIC//20111104 :19A::HOLD//USD19166, :19A::BOOK//USD227350, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :16R:SUBBAL :93C::PEND//UNIT/NAVL/2221, :94B::PRIC//VEND :94B::SAFE//SHHE/FATR/ /JE :90B::MRKT//ACTU/USD2, :98A::PRIC//20111104 :19A::HOLD//USD4442, :19A::BOOK//USD52692, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF22286, :16S:FIN :16R:FIN :35B:ISIN XD0049500438 /CH/4950043 HEADSTART FD B1/SSP :93B::AGGR//UNIT/325, :93B::AVAI//UNIT/325, :93B::NAVL//UNIT/0, :16R:SUBBAL :93B::AWAS//UNIT/325, :94B::SAFE//SHHE/3701/CITCIE2DXXX/IE :90E::MRKT//UKWN :19A::HOLD//USD0, :19A::BOOK//NUSD71889, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN XS0041702969 /CH/29880 0 BBL INTL 05 :16R:FIA :98A::MATU//20050224

:98A::DDTE//19930224 :16S:FIA :93B::AGGR//FAMT/13, :93B::AVAI//FAMT/13, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/13, :94B::SAFE//SHHE/3650/CEDELULL/EU :90E::MRKT//UKWN :19A::HOLD//EUR0, :92B::EXCH//EUR/CHF/1,20841446 :16S:SUBBAL :19A::HOLD//CHF0, :16S:FIN :16R:FIN :35B:ISIN XS0074789339 /CH/608630 0 EBRD 17 :16R:FIA :98A::MATU//20170407 :98A::DDTE//19970407 :16S:FIA :93B::AGGR//FAMT/500000, :93B::AVAI//FAMT/500000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/500000, :94B::PRIC//VEND :94B::SAFE//SHHE/3650/CEDELULL/EU :90A::INDC//PRCT/79,195 :98A::PRIC//20121115 :19A::HOLD//ZAR395972, :19A::BOOK//ZAR348075, :92B::EXCH//ZAR/CHF/0,115599217 :16S:SUBBAL :19A::HOLD//CHF45774, :16S:FIN :16R:FIN :35B:ISIN XS0513307578 /CH/11351901 1.25 KFW 12 :16R:FIA :22F::PFRE//ANNU :98A::MATU//20120928 :98A::DDTE//20100528 :92A::INTR//1,25 :16S:FIA



Page 15 of 31

:93B::AGGR//FAMT/N50000, :93B::AVAI//FAMT/N50000, :93B::NAVL//FAMT/0, :16R:SUBBAL :93B::AWAS//FAMT/N50000,

:94B::SAFE//SHHE/3650/CEDELULL/EU :90E::MRKT//UKWN :19A::HOLD//USD0, :92B::EXCH//USD/CHF/0,944 :16S:SUBBAL

:19A::HOLD//CHF0, :16S:FIN :16S:SUBSAFE :16R:ADDINFO :19A::HOLS//CHF134210898074,

:16S:ADDINFO -



Page 16 of 31

3.2 Example of a Non-Valuated MT535 Statement of Holdings

:16R:GENL :28E:1/MORE :20C::SEME//2012325YW1258881 :23G:NEWM :98C::PREP//20121120083233 :98A::STAT//20121204 :22F::SFRE//DAIL :22F::CODE//COMP :22F::STTY//CUST :22F::STBA//SETT :97A::SAFE//02300000123456S1 :17B::ACTI//Y :17B::CONS//N :16S:GENL :16R:SUBSAFE :16R:FIN :35B:/CH/1197 CERT BK ST GALL SP :16R:FIA :13B::LOTS//7643317 :16S:FIA :93B::AGGR//UNIT/N54, :93B::NAVL//UNIT/N54, :16R:SUBBAL :93C::BLCA//UNIT/NAVL/N54, :94B::SAFE//SHHE/1276/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/1208 CT BK ST GALL R-SP :16R:FIA :13B::LOTS//100110 :16S:FIA :93B::AGGR//UNIT/110, :93B::AVAI//UNIT/110, :16R:SUBBAL :93B::AWAS//UNIT/110, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/1208

CT BK ST GALL R-SP :16R:FIA :13B::LOTS//100109 :16S:FIA :93B::AGGR//UNIT/109, :93B::NAVL//UNIT/109, :16R:SUBBAL :93C::PEND//UNIT/NAVL/109, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/223344556 TEST VALOR 1 :93B::AGGR//UNIT/33600, :93B::AVAI//UNIT/33600, :16R:SUBBAL :93B::AWAS//UNIT/33600, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/246155 SKANDIA RISK :16R:FIA :98A::MATU//20111111 :98A::DDTE//20101029 :13B::LOTS//9982 :16S:FIA :93B::AGGR//UNIT/N57, :93B::NAVL//UNIT/N57, :16R:SUBBAL :93C::BLCA//UNIT/NAVL/N50, :94B::SAFE//SHHE/5000/INSECHZZXXX/US :16S:SUBBAL :16R:SUBBAL :93C::BLOK//UNIT/NAVL/N7, :94B::SAFE//SHHE/5000/INSECHZZXXX/US :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/290931 6.75 FRG SCH

