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CreationOnline User Manual

1. e To reject a CreationDlrect via Internet user on page 3 5 e To delete a CreationDirect via Internet user on page 3 5 e To refresh a list of CreationDirect via Internet users on page 3 5 e To specify CreationDirect via Internet accounts on page 3 6 You can request the creation of new CreationDirect via Internet delivery addresses and set up a CreationDirect filestore for securities and cash instruction input and receiving reports using the Action menu on the CreationDirect via Internet Settings page as follows e To request a CreationDirect via Internet address on page 3 6 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 3 1 CreationDirect via Internet management Managing CreationDirect via Internet users As an OU administrator you can view modify create delete release and revoke CreationDirect via Internet users and create definitions of CreationDirect via Internet user credentials A Query command is also available to view the current set of CreationDirect via Internet users You can also confirm confirm the deletion and reject a CreationDirect via Internet user if the 4 eyes principle is in force or create new credentials for a CreationDirect via Internet user You can refresh the page to display the latest list of CreationDirect via Internet users in your organisation unit Note When you created a new CreationDirect via Internet use
2. Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Request Cancellation from the Action menu m Right click on the appropriate instruction in the list and select Request Cancellation from the popup menu 7 View the details of the instruction across all available subtabs as required and when ready select Submit to perform the cancellation request On submission of the cancellation request the instruction will appear in list views with status New To refresh the list of triparty collateral instructions e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 23 November 2015 Clearstream Banking Luxembourg 9 6 CreationOnline User Manual Working with Triparty Collateral Business Working with Triparty Collateral Contract Summaries As a Business User or Supervisor User with the appropriate permissions you can use CreationOnline to query and view Tripart
3. On the Scheduled Reports tab do one of the following to display the details of the report request on its own tab Highlight the appropriate report request in the list and select Modify from the Action menu Right click on the appropriate report request in the list and select Modify from the popup menu Use the Report and Report Details subtabs for example for the Cash Balances MT950 Money Statement MT950 Statement of Holdings MT535 or Statement of Transactions MT536 report request to make the required changes to the name zero values content and frequency of the requested report You cannot change the Report Type For the Triparty Collateral and Exposure Statements you can choose the Cmax participants For the Cash Balances and Money Statement reports you can use the Currency subtab to refine the report request further Before submitting your modified report request do one and or other of the following if required If you decide to change the modification use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon modification of the report request use the Discard button or Action menu command to cancel the operation and return to the Scheduled Reports page 23 November 2015 Clearstream Banking Luxembourg 5 10 CreationOnline User Manual Note Working with scheduled reports Administration Sele
4. e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of scheduled report requests is displayed Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 5 13 DEUTSCHE BORSE clearstream croup 6 Working with securities Business As a Business User or Business Supervisor with the appropriate permissions you can use CreationOnline to create and progress Receive Free Receive Against Payment Deliver Free and Deliver Against Payment securities settlement instructions and to query and view securities balances In CreationOnline an instruction is considered to belong to one of two principal categories e Pre release including all open instructions when the activity status can be one of the following Processing New Verified Failed Verified Awaiting Feedback Cancelled Rejected2 Accepted2 Incomplete Validation Failure Modified Failed Authorise Authorised You can query pre release securities inst
5. 2 From the Action menu select the Query command to display a Query tab for Received Messages 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required message in a list view 5 Do one of the following to display the details of the received message on its own tab named from the reference associated with that message Highlight the appropriate notification in the list and select View from the Action menu then select the Change Folder button Right click on the appropriate notification in the list and select Change Folder Owner from the popup menu 6 Enter the new values for the folder and or owner for the message selected 23 November 2015 Clearstream Banking Luxembourg 10 2 CreationOnline User Manual Working with Message Exchange Business If you decide to abandon changing the Folder Owner use the Discard button or Action menu command to cancel the operation and return to the CA Notification Queries page Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 10 3 Working with Message Exchange Business To query a sent message You must have the permission for message exchange in order to perform queries on sent messages 1 Inthe navigator panel select Message Exchange Sent Messages to display the appropriate Sent Message page From the Action menu select the Query command to display a Query tab for Sent Messages Adjust the depth of the alerts pa
6. If you are viewing the details of the instruction and want to send it for settlement select the Release button or Action menu command Ifyou are in list view do one of the following 23 November 2015 Clearstream Banking Luxembourg 8 8 CreationOnline User Manual Working with custody IPAR and Corporate Actions Business m Highlight the appropriate instruction in the list and select Release from the Action menu m Right click on the appropriate instruction in the list and select Release from the pop up menu 6 Respond to the prompt by selecting OK to confirm the release of the instruction To cancel a corporate action instruction in CA Pre release 1 In the navigator panel select Custody CA Pre release to display the CA Pre release page 2 From the Action menu select the Query command to display the Query tab for Corporate Action instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction in a list view Note You can customise the displayed list of results 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the pop up menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to cancel i
7. 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required report requests see To query scheduled report requests on page 5 8 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 Either on the Scheduled Reports tab do one of the following Highlight the appropriate report request in the list and select Reject from the Action menu Right click on the appropriate report request in the list and select Reject from the popup menu Or in the alerts panel a Right click on the appropriate alert in the list and select Goto Link from the popup menu to display the details of the associated report request on a Report tab b Select the Reject button or Action menu command to reject the scheduled report request 6 Enter a reason for the rejection and select OK Note If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on report requests Otherwise a second OU Administrator must do this You can confirm or reject multiple report requests in one action provided that all the selected report requests have a suitable status 23 November 2015 Clearstream Banking Luxembourg 5 12 CreationOnline User Manual Working with scheduled reports Administration To refresh the list of scheduled report requests
8. Cancellation Denied The instruction has already been received by Clearstream Banking and Processing can no longer be cancelled upon request Rejected An instruction sent by the customer to cancel another instruction has been rejected Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual A 1 Appendix A Activity statuses and Reason codes Activity Status Description Pending An instruction that has been cancelled is still pending final cancellation Receipt The customer s cancellation request is confirmed as received Accepted The customer s cancellation request is confirmed as accepted Executed Cancellation processing is complete prior to Processing Cancelled Processing Cancelled The instruction sent to Clearstream Banking is confirmed as cancelled a External transaction a transaction with a counterparty in a domestic market Reason codes Reason code Description ADEA Account Servicer Deadline Missed AWMO Awaiting money AWSH Awaiting shares from counterparty BATC Disagreement Processing Batch BENO Beneficial ownership disagreement BLOC Your account is blocked BYIY Buy in procedure for you CADE Repurchase call delay rejection disagreement CAIS Awaiting shares CANI The instruction has been cancelled upon your request CANR Instruction in suspense awaiting your confirmation CANS The instruction has been cancelled by the system CEDE AGSA Disagr
9. PLCE Place of trade rejection disagreement PODU Possible duplicate instruction PRCY Counterparty instructed pre advice Germany Instruction is matched but blocked by counterparty REFS Not in good order REFU Instruction refused not recognised REGD Disagreement registration details REGT Certificates Rejected REPA Repurchase amount rejection disagreement REPO Repurchase rate rejection disagreement REPP Repurchase premium amount rejection disagreement RERT Repurchase rate type rejection disagreement RSPR Repurchase spread rate rejection disagreement RTGS Disagreement RTGS system on the domestic market Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual A 3 Appendix A Activity statuses and Reason codes Reason code Description SAFE Disagreement safekeeping account SBLO Securities blocked SDUT Lack of stamp duty information SETR Unrecognised or invalid settlement transaction type TER Disagreement closing date time VASU Variable rate support rejection disagreement YCOL Your collateral insufficient 23 November 2015 A 4 Clearstream Banking Luxembourg CreationOnline User Manual DEUTSCHE BORSE clearstream croup Appendix B Life cycles and History diagrams Note See also Examples of the history of settled securities instructions on page B 6 Life cycle of a scheduled report 4 eyes ON Pending Rejected Modify Delete Creat
10. on page 11 1 e 12 Working with reference data Business on page 12 1 e 13 Working with retrieved reports Business on page 13 1 e 14 Working with alerts on page 14 1 e 15 Working with audit events Administration on page 15 1 This manual contains the following appendixes e Appendix A Activity statuses and Reason codes on page A 1 e Appendix B Life cycles and History diagrams on page B 1 e Appendix D Using the Online Help on page D 1 A Glossary is included at the back of this manual 23 November 2015 Clearstream Banking Luxembourg il CreationOnline User Manual Foreword A word about security CreationOnline is available over the public internet or Clearstream Banking s private internet network extranet Access is restricted to authorised users only and is controlled by the use of cryptographic smart cards or P12 credentials files Security is further enhanced by the employment of strong cryptographic authentication and digital signatures and the encryption of all communication Full instructions for the installation of the smart card reader and the use of personal identification number PIN and passwords are delivered with the smart card s and card reader For security reasons you are recommended to use smart card access as the primary access method The P12 option is provided in case for technical reasons smart card access cannot be
11. Examples of the history of settled securities instructions Internal or Bridge instruction 1 Awaiting next processing Domestic instruction 1 Awaiting feedback 2 Settlement confirmed by local market awaiting next processing 23 November 2015 Clearstream Banking Luxembourg B 6 CreationOnline User Manual clearstream Appendix C Vestima user statuses DEUTSCHE BORSE GROUP CreationOnline user statuses have a different life cycle for Vestima purposes The user statuses for Vestima and their CreationOnline equivalent depend upon the conditions defined for setting OU Preferences for 4 eyes on or off 4 eyes off CreationOnline User Status Vestima User Status Confirmed Profile Activated Activated Activated Suspended Deactivated Stopped Deactivated Deleted Deactivated Scenarios Current Action New CreationOnline CreationOnline Status Status none Create Confirmed profile Confirmed Profile Create Credential Activated Confirmed Profile Delete Deleted Activated Recreate Credential Activated Status in Vestima and consequence User becomes ACTIVATED in Vestima but will not be able to log in as no credential has been created User remains ACTIVATED in Vestima and will now be able to log in User becomes DEACTIVATED in Vestima End date is set A user with same identifier can not be recreated from CreationOnline User remains ACTIVATED in Vestima Clearstream Banking Luxembourg
12. Exempt UK NCBO Delivering Party Accountable Delivery to a CSP or ADR Transfer between CSP or ADR Accounts Exemption on New Issue Statement Number The sequence number of the statement used to link multiple statements for a single account ina report Status Reporting The status of the scheduled report request for example Confirmed See Report Status Status User Management The status of the user for example Confirmed Compare User Group Status and User Status SWIFT CreationDirect permissions Permissions to manage reports for retrieval via SWIFT and CreationDirect Tax Authorisation Status US Tax The status of a taxable or reportable payment in the US tax reporting database Authorised The taxable or reportable payment has been split to the underlying beneficial owners and the appropriate withholding tax rate and report type have been assigned per beneficial owner according to customer certification Deleted A previously authorised or re authorised payment has been removed from the US tax reporting database Re authorised A payment has been authorised more than once and has been adjusted during the authorisations Tax Code Whether a tax code is present Yes or not No The actual code is not required as the calculation is done based on the tax rate Tax Identification Number TIN The taxpayer identification number of the beneficial owner as provided to Clearstream Banking
13. For the IPAR the amount calculated in the currency of the issuer payment before tax and before any agent fees Gross Income The income proceeds before tax This is listed in the original currency and in USD Guaranteed Delivery An instruction so designated is for trade matching purposes a special instruction in accordance with ISMA rules and so is subject to different procedures in the event of non settlement History data For instructions post release the complete history is included listing the CET timestamp activity status and any reason narrative for each stage in the life cycle of the instruction post release Holding Quantity The holding of the customer or of the beneficial owner s in the underlying securities ICSD CSD Identification The ICSD CSD Identification determines the type of entry in the associated Party Identifier field For example if BIC is specified then the associated Party Identifier must be a Bank Identification Code BIC Identification of Financial Instrument The financial instrument security to which the instruction applies identified by a 12 character ISIN or a 7 to 9 digit Common Code Immediate Release The release of an Securities instruction to the market on successful provision check at the start of the provisioning period In queries you can filter the results to include all only or no instructions for which immediate release has been requested at input Inactivity Period Parame
14. Notification Queries page 1 From the Action menu select the Query command to display a Query tab for CA Notification Queries 2 Adjust the depth of the alerts panel as required Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 11 Working with custody IPAR and Corporate Actions Business Note Perform a suitable query to list the required instruction in a list view see above If you first want to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the action menu Right click on the appropriate instruction in the list and select view from the pop up menu Do one of the following as appropriate If you are viewing the details of the instruction and want to request cancellation select the Request Cancellation button or Action menu command If you are in the list view do one of the following m Highlight the appropriate instruction in the list view and select Request Cancellation from the Action menu m Right click on the appropriate instruction in the list and select Request Cancellation from the pop up menu If the corporate action instruction has reached the end of its life cycle an error message will be displayed The new input card will be populated with the data from the instruction that is being cancelled You can modify the senders reference from the default if desired Click on Submit
15. Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to send it for settlement select the Release button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Release from the Action menu m Right click on the appropriate instruction in the list and select Release from the popup menu 7 Respond to the prompt by selecting OK to confirm the release of the instruction Note When an instruction has been sent for settlement it can be further progressed as a post release cash instruction see Working with cash instructions post release on page 7 12 If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do
16. Report Frequency Report Type Setup Modification Date Status Balance Type Clearstream Banking Luxembourg CreationOnline User Manual Settlement Parties Tax Certificates Tax Refunds US Withholding Tax Users Split Payment ID Glossary ICSD CSD Identification Party Identifier Party Name Document Status Document Type Market Tax Identification Number TIN Market Safekeeping Account Tax Refund Payment Date Tax Refund Status Tax Identification Number TIN Booking Date Instrument ID IRS Income Code Tax Rate Tax Identification Number TIN User ID User Group Name Profile Status A 6 digit code to uniquely identify a split payment Clearstream Banking Luxembourg CreationOnline User Manual 23 November 2015 Glossary xxill Glossary Split Payments For US tax purposes a split is the allocation of an income payment to one or several beneficial owners and the assignment of the appropriate withholding tax rate and report type per beneficial owner There will be at least one split per taxable or reportable income event You can query US withholding tax for all the splits on one payment to multiple beneficial owners or fora particular split for one beneficial owner Stamp Duty Status The stamp duty status of an instruction in a particular security can be one of the following AU On Market Ad Valorem Already Paid NCBO Stock Loan Return of Stock Loan IE Applicable Exempt ZA Applicable
17. The status of the instruction will be set to New 23 November 2015 Clearstream Banking Luxembourg 8 12 CreationOnline User Manual Working with custody IPAR and Corporate Actions Business Working with corporate action notifications You can use the Action menu on the CA Notification Queries page as follows e To query a corporate action instruction in Post Release on page 8 11 e To display a CA Notification on page 8 13 e To change the folder owner of a CA Notification on page 8 14 e To query a CA Notification life cycle on page 8 14 e To display a CA Notification life cycle on page 8 15 To query a CA Notification You must have the permission for CA notification to perform queries on CA notifications 1 In the navigator panel select Custody CA Notification Queries to display the appropriate CA Notification Queries page 2 From the Action menu select the Query command to display the Query tab for CA Notification Queries 3 Adjust the depth of the alerts panel as required 4 In the Query tab specify a sort sequence and other values to define your query as appropriate 5 Before submitting your query do either of the following if required lf you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard butto
18. To display the Index in the Help navigation pane The Index is a list of keywords set throughout the Help information system and which you can use to search for specific Help information See How to use the Online Help Index below To display the full text Search facility in the Help navigation pane With the Search facility you can search for any string of characters throughout the Help information system See How to use the Online Help full text Search facility below To return immediately to the home page of the Help information that is the CreationOnline page EE These arrows indicate that the currently displayed help topic is included in a browse sequence The navigation in this Help system is organised vertically in a logically hierarchical scheme browse sequences group together related topics horizontally For example the main browse sequence links horizontally among others Reporting and User Management which are each the individual heads of vertical sub schemes of help information At either end of the browse sequence the appropriate arrow is dimmed How the Online Help is organised The main Reference and Procedural Help for the main areas of activity is presented together on a single page for each area Where you see bold blue text this means that depending on your web browser you may be able to click anywhere on this text to reveal related information immediately followi
19. an instruction between two Clearstream Banking or Euroclear accounts cannot settle or the Requested Settlement Date has passed Settlement Settled The Instruction has settled Instructions relating to this settlement cycle can no longer be amended or cancelled Processing Receipt The instruction is confirmed as received at Clearstream Banking Accepted The instruction is confirmed as accepted by Clearstream Banking Replacement Denied The customer can no longer replace the instruction Replaced Clearstream Banking confirms that the customer s instruction has been replaced Priority Replaced Clearstream Banking confirms that the priority has been replaced ona customer s instruction Filter Code Replaced Clearstream Banking confirms that the processing filter code has been replaced on a customer s instruction Executed The associated processing action before settlement has been taken on the instruction Pending Cancellation Cancellation of the instruction has not yet been confirmed within the settlement system Rejected The instruction has been rejected Pool Complete Both instructions making the pool have been received Pool Incomplete Only one instruction of the pool has been received Repo Complete Both legs of the domestic repurchase agreement has been received Repo Incomplete Only one leg of the domestic repurchase agreement has been received Pending On domestic instruction not yet released to market
20. the amount and currency of the transfer exchange Audit event An action performed by the user or by the system in the use of CreationOnline and logged as such in the Audit Log An audit event has no direct business implication for users and no response is required from them Contrast with Alert Only non business users OU Administrators can access the Audit Log Audit events generic details All audit events have a set of generic details and a set of variable details that are specific to the family to which they belong The following generic details are typically common to all audit events Event Type Description Date Organisation Unit Account User ID Event Type Code Event Family Old Event Body New Event Body Audit events variable details See Event family on page Glossary ix Authority level See User profile on page Glossary xxvii Available accounts Accounts that you can select to be associated with a user group Users who are members of this user group can be individually defined to be permitted to perform operations on all or some of the accounts defined for the group Balance type The type of securities or cash balance For securities Aggregate Available Blocked Blocked for Corporate Action Borrowed On Loan Pending Delivery Pending for Redemption Pledged for Collateral For cash Anticipated Net Balance Booked Bank Identification Code BIC An 8 or 11 character code assigned
21. 4 CreationOnline User Manual Getting started When you have fully specified your current query you can use the Save as button or Action menu command to preserve this set of criteria as a new view which is added to the dropdown list and is available to be selected for re use When you select an existing view for your current query the appropriate values are automatically entered in the appropriate fields You might use such a view as the basis of another query whose criteria are mostly the same but vary in one or two details When a list of results is displayed for a selected view you can use the commands in the View menu as follows To delete the current view from the list of available views To give the current view a new name replacing the name in the View dropdown list To establish the current view as the default view for queries on this type of data Customising displayed lists When the list of results is displayed you can customise the arrangement of its content in a general way as follows To narrow or widen a column click and hold down the mouse button on the column separator in the column header and drag it to left or right as required To reposition a column click and hold down the mouse button on the column header and drag it to left or right as required To sort the displayed list up to 50 entries in descending order of values in a selected column click on the column heading Further clicks on the column he
