This chapter explains the advices generated at each stage for the Securities module.
Once the event is authorized you can generate various types of advices. You can specify the media through which these advices can be sent. The options available are:
The advices generated in the Securities module can be classified as:
To generate an advice, go to the Outgoing Messages Browser screen of the Messaging module. Select the advice you want to generate and click on Generate.
The format and contents of the mail advices can be configured for your requirements. However, the default advice formats are available when Oracle FLEXCUBE is shipped to you. For all the advices discussed in this chapter the samples are provided below.
This chapter contains the following sections
Deal related advices are generated to intimate the customer of the following:
Trade confirmation
When you receive affirmatim of a trade confirmation, you can generate and send a trade confirmation affirmatim message to your customer.
Market side securities trade confirmation
At the securities deal level you can specify whether a trade confirmation message for the trade counterparty is required or not. If you indicate that the trade confirmation message is required, then it will be generated for all securities deals where your bank is one of the trade parties (either as the principal or on behalf of one of your customers).
Receive free
When you input a securities deal, where either your bank your custody customer is the trade counterparty and the receipt of securities is free of payment, a receive free message is generated.
You can also send this message when your bank has been instructed to receive a specified amount of securities from a specified party (free of payment) on behalf of your customer.
Receive against payment
When you input a securities deal where either your bank or your custody customer is the trade counterparty. The receipt of securities is done against payment of funds and a receive price message is generated.
You can send this message to your customer when your bank has been instructed to receive a specified amount of securities from a specified party (against payment of funds), on behalf of your customer.
Deliver free
When you input a securities deal, where either your bank or the custody customer of your bank is the trade counterparty and the delivery of specified securities is done free of payment. A delivery free message is generated.
You can also send this message when your bank has been instructed to deliver a specified amount of securities to a specified party (free of payment) on behalf of your customer.
Deliver against payment
When you input a securities deal where either your bank or your custody customer is the trade counterparty and the delivery of specified securities is done against payment of funds. A delivery against payment message is generated.
You can also send this message when your bank has been instructed to deliver a specified amount of securities to a specified party (against payment of funds) on behalf of your customer.
Confirmation of receipt free
The SK location sends you a receipt, for having received a specified quantity of securities to a specified party, without any payment.
You can generate and send a confirmation of receipt free message after the delivery of securities is confirmed, for a securities deal involving the custody customer.
Confirmation of receipt against payment
The SK location sends you a receipt for having received a specified quantity of securities sent to a specified party against payment of a specific amount.
You can generate and send a confirmation of receipt against payment, after the delivery of securities confirmed for a securities deal involving the custody customer.
Confirmation of free delivery
You can send this advice to a custody customer to confirm the delivery of a specified quantity of securities (physically or by book entry) without any payment to a specified party.
Confirmation of delivery against payment
Your custody customer may instruct you to deliver a specified quantity of securities against payment, to a specified party. You can generate this advice confirming the delivery of securities against payment.
Advice of Cancellation
In Oracle FLEXCUBE, when you buy or sell securities either for yourself or on behalf of a customer, an appropriate SWIFT message is generated. The SWIFT message that is generated depends on the type of deal processed.
When a buy or sell securities deal is cancelled, an MT 592 can be generated to the same party to whom the earlier SWIFT message was sent. The MT 592 will contain the following details:
Note
An MT 592 will be generated when a deal is reversed only if you have associated the advice tag REVSWIFT to the reversal event.
This section contains the following topics
Corporate Action related advices are generated to intimate the customer of the following:
Notice of rights
You can send a notice of the rights event, whenever you maintain and confirm a Rights event involving a security.
Notice of event
You can generate an advice to notify a custody customer, when you maintain details of a new corporate event, affecting a security. This advice can be sent before confirmation of the event.
Advice of money income
You can generate this advice to notify a custody customer, when the coupon amount, the security redemption amount or any other money amount is disbursed.
Advice of income in the form of securities
You can generate this advice to inform your custody customers, about the income generated from additional securities, in the customer portfolio. Additional securities may be derived from securities held in custody, securities being traded in, securities that have been traded in or securities in which trading is yet to take place.
In the Securities module of Oracle FLEXCUBE, this advice is generated when the Rights event record is processed for each customer portfolio and when the Rights securities have been lodged, for each portfolio.
Advice of redemption
After redemption of a security has been completed and the money has been settled and credited, as per the instructions of the customer portfolio, you can generate this advice.
You can also generate this advice to send the custody customer, details of a forthcoming redemption.
Statement related advices are generated to intimate the customer of the following:
Request for statements
You can generate a statement of holdings, in a particular portfolio either for yourself or on behalf of your custody customer.
Statement of holdings
For a specific period you can generate this advice to notify the customer about the quantity and identification of securities, for each of the customer portfolios.
Statement of transactions
To inform your customers about the increase or decrease of holdings in the customer portfolio for a specific period, you can generate the statement of transactions. The advice can be generated for all or selected securities in all or selected SK location accounts.
Statement of pending transactions
You can inform the customer about the pending transaction in the Customer portfolio for a specific period. The advice can be generated for all or selected securities in all or selected SK location, accounts.
A sample of all advices is given below.
This section contains the following topics:
GS-12684 03-APR-1998,
Goldman Sachs, Amsterdam.
# 602, South End Towers,
JFK Avenue,
New York,
U.S.A.
ZIP-897-643-260
Subject: Securities Trade Confirmation Affirmation.
Kind Attention: Ms. Andy Ryan,
Treasury Officer,
Securities Department.