:16R:FIA :22F::PFRE//QUTR :98A::MATU//20111111 :92A::INTR//0, :16S:FIA :93B::AGGR//FAMT/N80, :93B::AVAI//FAMT/N26, :93B::NAVL//FAMT/N54, :16R:SUBBAL :93B::AWAS//FAMT/N26, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16R:SUBBAL :93C::BLCA//FAMT/NAVL/N54, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/334455667 MIKRON HLDG N :93B::AGGR//UNIT/33600, :93B::AVAI//UNIT/33600, :16R:SUBBAL :93B::AWAS//UNIT/33600, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/334455667 MIKRON HLDG N :93B::AGGR//UNIT/33600, :93B::NAVL//UNIT/33600, :16R:SUBBAL :93C::BLCA//UNIT/NAVL/33600, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/357851 TH-CALLUBSJERSEY :16R:FIA :92A::INTR//0, :13B::LOTS//6775490

:16S:FIA :93B::AGGR//FAMT/4280000, :93B::AVAI//FAMT/4280000, :16R:SUBBAL :93B::AWAS//FAMT/4280000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/357851 TH-CALLUBSJERSEY :16R:FIA :92A::INTR//0, :13B::LOTS//6874660 :16S:FIA :93B::AGGR//FAMT/2390000, :93B::AVAI//FAMT/2390000, :16R:SUBBAL :93B::AWAS//FAMT/2390000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:/CH/556677889 BOSSARD BZR. S5B :93B::AGGR//UNIT/40000, :93B::AVAI//UNIT/40000, :16R:SUBBAL :93B::AWAS//UNIT/40000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN AT0000730007 ANDRITZ :93B::AGGR//UNIT/6000, :93B::AVAI//UNIT/6000, :16R:SUBBAL :93B::AWAS//UNIT/6000, :94B::SAFE//SHHE/4050/INSECHZZXXX/AT :16S:SUBBAL :16S:FIN :16R:FIN



Page 17 of 31

:35B:ISIN AT0000737705 BWT :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000, :16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/4050/INSECHZZXXX/AT :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN AT0000746409 VERBUND :93B::AGGR//UNIT/1250, :93B::AVAI//UNIT/1250, :16R:SUBBAL :93B::AWAS//UNIT/1250, :94B::SAFE//SHHE/4050/INSECHZZXXX/AT :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN AT0000785555 SEMPERIT :93B::AGGR//UNIT/34350, :93B::AVAI//UNIT/34350, :16R:SUBBAL :93B::AWAS//UNIT/34350, :94B::SAFE//SHHE/4050/INSECHZZXXX/AT :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN AT0000831706 WIENERBERGER :93B::AGGR//UNIT/45250, :93B::AVAI//UNIT/45250, :16R:SUBBAL :93B::AWAS//UNIT/45250, :94B::SAFE//SHHE/4050/INSECHZZXXX/AT :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN AT0000946652 SCHOELLER-BLECKMANN :93B::AGGR//UNIT/20500, :93B::AVAI//UNIT/20500, :16R:SUBBAL :93B::AWAS//UNIT/20500, :94B::SAFE//SHHE/4050/INSECHZZXXX/AT

:16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN BE0003739530 UCB :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000, :16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/3000/INSECHZZXXX/BE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN BE0003797140 GBL :93B::AGGR//UNIT/5000, :93B::AVAI//UNIT/5000, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::SAFE//SHHE/3000/INSECHZZXXX/BE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CAC32148AP04 EDC MONEY MKT BEC :16R:FIA :98A::MATU//20111111 :92A::INTR//0,07 :16S:FIA :93B::AGGR//FAMT/N122, :93B::AVAI//FAMT/N56, :93B::NAVL//FAMT/N66, :16R:SUBBAL :93B::AWAS//FAMT/N56, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16R:SUBBAL :93C::BLCA//FAMT/NAVL/N66, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0000587979 SIKA :93B::AGGR//UNIT/1000, :93B::AVAI//UNIT/1000, :16R:SUBBAL

:93B::AWAS//UNIT/1000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0000816824 OC OERLIKON CORP N :93B::AGGR//UNIT/2500, :93B::AVAI//UNIT/2500, :16R:SUBBAL :93B::AWAS//UNIT/2500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0000903846 3.25 UBS :16R:FIA :22F::PFRE//ANNU :98A::MATU//20091231 :92A::INTR//3,25 :16S:FIA :93B::AGGR//FAMT/208, :93B::NAVL//FAMT/208, :16R:SUBBAL :93C::BLOK//FAMT/NAVL/105, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16R:SUBBAL :93C::PEND//FAMT/NAVL/103, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0000903846 3.25 UBS :16R:FIA :22F::PFRE//ANNU :98A::MATU//20111111 :98A::DDTE//20151031 :92A::INTR//3,25 :16S:FIA :93B::AGGR//FAMT/N45, :93B::AVAI//FAMT/N27, :93B::NAVL//FAMT/N18, :16R:SUBBAL :93B::AWAS//FAMT/N27,