22. 6 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 11 Working with tax Business As a Business User or Business Supervisor you can use CreationOnline to query and view details of the following information e US Withholding Tax US Withholding Tax information includes all payment and tax details both in the original currency and in USD Forex rates are provided for each payment and split Payment and split statuses have been simplified and you can easily associate a beneficial owner Tax Identification Number TIN and or IRS income and exemption codes with a payment split e Tax Refunds You can retrieve a list of refunds by account market tax refund attributes dates event type and beneficial owner You can use the expanded refund statuses comments and refund type to track refunds submitted to Clearstream Banking Note You are encouraged to submit refunds to Clearstream Banking at regular intervals to assist the efficient handling of the requests e Tax Certificates The results of your queries will provide tax certificate inventory and expiry information You can define your query by account market document event and or certificate validity dates beneficial owner and event type You can also use both Clearstream Banking and customers own reference numbers e French Financial Transaction Tax FTT Declarations for French Financial Transaction Tax can be uploaded in CSV format see French FTT decl
23. Action menu Right click on the list and select Query from the popup menu Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of report instances is displayed Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 13 1 Working with retrieved reports Business General tasks You can use the Action menu on the View Reports page as follows To query reports to view below To view an HTML report instance on page 13 3 To download a report ISO 15022 PDF XML XLS HTML and CSV on page 13 2 To print a displayed HTML report on page 13 3 To refresh the list of reports to view on page 13 1 Sorting and filtering HTML reports for display on page 13 4 You can use the Refresh command to display the latest list of retrieved reports in your organisation unit You can also customise the displayed list of reports see Customising displayed lists on page 1 5 To query reports to view 1 S ON 6 In the navigator panel select Reporting View Reports to display the View Reports page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts p
24. Count field Select the Query button or Action menu command to perform the query The results that match your set of criteria are displayed on the IPAR tab If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 23 November 2015 Clearstream Banking Luxembourg 8 2 CreationOnline User Manual Working with custody IPAR and Corporate Actions Business To view the details of an IPAR entry 1 In the navigator panel select Custody IPAR Queries to display the IPAR Queries page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required IPAR items see To query IPAR data above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the IPAR Queries tab do one of the following to display the details of one or more selected IPAR items in read only mode on a detail view tab Highlight the appropriate IPAR item s in the list and select
25. CreationDirect via Internet user Note This action is required only if the 4 eyes principle is in force To confirm a CreationDirect via Internet user do the following 1 In the navigator panel select User Management Users to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user in a list view Note You can customise the displayed list of results 5 Either do one of the following on the Users tab Highlight the appropriate user in the list and select Confirm from the Action menu 23 November 2015 Clearstream Banking Luxembourg 3 2 CreationOnline User Manual Note CreationDirect via Internet management Right click on the appropriate user in the list and select Confirm from the popup menu Or in the alerts panel Right click on the appropriate alert in the list and select Goto Link from the pop up menu to display the details of the associated user on a User tab Select the Confirm button or Action menu command to confirm the user If as the OU administrator you have the authorise own privileges then you can confirm or reject your own actions on users Otherwise a second OU administrator must do this To create credentials for CreationDirect via Internet users Note An OU administrator can only create credentials for a CreationDirect via user wh
26. CreationOnline User Manual 23 November 2015 C 1 Appendix C Vestima user statuses Current Action New CreationOnline Status in Vestima and CreationOnline Status Status consequence Activated Modify Activated User remains ACTIVATED in Vestima User data is modified in Vestima This concerns User first name User last name Enail address Phone number Fax number User type Supervisor flag Permissions Activated Suspend Suspended User becomes DEACTIVATED in Vestima Activated Stop Stopped User becomes DEACTIVATED in Vestima End date is set A user with same identifier can not be recreated from CreationOnline Suspended Re activate Activated User becomes ACTIVATED in Vestima Suspended Stop Stopped User becomes DEACTIVATED in Vestima End date is set A user with same identifier can not be recreated from CreationOnline 4 eyes on Even if the system administrator has set the CreationOnline conditions of use to 4 eyes on for the OU working environment Vestima will operate as if 4 eyes is off Certain user statuses will have different impacts for Vestima operations than they would have for the other services in CreationOnline The operating times are synchronised between the two applications CreationOnline User Status Pending New Confirmed Profile Pending Rejected Pending Credential recreation Activated Pending Suspended Pending Modified Suspended Pending Stopped Pending Activated Stopped Del
27. For an instruction query you can Select All to include the instructions across all your accounts in the results Account IPAR You can query IPAR data by Safekeeping Account on page Glossary xxi or by Type of Settlement Transaction on page Glossary xxvi Account Clearing Identifier of the he associated Intermediary Account With Institution or Beneficiary Institution for the transaction e If you have specified a Clearing Code then this field must contain the relevant alpha numeric identifier e If you have not specified a Clearing Code then this field can contain the associated account number according to the following conditions lf Intermediary details are specified this field must be left blank in the Intermediary line and the account number must be specified in this field in the Account With Institution line f Intermediary details are not specified and Account With Institution details are specified this field must be left blank in the Account With Institution line and the account number must be specified in this field in the Beneficiary Institution line Account With Institution The institution to which the funds are to be paid for the account of the beneficiary customer Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary i Glossary Active report Active scheduled report requests can have Confirmed Pending Modified or Pending Deleted status Act
28. ISO 15022 PDF XML XLS HTML and CSV From the View reports list 1 2 Do one of the following to download a report Highlight the report in the list and select Download from the Action menu Right click on the report in the list and select the Download command from the popup menu Specify the required destination file location for the downloaded file and select OK 23 November 2015 Clearstream Banking Luxembourg 13 2 CreationOnline User Manual Working with retrieved reports Business To view an HTML report instance 1 In the navigator panel select Reporting View Reports to display the View Reports page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required reports see To query reports to view on page 13 2 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the View Reports tab do one of the following to display a report instance in HTML format Highlight the appropriate report in the list and select View from the Action menu Right click on the appropriate report in the list and select View from the popup menu 6 View the details of the report as required and when finished select the Close button or Action menu command to return to the list view Note While you are viewing a report you can use the Print Re
29. November 2015 Clearstream Banking Luxembourg 8 18 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 9 Working with Triparty Collateral Business Customers using Clearstream Banking s Triparty Collateral services now have the possibility to Create and query Triparty Collateral instructions pre release Query Triparty Collateral Instructions post release Query Triparty Collateral Contract Summaries Query Triparty Collateral Exposure Summaries Principal Securities and Collateral Cash amp Securities Working with Triparty Collateral instructions pre release Triparty Collateral instructions can be sent via CreationOnline by a trading party to its triparty agent Clearstream Banking Luxembourg CBL to perform a specific action on a collateral management instruction The Triparty Collateral Collateral Pre release function offers e Creation and validation of Triparty Repo TRS Securities Lending TSLS1 amp TSLS2 Collateral Management TCMS instructions and Collateral Reservations for Euro GC Pooling activies Triparty Reservation e Instructions for all collateral activities i e new exposures top up change rate etc e Standard messages using the MT527 Triparty Collateral Instruction s business terminology structure and content The query function enables customers to e Perform targeted queries on Triparty Collateral Instructions entered via CreationOnline and customise results e Navigate
30. Safekeeping BIC and Name The user can then specify Common Code or ISIN You can input a partial entry as a wildcard in the Description of Financial Instrument To query financial instruments 1 Be WO DN 6 In the navigator panel select Reference Data Financial Instruments From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required On the Query tab specify the details of the query as required You can sort the financial instruments in ascending or descending order of Financial Instrument or Place of Safekeeping You can include financial instruments of specific identification Description Maturity Date Issue Date Place of Safekeeping Interest rate and or Currency Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Financial Instruments page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field Select the Query button or Action menu command to perform the query The financial instruments that matc
31. Select the Query button or Action menu command to perform the query See A note about queries on page 1 4 The allegements that match your set of criteria are displayed on the Securities Allegements tab If there are no matches the tab is displayed empty Note You can customise the displayed list see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of an allegement 1 Note In the navigator panel select Securities Securities Allegements to display the Securities Allegements page From the Action menu select the Query command to display a Query tab for Securities Allegements Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query allegements above You can customise the displayed list see Customising displayed lists on page 1 5 On the Securities Allegements tab do one of the following to display the details of an allegement on a details tab named from the Sender s Reference of the allegement Highlight the appropriate allegement in the list and select View from the Action menu Right c
32. a user on page 2 4 To delete a user on page 2 5 To confirm a user with Pending status on page 2 5 To reject a user with Pending status on page 2 6 To suspend a user on page 2 6 To re Jactivate a user on page 2 7 To stop a user on page 2 7 To force a user to log off on page 2 8 To refresh the list of users on page 2 8 To create change the credentials of another user on page 2 9 You can use the Refresh command to display the latest list of users in your organisation unit You can also customise the displayed list of users see Customising displayed lists on page 1 5 Note When you have created a user if the 4 eyes principle is set ON see Setting OU preferences on page 1 11 the creation must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this All users can change their own user credentials and or password and check their own permissions See Maintaining logon details permissions and preferences on page 1 8 23 November 2015 Clearstream Banking Luxembourg Z CreationOnline User Manual Working with users Administration To create a user P O NS Note Note Te In the navigator panel select User Management Users From the Action m
33. an instruction Highlight the instruction in the list and select Exposure Summary or Contract summary from the Link menu Right click on the instruction in the list and select Exposure Summary or Contract summary from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is displayed To view the details of an existing Triparty Collateral instruction post release 1 In the navigator panel select Triparty Collateral Collateral Post Release to display the Collateral Post Release page 2 From the Action menu select the Query command to display the Query tab for Collateral instructions post release 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query Triparty Collateral post release on page 9 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 In the list view do one of the following to display the detail of a selected Collateral instruction in read only mode on a detail view tab Highlight the appropriate collateral instruction in the list view and sel
34. and will no longer appear on this list The creation of the user is confirmed and the user is awaiting authorisation for the creation of credentials Pending Credentials Creation Activated Pending Modified Pending Suspended The creation of credentials has been authorised for the user and the user is awaiting the creation of credentials The user activation has been released into the system The user is logically activated and is no longer suspended The user has been modified and is waiting to be confirmed or rejected by a second administrator The existing user is still active until the modification has been released The user has been suspended and is waiting to be confirmed or rejected by a second administrator The existing user is still active until the suspension has been released Pending Credentials Re creation Pending Activated Pending Stopped Suspended Stopped The re creation of credentials due to a problem with the existing credentials has been authorised and the user is awaiting the creation of new credentials The user has been activated after suspension and Is waiting to be confirmed or rejected by a second OU Administrator The existing user is still suspended until the activation has been released The user has been stopped and is waiting to be confirmed or rejected by a second OU Administrator The existing user is still active until the stop has been released The user suspension has been
35. and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 95 Working with Triparty Collateral Business To request cancellation of a triparty collateral instruction post release 1 In the navigator panel select Triparty Collateral Collateral Post Release to display the Collateral Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query Triparty Collateral post release on page 9 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction If you are viewing the details of the instruction and want to request cancellation select the Request Cancellation button or Action menu command
36. appropriate CA Pre release page From the Action menu select the Create command to display a new tab for the custody instruction Adjust the depth of the alerts panel as required Enter the values as required on the General Information and Beneficial Owners Narrative tabs Before submitting your newly created instruction do one or both of the following if required f you decide to change the instruction use the Modify button or Action menu command to change desired values lf you decide to abandon creating a new instruction use the Discard button or Action menu command to cancel the operation and return to the CA Pre release page Select Submit to create the instruction If there is an error in the newly created instruction for example you did not enter any value ina mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu commands to correct the error and resubmit the instruction On successful creation of an instruction if you have enabled the preference for displaying an alert with the Sender s Reference for an instruction the instruction will appear in list views with the status New If the Verify step is required as set in the OU preferences and you have the authorise own permission you can verify or fail verify your own actions on instructions Otherwise a second business user must do this To create a corporate action instruction from a corpo
37. are presented with the CreationOnline page with the current alerts listed across the workspace in the alerts panel Note The first time you log on you must use the temporary password provided You are recommended to define your own password immediately If you enter an invalid password and or user credentials file the system displays an error message accordingly After three invalid logon attempts you are logged out and your web browser session is locked Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 1 1 Getting started Your OU Organisation Unit Administrator can define the default number of retries for password entry for the OU in OU Settings see Maintaining logon details permissions and preferences on page 1 8 To log on to CreationOnline using a smart card Note Note If you are accessing CreationOnline via Clearstream Banking s VPN then you must as a preliminary step dial in to the VPN Start your web browser and do one of the following to access the CreationOnline secure web site Via the Equant VPN connect to https creationonline clearstream banking Connect to https www creationconnect com On the Log on page select the Smart Card option The name of the required DLL file is automatically entered in the DLL File field on the Log on page Your local system administrator has installed the appropriate smart card software on your PC Your first task at initia
38. as required 4 Perform a suitable query to list the required instruction see To query securities instructions post release on page 6 11 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to duplicate it select the Duplicate button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Duplicate from the Action menu m Right click on the appropriate instruction in the list and select Duplicate from the popup menu 7 Make changes to the instruction details as required to create a new unique instruction Note You will have to specify at least a new unique Sender s Reference 8 Before submitting your duplicated instruction do one and or other of the following if required If you decide to change the duplication use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon duplication of the instruction use the Dis
39. cceeeeceeceeeeeeeeeeseeeeeeeteeeeeees 9 9 To query Triparty Collateral Exposures Principal Securities ccccceeeeeeeceeeeeeceeteeeeeeesteeeeess 9 9 To query Triparty Collateral Exposures Collateral Cash amp Securities ccceceeeceeeeeeeteeeees 9 10 10 Working with Message Exchange BUSINESS sccsssseeceeseeseeneseeeseesenneeeeeneees 10 1 TO Guery a REGEIVEd MESSAGES sinnene na ee aa e R E p Eaa ee ke 10 1 TO display a received MESSAGE e ccsccsdaceccscdctdyienncaedageid E A A E RE E E SENERE 10 2 To change the folder owner of a received MESSAGE eccececceseesesceseeseeseeeceeeseeseesecstseeseeteteeeees 10 2 TO query a sent MESSAGE 2 cccecececeeecececeeeceeceeeeeeeceeeeaeeeeeaeeeesecaeesecnaeeseeeeeeseeseeeeeseseeeeeeseeeeeeess 10 4 To create an unsolicited free format message from sent MESSAQGES c ceceeeeeeereeeeeeeeeeeees 10 4 To respond to afres format Message ss cieccestsccnasedasseccnsdcenmitcansceendacenmscacnsteansessaaadneatsaancnwedense 10 4 Torelease a New MESSAGES cecacrscecalscasuazeccaznensateynsedensancnaanenadencnanncnadscnnacdenscecnsateeassecvannansetdsanctenne 10 5 Th Working with tax BUSINESS issii aa aaan aa 11 1 Torefresh the Ustof tax IMPORMALONS sareen nere nnne EEEE NERE 11 2 To query US Withholding Tax stirrer eae e aaa iae eaa deie reniei TER 11 3 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual xi Tasks To view the details of US Withh
40. change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the CA Confirmation Queries page If you want to check how many results your query will yield use the Count Only button or the Action menu command to display the number in the count field If the count is high you can redefine your query to yield fewer results Select the Query button or Action menu command to perform your query The confirmations that match your set of criteria are displayed in a list view If there are no matches the list view is displayed is empty Note You can customise the list of results displayed When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list Is used 23 November 2015 Clearstream Banking Luxembourg 8 16 CreationOnline User Manual Working with custody IPAR and Corporate Actions Business This page has intentionally been left blank Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 17 Working with custody IPAR and Corporate Actions Business 23
41. confirm or reject your own action on user groups Otherwise a second OU Administrator must do this To query user groups 1 2 3 Note In the navigator panel select User Management User Groups to display the User Groups page From the Action menu select the Refresh command to list the user groups Adjust the depth of the alerts panel to reveal the list of user groups as required You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of user groups is displayed Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 2 11 Working with users Administration To view the details of an existing user group 1 In the navigator panel select User Management User Groups to display the User Groups page 2 From the Action menu select the Refresh command to list the user groups 3 Adjust the depth of the alerts panel as required Note You can customise the displayed list see Customising displayed lists on page 1 5 4 On the User Groups tab do one of the following to display a tab for the selected user group Highlight the appropriate user group in
42. credit and collateral usage and next day forecasts are displayed 23 November 2015 Clearstream Banking Luxembourg 719 CreationOnline User Manual Working with cash Business This page has intentionally been left blank 23 November 2015 Clearstream Banking Luxembourg 7 20 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 8 Working with custody IPAR and Corporate Actions Business Note All information flows within Clearstream Banking s systems utilise ISO 15022 as the communication standard For full details of the business usage and meaning of fields present in the CreationOnline custody instructions list views of queries and detail views of queries please refer to the Creation via SWIFT User Guide This publication is available on the Clearstream Banking web site www clearstream com Creation via SWIFT is fully ISO 15022 compliant IPAR As a Business User or Business Supervisor you can use CreationOnline to perform queries on Income Pre Advice Report IPAR data e The IPAR is a forecast or projection of cash or securities proceeds that are expected and must not be interpreted as confirmation of payment e Final distribution of coupon dividend securities or redemption payments can only be made when confirmation from the Paying Agent has been received Clearstream Banking makes no commitment that the payment will take place based on this report e Payments are distributed at the start of real
43. display the Change Credentials tab Highlight the appropriate user in the list and select Create Credentials from the Action menu Right click on the appropriate user in the list and select Create Credentials from the popup menu 7 On the Change Credentials tab sweep your mouse pointer in any all directions at random across the open entropy field until the associated progress bar reaches 100 8 Enter your own Administrator password and then the new password for the user whose credentials you are creating changing and confirm this by entering it again in the next field 9 Select a reason why you are changing the user s credentials 10 Select Submit to establish the credentials and password for the user 11 Specify a unique file name and location for the credentials that you have defined Note When you have changed the credentials for a user this action must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this Unchanged credentials will expire naturally after two years but all users can change their own logon credentials password and preferences at any time see Maintaining logon details permissions and preferences on page 1 8 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 2 9 Working with users Administration Managing User Groups A
44. explains that only the first 1000 results will be presented in the list view If you do not choose to refine your query to yield fewer results you can use the sequencer arrow in the toolbar of the current list view to show the next 1000 With instructions you can perform a query based on the reference exactly as it is entered in the field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields For queries on some items for example user groups you can use the Refresh command to display the latest list view in your organisation unit Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used Maintaining query views You can perform a query according to a one time set of criteria or according to a view that you saved when performing a query on a previous occasion Some query pages have a View dropdown list and a Save as button or Action menu command When you specify a query you can define a one time set of criteria or you can simply select an existing view from the View dropdown list to use a predefined set of query criteria 23 November 2015 Clearstream Banking Luxembourg 1
45. group Note User groups awaiting confirmation rejection may also be listed in the alerts panel 1 In the navigator panel select User Management User Groups to display the User Groups page 2 From the Action menu select the Refresh command to list the user groups 3 Adjust the depth of the alerts panel as required Note You can customise the displayed list see Customising displayed lists on page 1 5 4 Either on the User Groups tab do one of the following Highlight the appropriate user group in the list and select Confirm from the Action menu Right click on the appropriate user group in the list and select Confirm from the popup menu Or in the alerts panel a Right click on the appropriate alert in the list and select Goto Link from the popup menu to display the details of the associated user group on a User Group tab b Select the Confirm button or Action menu command to confirm the user group Note If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on user groups Otherwise a second OU Administrator must do this You cannot confirm or reject multiple user groups in one action Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 2 13 Working with users Administration To reject a user group Note i 2 3 Note Note User groups awaiting confirmation rejection may also be listed in the alerts panel I