Dear Sir/Madam,
We hereby affirm the Securities Deal confirmation sent by you, with details as listed below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SSPT980070021 | |||
| Confirmation Preparation Date & Time | 02-APR-1998 10:30:20 HRS | |||
| Financial Instrument Attributes | ||||
| Identification of Financial Instrument | ISIN DE0007236002 | Siemens AG 7.5 PCT Bonds | ||
| Financial Instrument Currency | DEM | |||
| Method of Interest Computation | Actual/Actual | |||
| Next Coupon Date | 01-JUL-1998 | |||
| Maturity Date | 01-JAN-2001 | |||
| Current Interest Rate | 7.5 Percent Per Annum | |||
| Next Coupon Number | 05 | |||
| Financial Instrument Narrative | Siemens Semi Annual Interest Bearing Five Year Bonds | |||
| Confirmation Details | ||||
| Trade Date | 01-MAR-1998 | |||
| Place of Trade | New York Stock Exchange | |||
| Settlement Date | 05-APR-1998 | |||
| Deal Price | 102.5 PCT | |||
| Number of Days Accrued | 59 | |||
| Settlement Amount | 1,032,750.00 DEM | |||
| Quantity of Financial Instrument Confirmed | 1,000,000.00 Face Amount | |||
| Trade Priority Indicator | Normal | |||
| Trade Transaction Type | Cum Coupon | |||
| Payment Mode | Against Payment | |||
| Trade Settlement conditions | Unexposed Delivery | |||
| Partial Settlement of Securities is not allowed | ||||
| Confirmation Parties | ||||
| Buyer | ||||
| Name | Goldman, Sachs & Company | |||
| Address | # 602, South End Towers, | |||
| JFK Avenue, | ||||
| New York, | ||||
| U.S.A. | ||||
| Seller | ||||
| Name | Pierson, Heldring en Pierson, | |||
| Address | # 45/28, Hanover House, | |||
| Coopers Avenue, | ||||
| Amsterdam, | ||||
| Holland. | ||||
| Step-in Broker | ||||
| Name | Brown Brothers Harriman | |||
| Address | Sheraton House, | |||
| Jefferson Avenue, | ||||
| New York, | ||||
| USA. | ||||
| Settlement Parties | ||||
| Buyer (Receiver) | ||||
| Name | Goldman, Sachs & Company | |||
| Address | # 602, South End Towers, | |||
| JFK Avenue, | ||||
| New York, | ||||
| U.S.A. | ||||
| Safekeeping Account | 4820-2180 | |||
| Cash Account | 728412 | |||
| Seller (Deliverer) | ||||
| Name | Pierson, Heldring en Pierson, | |||
| Address | # 45/28, Hanover House, | |||
| Coopers Avenue, | ||||
| Amsterdam, | ||||
| Holland. | ||||
| Safekeeping Account | 90568-32 | |||
| Cash Account | 386098-24 | |||
| Receiver’s Custodian | ||||
| Name | Dresdner Bank AG, Frankfurt. | |||
| Address | DRESDEFF | |||
| Deliverer’s Custodian | ||||
| Name | Deutsche Bank AB, Frankfurt | |||
| Address | DEUTDEFF |
Other Information:
In case of any discrepancies, please revert back to us immediately.
Please always quote Our Reference in all further correspondence with respect to above securities market-side trade confirmation affirmation.
Thanking you,
For Goldman Sachs. & Company,
New York,
USA.
PHP-250802, 02-APR-1998
Pierson, Heldring en Pierson, New York
# 45/28, Hanover House,
Coopers Avenue,
Amsterdam,
Holland.
ZIP 5907-2502.
Subject: Securities Trade Confirmation
Kind Attention: Mr. William Richards,
Securities Trade Officer,
Securities Department.
Dear Sir/Madam,
We hereby confirm the Securities Deal Transaction that we have entered into with yourselves, with details as listed below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SSPT980070021 | |||
| Confirmation Preparation Date & Time | 02-APR-1998 10:30:20 HRS | |||
| Financial Instrument Attributes | ||||
| Identification of Financial Instrument | ISIN DE0007236002 | Siemens AG 7.5 PCT Bonds | ||
| Financial Instrument Currency | DEM | |||
| Method of Interest Computation | Actual/Actual | |||
| Next Coupon Date | 01-JUL-1998 | |||
| Maturity Date | 01-JAN-2001 | |||
| Current Interest Rate | 7.5 Percent Per Annum | |||
| Next Coupon Number | 05 | |||
| Financial Instrument Narrative | Siemens Semi Annual Interest Bearing Five Year Bonds | |||
| Confirmation Details | ||||
| Trade Date | 01-MAR-1998 | |||
| Place of Trade | New York Stock Exchange | |||
| Settlement Date | 05-APR-1998 | |||
| Deal Price | 102.5 PCT | |||
| Number of Days Accrued | 59 | |||
| Settlement Amount | 1,032,750.00 DEM | |||
| Quantity of Financial Instrument Confirmed | 1,000,000.00 Face Amount | |||
| Trade Priority Indicator | Normal | |||
| Trade Transaction Type | Cum Coupon | |||
| Payment Mode | Against Payment | |||
| Trade Settlement conditions | Unexposed Delivery | |||
| Partial Settlement of Securities is not allowed | ||||
| Confirmation Parties | ||||
| Buyer | ||||
| Name | Goldman, Sachs & Company | |||
| Address | # 602, South End Towers, | |||
| JFK Avenue, | ||||
| New York, | ||||
| U.S.A. | ||||
| Seller | ||||
| Name | Pierson, Heldring en Pierson, | |||
| Address | # 45/28, Hanover House, | |||
| Coopers Avenue, | ||||
| Amsterdam, | ||||
| Holland. | ||||
| Step-in Broker | ||||
| Name | Brown Brothers Harriman | |||
| Address | Sheraton House, | |||
| Jefferson Avenue, | ||||
| New York, | ||||
| USA. | ||||
| Settlement Parties | ||||
| Buyer (Receiver) | ||||
| Name | Goldman, Sachs & Company | |||
| Address | # 602, South End Towers, | |||
| JFK Avenue, | ||||
| New York, | ||||
| U.S.A. | ||||
| Safekeeping Account | 4820-2180 | |||
| Cash Account | 728412 | |||
| Seller (Deliverer) | ||||
| Name | Pierson, Heldring en Pierson, | |||
| Address | # 45/28, Hanover House, | |||
| Coopers Avenue, | ||||
| Amsterdam, | ||||
| Holland. | ||||
| Safekeeping Account | 90568-32 | |||
| Cash Account | 386098-24 | |||
| Receiver’s Custodian | ||||
| Name | Dresdner Bank AG, Frankfurt. | |||
| Address | DRESDEFF | |||
| Deliverer’s Custodian | ||||
| Name | Deutsche Bank AB, Frankfurt | |||
| Address | DEUTDEFF |
Other Information:
Please acknowledge the receipt of this Trade Confirmation Message and affirm the above trade confirmation. In case of any discrepancies, please revert back to us immediately.