:94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16R:SUBBAL :93C::BLCA//FAMT/NAVL/N18, :94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0001503199 BELIMO HOLDING REG :93B::AGGR//UNIT/1500, :93B::AVAI//UNIT/1500, :16R:SUBBAL :93B::AWAS//UNIT/1500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0001931853 CHAM PAPER GRP N :93B::AGGR//UNIT/2000, :93B::AVAI//UNIT/2000, :16R:SUBBAL :93B::AWAS//UNIT/2000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0002088976 VALORA HLDG N :93B::AGGR//UNIT/5000, :93B::AVAI//UNIT/5000, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0002432174 BUCHER IND N :93B::AGGR//UNIT/12500, :93B::AVAI//UNIT/12500, :16R:SUBBAL :93B::AWAS//UNIT/12500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN



Page 18 of 31

:16R:FIN :35B:ISIN CH0002836523 ALLIANZ SUISSE R-PO :16R:FIA :98A::MATU//20091231 :98A::DDTE//20001231 :13B::LOTS//1 :16S:FIA :93B::AGGR//UNIT/111, :93B::AVAI//UNIT/111, :16R:SUBBAL :93B::AWAS//UNIT/111, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0002836523 ALLIANZ SUISSE R-PO :16R:FIA :98A::MATU//20091231 :98A::DDTE//20001231 :13B::LOTS//100112 :16S:FIA :93B::AGGR//UNIT/112, :93B::AVAI//UNIT/112, :16R:SUBBAL :93C::UNRG//UNIT/AVAI/112, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0002877915 FOR MORT TITLE CHF :16R:FIA :13B::LOTS//34567 :16S:FIA :93B::AGGR//FAMT/N60, :93B::NAVL//FAMT/N60, :16R:SUBBAL :93C::BLCA//FAMT/NAVL/N60, :94B::SAFE//SHHE/R406/PARBITMMXXX/IT :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0002877915 FOR MORT TITLE CHF :16R:FIA

:13B::LOTS//100113 :16S:FIA :93B::AGGR//FAMT/113, :93B::NAVL//FAMT/113, :16R:SUBBAL :93C::RSTR//FAMT/NAVL/113, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0002880943 MET A/C GLD GR 9999 :93B::AGGR//UNIT/N51, :93B::NAVL//UNIT/N51, :16R:SUBBAL :93C::BLCA//UNIT/NAVL/N51, :94B::SAFE//SHHE/3800/INSECHZZXXX/NL :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0003288229 EGL :93B::AGGR//UNIT/500, :93B::AVAI//UNIT/500, :16R:SUBBAL :93B::AWAS//UNIT/500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0003390066 MIKRON HLDG R :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000, :16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0003504856 KUONI REISEN N -B- :93B::AGGR//UNIT/1000, :93B::AVAI//UNIT/1000, :16R:SUBBAL :93B::AWAS//UNIT/1000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH

:16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0003541510 FORBO HLDG N :93B::AGGR//UNIT/1250, :93B::AVAI//UNIT/1250, :16R:SUBBAL :93B::AWAS//UNIT/1250, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0004626302 PUBLIGROUPE R :93B::AGGR//UNIT/1650, :93B::AVAI//UNIT/1650, :16R:SUBBAL :93B::AWAS//UNIT/1650, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0007888339 CSA MIXTA-BVG DEFEN :93B::AGGR//UNIT/224920, :93B::NAVL//UNIT/224920, :16R:SUBBAL :93C::BLCA//UNIT/NAVL/224920, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0008012236 GURIT HLDG :93B::AGGR//UNIT/6300, :93B::AVAI//UNIT/6300, :16R:SUBBAL :93B::AWAS//UNIT/6300, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0008742519 SWISSCOM R :93B::AGGR//UNIT/2000, :93B::AVAI//UNIT/2000,

:16R:SUBBAL :93B::AWAS//UNIT/2000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16S:SUBSAFE - :16R:GENL :28E:2/MORE :20C::SEME//2012325YW1258881 :23G:NEWM :98C::PREP//20121120083233 :98A::STAT//20121204 :22F::SFRE//DAIL :22F::CODE//COMP :22F::STTY//CUST :22F::STBA//SETT :97A::SAFE//02300000123456S1 :17B::ACTI//Y :17B::CONS//N :16S:GENL :16R:SUBSAFE :16R:FIN :35B:ISIN CH0010570767 LINDT+SPRUENGLI PS :93B::AGGR//UNIT/2000, :93B::AVAI//UNIT/2000, :16R:SUBBAL :93B::AWAS//UNIT/2000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0011003594 CARLO GAVAZZI :93B::AGGR//UNIT/2500, :93B::AVAI//UNIT/2500, :16R:SUBBAL :93B::AWAS//UNIT/2500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0011075394 ZURICH INSUR GRP N :93B::AGGR//UNIT/2750,



Page 19 of 31

:93B::AVAI//UNIT/2750, :16R:SUBBAL :93B::AWAS//UNIT/2750, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0011178255 TAMEDIA N :93B::AGGR//UNIT/N76, :93B::AVAI//UNIT/N1, :93B::NAVL//UNIT/N75, :16R:SUBBAL :93B::AWAS//UNIT/N1, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16R:SUBBAL :93C::BLCA//UNIT/NAVL/N75, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0011339204 ASCOM HLDG REG :93B::AGGR//UNIT/3000, :93B::AVAI//UNIT/3000, :16R:SUBBAL :93B::AWAS//UNIT/3000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012005267 NOVARTIS N :93B::AGGR//UNIT/33600, :93B::AVAI//UNIT/33600, :16R:SUBBAL :93B::AWAS//UNIT/33600, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012032048 ROCHE HLDG DR :93B::AGGR//UNIT/20203, :93B::NAVL//UNIT/20203, :16R:SUBBAL