46. in the list and select Undo Verify from the popup menu 7 Respond to the prompt by selecting OK to confirm the undo verification operation for the instruction Note On completion of the undo verification operation for the instruction it will appear in list views with status New If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To cancel a cash instruction pre release 1 In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required By OQ Ny Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual I Working with cash Business 5 6 7 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the po
47. list the results of queries on alerts You can use the Refresh command in the Action menu to actively refresh the list Note You cannot delete or modify an alert in the alerts list An OU Administrator can browse only those alerts that are for the respective OU to which he she belongs Business users can query only those alerts that have been broadcast to them For alerts listed in the alerts panel you can use the Goto Link command to access the details of the item that triggered a listed alert Note The Goto Link command is available when you right click on a selected alert in the alerts panel You can also customise the displayed list of alerts on the Alerts page see Customising displayed lists on page 1 5 This chapter describes the following tasks that you can perform through the CreationOnline Alerts command in the navigation menu e To query alerts on page 14 2 e To link to an item that triggered an alert on page 14 2 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 14 1 Working with alerts To query alerts 1 In the navigator panel select Alerts to display the Alerts page 2 From the Action menu select the Query command to display a Query tab for alerts 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify a sort sequence and other values to define your query as appropriate Note You cannot specify a date range longer than one ca
48. message in an online feedback window If there are any errors these have to be corrected in the file and reloaded Following a successful upload refresh your Custody Corporate Action Pre release screen and further process your newly created instructions If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To modify a corporate action instruction in CA Pre release 1 2 Note In the navigator panel select Custody CA Pre release to display the CA Pre release page From the Action menu select the Query command to display a Query tab for CA Pre release instructions Adjust the depth of the alerts panel as required Enter a query to list the required instruction in a list view You can customise the displayed list of results If you want first to view the details of the instruction on its own tab do one of the following Highlight the instruction in the list view and select View from the Action menu Right click on the appropriate instruction in the list and select View from the pop up menu Then do one of the following as appropriate If you are viewing the details of the instruction and want to modify this instruction select the Modify button or Action menu command Ifyou are in list view do on
49. no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the modification On successful modification of the instruction it will appear in list views with status Modified Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To verify fail verify a securities instruction pre release Note You can verify fail verify only those instructions that have New or Modified status 1 In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions pre release on page 6 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 23 November 2015 Clearstream Banking Luxembourg 6 6 CreationOnline User Manual Working with securities Business 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight t
50. not checked the query does not regard the expiry date for certificates Financial Instrument A particular security identified type ISIN Common Code and description name Financial Instrument Type The type of security Bond Share Warrant or Other Forced Periodic Password Changes The period of days according to which you will be required by the system to change your current password This period is irrespective of when you last defined a new password and supersedes the operation of the Password Expiry Period as it might apply to your current password Options are 40 or 60 days Function The purpose of the securities or cash instruction is displayed in list views as one of the following CANC Cancellation request CEDE CONF Confirmation request CEDE REPL Modification request NEWM New message Function of Message The purpose of the associated securities instruction New Confirmation Cancellation Modification or cash instruction New Cancellation 23 November 2015 Clearstream Banking Luxembourg Glossary x CreationOnline User Manual Glossary Generate automatic Sender s reference number on creation Yes means that the system will create an automatic reference for each new instruction No means that the user will have to input the reference manually Gross Amount The customer s income amount before tax or the tax amount of the beneficial owner s before tax in the underlying securities
51. not be able to log in as no credential has been created User becomes DEACTIVATED in Vestima End date is set A user with same identifier can not be recreated from CreationOnline User remains ACTIVATED in Vestima and will now be able to log in User becomes DEACTIVATED in Vestima End date is set A user with same identifier can not be recreated from CreationOnline User remains ACTIVATED in Vestima User remains ACTIVATED in Vestima User data is modified immediately in Vestima This concerns User first name User last name Enail address Phone number Fax number User type Supervisor flag Permissions User remains ACTIVATED in Vestima User remains ACTIVATED in Vestima Clearstream Banking Luxembourg CreationOnline User Manual 23 November 2015 C 3 Appendix C Vestima user statuses Current CreationOnline Status Pending Modified Pending Modified Pending Suspended Pending Suspended Suspended Suspended Pending Activated Pending Activated Pending Stopped Pending Stopped Action Confirm Reject Confirm Reject Reactivate Stop Confirm Reject Confirm Reject New CreationOnline Status Suspended Activated Suspended Activated Pending Activated Pending Stopped Suspended Activated Stopped Suspended or Activated depending on previous state Status in Vestima and consequence User remains ACTIVATED in Vestima User
52. or if you have specific questions regarding CreationOnline and or communications with Clearstream Banking you can contact your Customer Service Officer or the Clearstream Banking Connectivity Services Help Desk Before contacting Clearstream Banking please ensure that you have the following information to hand e Your organisation name and Clearstream Banking account number e Your name telephone and fax numbers and your e mail address e The make and model of your PC and modem e Details of the problem please have full details available e If you receive an error message full details of the error with any error message number Contact details are as follows Luxembourg Frankfurt London Tel 352 243 38110 49 0 69 2 11 1 15 90 44 0 20 7862 7100 Fax 352 243 638110 49 0 69 2 11 6 1 15 90 44 0 20 7862 7254 E mail connectluxfdclearstream com connectfrankfurtfdclearstream com connectlondon dclearstream com Customers should note that as is normal practice within financial organisations Clearstream Banking has implemented telephone line recording to ensure that the interests of Clearstream Banking and of its customers are protected against misunderstandings or miscommunications Areas subject to telephone line recording include Customer Services the Treasury Dealing Room and back office operations The recorded lines are the subject of an ongoing formal maintenance and quality control programme to ensure their continued effectiv
53. page 6 11 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction If you are viewing the details of the instruction and want to request cancellation select the Request Cancellation button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Request Cancellation from the Action menu m Right click on the appropriate instruction in the list and select Request Cancellation from the popup menu 7 View the details of the instruction across all available subtabs as required and when ready select Submit to perform the cancellation request On submission of the cancellation request the instruction will appear in list views with status New Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 13 Working with securities Business To request confirmation of a securities instruction post release 1 In the navigator panel sel
54. password is to be associated with the DLL file that you are using see Rules for passwords above 4 Select Submit to establish your new password This will now be your personal password until you change it Setting your own preferences You can set your own preferences at any time To set your own preferences 1 In the navigator panel select the My Settings My Preferences command to display the My Preferences tab appropriate to your user profile 2 Specify a file location as the default destination for all your CreationOnline export operations Business users can also specify defaults for safekeeping account instrument type ISIN or Common Code and various other aspects of the behaviour of the interface 3 Select Submit to establish the default preferences These will now be your preferences until you change them Viewing your own current permissions You can view your own current permissions at any time Only an OU Administrator can change your permissions Your user permissions are expressed in terms of the user group to which you belong and either only your user permissions if you are an OU Administrator or additionally if you are a Business User or Supervisor User the accounts that you can perform operations on To view your own permissions 1 In the navigator panel select the My Settings My Permissions command to display the permissions for your User ID The User subtab for your user ID is di
55. privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To undo verification of a cash instruction pre release Note You can undo the verification of only those instructions that have either Verified or Failed Verified status 1 In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required PB Goh Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to undo its positive or negative verification select the Undo Verify button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Undo Verify from the Action menu m Right click on the appropriate instruction
56. query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results lf you want to perform the same or a very similar query on future occasions use the Save as button or Action menu command to save the currently specified query as a view For details of views see Maintaining query views on page 1 4 Select the Query button or Action menu command to perform the query See A note about queries on page 1 4 The instructions that match your set of criteria are displayed on the Cash Post Release tab If there are no matches the tab is displayed empty Note In the list view you can do one of the following to view the cash balance related to an instruction Highlight the instruction in the list and select Cash Balance from the Action menu Right click on the instruction in the list and select Cash Balance from the popup menu You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used Clearstream Banking Luxembourg 23 Novem
57. required financial instrument see To query financial instruments above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 The list view will indicate whether Terms amp Conditions documents can be requested for the related security code Y for available blank for not available 6 On the list view screen do one of the following to display the Financial Instrument Reference Data detailed view screen Highlight the appropriate financial instrument in the list and select View from the Action menu Right click on the appropriate financial instrument in the list and select View from the popup menu 7 Select the Terms amp Conditions Tab to display the details of the Terms amp Conditions 8 Select the language version required if available and click on either Request Terms amp Conditions to send the document to your CreationDirect via Internet FileStore or Download Terms amp Conditions a disclaimer will appear and after accepting the conditions by clicking on AGREE you will be prompted to indicate the directory where the Terms and Conditions should be saved 23 November 2015 Clearstream Banking Luxembourg 12 8 CreationOnline User Manual Working with reference data Business Working with places of safekeeping You can list all or by Party Name individual safekeeping banks to which the user has access You can refine your query furth
58. securities You can use the Reference Data command in the navigator panel to view the details of a particular place of safekeeping Place of Settlement The institution in whose books the transaction will occur for example Clearstream CBF Euroclear The Place of Settlement determines the Market Rules for the transaction Place of Trade The market in which the associated transaction is to take place Primary Market Secondary Market Stock Exchange Over The Counter Pool Reference For Back to Back transactions the same pool reference must be entered in the Pool Reference field of both the initial sell instruction and the linked buy instruction The value must be up to 16 characters that neither starts nor ends with a single slash character nor contains two consecutive slash characters Pop up window with Sender s Reference Yes means that an information message showing the sender s reference will be displayed each time a user submits a new instruction Posting Date The date of the posting of an associated amount Previous Reference The reference of the original instruction for example when it has been modified or cancelled Price Rate The instrument price Priority An instruction can have either Normal or High priority This setting can be modified on an instruction post release Processing Indicator An instruction can be directed to the mandatory processing or to optional processing This set
59. set of criteria are displayed in a list view If there are no matches the Contract Summary tab is displayed empty In the list view you can do one of the following to view the Exposure summary or the Contract summary related to an instruction Highlight the instruction in the list and select Exposure Summary or Contract summary from the Link menu Right click on the instruction in the list and select Exposure Summary or Contract summary from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is displayed To view the details of Triparty Collateral contract summaries 1 In the navigator panel select Triparty Collateral Contract Summary to display the Contract Summary page 2 From the Action menu select the Query command to display the Query tab for Contract Summary 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required contract summary in a list view see To query Triparty Collateral contract summaries on page 9 7 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 9 7 Working with Triparty Co
60. tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of audit events is displayed You can also customise the displayed list of audit events see Customising displayed lists on page 1 5 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 15 1 Working with audit events Administration To query audit events A 2 3 4 Note Note In the navigator panel select Audit to display the Audit page From the Action menu select the Query command to display a Query tab for audit events Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate You can only select an Event Type Code if an event family has been selected You cannot specify a date range longer than one calendar week Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Audit page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or
61. the cancellation request On submission of the cancellation request the instruction will appear in list views with status Cancellation Requested Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual i Working with cash Business To view the history of cash and securities against payment instructions post release 1 In the navigator panel select Cash Post Release to display the Post Release page 2 From the Action menu select the Query command to display a Query tab for cash instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query cash and securities against payment instructions post release on page 7 13 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate to display the history details on a History subtab for the instruction Ifyou are viewing the details of the instruction and want to see its history select History from the Link menu Ifyou are in list view do one of the following m Highlight the appropriate instruction i
62. the list and select View from the Action menu Right click on the appropriate user group in the list and select View from the popup menu 5 View the details of the user group as required and when finished select the Close button or Action menu command to return to the list view To modify a user group Note Only user groups with status Pending Rejected or Confirmed can be modified 1 In the navigator panel select User Management User Groups to display the User Groups page 2 From the Action menu select the Refresh command to list the user groups 3 Adjust the depth of the alerts panel as required Note You can customise the displayed list see Customising displayed lists on page 1 5 4 On the User Groups tab do one of the following to display a tab for the selected user group Highlight the appropriate user group in the list and select Modify from the Action menu Right click on the appropriate user group in the list and select Modify from the popup menu 5 On the User Group tab change the name of the user group if required and use the available subtabs to modify further details of the user group as follows Foran OU Administrator user group use the User Group Permissions subtab to establish the User Management and Reporting capabilities for any member of the user group Fora Business User or Business Supervisor group use the User Group Permissions subtab to establish the capabilities for Repor
63. the list view and select the Save Column Settings command to save these settings as your preferred user settings for this list view Default System Settings e When you have specified the presence position and width of columns in the list view but would like to return the list view to its original settings right click in the header of any column in the list view and select the Default System Settings command Preferred User Settings e When you have used the Save Column Settings command to specify the presence position and width of columns in the list view and you have since then used the Default System Settings command or rearranged the columns in some other way right click in the header of any column in the list view and select the Preferred User Settings command to return the display to your saved settings for this list view Note In a list view you can right click in the header area of the list and select directly the Hide Columns command or the Save Column Settings command from a popup menu The CreationOnline page The CreationOnline page has four main areas The overall layout of the CreationOnline page within the browser is as follows e The navigator panel on the left hand side of the display where the user can access a main menu of commands to perform the different activities that are available according to user permissions e The workspace panel at the upper right of the display where the user can access a list v
64. the list view is displayed empty Highlight the appropriate Corporate Action Instruction in the list and select Respond from the Action menu or right click on the appropriate notification in the list and select Respond from the pop up menu View the details of the Corporate Action Instruction as required and when finished select the Close button or Action menu command to return to the list view Enter the desired details and click on Submit If there is an error in the creation of the instruction for example no value has been entered in a mandatory field the error will be listed in an Errors Warnings window You can use the Modify button or the Action modify menu command to return to the instruction window correct the fault and resubmit the instruction To create a corporate action instruction from a corporate action notification via respond upload Note A list up to 100 custody instructions in ASCII file format can be uploaded Please refer to Corporate Action pre release instructions on page E 6 for further format information You must have the correct permission to perform this action 1 In the navigator panel select Custody CA Notification Queries to display the appropriate CA Notification Queries page From the Action menu select the Query command to display the Query tab for CA Notification Queries Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other value
65. this To refresh the list of cash instructions e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To create and save a standing instruction 1 In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select Withdrawal of Funds 90 adjust the depth of the alerts panel as required 2 On the New tab specify the details of the instruction as required 3 Before saving your instruction do one and or other of the following as required If you decide to change the instruction use the Reset button or Action menu command to return all the specifications to their default values so that you can start again 23 November 2015 Clearstream Banking Luxembourg 7 10 CreationOnline User Manual Working with cash Business If you decide to abandon creation of the instruction use the Discard button or Action menu command to cancel the operation and return to the Pre Release pa
66. time processing on the eve of Settlement Date SD in anticipation of confirmation being received from the Paying Agent If such confirmation is not received Clearstream Banking reserves the right to cancel the distribution of the payment and withdraw the funds retroactively Alternatively if an issuer is known to be in default Clearstream Banking reserves the right to distribute the payment only if and when confirmation is received from the Paying Agent You can query IPAR data on the IPAR Queries page This page has an Action menu of commands that you can perform in relation to one or more of the listed items This Action menu also contains a Refresh command to update the list The number of items in the list is also shown Note OU Administrators cannot work with custody data Only business users can perform the tasks described in this chapter This section describes the features of CreationOnline for working with IPAR data e To query IPAR data on page 8 2 e To view the details of an IPAR entry on page 8 3 1 Business Users and Business Supervisors are hereafter collectively referred to as business users Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 1 Working with custody IPAR and Corporate Actions Business To refresh the IPAR list In the list view of the particular IPAR Queries page do one of the following Select Refresh from the Action menu Right click any
67. use the Reset button or Action menu command to return all the specifications to their default values so that you can start again Ifyou decide to abandon duplication of the instruction use the Discard button or Action menu command to cancel the operation and return to the Post Release page 23 November 2015 Clearstream Banking Luxembourg 7 14 CreationOnline User Manual Note Working with cash Business Select Submit to create the new instruction If there is an error in the creation of the new instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the duplication On successful duplication of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To request cancellation of a cash instruction post release Note a a Note The cancel request action will not be enabled for securities instructions to create a securities cancellation request see To request cancellation of a securities instruction post releas
68. which the balance is zero A zero balance will nevertheless be reported if it became zero since the last report For Delta reports a zero balance will not be reported unless it became zero since the last Complete or Delta report Money Statement via SWIFT MT950 Customers can choose to report all or specified currencies open on the account For complete reports there is the additional option to exclude currencies for which the balance is zero unless the balance was impacted by movements since the last report The complete report also includes non zero balances in currencies for which there have been no movements since the last report For Delta reports a zero balance will not be reported unless it became zero since the last Complete or Delta report Currencies with non zero balances are only reported if there have been movements since the last Complete or Delta report Clearing and settlement reports to 15015022 standards Intra Position Advice via SWIFT MT508 The MT508 Intra Position Advice contains movements related to securities lending collateral and blocking unblocking of securities Settlement confirmations via SWIFT via MT54x Clearstream Banking uses the MT544 MT545 MT546 MT547 Settlement confirmations to report list all receive and deliver securities transactions free of and against payment that have settled on the date of the report Settlement Status and Processing Advice via SWIFT MT548 The MT548 Status and P
69. your query do one and or other of the following if required If you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Exposures Summary Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count Is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The results that match your set of criteria are displayed in a list view If there are no matches the Exposures Summary tab is displayed empty In the list view you can do one of the following to view the Exposure summary or the Contract summary related to an instruction Highlight the instruction in the list and select Exposure Summary or Contract summary from the Link menu Right click on the instruction in the list and select Exposure Summary or Contract summary from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Qu