Please always quote Our Reference in all further correspondence with respect to above securities market-side trade confirmation.
Thanking you,
For Goldman Sachs. & Company,
New York,
USA.
ANZ-70562, 07-Jan-1998,
ANZ Banking Group Ltd., New York, USA.
# 882, Meikel Towers,
9th Avenue, Park Street,
Melbourne,
Australia.
Sub: Our Instruction to Receive Securities Free of Payment.
Kind Attention: Mr. Gerry Smith,
Custodial Officer,
Securities Department.
Dear Sir/Madam,
Please arrange to receive the securities free of payment as per our instructions shown below:
| Header | Details | ||
|---|---|---|---|
| Our Reference | 000SSPT980070021 | ||
| Securities Identification | ISIN AUDBONDWAG02 | ||
| Western Australia Gold Mining Bonds | |||
| Trade Date | 02-JAN-1998 | ||
| Place of Trade | Sydney Stock Exchange | ||
| Delivery Date | 12-JAN-1998 | ||
| Next Coupon Due Date | 31-JAN-1998 | ||
| Securities Book Value | **1,500,000.00 AUD | ||
| Quantity of Securities | **1,500,000 Face Amount | ||
| Safekeeping Account (to be Deposited) | USSB7434 540 | ||
| Securities Certificate Numbers | AE 10001 to AE 10015 – 15 x 100,000 AUD worth Bond Certificates | ||
| Deliverer of Securities | Elders Finance Group, Sydney | ||
| Securities Deliverer’s Reference | RYZ843 | ||
| Beneficiary of Securities | Fidelity Trust Limited, New York | ||
| Securities Registration Details | Securities received have to be registered in the name of the Fidelity Trust Limited, New York. | ||
| Securities Receipt Declaration Details | Certificate Numbers of Bonds delivered should match with the numbers as shown above and the Certificates should be in a good condition. |
Other Information:
Please confirm the receipt and registration of above securities to us by mail, at the earliest and revert to us if the Securities are not received in 2 weeks time, after the scheduled delivery date.
Please intimate us about your transaction charges if any, for the above instruction. Please always quote Our Reference in all further correspondence regarding the above instruction.
Thanking you,
For Salmon Brothers Inc.,
New York, USA.
CITI-5001, 15-Feb-1998,
Citibank N.A, New York, USA.
# 58, Ivory Towers,
Victoria Avenue,
Toronto,
Canada.
ZIP 6789-908.
Sub: Our Instruction to Receive Securities Against Payment.
Kind Attention Mr. Richard Stevens,
Custodial Officer, Securities Department.
Dear Sir/Madam,
Please arrange to receive securities against payment as per our instructions shown below:
| Header | Details | ||
|---|---|---|---|
| Our Reference | 000SE01980380054 | ||
| Securities Identification | ISIN CADBONDNWC01 | ||
| North Woods Canadian Minerals Ltd. Bonds | |||
| Trade Date | 07-FEB-1998 | ||
| Place of Trade | Toronto Stock Exchange | ||
| Delivery Date | 20-FEB-1998 | ||
| Next Coupon Due Date | 30-JUN-1998 | ||
| Securities Book Value | **5,000,000.00 CAD | ||
| Quantity of Securities | **5,000,000 Face Amount | ||
| Safekeeping Account (to be Deposited) | CAGS-BZ6782 | ||
| Securities Certificate Numbers | NWB 52011 to NWB 52060 – 50 x 100,000 CAD worth Bond Certificates | ||
| Deliverer of Securities | Rosedale Brokers Group, Toronto | ||
| Securities Deliverer’s Reference | 56243 | ||
| Beneficiary of Securities | Zerus Dynamic Fund Corporation | ||
| Securities Registration Details | Securities received have to be registered in the name of the Zerus Dynamic Fund Corporation. | ||
| Securities Receipt Declaration Details | Certificate Numbers of Bonds delivered should match with the numbers as shown above and the Certificates should be in a good condition. | ||
| Account for Payment | 643-982 | ||
| Securities Deal Price | 104 PCT – 104 Percent of Face Value | ||
| Securities Deal Amount | **5,200,000.00 CAD | ||
| Accrued Interest Amount | 250,000.00 CAD | ||
| Accrued Interest Days | 51 Days | ||
| Taxes Added | *85,000.00 CAD | ||
| Taxes Description | Stock Exchange Tax on Bonds Purchased. | ||
| Broker’s Commission | *12,500.00 CAD | ||
| Other Charges/Fees | **2,500.00 CAD | ||
| Securities Deal Settlement Amount | **5,550,000.00 CAD |
Other Information:
Please confirm the receipt and registration of above securities to us, by mail, at the earliest and revert to us if the Securities are not received in 2 weeks time, after the scheduled delivery date. Please intimate us about your transaction charges if any, for the above instruction.