:93C::BLOK//UNIT/NAVL/20203, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012100191 TECAN GROUP R :93B::AGGR//UNIT/4000, :93B::AVAI//UNIT/4000, :16R:SUBBAL :93B::AWAS//UNIT/4000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012138605 ADECCO N :93B::AGGR//UNIT/5000, :93B::AVAI//UNIT/5000, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012142631 CLARIANT R :93B::AGGR//UNIT/60000, :93B::AVAI//UNIT/60000, :16R:SUBBAL :93B::AWAS//UNIT/60000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012214059 HOLCIM N :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000, :16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012221716 ABB N

:93B::AGGR//UNIT/224920, :93B::AVAI//UNIT/224920, :16R:SUBBAL :93B::AWAS//UNIT/224920, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012255144 SWATCH GROUP N :93B::AGGR//UNIT/20000, :93B::AVAI//UNIT/20000, :16R:SUBBAL :93B::AWAS//UNIT/20000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012268360 KUDELSKI :93B::AGGR//UNIT/7400, :93B::AVAI//UNIT/7400, :16R:SUBBAL :93B::AWAS//UNIT/7400, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012271687 HELVETIA HLDG N :93B::AGGR//UNIT/7000, :93B::AVAI//UNIT/7000, :16R:SUBBAL :93B::AWAS//UNIT/7000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012280076 STRAUMANN HLDG N :93B::AGGR//UNIT/5000, :93B::AVAI//UNIT/5000, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN

:16R:FIN :35B:ISIN CH0012323868 BOSSARD HOLDING :93B::AGGR//UNIT/7550, :93B::AVAI//UNIT/7550, :16R:SUBBAL :93B::AWAS//UNIT/7550, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012335540 VONTOBEL HLDG R :93B::AGGR//UNIT/34500, :93B::AVAI//UNIT/34500, :16R:SUBBAL :93B::AWAS//UNIT/34500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012337421 MICRONAS SEMICOND N :93B::AGGR//UNIT/5000, :93B::AVAI//UNIT/5000, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012410517 BALOISE HLDG N :93B::AGGR//UNIT/59000, :93B::AVAI//UNIT/59000, :16R:SUBBAL :93B::AWAS//UNIT/59000, :94B::SAFE//SHHE/5000/INSECHZZXXX/US :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012530207 BACHEM HLDG REG B :93B::AGGR//UNIT/7300, :93B::AVAI//UNIT/7300, :16R:SUBBAL :93B::AWAS//UNIT/7300,



Page 20 of 31

:94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012549785 SONOVA HLDG N :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000, :16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0012997711 SCOR HLDG N :16R:FIA :98A::DDTE//20010101 :16S:FIA :93B::AGGR//UNIT/106500, :93B::AVAI//UNIT/106500, :16R:SUBBAL :93B::AWAS//UNIT/106500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0013112914 2.375 MIGROS-BK M-T :16R:FIA :98A::MATU//20091231 :92A::INTR//2,375 :16S:FIA :93B::AGGR//FAMT/213, :93B::NAVL//FAMT/213, :16R:SUBBAL :93C::BLCA//FAMT/NAVL/213, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0013112997 2.875 MIGROS-BK M-T :16R:FIA :98A::MATU//20111111 :92A::INTR//2,875 :16S:FIA

:93B::AGGR//FAMT/N48, :93B::AVAI//FAMT/N28, :93B::NAVL//FAMT/N20, :16R:SUBBAL :93B::AWAS//FAMT/N28, :94B::SAFE//SHHE/3650/CEDELULL/EU :16S:SUBBAL :16R:SUBBAL :93C::BLCA//FAMT/NAVL/N20, :94B::SAFE//SHHE/3650/CEDELULL/EU :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0013841017 LONZA GRP R :93B::AGGR//UNIT/25000, :93B::AVAI//UNIT/25000, :16R:SUBBAL :93B::AWAS//UNIT/25000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0014217753 SARNA KUNSTS HLDG R :93B::AGGR//UNIT/10300, :93B::AVAI//UNIT/10300, :16R:SUBBAL :93B::AWAS//UNIT/10300, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0014284498 SIEGFRIED HLDG N :93B::AGGR//UNIT/1750, :93B::AVAI//UNIT/1750, :16R:SUBBAL :93B::AWAS//UNIT/1750, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0014852781 SWISS LIFE HLDG N :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000,

:16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0016405844 REPOWER PS :93B::AGGR//UNIT/1500, :93B::AVAI//UNIT/1500, :16R:SUBBAL :93B::AWAS//UNIT/1500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0016440353 EMS-CHEM HLDG N :93B::AGGR//UNIT/12500, :93B::AVAI//UNIT/12500, :16R:SUBBAL :93B::AWAS//UNIT/12500, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0017313948 INTERSHOP HLDG :93B::AGGR//UNIT/2000, :93B::AVAI//UNIT/2000, :16R:SUBBAL :93B::AWAS//UNIT/2000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN CH0021607004 BKW FMB ENERGIE N :93B::AGGR//UNIT/5000, :93B::AVAI//UNIT/5000, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE000TUAG000