70. 2 CreationOnline User Manual Position in CSV 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 Field description Account with Institution Account Clearing Account with Institution BIC Code Name Account with Institution Clearing Code Beneficiary Institution Cust Format Beneficiary Institution Cust Account Clearing Beneficiary Institution Cust BIC Code Name Beneficiary Institution Cust Clearing Code MT103 Ordering Customer Format Ordering Customer Account Clearing Ordering Customer BIC Code Name Ordering Customer Clearing Code Detail of charges Details of Beneficiary Sender s Charges Details of Beneficiary Sender s Charges Currency Instructed Amount Instructed Amount Currency Exchange Rate Remittance Information Field Name to copy as a table header in Instructions Data sheet Account_with_Institution_Account_Clearing Account_with_Institution_BIC_Code_ Name Account_with_Institution_Clearing_Code Beneficiary_Institution_Cust_Format Beneficiary_Institution_Cust_Account_Clearing Beneficiary_Institution_Cust_BIC_Code_Name Beneficiary_Institution_Cust_Clearing_Code MT103 Ordering_Customer_Format Ordering_Customer_Account_Clearing Ordering_Customer_BIC_Code_Name Ordering_Customer_Clearing_Code Detail_of_Charges Details_of_Beneficiary_Senders_Charges Details_of_Beneficiary_Senders_Charges_Currency Instructed_Amount Instructed_Amount_Curren
71. Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action command to perform the query listing the results on a separate tab in list view You can customise the displayed list of results see Customising displayed lists on page 1 5 The audit events that match your set of criteria are displayed on the Audit tab If there are no matches the tab is displayed empty Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of an audit event Fe Oo oS Note In the navigator panel select Audit to display the Audit page From the Action menu select the Query command to display a Query tab for audit events Adjust the depth of the alerts panel as required Perform a suitable query to list the required audit event see To query audit events on page 15 2 You can customise the displayed list see Customising displayed lists on page 1 5 On the Audit tab do one of the following to display the details of one or more selected audit events in read only mode on its own tab Highlight the appropriate audit event in
72. Allegements tab do one of the following to display a matching instruction for an allegement on a New tab Highlight the appropriate allegement in the list and select Create Matching Instruction from the Action menu Right click on the appropriate allegement in the list and select Create Matching Instruction from the popup menu 6 If you decide to abandon creation of the instruction use the Discard button or Action menu command to cancel the operation and return to the Securities Allegements page 7 Select Submit to create the matching instruction Note If there is an error in the creation of the instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu commands correct the fault and re submit the instruction On successful creation of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To refresh the list of securities allegements e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and selec
73. DEUTSCHE BORSE clearstream croup CreationOnline User Manual 23 November 2015 CreationOnline User Manual 23 November 2015 Document number 6023 This document is the property of Clearstream Banking S A Clearstream Banking and may not be altered without the prior express written consent of Clearstream Banking Information in this document is subject to change without notice and does not represent a commitment on the part of Clearstream Banking or any other subsidiary or affiliate of Clearstream International S A The software described in this document is supplied under a licence agreement and is subject to specific copyright protection It is illegal to copy the software on any medium except as specifically allowed in the licence agreement or copyright legislation Copyright Clearstream International S A 2001 2015 All rights reserved Clearstream and CreationOnline are registered trademarks of Clearstream International S A S W I F T is a registered trademark of the Society for Worldwide Interbank Financial Telecommunication Microsoft and Excel are registered trademarks of Microsoft Corporation Clearstream International S A is a Deutsche Borse Group company DEUTSCHE BORSE clearstream croup Foreword CreationOnline is a component of Clearstream Banking s CreationConnect total connectivity solution CreationOnline is Clearstream Banking s web browser based integrated workstation connectivity solution ru
74. Direct via Internet management CreationDirect via Internet is a component of Clearstream Banking s CreationConnect total connectivity solution CreationOnline is used in conjunction with CreationDirect via Internet to manage its users and schedule reports The main management tasks in CreationOnline in for CreationDirect via Internet are e Creating new users of CreationDirect via Internet and performing other operations on existing users e Requesting the creation of new CreationDirect via Internet delivery addresses and setting up a CreationDirect filestore for securities and cash instruction input and receiving reports You can select the type of CreationDirect via Internet management activity that you want to perform from the CreationDirect Management command in the navigator panel You can run queries on CreationDirect via Internet users and user groups and view the details of one or more individual entries from the results list view in each case using the Action menu on the CreationDirect via Internet Users page as follows e To create a CreationDirect via Internet user below e To confirm a CreationDirect via Internet user on page 3 2 e To query CreationDirect via Internet users on page 3 3 e To view the details of a CreationDirect via Internet user on page 3 4 e To modify a CreationDirect via Internet user on page 3 4 e To release a CreationDirect via Internet user on page 3 4
75. Financial Instrument ISIN Financial_Instrument_ISIN ISIN Code 12 c CM 5 Financial Instrument Common Code Financial_Instrument_Common Common Code 12n CM 6 Place of Safekeeping Place_of_Safekeeping BIC Code 11 x M 7 Sender s Reference Senders_Reference Text 16x M 8 Deal Reference Deal_Reference Text 16x 0 9 Common Reference Common_Reference Text 16x 0 10 Safekeeping Account Safekeeping_Account Text 5 c M 11 Quantity of Financial Instrument Quantity_of_Financial_Instrument Decimal 15d M 12 Settlement Amount Settlement_Amount Decimal 15d CM 13 Settlement Amount Currency Settlement_Amount_Currency Currency 3 a CM 14 Requested Settlement Date Requested_Settlement_Date Date DD MM YYYY M 15 Trade Date Trade_Date Date DD MM YYYY CM 16 Trade Time Trade_Time Time HH MM CM 17 Deal Price Type Deal_Price_Type Text 16x CM 18 Deal Price Amount Deal_Price_Amount Decimal 15d CM 19 Deal Price Currency Deal_Price_Currency Currency 3 a CM 20 Pool Reference Pool_Reference Text 16x CM 21 Priority Priority High Priority or Normal Priority or Blank 0 22 Processing Indicator Processing_Indicator Mandatory or Optional or Blank 8 23 November 2015 E 4 Clearstream Banking Luxembourg CreationOnline User Manual Position in CSV 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 Field description Hold Release FX Currency Physical Transaction Immediate Rele
76. From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required user see To query users on page 2 3 You can customise the displayed list see Customising displayed lists on page 1 5 Either on the Users tab do one of the following Highlight the appropriate user in the list and select Reject from the Action menu Right click on the appropriate user in the list and select Reject from the popup menu Or in the alerts panel a Inthe alerts panel right click on the appropriate alert in the list and select Goto Link from the popup menu to display the details of the associated user on a User tab b Select the Reject button or Action menu command to reject the user Enter a reason for the rejection and select OK If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this To suspend a user Note 1 Note You can only suspend a user that currently has Activated status In the navigator panel select User Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required user see To query users on page 2 3 You can customise
77. HTML 1S015022 CSV PDF XLS or XML CreationDirect 1S015022 PDF XLS or XML CreationDirect via SWIFTNet 1S015022 PDF or XML Report Frequency The requested frequency for a specific report On a single report request you can specify either e multiple intraday reports that is at 06 00 on the hour 08 00 and 17 00 inclusive 13 30 18 30 19 00 21 15 and or 21 30 or e one of the frequencies Daily at 21 15 or Weekly Monthly Quarterly or Yearly at 21 15 Report ID Audit The unique identifier of an alert that triggered an audit event Report Name The name of the report given by the user who originally schedules the report Report Size The size of the report in bytes Report Status The status of the associated report Valid report statuses are as follows Pending New The report has been created or updated after rejection and is waiting to be confirmed or rejected by a second administrator Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary xix Glossary Pending Rejected The report has been rejected and is not active It can be modified Confirmed The report creation or modification has been released into the system and is active Pending Modified The report has been modified and is waiting to be confirmed or rejected by a second administrator The existing report is still active until the modification has been released Pending Deleted The report has been deleted and is a wait
78. Luxembourg 11 2 CreationOnline User Manual Working with tax Business Working with US Withholding Tax To query US Withholding Tax 1 In the navigator panel select Tax US Tax to display the US Tax page 2 From the Action menu select the Query command to display the Query tab for US Tax 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify a sort sequence and other values to define your query as appropriate Note You cannot specify a date range longer than seven days You can use wild card characters in the Beneficial Owner field to identify multiple beneficial owners see Using wild card characters in queries on page 1 4 If no beneficial owner or tax identification number TIN is specified the query must search both at the level of the account and at the level of each individual beneficial owner Alternatively if one or more beneficial owners are specified the query must search at the level of the specified beneficial owner s only 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the US Tax page If you want to check how many results your query will yield as
79. Name The name of the report as specified by the customer Dashboard The dashboard occupies the lower left part of the CreationOnline page Business users can list all the transaction exceptions for both cash and securities instructions both pre and post release for All the accounts that they handle or for a particular account Date The Date on which for example an audit event was generated Date From To From and To dates that together define a date range to which you want to limit the items to be listed ina query Generally e If you complete the From field and leave the To field blank the results will include all findings on or after the From date e If you complete the To field and leave the From field blank the results will include all findings on or before the To date e If you leave both From and To fields blank the results will include all findings in the CreationOnline database Deal Price The agreed cash countervalue of the securities in a securities transaction Default Export Directory A default file location that will be placed in the appropriate field automatically when you open an input page that contains this field The default value must specify as a path a folder in your file system that you want as the default target file location when you are exporting for example a report You can type in the path or use the browse button to select the target folder from a graphical representation of your file sy
80. November 2015 CreationOnline User Manual 6 7 Working with securities Business Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To cancel a securities instruction pre release 1 In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions pre release on page 6 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to cancel it select the Cancellation button or Action menu command If you are in list view do one of the following m Highlight the appropriate instruction in th
81. Pre advice of funds 10 Receive against payment Withdrawal of funds 90 Deliver free of payment Foreign exchange 9E Deliver against payment Customer transfer 9X Note Cash instruction Historical Queries and queries on cash instructions post release include the EMU Currency Conversion 9Z instruction input for example via Cedcom Instrument Description A description of the instrument that is identified by the associated security code for example the instrument s name Instrument ID The ISIN or Common Code of the security that is the subject of the associated instruction Instrument Name The name of the financial instrument Instrument Type The type of financial instrument that is bond or share Interest Rate The rate of interest on a financial instrument bond Intermediary The institution to which the funds are to be paid in the country of the currency for the account of the Account With Institution Intraday report Intraday reports can be run at multiple times within the current business day and are available as both Complete and Delta reports You can select to run a report at 06 00 on each hour between 08 00 and 17 00 inclusive 13 30 18 30 19 00 21 15 and or 21 30 Intraday time A valid time for retrieval of an intraday report 06 00 on the hour from 08 00 and 17 00 inclusive 13 30 18 30 19 00 21 15 and or 21 30 23 November 2015 Clearstream Banking Luxembourg Glossary xii CreationOnline User Manua
82. ROW PEs osen O EE ETE ETE 2 12 Todeletea User groupie ikore doce ese e EE e e a e EE EEEE 2 13 TO confirma USER grOUDi ve ccceccccnvsstecravwcssensescnstesswcenagaasiesessenessavaeeceseriueceerssnesenssueesepesineieseaudeneve 2 13 Tofrejecto usergroup iernare a A a iE a ea a eres 2 14 Torettesh the Uist Of usergroups siine pi aan a N A EEEa EEEE SENGES 2 14 23 November 2015 Clearstream Banking Luxembourg viii CreationOnline User Manual 3 CreationDirect via Internet management c ecceeeeeeceeeeeeeeeseeeeeseeseeneseeeeeeseeees 3 1 To create a CreationDirect via Internet USCM 0 eeceeeseeceeeceeceeeeeaeeceaeeeesaeeeeaeeceaeeeeaeeeeaeeseaeeees 3 2 To confirm a CreationDirect via Internet USP ceeeeceesseceesnceeseeceaeeeeaaeeesaeeeeaeeessaeeeeaeeeeaeeees 3 2 To create credentials for CreationDirect via Internet USCIS cceeseceesseeeeneeeeneeesseeeeaeeseaneees 3 3 To query CreationDirect via Internet USCIS ccceesceesseeceseceesaeeeeaeeeeaeeessaeeesaeeseaeeessaeessaeestaeeees 3 3 To view the details of a CreationDirect via Internet USEP 2 0 eceeceeeceeeeeeeeeeeeereceeeeeetteeeeieeseneeee 3 4 To modify a CreationDirect via Internet USEF 0 cece eeeceseceeseeeeeaeeceaeeeesaeeseaeeceaeeeeaeeneaeessaeeees 3 4 To release a CreationDirect via Internet USCP eesceessceeeseceeseeeesaeeceseeeesaeeesaeeeeaeeesaeeesaeeeeaeeees 3 4 To reject a CreationDlrect via Internet USCM eesceesscecenecessneeesaeeeeaee
83. Reports page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required amp O Select a sort criterion ascending or descending and or give specific values to one or more of the other criteria 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Scheduled Reports page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results 6 Select the Query button or Action menu command to perform the query The report requests that match your set of criteria are displayed on the Scheduled Reports tab If there are no matches the Scheduled Reports tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advis
84. S 2 cccscccasocetieicendscaheecanpscdersspcnsneatnescutecoaneceadesedend a nin EE a 6 9 To refresh the letof securities iNStrUctiOn Sisenna en eoa S 6 9 To query securities instructions poSt release cccccececececeeeeeeeeeeeeeeeeeeceeeseseneeeeeeseeeeeeeneeeeetes 6 11 To view the details of an existing securities instruction post release cceeeeeeeeseeeeeteeeeees 6 12 To duplicate an existing securities instruction poSt releaSe eesccceceeseceeeeesceeeeeeeeeeeeeseeeeeees 6 12 To request cancellation of a securities instruction post release cceecceceseeseeeeeseeeeeeeeeeees 6 13 To request confirmation of a securities instruction post release eceeceeseeeeceeeeeeeeeteeeeeees 6 14 To request modification of a securities instruction post release ceeceeeeseeceeseteeeeeteeeeees 6 14 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual ix Tasks To view the history of a securities instruction post release ccccececeeeeeeeceeeeeeeceesteeeeestteeees 6 15 To view the history of stock exchange instructions post releaSe eeceeeseseseeeeseeeeeteeeeteeeeees 6 15 To refresh the list of Securities INStrUCTIONS eecseeeeeceeeceeeceeeeceeceeeeceeeeseaeeseeeeeeaaeeeeaeeseaeeesaas 6 16 Torqueny alleq enn ents retete aeon oo e e E EEE ee eE O EEE 6 17 To view the details of an allegeMent eceeceeeceseeeeeeeeeseeeceeeeeseeeeeseeeesenaeseeeeseaeeseaaeseeaeeseae
85. UETY ccceccceeeeececeeeeeeeceeeeeeeceeceeeeceeteceesteteeeensnaeeess 12 5 Toguery currencies ean ee AAE E r a EES 12 6 To view the details of a CUFTenCy ccececceeceeeceeeeeceeeeeeeeeceeenaeeeceeaeeseeaeeesecneeeseeeeeseeeeneeeestneees 12 6 To query financial INStrUMEN S cccececceeceeeceeeceeeeeeeceeeceeecaeeceeecaeeeeeseaeeeeeeaeeseeeeeeeeeeeeeeeessteneess 12 7 To view the details of a financial INStrUMENK eeceeeeeeseeeceeeceeeeeeeceeeeeeneeteeeeseeeeeeaeeseeaeeeeaeeesaes 12 7 To request Terms and Conditions for a security c ccececeeceeeeeeeceeeeeeeceeeeeeseeaeeesesteeeesesteeess 12 8 Toquery Places Of safekeepiNg sessccecssvesseceesxesbaresacsaceaascnsdeadaasdegaascosasdeaas tenes taaased agaa 12 9 To view the details of a place of safekeeping ccccecccceeeececeeeeeeeeeeeeeeeceeceneeceeseneeeeeseeeeeesseneess 12 9 To query Settlement Parties cccccccceeecceeceeceeeceeeeeeeceeceeecaeecesenaeeceeseaeeeeeaaeesesceeeeeeesneeseessneess 12 10 To view the details of a settlement party c cccccceecececeeeececeeeeeeeceeenaeeceesaeeeseesaeeesesseeeeeseeeess 12 10 13 Working with retrieved reports BUSINESS c ccesseceseeseceeeeeeenseseeneeseneeesnenees 13 1 To refresh the list of reports to VIQWS ccecececceeeeeeeeeeeeeeeeeeeeeceeeeeeeseeseaeeseeeaeeeeeeeeessceneeeesseeess 13 1 TO QUErY reports tO VIEW ceeccceeeeneceeeceeeceeeceeceeecaeeeeeecaeecescaeeseeseaeeceeenaeees
86. View from the Action menu You can browse multiple selections Highlight the appropriate IPAR item s in the list and select View from the Action menu and select Highlight Changes in the detailed view Right click on the appropriate IPAR entry in the list and select View or Highlight Changes from the popup menu 6 View the details of the IPAR entry as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 3 Working with custody IPAR and Corporate Actions Business Corporate actions As a Business User or Business Supervisor with the appropriate permissions you can use CreationOnline to create and query corporate action CA instructions in pre release and to query and view corporate action notifications in post release This section describes the features of CreationOnline for working with corporate action instructions and notifications In CreationOnline an instruction is considered to belong to one of two principal categories Pre release including all instructions when the activity status can be one of the following Processing New Verified Failed Verified Awaiting Feedback Cancelled Rejected2 Accepted2 Modified You can query pre release corporate action Instructions and you can view their history Post release including all instructions input via CreationOnline or other input
87. Working with securities Business If you are in list view do one of the following m Highlight the appropriate instruction in the list and select History from the Link menu m Right click on the appropriate instruction in the list and select History from the popup menu 7 View the details of the instruction as required and when finished select the Close button or Action menu command to return to the list view To release a securities instruction Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 you can release only those instructions that have Verified status 1 In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions pre release on page 6 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following a
88. _Owner_Country_of_NON_Domicile Beneficial_Owner_Quantity_of_Securities_Owned Beneficial_Owner_Narrative Narrative Additional_Text Narrative_Delivery_Details Narrative_Information_to_be_complied_with Narrative_Version Narrative_Party_Contact Narrative_Registration_Details Narrative_Basket_or_Index_Information Format Content Text 35c ISIN Code 12 c Text 5 c Text 2 c Text 4 c Decimal 15d Decimal 15d Text 16x Decimal 15d Decimal 15d BIC Code 11 x Text 4 35x Country Code 2 c Country Code 2 c Decimal 15d Text 10 35x Text 10 35x Text 10 35x Text 10 35x Text 10 35x Text 10 35x Text 10 35x Text 10 35x Field Status ORG o Re o Bel o Bo CO Ro ORG CO pal ORS ORS lt Es ke 23 November 2015 E 6 Clearstream Banking Luxembourg CreationOnline User Manual French FTT declaration Appendix E CSV file upload specifications In the following table Field Status is indicated as M Mandatory O Optional Note The customer declaration file must contain an ASCII text file formatted as a CSV were each element in the file must be separated by a colon Header Position in CSV 1 Euroclear France member code 2 Credit Debit Code 3 Total tax amount 4 Number of records 5 Sending date Field description Format Content Up to 8 figures leading zeroes not mandatory 607 if the transaction is settled via one of your CBF account
89. action type S field 15 the settlement date of a particular transaction must always be in the month that immediately precedes the payment month indicated by the customer in field 6 The same declaration cannot mix transactions for which the tax is due for the next payment month and late declarations for which the tax was due on a former payment month For all transactions with transaction type R or C or A field 15 no validation rule on the settlement date Up to 50 alpha numeric characters M Always starts with xxxxx xxxxx being the account number Reference attributed by the Euroclear France Member Clearstream Banking requests its customer to complete as follows xxxxx followed by the customer reference must be unique Where xxxxx Customer account number in Clearstream Banking Luxembourg from which the total tax amount has to be debited Where xxxxx Customer account number that must belong to the same business structure to which belongs the COL user In the Declaration sheet this field has been split in 2 parts Account number and Reference in order to simplify the input of the information Recommended structure to ensure that the reference is unique xxxxx payment month followed by an incremental number or reference Up to 11 alpha numeric characters M If the Accountable Party has no BIC NONE must be indicated Up to 50 alpha numeric characters Up to 50 alpha numeric characters M 3 alpha numeric characters mandatory ISO country c
90. ading will toggle the list between descending and ascending order of that column s values You can customise the content of a displayed list more specifically by means of the List menu available on list views as follows To copy selected list items to the Clipboard for use in other applications To select all the list items on the currently displayed page maximum 50 To specify which columns you want to include in and or exclude from the list view To print all pages the current page or the details of selected list items To export all the list items on the currently displayed page maximum 50 to a specified file in CSV format To export all pages maximum 1000 items to a specified file in CSV format To save the current arrangement of columns for the list view To reset the columns of the list view to the system defaults To set the list view columns to your preferred settings Hide Show columns 1 Right click in the header of any column in the list view to display the Column management dialog box Ensure that the columns that you want to hide in the list view are unchecked and those that you want to show are checked Select OK to enact your column settings Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 1 5 Getting started Save Column Settings e When you have specified the presence position and width of columns in the list view right click in the header of any column in
91. age 6 4 You can customise the displayed list see Customising displayed lists on page 1 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Do one of the following as appropriate Ifyou are viewing the details of the instruction and want to modify it select the Modify button or Action menu command If you are in list view do one of the following m Highlight the appropriate instruction in the list and select Modify from the Action menu m Right click on the appropriate instruction in the list and select Modify from the popup menu Make changes to the instruction details as required You cannot change the Sender s Reference Before submitting your modified instruction do one and or other of the following if required If you decide to change the modification use the Reset button or Action menu command to return all the specifications to their default values so that you can start again f you decide to abandon modification of the instruction use the Discard button or Action menu command to cancel the operation and return to the Securities Pre Release page Select Submit to perform the modification If there is an error in the modification of the instruction for example
92. am Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 15 Working with securities Business 7 Do one of the following as appropriate to display the history details on a History subtab for the instruction If you are viewing the details of the instruction and want to see the history select History from the Link menu Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select History from the Action menu m Right click on the appropriate instruction in the list and select History from the popup menu 8 View the history of the instruction as required and when finished select the Close button or Action menu command to return to the list view To refresh the list of securities instructions e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 23 November 2015 Clearstream Banking Luxembourg 6 16 CreationOnline User Manual Working with securiti