Please always quote Our Reference in all further correspondence regarding the above instruction.
Thanking you,
For Goldman Sachs,
New York, USA.
BNZ-15342, 04-JAN-1998,
Bank of New Zealand, New York, USA.
# 92, Lotus Towers,
Pacific Avenue,
Wellington,
New Zealand.
Sub: Our Instruction to Deliver Securities Free of Payment.
Kind Attention Mr. Micheal Burgess,
Custody Services Officer,
Securities Department.
Dear Sir/Madam,
Please arrange to deliver the securities free of payment as per our instructions shown below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SEB7980040002 | |||
| Securities Identification | ISIN NZDBONDWRP04 | |||
| Wellington Railway 1 Jan 1993 Bonds | ||||
| Trade Date | 02-JAN-1998 | |||
| Place of Trade | Wellington Bonds Market | |||
| Delivery Date | 08-JAN-1998 | |||
| Next Coupon Number | 021 | |||
| Next Coupon Due Date | 01-APR-1998 | |||
| Securities Book Value | **1,000,000.00 NZD | |||
| Instructing Party | Charles S. Taylor | |||
| Quantity of Securities | **1,000,000.00 Face Amount | |||
| Safekeeping Account (Delivered from) | 94763 88 | |||
| Securities Certificate Numbers | NW 25401 to NW 25410 – 10 x 100,000 NZD worth Bond Certificates | |||
| Receiver of Securities | Westpac Banking Corporation, | Wellington | ||
| Beneficiary of Securities | Magnus P. Taylor | |||
| Beneficiary’s Safekeeping Account | (with Receiver of Securities) | 284564 | ||
| Securities Registration Details | Securities Delivered are to be registered in favour of Magnus P. Taylor | |||
| Securities Receipt Declaration Details | Bond Certificates with numbers as shown above are to be delivered physically to the Receiver of Securities. |
Other Information:
Please confirm the delivery and registration of above securities to us, by mail, at the earliest and revert to us if the Securities have not been delivered in 1 weeks time, after the scheduled delivery date.
Please intimate us about your transaction charges if any, for the above instruction. Please always quote Our Reference in all further correspondence regarding the above instruction.
Thanking you,
For Merrill Lynch,
New York, USA.
HSB-85652, 25-MAR-1998,
Hang Seng Bank, London, U.K.
# 765, Copper Arch,
Charles Avenue,
Hong Kong,
ZIP 7890-542-02.
Sub: Our Instruction to Deliver Securities Against Payment.
Kind Attention Ms. Cheng Wen Lee,
Custody Services Officer,
Securities Department.
Dear Sir/Madam,
Please arrange to deliver the securities against payment as per our instructions shown below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SES1980840007 | |||
| Securities Identification | ISIN HK0043762191 | |||
| /HKD/1, SWIRE Properties Ordinary Registered. | ||||
| Trade Date | 20-MAR-1998 | |||
| Place of Trade | Honk Kong Stock Market | |||
| Delivery Date | 28-MAR-1998 | |||
| Securities Book Value | 500,000.00 HKD | |||
| Instructing Party | ABC Investments | |||
| Quantity of Securities | 50,000 Shares | |||
| Safekeeping Account (Delivered from) | 106789 | |||
| Securities Certificate Numbers | SSE 120011 – SSE 120060 – 50 x 100 Share Certificates. | |||
| Receiver of Securities | W. I. Carr, Hong Kong | |||
| Beneficiary of Securities | Eastern Securities, Hong Kong | |||
| Beneficiary’s Safekeeping Account | (with Receiver of Securities) | 987056 | ||
| Securities Registration Details | Securities delivered are to be registered in favour of Eastern Securities, Hong Kong. | |||
| Securities Receipt Declaration Details | Share Certificates with numbers as shown above are to be delivered physically to the Receiver of Securities. | |||
| Account for Payment | 9056-3428 | |||
| Securities Deal Price | 12 HKD | |||
| Securities Deal Amount | 600,000.00 HKD | |||
| Other Charges/Fees | 650 HKD | |||
| Securities Settlement Amount | 599,350.00 HKD |
Other Information:
Please confirm the delivery and receipt of payment for above securities to us, by mail, at the earliest and revert to us if the Securities have not been delivered in 1 weeks time after the scheduled delivery date. Please intimate us about your transaction charges if any, for the above instruction.
Please always quote Our Reference in all further correspondence regarding the above instruction.
Thanking you,
For Merrill Lynch,
New York, USA.
SABR-4598, 25-JAN-1998,
Salomon Brothers Inc., Melbourne
# 45/2, Grand Strand, Australia.
Wall Street,
New York,
USA.
Sub: Confirmation of Securities Receipt, Free of Payment.
Kind Attention Mr. Paul Adams,
Settlements Officer,
Securities Department.