TUI N :93B::AGGR//UNIT/15000, :93B::AVAI//UNIT/15000, :16R:SUBBAL :93B::AWAS//UNIT/15000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0005140008 DEUTSCHE BANK N :93B::AGGR//UNIT/8000, :93B::AVAI//UNIT/8000, :16R:SUBBAL :93B::AWAS//UNIT/8000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0005200000 BEIERSDORF :93B::AGGR//UNIT/6000, :93B::AVAI//UNIT/6000, :16R:SUBBAL :93B::AWAS//UNIT/6000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0005557508 DEUTSCHE TELEKOM N :93B::AGGR//UNIT/67000, :93B::AVAI//UNIT/67000, :16R:SUBBAL :93B::AWAS//UNIT/67000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0005785802 FRESENIUS MED CARE :93B::AGGR//UNIT/5000, :93B::AVAI//UNIT/5000, :16R:SUBBAL :93B::AWAS//UNIT/5000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL



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:16S:FIN :16R:FIN :35B:ISIN DE0005790430 FUCHS PETROLUB PFD :93B::AGGR//UNIT/90000, :93B::AVAI//UNIT/90000, :16R:SUBBAL :93B::AWAS//UNIT/90000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0006048432 HENKEL PREF.SHS :93B::AGGR//UNIT/25000, :93B::AVAI//UNIT/25000, :16R:SUBBAL :93B::AWAS//UNIT/25000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0006483001 LINDE :93B::AGGR//UNIT/15000, :93B::AVAI//UNIT/15000, :16R:SUBBAL :93B::AWAS//UNIT/15000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0007074007 KWS SAAT :93B::AGGR//UNIT/500, :93B::AVAI//UNIT/500, :16R:SUBBAL :93B::AWAS//UNIT/500, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0007100000 DAIMLER N :93B::AGGR//UNIT/15000, :93B::AVAI//UNIT/15000, :16R:SUBBAL

:93B::AWAS//UNIT/15000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0007162000 K+S :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000, :16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0007235301 SGL CARBON :93B::AGGR//UNIT/70000, :93B::AVAI//UNIT/70000, :16R:SUBBAL :93B::AWAS//UNIT/70000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0007236101 SIEMENS N :93B::AGGR//UNIT/15500, :93B::AVAI//UNIT/15500, :16R:SUBBAL :93B::AWAS//UNIT/15500, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16S:SUBSAFE - :16R:GENL :28E:3/LAST :20C::SEME//2012325YW1258881 :23G:NEWM :98C::PREP//20121120083233 :98A::STAT//20121204 :22F::SFRE//DAIL :22F::CODE//COMP :22F::STTY//CUST :22F::STBA//SETT

:97A::SAFE//02300000123456S1 :17B::ACTI//Y :17B::CONS//N :16S:GENL :16R:SUBSAFE :16R:FIN :35B:ISIN DE0007257503 METRO :93B::AGGR//UNIT/20000, :93B::NAVL//UNIT/20000, :16R:SUBBAL :93C::BLCA//UNIT/NAVL/20000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0007500001 THYSSENKRUPP :93B::AGGR//UNIT/40000, :93B::AVAI//UNIT/40000, :16R:SUBBAL :93B::AWAS//UNIT/40000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0007664039 VOLKSWAGEN PFD :93B::AGGR//UNIT/30000, :93B::AVAI//UNIT/30000, :16R:SUBBAL :93B::AWAS//UNIT/30000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0008022005 BAY HYPO VERBK :93B::AGGR//UNIT/15000, :93B::AVAI//UNIT/15000, :16R:SUBBAL :93B::AWAS//UNIT/15000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN DE0008032004

COMMERZBANK :93B::AGGR//UNIT/10000, :93B::NAVL//UNIT/10000, :16R:SUBBAL :93C::BLCA//UNIT/NAVL/10000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN ES0143416115 GAMESA :93B::AGGR//UNIT/20000, :93B::AVAI//UNIT/20000, :16R:SUBBAL :93B::AWAS//UNIT/20000, :94B::SAFE//SHHE/4600/CITIESMXXXX/ES :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN FI0009000681 NOKIA :93B::AGGR//UNIT/N60000, :93B::AVAI//UNIT/N60000, :16R:SUBBAL :93B::AWAS//UNIT/N20000, :94B::SAFE//SHHE/1100/INSECHZZXXX/DE :16S:SUBBAL :16R:SUBBAL :93B::AWAS//UNIT/N40000, :94B::SAFE//SHHE/3400/INSECHZZXXX/FI :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN FI0009005987 UPM-KYMMENE :93B::AGGR//UNIT/30000, :93B::AVAI//UNIT/30000, :16R:SUBBAL :93B::AWAS//UNIT/30000, :94B::SAFE//SHHE/3400/INSECHZZXXX/FI :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN FR0000120321 L'OREAL :16R:FIA :98A::DDTE//19960101