93. an redefine your own user credentials at any time An OU Administrator can change the credentials to be associated with any user defined in the OU Note A set of user credentials is at any one time associated with a single valid user password only If or when an OU Administrator changes a user s credentials a new password must also be defined You can however change a password without having to change credentials User Group Name The name of the user group This must be unique within the organisation unit User Group Status The status of the associated user group Valid user group statuses are as follows Pending New The user group has been created or updated after rejection and is waiting to be confirmed or rejected by a second administrator Pending Rejected The user group has been rejected and Is not active It can be modified Confirmed The user group creation or modification has been released into the system and is active Pending Modified The user group has been modified and is waiting to be confirmed or rejected by a second administrator The existing user group Is still active until the modification has been released Pending Deleted The user group has been deleted and is a waiting to be confirmed or rejected by a second administrator The existing user group Is still active until the deletion has been released Deleted The user group deletion has been released into the system The user group is logically deleted and wi
94. and click on the right arrow to move them to the Selected Input Accounts list Inthe Selected Input Accounts list highlight the account s that are not required and click on the left arrow to return them to the Available Accounts list Select Submit to establish the selection of accounts To request a CreationDirect via Internet address I 2 3 Note In the navigator panel select CreationDirect Management Settings Adjust the depth of the alerts panel as required On the CreationDirect Address subtab ensure that the Channel field is set to CreationDirect via Internet Select whether the CreationDirect Internet Address is for reporting instruction input or both Note If the CreationDirect via Internet address is to be used for instruction input at least one account must be specified in the Account tab Specify the other details of the address as required Before submitting your request do one and or the other of the following Ifyou decide to change the request use the Reset button or Action menu command to return all the specifications to their default values so that you can start the process again If you decide to abandon the request use the Discard button or Action menu command to cancel the operation and return to CreationDirect Management Settings Select Submit to send the request to Clearstream Banking for the setup of a CreationDirect via Internet address and filestore You also will receive the
95. ands in succession to ensure that the most recent list is used Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 21 Working with securities Business This page has intentionally been left blank 23 November 2015 Clearstream Banking Luxembourg 6 22 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 7 Working with cash Business As a Business User or Business Supervisor with the appropriate permissions you can use CreationOnline to create and progress Pre advice of Funds Withdrawal of Funds Customer Transfer and Foreign Exchange cash instructions and to query and view cash balances and credit and collateral usage Note For historical reasons Clearstream Banking cash instruction types are often referred to by individual instruction type number as follows Pre advice of Funds identified as PAF Withdrawal of Funds identified as WOF Customer Transfer identified as CT Foreign Exchange identified as FE In CreationOnline an instruction is considered to belong to one of two principal categories e Pre release including all instructions when the activity status can be one of the following Processing New Verified Failed Verified Awaiting Feedback Cancelled Rejected2 Accepted2 Modified You can query pre release cash instructions and you can view their history e Post release including all instructions input via CreationOnline or other input media when the acti
96. anel as required Select a sort criterion ascending or descending and or give specific values to one or more of the other criteria Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the View Reports page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count Is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform the query The reports that match your set of criteria are displayed on the View Reports tab If there are no matches the View Reports tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession ensure that the most recent list of reports is displayed To download a report
97. ange the credentials for other users see Changing another user s credentials on page 1 11 To change your own smart card access credentials 1 In the navigator panel select the My Settings Change Credentials command to display the Change Credentials tab 2 Select the Smart Card option and sweep your mouse pointer in any all directions at random across the open entropy field until the associated progress bar reaches 100 3 Enter your own current smart card password and then use the Browse button to identify the DLL file you are currently using for your credentials 4 Select Submit to establish the new credentials and password Changing your own password You can change your own password at any time You can change your smart card password in the smart card application or in CreationOnline When you log on for the first time you use an assigned first time password You must change this first time password as soon as possible Rules for passwords User passwords for P12 access must e Be between 8 and 24 characters long e Include characters from 3 of the following 4 character sets Punctuation including special symbols Alphabetic upper case Alphabetic lower case Numbers The following additional validation rules apply when the user changes password e The new password must be unique in the password history stored in the user s credentials file An OU Administrator can specify the history length as part
98. anual 6 11 Working with securities Business To view the details of an existing securities instruction post release 1 In the navigator panel select Securities Securities Post Release to display the Securities Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions post release on page 6 11 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 Do one of the following to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 View the details of the instruction across the available subtabs as required and when finished select the Close button or Action menu command to return to the list view To duplicate an existing securities instruction post release 1 In the navigator panel select Securities Securities Post Release to display the Securities Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel
99. aration in Appendix E Once submitted FTT Declarations and resulting FTT Status can be queried and downloaded Note OU Administrators cannot work with tax data Only business users can perform the tasks described in this chapter This chapter describes the features of CreationOnline for working with tax information e Working with US Withholding Tax on page 11 3 e Working with Tax Refunds on page 11 4 e Working with Tax Certificates on page 11 5 e Working with French FTT Financial Tax Transaction on page 11 6 1 Business Users and Business Supervisors are hereafter collectively referred to as business users Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 11 1 Working with tax Business To refresh the list of tax information In the list view of the particular tax page do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can also customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 23 November 2015 Clearstream Banking
100. aring and settlement reports you can use the Address subtab See Filtering scheduled report requests on page 5 6 Before submitting your created report request do one and or other of the following if required If you decide to change the report request use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon creation of the report request use the Discard button or Action menu command to cancel the operation and return to the Scheduled Reports page Select Submit to create the scheduled report request On submission the system generates an alert for the pending new scheduled report type and distributes it to the other OU Administrators that have subscribed to it asking for confirmation Note When you have created a scheduled report request if the 4 eyes principle is set ON see Setting OU preferences on page 1 11 the creation must be confirmed or rejected If as OU 23 November 2015 Clearstream Banking Luxembourg 5 8 CreationOnline User Manual Working with scheduled reports Administration Administrator you have authorise own privileges you can confirm or reject your own action on scheduled report requests Otherwise a second OU Administrator must do this To query scheduled report requests 1 In the navigator panel select Reporting Scheduled Reports to display the Scheduled
101. as an address to a bank or financial institution The BIC is made up of four fields 4 character Bank identifier 2 character Country code 2 character Location code and optional Branch code up to 3 characters defaulting to XXX Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary iil Glossary Beneficial Owner The name and sometimes the address of the actual owner of the securities as opposed to the broker or the custodian in whose name the shares are registered that receives the benefits of ownership such as income and exercises ultimate control over the asset s holding or disposal Beneficiary Institution The beneficiary customer to whom the funds will be paid BIC See Bank Identification Code BIC above BIC Code Name If the associated Party Format field is set to BIC this field must contain the Bank Identification Code of the settlement institution If the associated Party Format field is set to Name this field must contain the name of the settlement institution Booking Date The date on which proceeds are posted on the account Broadcast message A message sent by Clearstream Banking to users of CreationOnline to notify them of an important event or other information The message is highlighted the alerts panel You can double click on the entry in the alerts list to view the full content of the message Business supervisor A user of CreationOnline who has Bu
102. ase PSET BIC PSET Country DEAG REAG Account DEAG REAG Party Format DEAG REAG Party DEAG REAG Narrative BUYER SELLER Account BUYER SELLER Party Format BUYER SELLER Party BUYER SELLER Narrative DECU Account DECU BIC RECU Account RECU BIC Settlement Processing Narrative Registration Details Trade Amount Amount Trade Amount Currency Beneficial Ownership Indicator change no change Stamp Duty Field Name to copy as a table header in Instructions Data sheet Hold_Release FX_Currency Physical_Transaction Immediate_Release PSET_BIC PSET_Country DEAG_REAG_ Account DEAG_REAG_Party_Format DEAG_REAG_Party DEAG_REAG_Narrative BUYER_SELLER_ Account BUYER_SELLER_Party_Format BUYER_SELLER_Party BUYER_SELLER_Narrative DECU_Account DECU_BIC RECU_Account RECU_BIC SPRO Registration_Details Trade_Amount_Amount Trade_Amount_Currency BOI Stamp_Duty Format Content Hold or Release or Blank Currency 3 a Yes or No Yes or No BIC Code 11 x Text 2 c Text 35x Text 35x Text 35x Text 4 35x Text 35x BIC Code 11 x Text 4 35x Text 4 35x Text 35x BIC Code 11 x Text 35x BIC Code 11 x Text 10 35x Text 6 35x Decimal 15d Currency 3 a Yes or No Yes or No Appendix E CSV file upload specifications Field Status o Rel OC FS o Be OC Re ORG o RS ORG o Clearstream Banking Luxembourg Creati
103. ast Update Requested Settlement Value Date You can search for instructions according to a date range within which they were last updated or within which their requested settlement date securities or value date cash falls Select the appropriate radio button and provide From and To dates to specify the required range Generally e If you complete the From field and leave the To field blank the results will include all findings on or after the From date e If you complete the To field and leave the From field blank the results will include all findings on or before the To date e If you leave both From and To fields blank the results will include all findings in the CreationOnline database Link A link to the details of the object that triggered the particular alert You can click on a hyperlink entry in the Link column of the list on the alerts panel to access these details Note When you click on a hyperlink on the alerts panel it may be that the underlying item has been deleted or archived in which case the system displays a message that the item has been removed Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary xiil Glossary Market For Tax Certificates the domestic markets in which a tax certificate is required by the country in which the securities are held For Tax Refunds the domestic market from which the tax refund is coming based on the country in which the securities are hel
104. ber 2015 CreationOnline User Manual i 3 Working with cash Business To view the details of existing cash and securities against payment instructions post release 1 In the navigator panel select Cash Post Release to display the Post Release page 2 From the Action menu select the Query command to display a Query tab for cash instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query cash and securities against payment instructions post release on page 7 13 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 Do one of the following to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 View the details of the instruction as required and when finished select the Close button or Action menu command to return to the list view To duplicate an existing cash instruction post release Note The duplicate action will not be enabled on securities instruction to duplicate securities instructions see To duplicate an existing securities instruction post release on page 6 12 1 In the navigator panel select Cash Post Release to di
105. ber in the Count field 6 Select the Query button or Action menu command to perform the query The cash correspondents that match your set of criteria are displayed in a list view If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 23 November 2015 Clearstream Banking Luxembourg 12 2 CreationOnline User Manual Working with reference data Business To view the details of a cash correspondent 1 In the navigator panel select Reference Data Cash Correspondent 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required cash correspondent see To query cash correspondents above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Cash Correspondent tab do one of the following to display the details of the Cash Correspondent Name BIC Address Country Code City Currency in read only mode on its own tab Highlight the a
106. between Triparty Collateral instructions and cash balances via the Links functionality e Link from a created and released Pre Release instruction to the Triparty Post Release to follow the end to end lifecylce of the instruction e Access up to 13 months of historic Triparty Collateral Management Instructions and related account movements e Print or export CSV format all results Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 9 1 Working with Triparty Collateral Business To create a Triparty Collateral instruction pre release You must have the correct permission to perform this action I 6 In the navigator panel select Triparty Collateral Collateral Pre Release to display the Collateral Pre Release page From the Action menu select the Create command to display a new tab for the instruction Adjust the depth of the alerts panel as required Select the required contract through the Contract Look Up component then the Triparty Collateral Instruction type from the appropriate dropdown lists If client indicator is set to Collateral Provider and the contract is a manual allocation contract the securities movements subtab must be completed Before submitting your instruction do one or both of the following if required If you decide to change the instruction use the Modify button or Action menu command to change desired values If you decide to abandon creating a new ins
107. cancellation of a securities instruction post release on page 6 13 To request confirmation of a securities instruction post release on page 6 14 To request modification of a securities instruction post release on page 6 14 To view the history of a securities instruction post release on page 6 15 You can use the Refresh command to display the latest list view in your organisation unit You can also customise the displayed list of instructions see Working with displayed list views on page 1 4 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this 23 November 2015 Clearstream Banking Luxembourg 6 10 CreationOnline User Manual Working with securities Business To query securities instructions post release Note 1 Note 6 Securities instructions are available for online queries up to 13 months after their end of life In the navigator panel select Sec
108. card button or Action menu command to cancel the operation and return to the Securities Post Release page 23 November 2015 Clearstream Banking Luxembourg 6 12 CreationOnline User Manual Working with securities Business 9 Select Submit to create the new instruction Note If there is an error in the creation of the new instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the duplication On successful duplication of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To request cancellation of a securities instruction post release 1 In the navigator panel select Securities Securities Post Release to display the Securities Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions post release on
109. cash payment date e Common code or ISIN e Event type e Event indicator To query corporate actions In the navigator panel select Corporate Actions to display the Corporate Actions page From the Action menu select Query to display the Corporate Actions Query tab Adjust the depth of the alerts panel as required On the Query tab specify the details of the query as required OF oP oy Before submitting your query do one and or other of the following if required 23 November 2015 Clearstream Banking Luxembourg 12 4 CreationOnline User Manual 6 Working with reference data Business If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Cash Correspondent page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field Select the Query button or Action menu command to perform the query listing the results ona separate tab in list view The corporate actions that match your set of criteria are displayed in the Corporate Actions list view tab If there are no matches this tab is displayed empty To view the output of a corporate action query 1 I
110. cate button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Duplicate from the Action menu m Right click on the appropriate instruction in the list and select Duplicate from the popup menu Make changes to the instruction details as required to create a new unique instruction You will have to specify at least a new unique Sender s Reference Before submitting your duplicated instruction do one and or other of the following if required If you decide to change the duplication use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon duplication of the instruction use the Discard button or Action menu command to cancel the operation and return to the Securities Post Release page Select Submit to create the new instruction If there is an error in the creation of the new instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the duplication On successful creation of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If the Verify step is required as set in the OU preferences
111. ce M For a non taxable transaction 1 Purchases linked to an issue of securities primary market 2 Transactions processed by a clearing house or central securities depository 3 Purchases linked to market making activities 4 Purchases linked to a liquidity contract 5 Intra group transactions 6 Securities lending and repos 7 Acquisitions by employee mutual funds employee open ended investment funds or by employees directly 8 Acquisitions including purchase of company shares for employee saving schemes 9 Acquisitions of convertible bonds bonds convertible into shares 1 alpha numeric character mandatory 23 November 2015 Clearstream Banking Luxembourg E 10 CreationOnline User Manual Position in CSV Field description 13 Tax amount 14 Place of trade 15 Narrative Appendix E CSV file upload specifications Format Content ee 18 figures maximum plus a comma maximum two decimals M 0 for an exonerated transaction No negative sign authorised Example 1234567890123456 78 Amount to be paid for this transaction in euro 0 for exonerated transaction This field will be considered as a negative amount if the Type of transaction field 15 C no negative sign authorised 4 alpha numeric characters mandatory M MIC code of the place of trade MULT if multiple places of trading OTC if transaction dealt on the OTC market INT if transaction executed by internalisation CORP if the declared transaction r
112. ceeeesseeeeeeseneeeeess 5 11 To refresh the list of scheduled report requests cccccccceeeeeeeeeeeeeeceseeeeeceeeneeeseeseneeeeeneeeeeees 5 12 6 Working with securities BUSINESS cccsseecsseseessessseeseeseneeseeeseesenseseeeneenenees 6 1 TO create a securities INSTRUC OM sascceredseccentteaetci uss nen e EDE oe E EE i anclacaviaadts 6 3 To create upload a Securities instruction files ee ceeecceeeececeeeeeeeceeeeeeeeeeeeeeeseseneeeseneneeeeeeseeeeeess 6 3 To query securities instructions pre release ceccccceceeececeeeeeeeceeeeeececeeeeeseeeneeeeeeseeeeseeneeeeetes 6 4 To view the details of an existing securities instruction pre release ccceeeceeeeeeeeeeeeteeeees 6 4 To duplicate an existing securities instruction pre release cccececeeeeceeceeeeeeeeeeteeeeseeneeeeeees 6 5 To modify a securities Instruction pre release ecceeccceeececeeeeeeeceeeeeeeeeeeeeeeceeceeeeseeseseeeeeeeeeeeess 6 5 To verify fail verify a securities instruction pre release oe eeccccececccseeeeeceeeeeeseeseesetetseseteteseees 6 6 To undo verification of a securities instruction pre releaSe ccccccceeeeseeceeseeeeeeseeeeeeeteeeeeees 6 7 To cancel a securities instruction pre release ccccceceeececeeeeeeeeeeeeeeeceeeceeeseseeeeeeeseeeeeeesseeeeeees 6 8 To view the history of a securities instruction pre release ccccccceeeeseeceeeeceeeeeteeeeeeeteeeeeees 6 8 To release a SECUMIMIESIMSUFUCHION
113. ceive and send free format messages from and to Clearstream Banking Typically these messages can be enquiries about e Customer payments and cheques e Financial institution transfers Nostro e Treasury markets foreign exchange money markets and derivatives e Securities markets e Customer services Clearstream Banking will only accept CreationOnline Message Exchanges for Investment Fund orders in the relevant business process area For all other instructions it is recommended that you use formatted messages in order to guarantee timely and proper execution Messages received by Clearstream Banking are routed to the Message Exchange service and are made available for you to read when you select the Received Messages action under the Message Exchange function on the Navigation Panel You can create queries on e free format messages that you have sent e instructions you have created and released instructions with new or sent status Also you can create an unsolicited message relating to a specific business area e To query a received message on page 10 1 e To display a received message on page 10 2 e To change the folder owner of a received message on page 10 2 e To query a sent message on page 10 4 e To create an unsolicited free format message from sent messages on page 10 4 e To respond to a free format message on page 10 4 e To release a new
114. cheduled Reports tab do one of the following Highlight the appropriate report request in the list and select Delete from the Action menu Right click on the appropriate report request in the list and select Delete from the popup menu Confirm your intention to delete to perform the deletion If the scheduled report request that you delete has Pending New or Pending Rejected status there is no need to confirm or reject this action The status of the respective report request is immediately updated to Deleted If the scheduled report request that you delete has Confirmed status the status of the respective report request is initially updated accordingly to Pending Deleted and the deletion must be confirmed or rejected If as OU Administrator you have authorise own privileges you can confirm or reject your own action on scheduled report requests Otherwise a second OU Administrator must do this You can delete multiple report requests in one action provided that all the selected report requests have a suitable status Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual S 1 Working with scheduled reports Administration To confirm a scheduled report request Note Report requests awaiting confirmation rejection may also be listed in the alerts panel 1 In the navigator panel select Reporting Scheduled Reports to display the Scheduled Reports page 2 From the Act
115. cin naina aienea aa aaa aaa aaaeaii 11 1 Working with USWREANOldiINg TaXin ae eiiean 11 3 WOR UNG ti a RENAS sr n A a a N tuneee sae core ies 11 4 Working with Tax CentitiGates 2 c2nzecccdeneateeraiaacattdsckdnpatsdaateaaes gina a a a a e Rina 11 5 Working with French FTT Financial Tax Transaction ccccccccccccsscssecsccecceccsecseesseeseeseseseeatens 11 6 12 Working with reference data BUSINGSS ccccseecseeeeseeseeeeseeeeenseeeeeeseeeneenseeees 12 1 Working With Casi Correspondents aciccseccmces ontetsloecaeusassecnsateneetaasdtoszectedsoysa daxd Oii ariete 12 2 Working witi corporate SCHONS cscscc6tetinceactirsstcedegsteasavaentscacts Meus nests snaareeh cc Ea 12 4 Working WIE CUPP OM ClO Sse s0taceseacs stantesiut aa a a paa e et cuba sed atte 12 6 Working with financial Imst Urme MIE Seyschu hceetecs stesso cs teres a N Sees eta menneeieoaeeend 12 7 Working Withiplaces Of Satrekee ii Gissticxctserccsssycescseaeesaneeg sedans apnea e e est aes 12 9 Working Withsettlement DATES sosida erii a caseecoe is asass toes atic ees a eens 12 10 13 Working with retrieved reports BUSINESS ccccccseeeeeeeeeeeeeeeeeeeeeeeeeeeneeeeneeeee 13 1 GS MG MaltASKS rer ctencsctecetsccvesecthseathssecton aecess astsdusedteetetansat aara i eaae aaea Sa iE 13 2 Sorting and filtering AIMO Fe ports TOrmGis play ss ccs2sctsecxesecrnecensereeresa DAA aLaaa 13 4 TA Working with alerts socsisescidincvcscsceaatansntiaceutacsunakamaaiuaananandens