Dear Sir/Madam,
We hereby confirm that as per your instructions, we have received the following securities free of payment as per the details shown below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | T7658 | |||
| Your Reference | 000SSPT980070021 | |||
| Securities Identification | ISIN AUDBONDWAG02 | |||
| Western Australia Gold Mining Bonds | ||||
| Trade Date | 02-JAN-1998 | |||
| Place of Trade | Sydney Stock Exchange | |||
| Delivery Date | 15-JAN-1998 | |||
| Next Coupon Due Date | 31-JAN-1998 | |||
| Securities Book Value | **1,500,000.00 AUD | |||
| Quantity of Securities | **1,500,000 Face Amount | |||
| Safekeeping Account (Deposited) | USSB7434 540 | |||
| Securities Certificate Numbers | AE 10001 to AE 10015 | 15 x 100,000 AUD worth Bond Certificates | ||
| Deliverer of Securities | Elders Finance Group, Sydney | |||
| Securities Deliverer’s Reference | RYZ843 | |||
| Beneficiary of Securities | Fidelity Trust Limited, New York | |||
| Securities Registration Details | Securities received have been registered in the name of the Fidelity Trust Limited, New York. | |||
| Securities Receipt Declaration Details | Certificate Numbers of Bonds have been delivered and match with the numbers mentioned in your instruction and the Certificates are in a good condition. |
Other Information:
Please always quote Our Reference in all further correspondence regarding the above confirmation.
Thanking you,
For ANZ Banking Corporation Ltd.,
Australia.
GS-12684, 22-FEB-1998,
Goldman Sachs, Toronto, CANADA
# 602, South End Towers,
JFK Avenue,
New York,
U.S.A.
ZIP-897-643-260
Sub: Confirmation of Receipt of Securities Against Payment.
Kind Attention: Ms. Andy Ryan,
Treasury Officer,
Securities Department.
Dear Sir/Madam,
We hereby confirm that as per your instructions to us, we have received the following securities against payment as per the details shown below:
| Header | Details | ||
|---|---|---|---|
| Your Reference | 16832 | ||
| Our Reference | 000SE01980380054 | ||
| Securities Identification | ISIN CADBONDNWC01 | ||
| North Woods Canadian Minerals Ltd. Bonds | |||
| Trade Date | 07-FEB-1998 | ||
| Place of Trade | Toronto Stock Exchange | ||
| Delivery Date | 22-FEB-1998 | ||
| Next Coupon Due Date | 30-JUN-1998 | ||
| Securities Book Value | **5,000,000.00 CAD | ||
| Quantity of Securities | **5,000,000 Face Amount | ||
| Safekeeping Account (Deposited) | CAGS-BZ6782 | ||
| Securities Certificate Numbers | NWB 52011 to NWB 52060
50 x 100,000 CAD worth Bond Certificates |
||
| Deliverer of Securities | Rosedale Brokers Group, Toronto | ||
| Securities Deliverer’s Reference | 56243 | ||
| Beneficiary of Securities | Zerus Dynamic Fund Corporation | ||
| Securities Registration Details | Securities that have been received, are registered in the name of the Zerus Dynamic Fund Corporation. | ||
| Securities Receipt Declaration Details | Certificate Numbers of Bonds delivered match with the numbers as indicated in your Instruction and the Certificates are in a good condition. | ||
| Account for Payment | 643-982 | ||
| Securities Deal Price | 104 PCT – 104 Percent of Face Value | ||
| Securities Deal Amount | **5,200,000.00 CAD | ||
| Accrued Interest Amount | 250,000.00 CAD | ||
| Accrued Interest Days | 51 Days | ||
| Taxes Added | *85,000.00 CAD | ||
| Taxes Description | Stock Exchange Tax on Bonds Purchased. | ||
| Broker’s Commission | *12,500.00 CAD | ||
| Other Charges/Fees | **2,500.00 CAD | ||
| Securities Deal Settlement Amount | **5,550,000.00 CAD | ||
| Own Charges | 500 CAD | ||
| Net Proceeds | **5,550,500.00 CAD | ||
| Value Date of Payment | 22-FEB-1998 |
Other Information:
Our Charges for the above transaction carried out as per your earlier instruction is 500 CAD and has been debited to your payment account with us, value 22-FEB-98. Please always quote Our Reference in all further correspondence regarding the above instruction.
Thanking you,
For Citibank N.A.,
Toronto, Canada.
ML-450822, 10-JAN-1998,
Merrill Lynch, Wellington,
# 842/32, Barton Towers, NEW ZEALAND.
Wall Street,
New York,
U.S.A.
Sub : Confirmation of Securities Delivered Free of Payment
Kind Attention : Mr. Hugh Stevens
Settlements Officer,
Securities Department.
Dear Sir/Madam,
We hereby confirm that as per your instructions to us, we have delivered the following securities free of payment as per the details shown below:
| Header | Details | |||
|---|---|---|---|---|
| Your Reference | 432765 | |||
| Our Reference | 000SEB7980040002 | |||
| Securities Identification | ISIN NZDBONDWRP04 | |||
| Wellington Railway 1 Jan 1993 Bonds | ||||
| Trade Date | 02-JAN-1998 | |||
| Place of Trade | Wellington Bonds Market | |||
| Delivery Date | 10-JAN-1998 | |||
| Next Coupon Number | 021 | |||
| Next Coupon Due Date | 01-APR-1998 | |||
| Securities Book Value | **1,000,000.00 NZD | |||
| Instructing Party | Charles S. Taylor | |||
| Quantity of Securities | **1,000,000.00 Face Amount | |||
| Safekeeping Account (Delivered from) | 94763 88 | |||
| Securities Certificate Numbers | NW 25401 to NW 25410 | 10 x 100,000 NZD worth Bond Certificates | ||
| Receiver of Securities | Westpac Banking Corporation, | Wellington | ||
| Beneficiary of Securities | Magnus P. Taylor | |||
| Beneficiary’s Safekeeping Account | (with Receiver of Securities) | 284564 | ||
| Securities Registration Details | Securities Delivered have been registered in favour of Magnus P. Taylor | |||
| Securities Receipt Declaration Details | Bond Certificates with numbers as per your instruction have been delivered physically to the Receiver of Securities. |
Other Information:
Please always quote Our Reference in all further correspondence regarding the above instruction.
Thanking you,
For Bank of New Zealand,
Wellington, NEW ZEALAND.