Page 22 of 31

:16S:FIA :93B::AGGR//UNIT/12000, :93B::AVAI//UNIT/12000, :16R:SUBBAL :93B::AWAS//UNIT/12000, :94B::SAFE//SHHE/1700/INSECHZZXXX/FR :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN FR0000125338 CAP GEMINI :16R:FIA :98A::DDTE//19990101 :16S:FIA :93B::AGGR//UNIT/10000, :93B::AVAI//UNIT/10000, :16R:SUBBAL :93B::AWAS//UNIT/10000, :94B::SAFE//SHHE/1700/INSECHZZXXX/FR :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN FR0006807004 PARIS RHIN RHONE B :16R:FIA :98A::DDTE//20040101 :16S:FIA :93B::AGGR//UNIT/5500, :93B::AVAI//UNIT/5500, :16R:SUBBAL :93B::AWAS//UNIT/5500, :94B::SAFE//SHHE/1700/INSECHZZXXX/FR :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN GB0005405286 HSBC HLDG :93B::AGGR//UNIT/30000, :93B::AVAI//UNIT/30000, :16R:SUBBAL :93B::AWAS//UNIT/30000, :94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN GB0006731235 ASSOCIAT BRIT FOODS

:93B::AGGR//UNIT/50000, :93B::AVAI//UNIT/50000, :16R:SUBBAL :93B::AWAS//UNIT/50000, :94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN GB0007188757 RIO TINTO :93B::AGGR//UNIT/30000, :93B::AVAI//UNIT/30000, :16R:SUBBAL :93B::AWAS//UNIT/30000, :94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN GB0009252882 GLAXOSMITHKLINE :93B::AGGR//UNIT/25000, :93B::AVAI//UNIT/25000, :16R:SUBBAL :93B::AWAS//UNIT/25000, :94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN GB0009895292 ASTRAZENECA :93B::AGGR//UNIT/9000, :93B::AVAI//UNIT/9000, :16R:SUBBAL :93B::AWAS//UNIT/9000, :94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN IT0001334587 BANCA MPS :93B::AGGR//UNIT/50000, :93B::AVAI//UNIT/50000, :16R:SUBBAL :93B::AWAS//UNIT/50000, :94B::SAFE//SHHE/2600/PARBITMMXXX/IT :16S:SUBBAL :16S:FIN

:16R:FIN :35B:ISIN IT0003128367 ENEL :93B::AGGR//UNIT/25000, :93B::AVAI//UNIT/25000, :16R:SUBBAL :93B::AWAS//UNIT/25000, :94B::SAFE//SHHE/2600/PARBITMMXXX/IT :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN LI0010737216 VERW + PRIVATBANK :93B::AGGR//UNIT/13000, :93B::AVAI//UNIT/13000, :16R:SUBBAL :93B::AWAS//UNIT/13000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN NL0000009538 ROYAL PHILIPS ELECT :93B::AGGR//UNIT/17848, :93B::AVAI//UNIT/17848, :16R:SUBBAL :93B::AWAS//UNIT/17848, :94B::SAFE//SHHE/3800/INSECHZZXXX/NL :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN QT0006038051 FI-CALL UBS LONDON :16R:FIA :92A::INTR//0, :13B::LOTS//632 :16S:FIA :93B::AGGR//FAMT/N72, :93B::NAVL//FAMT/N72, :16R:SUBBAL :93C::BLCA//FAMT/NAVL/N72, :94B::SAFE//SHHE/3650/CEDELULL/EU :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN QT0040530187 OAKGATE DEF

:93B::AGGR//UNIT/20000, :93B::AVAI//UNIT/20000, :16R:SUBBAL :93B::AWAS//UNIT/20000, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN SE0000108656 ERICSSON -B- :93B::AGGR//UNIT/88000, :93B::AVAI//UNIT/88000, :16R:SUBBAL :93B::AWAS//UNIT/88000, :94B::SAFE//SHHE/4500/INSECHZZXXX/SE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN SE0000112252 ROTTNEROS :93B::AGGR//UNIT/200000, :93B::AVAI//UNIT/200000, :16R:SUBBAL :93B::AWAS//UNIT/200000, :94B::SAFE//SHHE/4500/INSECHZZXXX/SE :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN US2841312083 ELAN ADR :93B::AGGR//UNIT/50000, :93B::AVAI//UNIT/50000, :16R:SUBBAL :93B::AWAS//UNIT/50000, :94B::SAFE//SHHE/5000/INSECHZZXXX/US :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN US465138WB76 6.5 ISRAEL ST 08-B :16R:FIA :22F::PFRE//SEMI :98A::MATU//20080614 :98A::DDTE//19980614 :92A::INTR//6,5 :16S:FIA :93B::AGGR//FAMT/N33,



Page 23 of 31

:93B::AVAI//FAMT/N33, :16R:SUBBAL :93B::AWAS//FAMT/N33, :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16R:SUBBAL :93C::BLCA//FAMT/NAVL/0,

:94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :16S:SUBBAL :16S:FIN :16R:FIN :35B:ISIN ZZ9999999120 FI BQUE NAT P ADAM :16R:FIA

:98A::MATU//20111111 :98A::DDTE//20151031 :92A::INTR//13,1 :13B::LOTS//34 :16S:FIA :93B::AGGR//FAMT/N69, :93B::NAVL//FAMT/N69,