116. ck anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To query Triparty Collateral Exposures Principal Securities 1 In the navigator panel select Triparty Collateral Exposures Principal Securities to display the Principal Securities page 2 From the Action menu select the Query command to display the Query tab for for Principal Securities 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify a sort sequence and other values to define your query as appropriate 5 Before submitting your query do one and or other of the following if required lf you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Pricipal Securities Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action men
117. command the number of instructions that would satisfy your query will be presented in the Count field If the count is high you can redefine the query accordingly before actually listing the results Counterparty Name The name of the counterparty to an associated transaction Counterparty Number The five digit number of the counterparty s Clearstream Banking Euroclear or domestic account Country The country of the counterparty to the transaction Country Code The two character ISO code for a country for example AT for Austria DE for Germany Created By The user ID of the user who originally created the instruction Creation Time The date and time of the creation of the alert CreationConnect CreationConnect is Clearstream Banking s suite of connectivity channels that gives customers real time access to enhanced information and transaction reporting as well as comprehensive clearing settlement and custody services CreationConnect provides choice and flexibility in terms of 15015022 compliant connectivity options available to customers The CreationConnect connectivity channels are e CreationOnline the secure web browser based solution Acting as a central management tool it is available over a choice of public internet or Virtual Private Network and is ideal for instruction input query and exception management e CreationDirect the automated system to system interface that allows for the bulk transfer of transaction fi
118. ct Submit to perform the modification If there is an error in the modification of the report request for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the modification On successful modification of the report request it will appear in list views with status Modified Note When you change the name of a scheduled report request the links in the alerts panel and on the Alerts tab are changed accordingly A modification must be confirmed or rejected before it can be effective If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on scheduled report requests Otherwise a second OU Administrator must do this To delete a scheduled report request Note Note Note You cannot delete scheduled report requests that have Pending Modified or Pending Deleted status Inthe navigator panel select Reporting Scheduled Reports to display the Scheduled Reports page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required report requests see To query scheduled report requests on page 5 8 You can customise the displayed list see Customising displayed lists on page 1 5 On the S
119. ction on instructions Otherwise a second Business user must do this To create upload a cash instruction file Note PO IS gi Note A list of up to 300 security instructions in ASCII file format can be uploaded to CreationOnline Please refer to Cash pre release instructions on page E 2 for further format information In the navigator panel select Cash Cash Pre Release to display the Cash Pre Release page From the Action menu select the Create upload command Browse for the instruction file and click on the Upload button The feedback will be generated either confirming acceptance of the whole file or listing the error message in an online feedback window If there are any errors these have to be corrected in the file and reloaded Following a successful upload refresh your instruction Pre release screen and further process your newly created instructions If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 7 3 Working with cash Business To query cash instructions pre release iF ae aca ee Note 6 In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select th
120. cy Exchange_Rate Remittance_Information Appendix E CSV file upload specifications Format Content Clearing Code 2 c BIC Code or Name and Address 4 a2 a2 a3c or 4 35x Clearing Code 2 c BIC or Name and Address Text 5 c BIC Code or Name and Address 4 a2 a2 a3c or 4 35x Clearing Code 2 c Yes or No BIC or Name and Address Text 5 c BIC Code or Name and Address 4 a2 a2 a3c or 4 35x Clearing Code 2 c Detail of charges Code 3 a Decimal 15d Currency 3 a Decimal 15d Currency 3 a 12d Text 4 35x Decimal 10 M Mandatory 0 Optional 90 M zeg Bs lt MT103 M zg Es a ZS 5 zE oe OSG ORG OB 9E 9X Clearstream Banking Luxembourg CreationOnline User Manual 23 November 2015 E 3 Appendix E CSV file upload specifications Securities instructions Create Upload file Note In the following table Field Status is indicated as M Mandatory O Optional CM Conditional Mandatory For individual market requirements please refer to the respective Market Guide available at www clearstream com under Information Centre Market Reference oe Field description degree e Format Conten mE 1 Type of Settlement Transaction Type_of_Settlement_Transaction Text 35a M 2 Delivery Without Matching Delivery_Without_Matching Yes or No o 3 Instruction Type Instruction_Type Text 35a M 4
121. cycle Queries Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction in a list view Do one of the following to display the details of the instruction in read only mode on its own tab named from the Corporate Action Reference associated with that notification Highlight the appropriate notification in the list and select View from the Action menu Right click on the appropriate notification in the list and select View from the pop up menu View the details of the notification as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 15 Working with custody IPAR and Corporate Actions Business Working with corporate action confirmation queries To display CA confirmations You must have the permission for CA confirmation queries to perform queries on CA confirmations f a BR 6 In the navigator panel select Custody CA Confirmation Queries to display the appropriate CA Confirmation Queries page From the Action menu select the Query command to display the Query tab for CA confirmation queries Adjust the depth of the alerts panel as required In the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do either of the following if required If you decide to
122. d OU Administrator must do this To delete a user group Note You cannot delete user groups that have Pending Modified or Pending Deleted status or user groups to which users are still allocated 1 In the navigator panel select User Management User Groups to display the User Groups page 2 From the Action menu select the Refresh command to list the user groups 3 Adjust the depth of the alerts panel as required Note You can customise the displayed list see Customising displayed lists on page 1 5 4 On the User Groups tab do one of the following Highlight the appropriate user group in the list and select Delete from the Action menu Right click on the appropriate user group in the list and select Delete from the popup menu 5 Confirm your intention to delete to perform the deletion Note If the user group that you delete has Pending New or Pending Rejected status its status is immediately updated to Deleted and there is no need to confirm or reject this action If the user group that you delete has Confirmed status its status is initially updated accordingly to Pending Deleted and the deletion must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on user groups Otherwise a second OU Administrator must do this You cannot delete multiple user groups in one action To confirm a user
123. d and where the tax was collected Market Price ACTU Price expressed as an amount of currency per unit or per share PRCT Price expressed as a percentage of par Market Rules Details of the value and or mandatory optional status of Delivering Receiving Agent Buyer Seller Party and or Account fields for instructions in a particular domestic market Maturity Date The final date on which a bond can be redeemed by the issuer Name Reference Data The name of the settlement party place of safekeeping or cash correspondent bank as appropriate You can enter a part of the name as a wildcard to list all of the items that contain the entry Narrative Alert The free format text of the alert Navigator panel The panel down the left hand side of the CreationOnline page where the user can access the menu to perform the different activities Net Amount The net proceeds after tax New Event Body The new value of the object whose change of value has triggered an event to be logged No Change of Beneficial Ownership An instruction so designated involves no change in the final beneficiary of the securities in the transaction Non Active report Non Active scheduled report requests can have Pending New Pending Rejected or Deleted status Null Positions Zero amounts You can choose to include YES or exclude NO these from reports Number of Unsuccessful Password Attempts The number of unsuccessful attempts at passw
124. d in a list view If there are no matches the Collateral Pre Release tab is displayed empty You can customise the displayed list of results When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list Is displayed 23 November 2015 Clearstream Banking Luxembourg 9 2 CreationOnline User Manual Working with Triparty Collateral Business To view the details of a Triparty Collateral instruction pre release 1 In the navigator panel select Triparty Collateral Collateral Pre Release to display the Collateral Pre Release page 2 From the Action menu select the Query command to display the Query tab for Collateral Pre Release 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required Collateral Instruction items in a list view see above Note You can customise the displayed list of results 5 In the list view do one of the following to display the details of one or more selected Collateral instructions in read only mode on a detail view tab Highlight the appropriate collateral instruction in the list view and select View from the Action menu You can browse multiple selections Right click on the appropriate Collateral instruc
125. d in the field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields If not blank the range of dates for the query must not exceed 31 days History will be available for a maximum of 364 calendar day from the current date 5 Before submitting your query do one and or other of the following if required f you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 93 Working with Triparty Collateral Business 6 Note lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Collateral Post Release Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The results that match your set of criteria are displayed in a list view If there are no matches the Collateral Post Release tab is displayed empty In the list view you can do one of the following to view the Exposure summary or the Contract summary related to
126. details of an existing securities instruction pre release 1 In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions pre release on page 6 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 Do one of the following to display the details of the instruction in read only mode on its own tab 23 November 2015 Clearstream Banking Luxembourg 6 4 CreationOnline User Manual 6 Working with securities Business Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu View the details of the instruction as required and when finished select the Close button or Action menu command to return to the list view To duplicate an existing securities instruction pre release 1 Note Note Note In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page From the Action menu select the Query command to display a Query tab for securities instructions Adjust the depth of the alerts panel a
127. display the details of the instruction on its own tab named from the Corporate Action Reference associated with that notification Highlight the appropriate notification in the list and select Change Folder Owner from the Action menu Highlight the appropriate notification in the list and select View from the Action menu and select Change Folder Owner from the detailed view Right click on the appropriate notification in the list and select Change Folder Owner from the popup menu 6 Enter the new values for the Folder and or owner for the selected CA Notification 7 If you decide to abandon the Folder Owner change use the Discard button or Action menu command to cancel the operation and return to the CA Notification Queries page When you are satisfied that the values are correct click on Submit CreationOnline will change the Folder owner for the selected CA notification To query a CA Notification life cycle You must have the appropriate permission for CA notification life cycle queries 1 In the navigator panel select Custody CA Notification Lifecycle Queries to display the appropriate CA Notification Lifecycle query page 2 From the Action menu select the Query command to display the Query tab for CA Notification Lifecycle Queries 3 Adjust the depth of the alerts panel as required 4 Specify the sort sequence and other values to define your query in the Query tab as appropriate 5 Before submitting your query d
128. download the FTT Status Message Tk 2 Note In the navigator panel select Tax French FTT to display the French FTT page From the Action menu select the Download FTT Status Message command to download the validation feedback of a submitted FTT Declarations This operation can not be done on Declarations in status Awaiting feedback If there is a negative feedback associated to an FTT Declaration the whole file was rejected and must entirely be reloaded Select the directory where the FTT Status Message must be saved and click on the Save button 23 November 2015 Clearstream Banking Luxembourg 11 6 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 12 Working with reference data Business As a Business User or Business Supervisor you can use CreationOnline to query and view details of the following types of reference data Cash Correspondents Currencies Financial Instruments Places of Safekeeping Settlement Parties Reference data is maintained by Clearstream Banking and each area has specific query criteria that the user can select in order to obtain the exact information that they are looking for Note OU Administrators cannot work with reference data Only business users can perform the tasks described in this chapter This chapter describes the features of CreationOnline for working with reference data e Working with cash correspondents on page 12 2 e Working with corpora
129. ds Customer Transfer Foreign Exchange Inthe navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Create command to display a New tab for a selected instruction type Adjust the depth of the alerts panel as required On the New tab specify the details of the instruction as required Before submitting your created instruction do one and or other of the following if required f you decide to change the instruction use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon creation of the instruction use the Discard button or Action menu command to cancel the operation and return to the Pre Release page Select Submit to create the instruction If there is an error in the creation of the instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the instruction On successful creation of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own a
130. e on page 6 13 In the navigator panel select Cash Post Release to display the Post Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query cash and securities against payment instructions post release on page 7 13 You can customise the displayed list see Customising displayed lists on page 1 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Do one of the following as appropriate to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction If you are viewing the details of the instruction and want to request cancellation select the Cancellation Request button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Cancellation Request from the Action menu m Right click on the appropriate instruction in the list and select Cancellation Request from the popup menu 7 View the details of the instruction as required and when ready select Submit to perform
131. e Alerts on which action has been taken that is a user has clicked on the hyperlink to access the details of the underlying item that triggered the alert are displayed in normal type no italic no bold Note All published alerts on which you cannot or have not yet taken any action contain a hyperlink in the Link column that you can use to view details of the underlying item scheduled report When the user receives a Broadcast Message from Clearstream Banking the user can double click on the Narrative section to open a window containing the text Maintaining logon details permissions and preferences All users can at any time perform the following tasks for their own settings e Changing your own credentials below e Changing your own password on page 1 9 e Setting your own preferences on page 1 10 e Viewing your own current permissions on page 1 10 Note Your credentials file and your password are uniquely associated If you change your credentials you will also have to change your password You can change your password without changing your credentials OU Administrators with the appropriate permissions can in addition perform the following tasks for their OU settings e Changing another user s credentials on page 1 11 e Setting OU preferences on page 1 11 e Viewing OU current permissions on page 1 11 Changing your own credentials Unchanged creden
132. e Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required On the Query tab select a view and or specify a sort sequence and other values to define your query as appropriate You can perform a query based on the reference exactly as it is entered in the Sender s Reference field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Pre Release page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results If you want to perform the same or a very similar query on future occasions use the Save as button or Action menu command to save the currently specified query as a view For details of views see Maintaining query views on page 1 4 Select the Query button or Action menu command to perform the query See A no
133. e and appropriate deployment and operation 23 November 2015 Clearstream Banking Luxembourg IV CreationOnline User Manual DEUTSCHE BORSE clearstream croup Contents PONG WOO estaceisscnsc2teG cece Scnsse ce Sucaeaatetat ea alecs Senedscapvi nein Saeed asthe atan eae deny toueaieelastat Galt once Leesa ees toteesicaeieet i ea ER AET k A EE PAA E T E E AA E E reer AEN T S er AT rer ii WONG DOUL SOGOU GILY eenaa a a a N a i iii Hardware and software requirements cccccecsecceceeeeeceeceeeeceecaeeeseenaeeeseanaeeeseeeeeeeseseaeeeeenneees iii Wiere todgerassi stane eieae En S a SS iii Ba e EET T EE P E E EE E E E A OE E EE A E A v Wet Ro matcepateeeaaceataanezasaeteaaetetdsesaddeeasteeeleeecaaascaaieceatepesteaiaacpetatausaaass vill De Getting Started rssicon nnana Aa aSa ARARA EEE RAET 1 1 Logging on to Creation Omlime aenar eaa a e aE EE iS EDERE 1 1 System administrator Sta SKS ai a iaee n 1 3 Wia USES CaN enans EASi 1 3 Using wila card Characters IiQUeCTI SS axe cc ckceccsndeseys heayeacavisvereeedevcdseehecreyencnyie iveeveyaaaebcayeesduseyencere 1 4 Working With Gisplayed iSt VISWS x cccac conteczedrensessesctentessaestgeorastensesebsdepssen aE er SREE 1 4 The CreationOmline pag ra innr an aeaa aa eaa a aeaaea eaire a lanea 1 6 Maintaining logon details permissions and preferences ccceceesceeeeeeeeeeeeeeeeeeeeeseeeeeseneees 1 8 2 Working with users Administration ssceeeeeeeceeeeeeeesee
134. e details of an existing securities instruction pre release on page 6 4 To duplicate an existing securities instruction pre release on page 6 5 To modify a securities instruction pre release on page 6 5 To verify fail verify a securities instruction pre release on page 6 6 To undo verification of a securities instruction pre release on page 6 7 To cancel a securities instruction pre release on page 6 8 To view the history of a securities instruction pre release on page 6 8 To release a securities instruction on page 6 9 You can use the Refresh command to display the latest list view in your organisation unit You can also customise the displayed list of instructions see Working with displayed list views on page 1 4 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this 23 November 2015 Clearstream Banking Luxembourg 6 2 C
135. e following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction If you are viewing the details of the instruction and want to request cancellation select the Cancellation Request Action menu command If you are in list view do one of the following m Highlight the appropriate instruction in the list and select Cancellation Request from the Action menu m Right click on the appropriate instruction in the list and select Cancellation Request from the popup menu 7 View the details of the instruction as required and when ready select Submit to perform the cancellation request On submission of the cancellation request the instruction will appear in list views with status New Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual i Working with cash Business To release a cash instruction Note You can release only those instructions that have Verified status 1 In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required Fy 3G I
136. e i Pending New i Confirm Confirm Confirm gt new Delete version Pending Modified Confirmed Pending Deleted Reject gt existing version Life cycle of a scheduled report 4 eyes OFF Create Confirmed Delete Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual B 1 Appendix B Life cycles and History diagrams Life cycle of a user group 4 eyes ON Delete Create Confirm Confirm Confirm gt new Delete gt new Delete Reject gt existing version Life cycle of a user group 4 eyes OFF Create Delete 23 November 2015 Clearstream Banking Luxembourg B 2 CreationOnline User Manual Appendix B Life cycles and History diagrams Life cycle of a user 4 eyes ON Reject Delete Create Authorise Credentials Create Credentials Confirm Xw gt new F lie version _ Suspend Modify JA Reject j Reject Authorise ejec gt existing Credentials f version l _ Create Credentials m Reject Con if activated Reactivate Stop eject Stop Cl
137. e list and select Cancellation from the Action menu m Right click on the appropriate instruction in the list and select Cancellation from the popup menu 7 Select Submit to perform the cancellation or Discard to abandon the cancellation On completion of the cancellation operation for the instruction it will appear in list views with status Cancelled To view the history of a securities instruction pre release 1 In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions pre release on page 6 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate Ifyou are viewing the details of the instruction and want to see its history select History from the Link menu 23 November 2015 Clearstream Banking Luxembourg 6 8 CreationOnline User Manual
138. e modification use the Reset button or Action menu command to return all the specifications to their default values so that you can start again f you decide to abandon modification of the instruction use the Discard button or Action menu command to cancel the operation and return to the Pre Release page Select Submit to perform the modification If there is an error in the modification of the instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the modification On successful modification of the instruction it will appear in list views with status Modified Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To verify fail verify a cash instruction pre release Note 1 PS Note You can verify fail verify only those instructions that have New or Modified status In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see T
139. e of the following m Highlight the appropriate instruction in the list and select Modify from the Action menu m Right click on the appropriate instruction in the list and select Modify from the pop up menu Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 7 Working with custody IPAR and Corporate Actions Business To duplicate a corporate action instruction in CA Pre release 1 In the navigator panel select Custody CA Pre release to display the CA Pre release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction in a list view Note You can customise the displayed list of results 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Then do one of the following as appropriate If you are viewing the details of the instruction and want to duplicate it select the Duplicate button or Action menu command If you are in a list view do one of the following m Highlight the appropriate instruction in the list and select Duplicate from the Action menu m Right click on the appropriate instruction in the
140. e query to list the required settlement party see To query settlement parties above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Settlement Parties tab do one of the following to display the details of the settlement party Party Identifier and Name in read only mode on its own tab Highlight the appropriate settlement party in the list and select View from the Action menu Right click on the appropriate settlement party in the list and select View from the popup menu 6 View the details of the settlement party as required and when finished select the Close button or Action menu command to return to the list view 23 November 2015 Clearstream Banking Luxembourg 12 10 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 13 Working with retrieved reports Business OU Administrators cannot view reports Only Business Users and Supervisors can view reports When a report has been retrieved it is presented in the list of available reports of the respective Business Users By default instances of reports are displayed in descending order of date Reports remain available for Business Users to view according to the respective report generation frequency as follows intraday and daily reports for 8 weeks weekly reports for 8 weeks monthly reports for 8 weeks quarterly reports for 13 months yearly reports for 13 months As a Business Use