ML-450822, 28-MAR-1998,
Merrill Lynch, Hong Kong
# 842/32, Barton Towers,
Wall Street,
New York,
U.S.A.
Sub: Confirmation of Securities Delivered Against Payment.
Kind Attention Mr. Hugh Stevens,
Treasury Officer,
Securities Department.
Dear Sir/Madam,
We hereby confirm that as per your instructions to us, we have delivered the following securities against of payment as per the details shown below:
| Header | Details | |||
|---|---|---|---|---|
| Your Reference | 689560-324 | |||
| Our Reference | 000SES1980840007 | |||
| Securities Identification | ISIN HK0043762191 | |||
| /HKD/1, SWIRE Properties Ordinary Registered. | ||||
| Trade Date | 20-MAR-1998 | |||
| Place of Trade | Honk Kong Stock Market | |||
| Delivery Date | 28-MAR-1998 | |||
| Securities Book Value | 500,000.00 HKD | |||
| Instructing Party | ABC Investments | |||
| Quantity of Securities | 50,000 Shares | |||
| Safekeeping Account (Delivered from) | 106789 | |||
| Securities Certificate Numbers | SSE 120011 – SSE 120060 | 50 x 100 Share Certificates. | ||
| Receiver of Securities | W. I. Carr, Hong Kong | |||
| Beneficiary of Securities | Eastern Securities, Hong Kong | |||
| Beneficiary’s Safekeeping Account | (with Receiver of Securities) | 987056 | ||
| Securities Registration Details | Securities delivered have been registered in favour of Eastern Securities, Hong Kong. | |||
| Securities Receipt Declaration Details | Share Certificates with numbers as indicated in your instruction to us, have been delivered physically to the Receiver of Securities. | |||
| Account for Payment | 9056-3428 | |||
| Securities Deal Price | 12 HKD | |||
| Securities Deal Amount | 600,000.00 HKD | |||
| Other Charges/Fees | 650 HKD | |||
| Securities Settlement Amount | 599,350.00 HKD | |||
| Our Charges | **1,250.00 HKD | |||
| Net Proceeds | 600,600.00 HKD | |||
| Value Date of Payment | 28-MAR-1998 |
Other Information:
Our charges for the above transaction is 1,250.00 HKD and has been debited to the payment account, value 28-MAR-1998. Please always quote Our Reference in all further correspondence regarding the above instruction.
Thanking you,
For Hang Seng Bank,
Hong Kong.
WARBURG-024 24-JAN-1998
Warburg Securities, Sydney,
# 892, Traflagar Square, Australia
Oxford Street,
London,
U.K.
ZIP- 6780-265
Sub: Notice of Rights declared.
Kind Attention Mr. William Smith,
Operations Head,
Securities Department.
Dear Sir/Madam,
Please be advised that Rights have been announced for the following Security with details as shown below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SE01980240004 | |||
| Safekeeping Account | 8745 762 | |||
| Rights announced for Security | ISIN AU0000172510 | Greater Perth Energy Generation Ltd. | ||
| Quantity of Security Eligible for Rights | 8500 Shares | |||
| Right Expiry Date | 20-FEB-1998 | |||
| Rights Ex Date | 01-FEB-1998 | |||
| Your Response Deadline | 18-FEB-1998, 1700 HRS GMT | |||
| Rights Exercise Payable Date | 20-FEB-1998 | |||
| Rights Record Date | 19-FEB-1998 | |||
| Identification of Rights | Greater Perth Energy Generation Ltd. Common Rights | |||
| Quantity of Rights Eligible | 8500 Rights | |||
| Rights Subscription Ratio | 1 Shares for every 5 Rights | |||
| Rights Subscription Price | 40 AUD | |||
| Type of Rights | Saleable | |||
| Indicative Market Price for Rights | 25 AUD | |||
| Pari Passu Date of Securities Exercised through Rights | 15-MAR-1998 |
Other Information:
We are holding the above rights at your disposal and await your instructions. Please ensure that your instructions reach us before the response deadline as stated above.
Please quote Our Reference in all further correspondence relating to above Rights announcement.
Thanking You,
For National Australia Bank,
Sydney.
Chemical Bank, 25-MAR-98,
# 890, Pearl Towers, New York
Lotus Avenue,
Tokyo,
Japan.
Sub: Notice of Securities Event
Kind Attention Mr. Nomura Shikara,
Operations Head,
Securities Department.
Dear Sir/Madam,
Please be advised and informed about the securities event with details as shown below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SE01980840021 | |||
| Type of Event | Coupon Interest Rate Revision | |||
| Identification of Securities affected | ISIN USFRNICI0007 | IC Industries Finance Corporation Guaranteed FRN 1996 | ||
| Quantity of Securities | 2,000,000.00 Face Amount | |||
| Event Narrative | Interest Rate for the Period 01-OCT-97 to 31-MAR-1998 has been fixed at 8 %. Coupon Number 4 to be paid on 01-APR-1998 will be USD 44.55 |
Other Information:
We shall confirm the final coupon amount as soon as we receive the same.
Please quote Our Reference in all further correspondence relating to above announcement.
Thanking You,
For Chemical Bank,
New York,
USA
Chemical Bank, 05-APR-98,
# 890, Pearl Towers, New York
Lotus Avenue,
Tokyo,
Japan.
Sub: Advice of Money Income from Securities -
Coupon Payment
Kind Attention Mr. Nomura Shikara,
Operations Head,
Securities Department.