:16R:SUBBAL :93C::BLCA//FAMT/NAVL/N69, :94B::SAFE//SHHE/2100/INSECHZZXXX/GB :16S:SUBBAL :16S:FIN :16S:SUBSAFE -



Page 24 of 31

3.3 Example of a MT536 Statement of Transactions

:16R:GENL :28E:1/MORE :20C::SEME//2012319YW1964061 :23G:NEWM :98C::PREP//20121114024512 :69A::STAT//20121208/20121227 :22F::SFRE//WEEK :22F::CODE//COMP :22F::STBA//SETT :97A::SAFE//02300000123456S1 :17B::ACTI//Y :17B::CONS//N :16S:GENL :16R:SUBSAFE :16R:FIN :35B:ISIN ANN8540Q1077 TEXTECH :16R:TRAN :16R:LINK :20C::RELA//GIVPOS :16S:LINK :16R:LINK :20C::ASRF//9901314IP8235843 :16S:LINK :16R:TRANSDET :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :36B::PSTA//UNIT/100, :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//FREE :98A::ESET//20121109 :98A::TRAD//20121109 :16R:SETPRTY :95R::DEAG/SCOM/CH100164 :16S:SETPRTY :16R:SETPRTY :95P::PSET//INSECHZZXXX :16S:SETPRTY :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//TESTUCUNRUH

:16S:LINK :16R:LINK :20C::ASRF//9901314IP8235841 :16S:LINK :16R:TRANSDET :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :36B::PSTA//UNIT/22, :19A::PSTA//USD235, :22F::TRAN//SETT :22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121109 :98A::TRAD//20121109 :16R:SETPRTY :95R::REAG/SCOM/CH100164 :16S:SETPRTY :16R:SETPRTY :95P::PSET//INSECHZZXXX :16S:SETPRTY :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//121108A7 19504S1 :16S:LINK :16R:LINK :20C::ASRF//9901313IP8235574 :16S:LINK :16R:TRANSDET :94B::SAFE//SHHE/3650/CEDELULL/EU :36B::PSTA//UNIT/37, :19A::PSTA//USD372,65 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121108 :98A::TRAD//20121108 :16R:SETPRTY :95R::DEAG/ECLR/21497 :16S:SETPRTY :16R:SETPRTY :95P::PSET//MGTCBEBEECL :16S:SETPRTY

:16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//121109A7 19504S1 :16S:LINK :16R:LINK :20C::ASRF//9901314IP8235768 :16S:LINK :16R:TRANSDET :94B::SAFE//SHHE/3650/CEDELULL/EU :36B::PSTA//UNIT/37, :19A::PSTA//USD372,65 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121109 :98A::TRAD//20121109 :16R:SETPRTY :95R::DEAG/ECLR/21497 :16S:SETPRTY :16R:SETPRTY :95P::PSET//MGTCBEBEECL :16S:SETPRTY :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN BRINEPACNPR8 INEPAR IND PFD :16R:TRAN :16R:LINK :20C::RELA//VCK090000000487 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0716138 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XBSP :94B::SAFE//SHHE/7213/FNBBBRSPICS/BR :36B::PSTA//UNIT/1000, :19A::PSTA//CHF10145,2 :22F::TRAN//SETT

:22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//VCK090000000493 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0716140 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XBSP :94B::SAFE//SHHE/7213/FNBBBRSPICS/BR :36B::PSTA//UNIT/1000, :19A::PSTA//CHF10145,2 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0716137 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XBSP :94B::SAFE//SHHE/7213/FNBBBRSPICS/BR :36B::PSTA//UNIT/1000, :19A::PSTA//CHF9277,9 :22F::TRAN//SETT :22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET



Page 25 of 31

:16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0716139 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XBSP :94B::SAFE//SHHE/7213/FNBBBRSPICS/BR :36B::PSTA//UNIT/500, :19A::PSTA//CHF4638,95 :22F::TRAN//SETT :22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//VCK090000000488 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0716135 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XBSP :94B::SAFE//SHHE/7213/FNBBBRSPICS/BR :36B::PSTA//UNIT/1000, :19A::PSTA//CHF400159,1 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0716136 :16S:LINK :16R:TRANSDET

:94B::TRAD//EXCH/XBSP :94B::SAFE//SHHE/7213/FNBBBRSPICS/BR :36B::PSTA//UNIT/1000, :19A::PSTA//USD419855,1 :22F::TRAN//SETT :22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0716141 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XBSP :94B::SAFE//SHHE/7213/FNBBBRSPICS/BR :36B::PSTA//UNIT/500, :19A::PSTA//USD209927,55 :22F::TRAN//SETT :22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN CH0006227612 VETROPACK HLDG :16R:TRAN :16R:LINK :20C::RELA//VCK070000002668 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0711903 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XSWX :94B::SAFE//SHHE/1000/UBSWCHZH80A/CH :36B::PSTA//UNIT/800, :19A::PSTA//CHF1280065,4 :22F::TRAN//SETT

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:36B::PSTA//UNIT/2000, :19A::PSTA//USD0, :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121109 :98A::TRAD//20121106 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//VCK080000001693 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0713676 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XCOR :94B::SAFE//SHHE/3650/CEDELULL/EU :36B::PSTA//UNIT/2000, :19A::PSTA//USD1500, :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121113 :98A::TRAD//20121108 :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN KYG4363Y101P PREPAY - HBK OFFSHORE -A- :16R:TRAN :16R:LINK :20C::RELA//VCK090000001594 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0717011 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XDUB :94B::SAFE//SHHE/1040/UBSWCHZH80A/HF :36B::PSTA//UNIT/3000, :19A::PSTA//USD3000, :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT

:98A::ESET//20121114 :98A::TRAD//20121108 :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN KYG4363Y1017 HBK OFFSHORE -A- :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0717012 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XDUB :94B::SAFE//SHHE/3701/CITCIE2DXXX/IE :36B::PSTA//UNIT/3000, :19A::PSTA//USD90000, :22F::TRAN//SETT :22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121108 :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN US87612E1064 TARGET :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//BT00900BO0717665 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XNYS :94B::SAFE//SHHE/5000/INSECHZZXXX/US :36B::PSTA//UNIT/1500, :19A::PSTA//USD18246, :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121115

:98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//BT00900BO0717674 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XNYS :94B::SAFE//SHHE/5000/INSECHZZXXX/US :36B::PSTA//UNIT/1533, :19A::PSTA//USD4725,52 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121115 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//10068415 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0717865 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XNYS :94B::SAFE//SHHE/5000/INSECHZZXXX/US :36B::PSTA//UNIT/2000, :19A::PSTA//USD60639,99 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121115 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//10068416 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0717872



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:16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XNYS :94B::SAFE//SHHE/5000/INSECHZZXXX/US :36B::PSTA//UNIT/233, :19A::PSTA//USD2330, :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121114 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//10068416 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0717866 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XNYS :94B::SAFE//SHHE/5000/INSECHZZXXX/US :36B::PSTA//UNIT/100, :19A::PSTA//USD3126,52 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121115 :98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN US87816N1000 TEAM NATION :16R:TRAN :16R:LINK :20C::RELA//VCK120000000007 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0719196 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XOTC :94B::SAFE//SHHE/5000/INSECHZZXXX/US :36B::PSTA//UNIT/1000,

:19A::PSTA//USD20260, :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121115 :98A::TRAD//20121111 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//VCK120000000009 :16S:LINK :16R:LINK :20C::ASRF//EX00900BO0719199 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XOTC :94B::SAFE//SHHE/5000/INSECHZZXXX/US :36B::PSTA//UNIT/2000, :19A::PSTA//USD16231,99 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121115 :98A::TRAD//20121111 :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN XS0103080544 6.25 EIB 14 INTR//6,25 MATU//20140415 DDTE//19991022 PFRE//ANNU :16R:TRAN :16R:LINK :20C::RELA//121108A6 19504S1 :16S:LINK :16R:LINK :20C::ASRF//9901313IP8235573 :16S:LINK :16R:TRANSDET :94B::SAFE//SHHE/2100/ /GB :36B::PSTA//FAMT/36, :19A::PSTA//GBP358,85 :19A::ACRU//GBP1,28 :22F::TRAN//SETT

:22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121108 :98A::TRAD//20121108 :16R:SETPRTY :95P::REAG//SCMCGB21 :16S:SETPRTY :16R:SETPRTY :95P::PSET//CRSTGB22XXX :16S:SETPRTY :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//121109A6 19504S1 :16S:LINK :16R:LINK :20C::ASRF//9901314IP8235767 :16S:LINK :16R:TRANSDET :94B::SAFE//SHHE/2100/ /GB :36B::PSTA//FAMT/36, :19A::PSTA//GBP358,85 :19A::ACRU//GBP1,28 :22F::TRAN//SETT :22H::REDE//DELI :22H::PAYM//APMT :98A::ESET//20121109 :98A::TRAD//20121109 :16R:SETPRTY :95P::REAG//SCMCGB21 :16S:SETPRTY :16R:SETPRTY :95P::PSET//CRSTGB22XXX :16S:SETPRTY :16S:TRANSDET :16S:TRAN :16S:FIN :16R:FIN :35B:ISIN XS0205545840 7.82 ARGENTINA 33 INTR//7,82 MATU//20331231 DDTE//20031231 PFRE//SEMI :16R:TRAN :16R:LINK :20C::RELA//NONREF

:16S:LINK :16R:LINK :20C::ASRF//GJ00900BO0715517 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XCOR :94B::SAFE//SHHE/3650/CEDELULL/EU :36B::PSTA//FAMT/100000, :19A::PSTA//EUR102029,03 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121113 :98A::TRAD//20121108 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//BT00900BO0713991 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XCOR :94B::SAFE//SHHE/3650/CEDELULL/EU :36B::PSTA//FAMT/40000, :19A::PSTA//EUR55232,85 :19A::ACRU//EUR1069,81 :22F::TRAN//SETT :22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121113 :98A::TRAD//20121108 :16S:TRANSDET :16S:TRAN :16R:TRAN :16R:LINK :20C::RELA//NONREF :16S:LINK :16R:LINK :20C::ASRF//BT00900BO0717882 :16S:LINK :16R:TRANSDET :94B::TRAD//EXCH/XCOR :94B::SAFE//SHHE/3650/CEDELULL/EU :36B::PSTA//FAMT/150000,



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:19A::PSTA//EUR209096,88 :19A::ACRU//EUR4041,97 :22F::TRAN//SETT

:22H::REDE//RECE :22H::PAYM//APMT :98A::ESET//20121114

:98A::TRAD//20121109 :16S:TRANSDET :16S:TRAN

:16S:FIN :16S:SUBSAFE -

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