141. e to display the Securities Pre Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions pre release on page 6 4 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to undo its positive or negative verification select the Undo Verify button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Undo Verify from the Action menu m Right click on the appropriate instruction in the list and select Undo Verify from the popup menu 7 Respond to the prompt by selecting OK to confirm the undo verification operation for the instruction On completion of the undo verification operation for the instruction it will appear in list views with status New or Modified Clearstream Banking Luxembourg 23
142. earstream Banking Luxembourg 23 November 2015 CreationOnline User Manual B 3 Reject if suspended Confirm Appendix B Life cycles and History diagrams Life cycle of a user 4 eyes OFF Delete Create Create Credentials Create Credentials Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual B 4 Appendix B Life cycles and History diagrams Life cycle of a securities cash instruction pre release Create 1 2 3 4 5 Fail Verify Cancel 2 Undo Verify Requests for Cancellation Confirmation and Replacement generate instructions that are progressed as new Instructions are automatically cancelled after 15 days of inactivity Instructions with Cancelled status can still be queried up to 5 days after they have been given Cancelled status Undo Verify is used to undo both Verified and Failed Verify statuses returning the instruction in either case to its initial status that is New or Modified In the event of a Clearstream Banking system failure For example when a security has been assigned an ISIN but it is not yet open in Clearstream Banking Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual B 5 Appendix B Life cycles and History diagrams
143. ecanesascees sens sehdascnmescewassttaasrendadenaesceaadineescex 7 16 MOGQUERY Cas MibalamGSs sac tcceecdetecacteecetacdtennedaec saben E a ee Cabs geese tee eine a acon 7 17 To view the d tails of a cash balanci circ sccisccidpssiaes cncesdncee boedaccndsacensseaeeuseness casas foesacendsatedeaaneascey 7 17 Torefresh the listiof cash DalanCes imirci eai 7 18 To query and view credit and collateral usage c ccceeeeececeeeeeeceeeeeeeeeeceeeeceseeceeetssteeestsneeess 7 19 8 Working with custody IPAR and Corporate Actions Business s 20000 8 1 Torre hre shy the IPAR USt ts cansaccasccutusuaeds cteues sepen dense nonstiounsed anaE ei EE EER 8 2 MOrQuery PAR datai idcon r TASR EREE OnE ERAN A E Ea 8 2 To View th detarlsiof an IPAR nitrys cscceccczesesancdeaancsqedesasandeadhaecuaiasopeesdeosesesitacaesesounasdusst Gaseanedeane 8 3 To create an unsolicited corporate action instruction in CA Pre release ccceeeeeeeeeeeeees 8 5 To create a corporate action instruction from a corporate action notification eeeeeeees 8 5 To create a corporate action instruction from a corporate action notification via respond upload 23 November 2015 Clearstream Banking Luxembourg x CreationOnline User Manual Tasks 8 6 To modify a corporate action instruction in CA Pre release cccccceeeeeeeceeeeeeeeeteeeeeeeeteeeeees 8 7 To duplicate a corporate action instruction in CA Pre release cccccccec
144. eceeeeeecsneeeessceneeetseeeess 13 2 To download a report ISO 15022 PDF XML XLS HTML and CSV oo ecccccccseesecseeeeeeseees 13 2 Toview an HIME report Instance s c c cnceatecassacessenedadetsatactesonededeustsera sieose ares Ee e EE 13 3 T print a displayed HTM FepOrt sprrsiisinrsee inenen r E a eiT i 13 3 To sort and or filter the display of your HTML reports ceccececssceeseeceecseeseeseeseceeseesesseeseeeeeeees 13 4 FA Working WIEN LOPES ocisisicaciaiis cnnecantnacessurcabasecncadesemadsasmtuandinscctanerwiecadeeauicavadunbuninas 14 1 Toq ery alerts iiiaae peeta atau acti caee ene pence eee 14 2 To link tovan item that triggered an alert xic 2 2seescscesesscintedesdacesgdiexigsgvaseceagad lasee EEEE 14 2 Toremesn the Usto alerini REA ERER Ea ORA 14 3 15 Working with audit events Administration c scccesssseeeeeceseesseseeeeeseeseeeeeeees 15 1 Tareiresh the list of audit SVENUS iiss sc cuicss ciseadensn chun scesaaxenssndeeas a a rA Ea 15 1 MO GUEKY audit event Sissener ea e ein ae ee i aa aie eitie 15 2 To view the details Of an UGIDEV EME iei ciscs ice dass nastactsastnassiansstenpastend dt asstenaastegastedaatcnaaateadcnaniacs 15 2 23 November 2015 Clearstream Banking Luxembourg XII CreationOnline User Manual DEUTSCHE BORSE clearstream croup 1 Getting started Access to CreationOnline is provided via your web browser The use of the system is strictly controlled by security features that ensure tha
145. ect Securities Securities Post Release to display the Securities Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions post release on page 6 11 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction If you are viewing the details of the instruction and want to request confirmation select the Request Confirmation button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Request Confirmation from the Action menu m Right click on the appropriate instruction in the list and select Request Confirmation from the popup menu 7 View the details of the instruction across all available subtabs as required and when ready select Submit
146. ect View from the Action menu Right click on the appropriate Collateral instruction in the list and select View from the popup menu 6 View the details of the Collateral instruction as required and when finished select the Close button or Action menu command to return to the list view 23 November 2015 Clearstream Banking Luxembourg 9 4 CreationOnline User Manual Working with Triparty Collateral Business To duplicate an existing Triparty Collateral instruction post release 1 Note Note Note In the navigator panel select Triparty Collateral Collateral Post Release to display the Collateral Post Release page From the Action menu select the Query command to display the Query tab for Collateral Post Release Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query Triparty Collateral post release on page 9 3 You can customise the displayed list see Customising displayed lists on page 1 5 If you first want to view the details of the instruction in its own tab do one of the following Highlight the appropriate collateral instruction in the list view and select View from the Action menu Right click on the appropriate Collateral instruction in the list and select View from the popup menu Do one of the following as appropriate If you are viewing the details of the instruction and want to duplicate it select the Dupli
147. ect the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required report requests see To query scheduled report requests on page 5 8 You can customise the displayed list see Customising displayed lists on page 1 5 On the Scheduled Reports tab do one of the following to display the details of the report request in read only mode on its own tab Highlight the appropriate report request in the list and select View from the Link Action menu Right click on the appropriate report request in the list and select View Reports from the popup menu To modify a scheduled report request Note Note 6 Changes to scheduled report requests must be input before 19 00 today D if they are to be reflected on next value date D 1 Changes made after 19 00 on D will not be reflected until D 2 Only scheduled report requests that have status Confirmed or Pending Rejected can be modified In the navigator panel select Reporting Scheduled Reports to display the Scheduled Reports page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required report requests see To query scheduled report requests on page 5 8 You can customise the displayed list see Customising displayed lists on page 1 5
148. ection may also be listed in the alerts panel 1 In the navigator panel select User Management Users to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user see To query users on page 2 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 Either on the Users tab do one of the following Highlight the appropriate user in the list and select Confirm from the Action menu Right click on the appropriate user in the list and select Confirm from the popup menu Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 2 5 Working with users Administration Note Or in the alerts panel a Right click on the appropriate alert in the list and select Goto Link from the popup menu to display the details of the associated user on a User tab b Select the Confirm button or Action menu command to confirm the user If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this To reject a user with Pending status Note 1 Note Users awaiting confirmation rejection may also be listed in the alerts panel In the navigator panel select User Management Users to display the Users page
149. ectly with the navigator panel as the respective option that has been removed will no longer appear in the navigator panel To reveal the dashboard e Inthe navigator panel select the Dashboard command This Dashboard command will not be present in the navigator panel while the dashboard Is displayed To refresh the display simply right click on Securities or Cash to highlight it and then click on it To conceal the dashboard e Inthe displayed dashboard click on the X The Dashboard command will be available again for selection in the navigator panel To reveal the latest list of exception types 1 In the displayed dashboard right click anywhere and select the required action from the popup menu to indicate the current number of securities or cash exceptions as appropriate 2 Click on the symbol to reveal the list of exception types The symbol changes to g To display all the current exceptions of a specific type in a list view 1 In the displayed dashboard reveal the appropriate list of exception types see above 2 In the list double click on the required exception type The alerts panel The alerts panel which occupies the lower part of the CreationOnline page is automatically refreshed every 30 seconds by the system and displays an entry for each currently non expired alert in a list in descending order of date time of generation across the width of the workspace panel The alerts in the alert
150. ed details A previously paid taxable or reportable income payment has been reversed That is an income payment has been reversed because for example funds have not been received from a depository or the price or currency is different from the one originally indicated by the depository at the time of payment Event Type Tax Certificate Tax Refund CPNFLR CPNSTR CPNWAR DIVIDEND INTERES LIQUID MATURITY PARDNOM PARDRAW POOLFAC REDEARH REDEARI REDEMPT REDFIN REINVES Event Type US Tax CPNFLR CPNSTR CPNWAR DIVIDEND INTERES LIQUID MATWAR PARDNOM PARDRAW POOLFAC REDEARLY REDFIN REINVES Event Type Code Floating rate coupon payment Straight bond coupon payment Coupon payment on warrant Dividend payment Interest payment Liquidation Equity maturity Partial redemption Drawing partial redemption Pool factor Early redemption at holder s option Early redemption at issuer s option Redemption Final redemption Reinvestment Floating rate coupon payment Straight bond coupon payment Coupon payment on warrant Dividend payment Interest payment Liquidation Warrant maturity Partial redemption Drawing partial redemption Pool factor Early redemption Final redemption Reinvestment The code of the type of audit event that is logged An event type is a subset of an event family Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary Ix Glossary Even
151. ed to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of scheduled report requests is displayed To view an existing scheduled report request 1 In the navigator panel select Reporting Scheduled Reports to display the Scheduled Reports page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required report requests see To query scheduled report requests on page 5 8 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Scheduled Reports tab do one of the following to display the details of the report request in read only mode on its own tab Highlight the appropriate report request in the list and select View from the Action menu Right click on the appropriate report request in the list and select View from the popup menu 6 View the details of the report request as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 9 9 Working with scheduled reports Administration To view underlying reports of a report schedule 1 Note In the navigator panel select Reporting Scheduled Reports to display the Scheduled Reports page From the Action menu sel
152. eeeeeeeseeeeeseeeeeeeeees 2 1 The main user Management activities siessetek ene reike eniti akeni 2 1 Managing USETE cierren inopen re a a a Gee e a eE a ea a iai 2 2 Changing another user s credentials c ccccceeececeeeeceeceeseceeceenaeeeseecaeeeseseaeeeseecaeeeeeeeaeeeeenneees 2 8 Managing ser Group S isisisi nee et aenissareneee 2 10 3 CreationDirect via Internet ManageMent cccceceeteeeteeeeneeeeeeeeeeeeeeeeeeenneneneee 3 1 Managing CreationDirect via Internet USerS ccceeseceeceeceeeceeceeeeceeeeeeeseeeeeeeseaeeeeeseeseeeeeseneees 3 2 Managing CreationDirect via Internet accounts and addresses ccceescceeeeecceeeeeeeeeeeseneees 3 6 G Working With VESTN ission aa aaa aaae saiia aa iaa diaaa 4 1 Working with scheduled reports Administration sccsseeeeeeeseeeeeeeeneeeeeees 5 1 Report schedulingand retmieyal iscrtana Ae EEE Eei a 5 2 Report iregUeneiE Srian e e ea rE EE eet 5 4 Report distribu OMi pensaan ere aaa aE a E EEE E E 5 5 Managing ScheduledireportreqUuests orsirsienien otie ie anise AE ERA EEEE EaR 5 6 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual v 6 Working with Securities Business cccccsssesseeseeeesseseeeeeseenseseeneeeeeneeseeeessoens 6 1 Working with securities instructions pre release ccceccceeeeseeceeeeeeeceeseeeeeeeseeeeeesneneeeesnaeeess 6 2 Working with securities instructions poSt release cececcceeeeeec
153. eeeeeneeeseeseeesenseeeeeesseeeess 7 5 To verify fail verify a cash instruction pre release cececceccecesceseeseeseeeceeeseeseeseceeseesesseeseeeeeens 7 6 To undo verification of a cash instruction pre release cccecececeeeeeeeceeeeeeeceeeeeeeseeseeeeeesteees 7 7 To cancel a cash instruction pre release inisinia i anaana 7 7 To view the history of a cash instruction pre release ceeecceeceeceeeeeeeceeeeceeceeseeeeceesneeeeesseeess 7 8 To request cancellation of an Accepted cash instruction pre release cccecceceesereeeeeeeeeees 7 8 VO FeleaSera CaS in UM StU ONS innen aea E expen doses EA E EEE 7 10 To refresh the list of cash INStPUCHONS co cscctizesines dexeensnens dueaschbassraeseneeadovessdxeus r eE 7 10 To create and save a standing INStrUCtiOns ccccceecececeeecececeeeceeeeeeeeaeeceecaeecesseeeeteseeeeetsneeess 7 10 To query cash and securities against payment instructions post releaSe ceeeeeeeeees 7 13 To view the details of existing cash and securities against payment instructions post release 7 14 To duplicate an existing cash instruction post release cccceeeceeeeeeeeeeeeeeeceeeeeeeeeeneneeeesneeess 7 14 To request cancellation of a cash instruction post release ccecececeeeeeeeceeeeceeceesteeeeeeseeees 7 15 To view the history of cash and securities against payment instructions post release 7 16 To refresh the list of cash INStFUCTIONS o ccsecisdccveseoci
154. eement delivering receiving agent account CEDE CONF Confirmed funds CEDE ELIG Eligible for settlement will be presented today for provisioning and settlement CEDE MAGT Disagreement delivering receiving agent CEDE MBSA Disagreement buyer seller account CEDE MCUR Disagreement settlement amount currency CEDE MDAT Disagreement settlement date CEDE MMBS Disagreement buyer seller CEDE MMON Disagreement settlement amount CEDE MPRI Disagreement deal price CEDE MQUA Disagreement quantity CEDE MTRD Disagreement trade date CEDE PROV Withdrawal of funds that is provisioned awaiting next eligible settlement cycle CEDE UNCF Unconfirmed funds CERT Wrong certificate numbers CHAS Enquiry sent CLAC Insufficient securities in counterparty account CLAT Counterparty too late for matching settlement CLHT Clearing House Trade CMIS Matching instruction not found CMON Insufficient money in counterparty account CPCA Counterparty cancelled instruction CPEC Counterparty in receivership CYCL Settled on the domestic market awaiting next settlement cycle DDAT Settlement date rejection DDEA Deal price rejection disagreement DELN Disagreement direction of trade DENO Unavailable Deliverable Denominated Quantity 23 November 2015 Clearstream Banking Luxembourg A 2 CreationOnline User Manual Reason code Appendix A Activity statuses and Reason codes Description DEPO Refused deposit for issue of depositary receipts DEPT Disagreement place of settlem
155. eesaeeesaeeesaeeessaeeesaeeeeaeeess 3 5 To delete a CreationDirect via Internet USEF 00 eetceeesceceseceesneeeseeeeseeeesaeeesaeeesaeeetsaeeesaeeeeaeeees 3 5 To refresh a list of CreationDirect via Internet Users eeceeeeeeeeeeeceeeeeeeeeeeeeeceeeeeteeeseesenneees 3 5 To specify CreationDirect via Internet accounts ceeeeeeceeeeeeseeeeceeeceeeeecaeeesaeeseaeeeetaeeeeeesenreees 3 6 To request a CreationDirect via Internet AdGreSS eeeeeeecesstceeeneeceseceesaeeesaeeseaeeessaeeesaeeetaeeees 3 6 b Working with VesStiMa s ssis a a aa 4 1 5 Working with scheduled reports Administration s ssccssseesssssscseseeseeseeeees 5 1 To create a scheduled report request sorrires rahasid a an adnada 5 7 Te query scheduled report regteStSi sgire e eee ETO NEEE EEEE 5 8 To view an existing scheduled report request ccccceceeececeeeeeeeeeeeeeeeeeeeeeeceseeeeeseeeeeeeeeseeseeeess 5 8 To view underlying reports of a report schedule ccceccceeeeeeeceeeeeeeeeeeeeeeseeeeeeesetsneeeeeetteeeeees 5 9 To modify a scheduled report Pequests isitar anaedai dainai ada EE Daiei 5 9 To delete a scheduled report request ccccececeeeeececeeeeeeceeeceeeeeeeneeeeeeeeeeseecceeeeeeseeeeeeeneeeeetes 5 10 To confirm a scheduled report request cccccececceeeececeeeeececeeeeeeeeeeceeeeeeeeeeeeseeceeeesenseeeesensnseeeess 5 11 To reject a scheduled report request ccccceccceeeeececeeeeeeeeeeeeeeeeeeeaeeceeseaeeseese
156. eeseceeeeeteeeeeesteeeees 8 8 To release a corporate action instruction from CA Pre release cccceceeeeceeeeeeeeeeeeeeeeeeees 8 8 To cancel a corporate action instruction in CA Pre releasSe cccccceceeeeeeeeeeeeeeeeeeseeeeeeeeeeeeeees 8 9 To verify fail verify a corporate action instruction in CA Pre release ccccccececeeseeeeeeeteestees 8 9 To undo the verification of a corporate action instruction in CA Pre release eeeeeeee 8 10 To query a corporate action Instruction in Post Release c ccceeeececeeeeeeeceeeeeeeeeeseeeeeeeeeeeeeess 8 11 To create a corporate action cancellation request instruction from a Post Release corporate action UM SECUC UO EEEE AA PAEPAE T A AS NTE AE S FA AAA EA TA asses 8 11 Togquery a CA NotificatiOM saae ea eia ra ian A Ar dE weae ass 8 13 To display a CANO CAR OM ccacce lt aosedescactetecdsceindsdenesaedesasdeecachedcuniasdesasdeaeehesisacesedsousietsesde eaeinaiadents 8 13 To change the folder owner of a CA Notification ccccecececeseeeeseeeseeeeceeeeeseeeeseeesaeeeteeaeeeteees 8 14 To querya CA Notification lifecycle ceocceccducctcctecccsseustedssapedocsant Gacsaced a aE orea eo edee aeii 8 14 To display a CA Notification life cycle ooo eceeeceeecececeeececeeeeeeeeeceeeeeeeeeeeeeeeeeeeeeseneneeesesenneeeeseeseeeess 8 15 TO Gis play CA confirmatio NS renmen a RAG 8 16 9 Working with Triparty Collateral Business c sscccceeseeeseseeeeeseeseeeeseeeeee
157. eeseeeeceeeeeeeeeeseeeesesseeeeeesneeess 6 10 WORKING Withialle Genie MUS 2 sisemine NENE eehe2eeiecercereensderentemeseeys 6 17 WORKING With SeCunitles DalAanGOSiiassccss cs rcscasteteesscehistal ezcacassacesdacunestettesessen cavncseczeveessammnsdnseent 6 20 Z Working With Cash BUSINCSS sisiaaciscccccaiesscicascascstenscsecasatanstnavanasccsahidestaiasteestanan 7 1 Working with cash instructions pre release irsc 3 c aiseaccisenea jase nein aioe Eea iee Eas 7 2 Working with cash instructions post feledSe sirian ariar sa ep tia eoret iaraa 7 12 Working Witmeas Molane E Seear n n a a a aces a neta 7 17 Working with credit and collateral USage i sesissiiceicnniiis ecien minene adanadan aanas 7 19 8 Working with custody IPAR and Corporate Actions Business 20000 8 1 a E ETA A T A E T AS AA A E AENA 8 1 Pajp eog gene A E E EE T EE E A A E E 8 4 9 Working with Triparty Collateral Business ssssssssnunnnnnnnnnnnnnnnnnnnnnnnnnnnnnn nnn 9 1 Working with Triparty Collateral instructions pre releaSe ecccccceceececeeseseeceeseeeeeeeseeeeeesneeess 9 1 Working with Triparty Collateral instructions post releaSe cceeececeeeeeeeeeeeeeeeceeseeeeeesttneees 9 3 Working with Triparty Collateral Contract SUMMATIES sissies eiei 9 7 Working with Triparty Collateral Exposures ssnin a ieia 9 8 10 Working with Message Exchange BUSINESS ccccsseeeeeeeeeeeeeeeeeeeeeeeeeeneeeeeeeees 10 1 Ti Working WIEN tax BUSINESS ais
158. el at the upper right of the CreationOnline page where the user can access a list of items related to the selected activity and perform various operations on them according to the tabs and subtabs provided on the page and the commands available in the local Action menu XML Label The label or field name in an audit event record of the object whose change of value has triggered the event to be logged Your Reference The unique 16 character reference as received in the customer s original instruction 23 November 2015 Clearstream Banking Luxembourg Glossary xxvili CreationOnline User Manual Contact marketingfaclearstream com www clearstream com Published by Clearstream Banking Luxembourg Registered address Clearstream Banking SA 42 Avenue JF Kennedy L 1855 Luxembourg Postal address Clearstream Banking L 2967 Luxembourg 23 November 2015 Document number 6023
159. elates to a corporate action Other MIC code can be found in international standard 1SO010383 Up to 50 alpha numeric characters M If no narrative a blank must be input Free text that can be used to provide more details for regularisation refund claim or amendment Clearstream Banking Luxembourg CreationOnline User Manual 23 November 2015 E 11 Appendix E CSV file upload specifications 23 November 2015 Clearstream Banking Luxembourg E 12 CreationOnline User Manual DEUTSCHE BORSE clearstream croup Glossary This Glossary lists in alphabetical sequence the fields and columns that you will find in the CreationOnline interface together with a brief descriptions of each 4 Eyes Principle A principle of secure practice across the business services whereby all creation modification and deletion actions must be confirmed by another user before they can be enacted If the 4 eyes principle is in force then an OU Administrator cannot change another user s credentials but will be required to authorise those that have been created for the user 10 90 9X and 9E instructions Types of cash instruction Respectively Pre advice of funds Withdrawal of funds Foreign Exchange and Customer transfer Account The 5 digit CBL internal account number An account must be one that you can use within your Organisation Unit Account instructions The 5 character account s that you are authorised to handle for instructions
160. en the status of the user is Pending Credential Creation This status is assigned by Clearstream Banking upon completion of the internal set up required The 4 eyes principle does not apply for creating credentials for CreationDirect users 1 Be YO DN In the navigator panel select CreationDirect Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required user in a list view Note You can customise the displayed list of results Do one of the following Highlight the appropriate user in the list and select Change Credentials from the Action menu Right click on the appropriate user in the list and select Change Credentials from the popup menu On the Change Credentials subtab sweep your mouse pointer in any all directions at random across the open entropy area until the associated progress bar reaches 100 Enter your own Administrator password and then the new password for the user whose credentials you are creating and confirm this by entering it again in the next field Select Submit to establish the credentials and password for the user Specify a unique file name and location for the credentials that you have defined To query CreationDirect via Internet users In the navigator panel select CreationDirect Management Users
161. ence Counterparty Number Counterparty Name Instruction Type Requested Settlement Date Effective Settlement Date Currency e Cash reports Cash Balances MT950 sort by Currency Money Statement MT950 sort by Currency Instruction Type Counterparty Account Number and or Customer Reference Additional sort criteria are CB Reference Your Reference Counterparty Number Counterparty Name Instruction Type Transaction type Posting date Value date You can filter the content of reports for display as follows e Securities reports Statement of Holdings MT535 filter by Account ISIN or Common Code Currency Description Aggregate Balance and or Market Price Statement of Transactions M7536 filter by CB Reference Your Reference Counterparty Number Counterparty Name ISIN or Common Code Currency Description Settlement Type Transaction Indicator Receipt Delivery Payment Indicator Input Medium Requested Settlement Date Effective Settlement Date Amount and or Quantity e Cash reports Cash Balances MT950 filter by Currency Money Statement M7950 filter by Currency CB Reference Your Reference Counterparty Number Counterparty Name Instruction Type Transaction Type Posting Date Value date Amount and or Instruction Origin To sort and or filter the display of your HTML report 1 While you are viewing the report select Display Formatting Options at the top of the page 2 Select up to
162. ench FTT to display the French FTT page From the Action menu select the Upload CSV command Browse for the FTT Declaration file and click on the Upload button The feedback will be generated either confirming acceptance of the whole file or showing the error message in an online feedback window If there is an error the whole file is rejected and must entirely be reloaded Following a successful upload refresh your list view to update the status of submitted FTT Declarations To query submitted FTT Declarations Note In the navigator panel select Tax French FTT to display the French FTT page From the Action menu select the Query command to display the Query tab for FTT Declarations Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate You can input a partial entry as a wildcard in the Declaration File Name field to list all results that contain your entry You can perform a query based on the reference exactly as it is entered in the Declaration Reference field in order to target a single declaration To download the Declaration File In the navigator panel select Tax French FTT to display the French FTT page From the Action menu select the Download Declaration File command to download a copy of a submitted FTT Declarations Select the directory where the FTT Declaration must be saved and click on the Save button To