Dear Sir/Madam,
Please be advised that the Coupon for Security with details as shown below has been paid:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SE01980940021 | |||
| Identification of Securities for which Coupon has been Paid | ISIN USFRNICI0007 | IC Industries Finance Corporation Guaranteed FRN 1996 | ||
| Securities Safekeeping Account | 2938451 | |||
| Quantity of Securities for which Coupon has been paid | 2,000,000.00 Face Amount | |||
| Coupon Number Collected | 004 | |||
| Coupon Due Date | 01-APR-1998 | |||
| Coupon Interest Rate | 8.00 Percent Per Coupon | |||
| Gross Amount | *89,100.00 USD | |||
| Our Charges | 20.00 USD | |||
| Net Coupon Amount Proceeds | *89,080.00 USD | |||
| Value Date of Payment | 01-APR-1998 | |||
| Account Paid | 218521 |
Other Information:
We have debited Our Income collection charges as indicated above. Please quote Our Reference in all further correspondence relating to above coupon payment.
Thanking You,
For Chemical Bank,
New York,
USA
Credit Commercial de France, 15-APR-1998,
# 24, Kiosk Arcade, London.
Charles de Gualle Avenue,
Paris,
FRANCE.
ZIP-5690 456
Sub: Advice of Income in the Form of Securities - Bonus Issued.
Kind Attention Mr. Richard Gere,
Chief Dealer,
Securities Department
Dear Sir/Madam,
Please be advised about the Income in the form of Securities due to Bonus Securities issued with details as shown below:
| Header | Details | ||
|---|---|---|---|
| Our Reference | 000SE01981050024 | ||
| Identification of Bonus Securities | Governor and Company, Ordinary Shares | ||
| Securities Safekeeping Account deposited | 1792471 | ||
| Quantity of Securities eligible for Bonus | 4,000 Shares | ||
| Terms of Bonus | 1 New Share for Every 2 Shares held | ||
| Bonus Record Date | 12-APR-1998 | ||
| Quantity of Bonus Securities Deposited | 2000 Shares |
Other Information:
Bonus Securities have been deposited in the Safekeeping account as indicated above. Please quote Our Reference in all future correspondence related to above Bonus Issue.
Thanking you,
For Royal Bank of Scotland,
London,
UK.
Banque Paribas, 02-APR-1998
# 18, Band Strand, London.
Pisa Avenue,
Paris,
France
ZIP 654-420-08
Subject: Advice of Securities Redemption.
Kind Attention Mr. Charles Dalton,
Settlements Officer,
Securities Department.
Dear Sir/Madam,
Please be advised of Securities Redemption with details as shown below:
| Header | Details | ||
|---|---|---|---|
| Our Reference | 000SES8981050320 | ||
| Identification of Securities being redeemed | UK Treasury Bonds 7 ¾ Percent 1993/1998 | ||
| Securities Safekeeping Account | BP-SK-45678-3890 | ||
| Quantity of Securities being Redeemed | 1,000,000.00 Face Amount | ||
| Redemption Due Date | 01-APR-1998 | ||
| Redemption Terms | At PAR, Normal Redemption | ||
| Redemption Amount | 1,000,000.00 GBP | ||
| Our Charges for Redemption Transaction | 250.00 GBP | ||
| Net Amount | 999,750.00 GBP | ||
| Account for Payment | BP-CA-45678-2468 | ||
| Value Date of Payment | 01-APR-1998 |
Other Information:
We have credited your account with us as per the details shown above. Please quote Our Reference in all further correspondence in relation to the above redemption.
Thanking you,
For Midland Bank,
London,
UK.
CC-298402, 05-APR-1998,
Credit Commercial de Paris, London.
# 56A, Tuxedo Towers,
Governor Avenue,
Paris,
France.
ZIP-348-598-02
Subject: Request for Securities Statement.
Kind Attention Ms. Paula Felleti,
Custody Accounts Officer,
Securities Safekeeping Department.
Dear Sir/Madam,
We hereby request you to send us a Securities Statement as per the details shown below:
| Header | Details | |||
|---|---|---|---|---|
| Our Reference | 000SES8981050320 | |||
| Securities Safekeeping Account for which Statement is being requested | 40596832 | |||
| Identification of Securities for which Statement is requested | ISIN FR0000771617 | ELF AQUITAINE Shares | ||
| Securities Statement Type Requested | Statement of Transactions | |||
| Securities Statement Period Requested | 01-JAN-1998 to 31-MAR-1998 | |||
| Securities Statement Media | By Mail |
Other Information:
Please inform us about transaction charges if any, for the above securities statement request.
Please quote Our Reference in all further correspondence in relation to the above message.
Thanking you,
For Royal Bank of Scotland,
London,
UK.
PB-209870 02-APR-1998,
Prudential Bache Securities International, Singapore
# 280, Symphony Towers,
Sunrise Avenue,
New York,
USA.
ZIP 4650-248-07.
Subject: Securities Statement of Holdings
Kind Attention Mr. Jonathan Smith,
Senior Treasury Officer,
Portfolio Management Services.
Dear Sir/Madam,
Please find attached herewith the Securities Statement of Holdings of your Safekeeping Account with us.
| Header | Details | ||
|---|---|---|---|
| Our Reference | 000SE01980610002 | ||
| Safekeeping Account | 35746-978 | ||
| Securities Statement as of Date | 02-APR-1998 | ||
| Statement Preparation Date | 02-APR-1998 | ||
| Statement Reference Currency | USD | ||
| Securities Statement Number | 24 |
| Identification of Securities | Security Type | Market Price per Unit | Value in Security Currency | Exchange Rate | Value in Statement Reference Currency | ||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| ISIN SG0000682341 Plastic Fabrication and Molding Corporation |
Shares | 67.25 SGD | 403,500.00 SGD | 1.75 | 706,125.00 USD | ||||||
| ISIN SG0000764341 Tribeca Device Assembler Corporation Limited |
Shares | 6.375 SGD | 98,493.75 SGD | 1.75 | 172364.06 USD | ||||||
| ISIN SG0000988721 Singapore Precision Computing Inc. |
Shares | 22.50 SGD | 225,000.00 SGD | 1.75 | 393,750.00 USD | ||||||
| ISIN SG0000698791 Tawdry Textiles and Fashion Corporation Limited. |
Shares | 10.25 SGD | 12,300.00 SGD | 1.75 | 21,525.00 USD | ||||||
| Total Value of Securities | 739,293.75 SGD | 1,293,764.06 USD |
Other Information:
Please revert back to us within 15 days from statement date, in case of any discrepancies in the above Securities Statement of Holdings. Please always quote Our Reference in all further correspondence with respect to above Securities Statement of Holdings.
Thanking you,
For DBS Bank Ltd.,
Singapore.
RBC-98235 08-APR-1998,
Royal Bank of Scotland, Paris
Nestor House,
Playhouse Yard
London,
UK
ZIP 2850-2465
Subject: Securities Statement of Transactions.
Kind Attention Mr. Raymond Sinclair,
Treasury Officer,
Securities Settlements Department.
Dear Sir/Madam,
Please find enclosed herewith the Securities Statement of Transactions for your safekeeping account with us.
| Our Reference | 000SEBN98 | ||||||||||||||
| Safekeeping Account | 40596832 | ||||||||||||||
| Statement Period Start | 01-JAN-1998 | ||||||||||||||
| Statement Period End | 31-MAR-1998 | ||||||||||||||
| Statement Preparation Date | 08-APR-1998 | ||||||||||||||
| Identification of Securities | ISIN FR0000771617 | ELF AQUITAINE Shares | |||||||||||||
| Security Currency | FFR | ||||||||||||||
| Security Denomination | Units | ||||||||||||||
| Posting Date | Securities Transaction Type | Securities Movement | Your Reference | Our Reference | Quantity | Balance | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 01-JAN-1998 | Opening Balance | 20,000 | |||||||||||||
| 02-JAN-1998 | Regular Buy | IN | 43598T | 000SE01980020021 | 2,000 | 22,000 | |||||||||
| 07-JAN-1998 | Regular Sell | OUT | 3475FL | 000SE01980080007 | 3,000 | 19,000 | |||||||||
| 15-JAN-1998 | Regular Sell | OUT | P94860 | 000SE01980150002 | 1,500 | 17,500 | |||||||||
| 28-JAN-1998 | Regular Buy | IN | 484820 | 000SE01980280024 | 5,000 | 22,500 | |||||||||
| 05-FEB-1998 | Regular Buy | IN | B84759 | 000SE04980360032 | 3,570 | 26,070 | |||||||||
| 24-FEB-1998 | Regular Buy | IN | TT94857 | 000SE05980550021 | 4,000 | 30,070 | |||||||||
| 09-MAR-1998 | Regular Buy | IN | K93529 | 000SE07980680050 | 15,000 | 45,070 | |||||||||
| 16-MAR-1998 | Regular Sell | OUT | 180239 | 000SE05980750022 | 8,000 | 37,070 | |||||||||
| 28-MAR-1998 | Regular Buy | IN | 134811 | 000SE08980870009 | 7,500 | 44,570 | |||||||||
| 31-MAR-1998 | Closing Balance | 44,570 | |||||||||||||
Other Information:
Please revert back within 15 days of statement date in case of any discrepancies found in the above Securities Statement of Transactions. In the absence of any queries from your side, we shall assume that the above information shown is correct and is a true representation of transactions processed for the safekeeping account.
Please quote Our Reference in all further correspondence in relation to above Securities Statement of Transactions.
Thanking you,
For Credit Commercial de France,
Paris,
France
PB-209870 08-APR-1998,
Prudential Bache Securities International, Singapore.
# 280, Symphony Towers,
Sunrise Avenue,
New York,
USA.
ZIP 4650-248-07.
Subject: Securities Statement of Pending Transactions.
Kind Attention: Mr. Jonathan Smith,
Senior Treasury Officer,
Portfolio Management Services.
Dear Sir/Madam,
In response to your request, please find attached herewith the Securities Statement of Pending Transactions of your Safekeeping Account with us.
| Our Reference | 000SEBN980980018 | |||||||||||||
| Safekeeping Account | 35746-978 | |||||||||||||
| Statement as of Date | 31-MAR-1998 | |||||||||||||
| Statement Preparation Date | 08-APR-1998 | |||||||||||||
| Identification of Securities | Reason for Pending Status | Your Reference | Our Reference | Counterparty | Quantity of Securities | Settlement Date | Settlement Amount | |||||||
| ISIN SG0000768661 Poinsetta Start Shipping Ltd. Common Shares. |
Settlement Date is in the Future. | 74365 000SE05980750001 |
Merill Lynch International Bank, Singapore. | 5,000 | 15-MAY-1998 | 64,123.50 SGD | ||||||||
| ISIN SG0000572321 Singapore International Trading Corporation Shares. |
Instructions does not match Counterparty’s Instructions | 879732 000SE08980450008 |
Royal Bank of Canada, Singapore | 2,500 | 25-MAR-1998 | 32,500.00 SGD | ||||||||
| ISIN SG0000572321 Singapore International Trading Corporation Shares. |
Deliver Against Payment Instructions Failed as Funds were not delivered | 234328 000SE09980510024 |
Societe Generale, Singapore. | 3,600 | 28-MAR-1998 | 52,750.00 SGD | ||||||||
Other Information:
Please revert back to us in case of any discrepancies in the above securities statement of pending transactions.
Please quote Our Reference in all future correspondence in relation to the above securities statement of pending transactions.
Thanking You,
For Development Bank of Singapore,
Singapore.