163. ending order You can input a partial entry as a wildcard in the Party Name field to list all results that contain your entry The resulting list view contains the Currency of CCB the BIC and the complete Party Name Further relevant information can be displayed in a detailed view of an individual list entry which lists the Cash Correspondent name the BIC Cash Correspondent address Country Code City name and Currency To query cash correspondents 1 In the navigator panel select Reference Data Cash Correspondent 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify the details of the query as required You can sort the cash correspondents in ascending or descending order of Currency You can include cash correspondents of specific Currency Name BIC and or Country Code 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Cash Correspondent page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the num
164. ent DISA Natural disaster DMON Settlement amount rejection disagreement DOCC Awaiting documents endorsements from counterparty DOCY Awaiting documents endorsements from you DQUA Quantity rejection disagreement DSEC Security rejection disagreement DTRA Not recognised DTRD Trade Date rejection disagreement FORF Forfeit repurchase amount rejection disagreement FRAP Disagreement payment code FROZ Securities Frozen At CSD FUTU Forthcoming internal settlement date GLOB Transaction not allowed for global certificate IAAD Status Reason Investigation ICAG Incorrect agent Agent rejection ICUS Receiving or delivering custodian rejection disagreement IEXE Buyer or seller rejection disagreement INCA Income adjustment required LAAW Awaiting other transaction LACK Insufficient securities in your account LATE Missed today s market deadline LINK Pending linked instruction MINO Minimum settlement amount MONY Insufficient money in your account MUNO Multiple settlement amount NARR Further details of the reason NCON Awaiting confirmation from local market NCRR Settlement amount currency rejection disagreement NEWI Withheld due to undistributed issue NMAS No matching started No matching required NRGN Original instruction not found PART Trade settles in partials PHCK Physical Securities in Verification Process PHSE Physical delivery delay PHYS Disagreement physical settlement Physical settlement impossible
165. ent has or has not changed since its first appearance Clearing Code 2 character Identification of the national clearing institution that is in each case the Intermediary the Account With Institution and the Beneficiary Institution for the transaction AT Austria 5 numeric branch sort code AU Australia 6 numeric Bank State Branch code BL Germany 8 numeric branch sort code CC Canada 9 numeric Canadian Payments Association Payment Routing Number CH CHIPS 6 numeric CHIPS Universal Identifier CP CHIPS 4 numeric CHIPS participant identifier ES Spain 8 or 9 numeric Domestic Interbanking Code FW blank or 9 numeric Fedwire routing number GR Greece 7 numeric HEBIC Hellenic Bank Identification Code HK Hong Kong 3 numeric Bank Code of Hong Kong IE Ireland 6 numeric Irish National Clearing Code NSC IN India 11 numeric Indian Financial System Code IT Italy 11 23 alphanumeric Domestic Identification Code PL Poland 8 numeric Polish National Clearing Code KNR PT Portugal 8 numeric Portuguese National Clearing Code RT blank pay by Real Time Gross Settlement RU Russia 9 numeric Russian Central Bank Identification Code SC CHAPS 6 numeric CHAPS branch sort code SW Switzerland 3 5 numeric Swiss Clearing Code BC code or 6 numeric Swiss Clearing Code SIC code ZA South Africa 6 numeric South African National Clearing Code Clearstream Depository Name The name of the Clearstream Banking depository Clearstream In
166. entials Your ability to create and or change the credentials of another user depends on the following e whether the 4 eyes principle is on that is it is switched on as part of your OU preferences or off e whether the user is awaiting credential authorisation that is the user is created but must be authorised for the creation of credentials or pending credential creation that is the creation of credentials has been authorised but has not yet performed or activated that is the user has been fully created and has credentials already defined e whether you yourself originally created the user This means e If the 4 eyes principle is on and ifthe user is activated then you can create credentials for the user if the user is awaiting credential authorisation m if you originally created the user then you cannot create credentials for the user until another OU Administrator has authorised the creation of credentials for that user m if you did not originally create the user then you cannot create credentials for the user but you can authorise the creation of credentials for that user 23 November 2015 Clearstream Banking Luxembourg 2 8 CreationOnline User Manual Working with users Administration if the user is pending credential creation m if you originally authorised the creation of credentials for the user then you cannot create credentials for that user m if you originally crea
167. enu select the Create command to display a New User tab Adjust the depth of the alerts panel as required On the New User tab fill in the first name and surname fields and give the user a unique user ID then select the user group whose user profile authority level you want the user to share A user can belong to only one user group Use the User Permissions subtab and for Business Users and Business Supervisors the User Accounts subtab to set the activities that this user can perform and the accounts and reports that the user can work with For OU Administrators the full set of permissions and for Business Users the whole set of accounts and reports that a user can work with are defined at the level of the user group to which the user belongs Individual users cannot use more than this set but can be defined to use a restricted subset of them Before submitting your created user do one and or other of the following if required f you decide to change the user details use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon creation of the user use the Discard button or Action menu command to cancel the operation and return to the Users page Select Submit to create the user The user that you have created so far is given the status Pending Certificate Note To enable a newly created user to log on to CreationO
168. er Manual Working with cash Business To query cash and securities against payment instructions post release Note mh QO y Note Cash and securities against payment instructions are available for online queries up to 13 months after their end of life cycle In the navigator panel select Cash Post Release to display the Post Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required On the Query tab select a view and or specify a sort sequence and other values to define your query as appropriate You can perform a query based on the reference exactly as it is entered in the Sender s Reference field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields If not blank the date must be less than 400 calendar days after the current CET date and cannot be more than 364 calendar days before the current date Before submitting your query do one and or other of the following if required lf you decide to change your query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Post Release page Ifyou want to check how many results your
169. er by optionally specifying a country and or a Bank Identification Code BIC The resulting list view contains the Party Code the BIC and the Part Name for each entry Further relevant information can be displayed in a detailed view of an individual list entry To query places of safekeeping 1 gt O 6 In the navigator panel select Reference Data Place of Safekeeping From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required On the Query tab specify the details of the query as required You can sort the places of safekeeping in ascending or descending order of Clearstream Internal Code You can include places of safekeeping of specific Clearstream Internal Code Name BIC and or Country Code Before submitting your query do one and or other of the following if required lf you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Place of Safekeeping page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field Select the Query button or Action menu command to perform the query The places o
170. er in the list and select View from the popup menu 6 View the details of the user as required and when finished select the Close button or Action menu command to return to the list view To modify the details of a user Note Only users that have status Confirmed or Pending Rejected can be modified 1 In the navigator panel select User Management Users to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user see To query users on page 2 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Users tab do one of the following to display the current details of the selected user on its own tab Highlight the appropriate user in the list and select Modify from the Action menu Right click on the appropriate user in the list and select Modify from the popup menu 6 Use the User subtab together with the User Permissions subtab and if the user is a Business User the User Accounts subtab to make the required changes to the name associated user group and or relevant accounts and reports of the user 7 Before submitting your modification do one and or other of the following if required If you decide to change the modification use the Reset button or Action menu command to return all the specificat
171. erify from the Action menu as required Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 9 Working with custody IPAR and Corporate Actions Business o Right click on the appropriate instruction in the list and select Verify or Fail Verify from the pop up menu as required o Respond to the prompt by selecting OK to confirm the verification operation for the instruction f you are performing the Fail Verify process a reason box will be displayed where you can enter a reason for fail verifying the instruction On completion of the verification operation for the instruction it will appear in list views with status Verified or Failed Verified as appropriate Note If the verify step is required as set in the OU preferences and you have the authorise own permission you can verify or fail verify your own action on instructions Otherwise a second business user must do this To undo the verification of a corporate action instruction in CA Pre release Note You can undo the verification of only those instructions that have either Verified or Failed Verified status 1 In the navigator panel select Custody CA Pre release to display the CA Pre release page 2 From the Action menu select the Query command to display a Query tab for corporate action instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the requi
172. ery tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is displayed 23 November 2015 Clearstream Banking Luxembourg 9 8 CreationOnline User Manual Working with Triparty Collateral Business To view the details of Triparty Collateral Exposure Summary 1 In the navigator panel select Triparty Collateral Exposure Summary to display the Exposure Summary page 2 From the Action menu select the Query command to display the Query tab for Exposure Summary 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required exposure summary in a list view see To query Triparty Collateral Exposures Summary on page 9 8 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 In the list view do one of the following to display the detail of an exposure on a detail view tab Highlight the appropriate collateral instruction in the list view and select View from the Action menu Right click on the appropriate contract in the list and select View from the popup menu 6 View the details of the contract as required and when finished select the Close button or Action menu command to return to the list view To refresh the list of Triparty Collateral Exposure Summary e In the list view do one of the following Select Refresh from the Action menu Right cli
173. ery to list the required user in a list view Note You can customise the displayed list of results 5 On the Users tab do one of the following Highlight the appropriate user in the list and select Delete from the Action menu Right click on the appropriate user in the list and select Delete from the popup menu 6 Confirm your intention to delete to perform the deletion To refresh a list of CreationDirect via Internet users 1 In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 3 5 CreationDirect via Internet management Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of audit events is displayed Managing CreationDirect via Internet accounts and addresses To specify CreationDirect via Internet accounts il 2 3 4 In the navigator panel select CreationDirect Management Settings Adjust the depth of the alerts panel as required On the CreationDirect Accounts subtab do one or both of the following Inthe Available Accounts list highlight the required account s
174. es Business Working with allegements As a business user with the appropriate permissions you can use CreationOnline to query and view securities allegements and create a matching instruction based directly on a securities allegement To query allegements hs In the navigator panel select Securities Securities Allegements to display the Securities Allegements page From the Action menu select the Query command to display a Query tab for Securities Allegements Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do one and or other of the following if required lf you decide to change your query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Securities Allegements page f you would like to preserve your query for re use use the Save As button or Action menu command to save the specified criteria as a View that you can employ on future queries Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results
175. es and the User Group Accounts subtab to set the selections of accounts that the members of the user group can use For Vestima only the full set of permissions can be chosen Before submitting your create user group do one and or other of the following if required f you decide to change the user group use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon creation of the user group use the Discard button or Action menu command to cancel the operation and return to the User Groups page Select Submit to create the new user group If there is an error in the creation of the user group for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the user group On successful creation of the user group it will appear in list views with status New Note For OU Administrators the full set of permissions and for Business Users the whole set of accounts and reports that a user can work with is defined at the level of the user group to which the user belongs Individual users cannot use more than this set but can be defined to use a restricted subset of them A newly created user group must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can
176. essaes 6 17 To check potential matching instructions pre and post release for an allegement 6 18 To create a matching instruction for an AllegeMent ceeccceeeeeceseeeeceeeeeeeseeeseesaeeeeaeessaeeeaes 6 19 To refresh the list of securities allegeMent ccesceeceeeceeceeeeeeeceeeeeeneeeeeeeeceeeeceneeseeaeeeeaeeesaes 6 19 To query securities balances eee eeeeceeeceeeeceeseeeceeneeseeeeceeeeneesueeeseeeeseneeseeaeeseeeeseeaeseeaeeseaeessaes 6 20 To view the details of a securities balante oo ceeeceeeceeseeeceeeeeeeeeeeseeeeeeneeseeeeeseeeeeeeeeeeeaeeseneeesaes 6 20 Toretresh the list of securities DalanCes ci 2 cise scasannesceruneatiaeancmess tues causactensanetuaednascteusaceuaadeusanes 6 21 7 Working with Cash BUSINCSS isicsissccscseiscsnssassascssenasaeandsteqarsassnanscannisectsdendaantenas 7 1 MOREHE ALES a cash IMStHU STON essere ainyedeces once send a E aa EAEE 7 3 To create upload a cash instruction file cceecececeeeeeeeeeeeeeeeeeeeeeeeeeeeeaeececseeeeeeeseeeeeeseneeeeestneess 7 3 To query cash instructions pre releases sczicscssccecssesecsessetetiensssersdeseesdesess eaei aE 7 4 To view the details of an existing cash instruction pre release eccceeceeeceeseeeeeeteeeetestteeees 7 4 To duplicate an existing cash instruction pre releaSe eccceeececeeseeeeeeeeeeeeceeeeeeeeesseneesesseeess 7 5 To modify a cash instruction pre release eeceeeccceceeceeeeeeeceeeeeeeeeeeeae
177. etails of the place of safekeeping as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 12 9 Working with reference data Business Working with settlement parties The selection of ICSD CSD Identification determines the input to the Party Identifier field For example if BIC is specified then the Party Identifier must be in the form of a Bank Identification Code You can input a partial entry as a wildcard in the Party Name field to list all results that contain your entry By default the returned list view is presented in ascending order Further relevant information can be displayed in a detailed view of an individual list entry which lists the Party Identifier and full Party Name To query settlement parties Pe SNS 6 In the navigator panel select Reference Data Settlement Parties From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required On the Query tab specify the details of the query as required You can sort the settlement parties in ascending or descending order of ICSD CSD Identification Party Identifier or Name You can include settlement parties of specific Party Identifier and or Name in the format appropriate to the ICSD CSD Clearstream CrestCo Euroclear Necigef etc Before submitting your quer
178. eted Vestima User Status Activated Activated Activated Activated Activated Activated Activated Deact ivated Suspended or Activated Deact Deacti Deact ivated vated ivated 23 November 2015 Cog Clearstream Banking Luxembourg CreationOnline User Manual Scenarios Current CreationOnline Status none Pending New Pending New Pending New Pending Rejected Pending Rejected Confirmed profile Confirmed Profile Activated Activated Activated Activated Appendix C Vestima user statuses Action Create Reject Delete Confrim Modify Delete Create credential Delete Recreate Credential Modify Suspend Stop New CreationOnline Status Confirmed profile Pending Rejected Deleted Confirmed Profile Pending New Deleted Activated Deleted Pending Credential Recreation Pending Modified Pending Suspended Pending Stopped Status in Vestima and consequence User becomes ACTIVATED in Vestima but will not be able to log in as no credential has been created User becomes ACTIVATED in Vestima but will not be able to log in as no credential has been created User becomes DEACTIVATED in Vestima End date is set A user with same identifier can not be recreated from CreationOnline User remains ACTIVATED in Vestima User remains ACTIVATED in Vestima Modifications are active immediately but user will
179. f required lf you decide to change your query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Securities Balances page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count Is high you can refine your query to yield fewer results 6 Select the Query button or Action menu command to perform the query See A note about queries on page 1 4 The balances that match your set of criteria are displayed on the Securities Balances tab If there are no matches the tab is displayed empty Note You can customise the displayed list see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of a securities balance 1 In the navigator panel select Securities Securities Balances to display the Securities Balances page 2 From the Action menu select the Query command to dis
180. f safekeeping that match your set of criteria are displayed in a list view If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of a place of safekeeping Pe OS Note In the navigator panel select Reference Data Place of Safekeeping From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required place of safekeeping see To query places of safekeeping above You can customise the displayed list see Customising displayed lists on page 1 5 On the Place of Safekeeping tab do one of the following to display the details of the place of safekeeping identifier code Name Abbreviation BIC Address and Country Code in read only mode on its own tab Highlight the appropriate place of safekeeping in the list and select View from the Action menu Right click on the appropriate place of safekeeping in the list and select View from the popup menu View the d
181. f the financial instrument as required and when finished select the Close button or Action menu command to return to the list view To request Terms and Conditions for a security Customers can request the delivery of Terms and Conditions related to financial instruments in electronic format via CreationOnline These documents are electronic copies of the latest versions of prospectuses other definitive documents for stand alone securities or pricing supplements for program linked securities Customers can access the service by querying first on the Financial Instrument via the Financial Instrument Reference Data query function on CreationOnline The Financial Instrument Reference Data list view screen on CreationOnline indicates whether Terms amp Conditions documents are available for the related financial instrument Through the Financial Instrument Reference Data detailed view screen via the Terms amp Conditions tab customers can select an electronic copy of the requested document with the available languages and submit the request for delivery Delivery can be made to a dedicated folder called Terms and Conditions in the CreationDirect FileStore or the file can be downloaded in CreationOnline 1 In the navigator panel select Reference Data Financial Instrument From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required oe N Perform a suitable query to list the
182. fewer results Select the Query button or Action menu command to perform the query Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 2 3 Working with users Administration The users that match your set of criteria are displayed on the Users tab If there are no matches the Users tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of users is displayed To view the details of an existing user 1 In the navigator panel select User Management Users to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user see To query users on page 2 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Users tab do one of the following to display the details of the user in read only mode on its own tab Highlight the appropriate user in the list and select View from the Action menu Right click on the appropriate us
183. form a suitable query to list the required user in a list view Note You can customise the displayed list of results On the Users tab do one of the following to display the details of the user in read only mode on its own tab Highlight the appropriate user in the list and select View from the Action menu Right click on the appropriate user in the list and select View from the popup menu View the details of the user as required and when finished select the Close button or Action menu command to return to the list view To modify a CreationDirect via Internet user Note Only users who have the Confirmed Profile or Pending Rejected status can be modified When you change the name of a user the links in the alerts panel and on the Alerts tab are changed accordingly 1 re 7 In the navigator panel select CreationDirect Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required user in a list view Note You can customise the displayed list of results On the Users tab do one of the following to display the current details of the selected user on its own tab Highlight the appropriate user in the list and select Modify from the Action menu Right click on the appropriate user in the list and select Modify from the popup menu Before submitt
184. fresh the list of scheduled report requests on page 5 12 You can use the Refresh command to display the latest list of scheduled report requests in your organisation unit You can also customise the displayed list of scheduled report requests see Customising displayed lists on page 1 5 To create a scheduled report request 1 2 7 In the navigator panel select Reporting Scheduled Reports On the Scheduled Reports tab do one of the following to display a New Scheduled Report tab Select Create from the Action menu Right click anywhere in the list and select Create from the popup menu Adjust the depth of the alerts panel as required On the Report subtab give your report request a unique name select the relevant report type and channel and make your selections as required for example for a Cash Balances MT950 Money Statement MT950 Statement of Holdings MT535 or Statement of Transactions MT536 report request For the Triparty Collateral and Exposure Statements you can choose the CmaX participants Use the Report Details subtab to set the frequency of the requested report and to specify whether or not you want the report to include zero values For the Cash Balances Money Statement and Money Suspense reports you can use the Currency subtab to refine the report request further For the Statement of Pending Transactions Statement of Settlement Allegements Money Suspense report and the cle
185. g with users Administration As an OU Administrator with the appropriate permissions you can regulate the use of CreationOnline in your organisation unit You can create users and user groups within your OU assigning specific permissions credentials to allow individual users to perform selected tasks in particular areas of activity for example reporting You can also link Business User and Business Supervisor user groups to selected accounts to restrict the activities of the Business Users in such a group to operations involving only specific accounts and specific reports You can customise other features OU preferences according to the internal policies of your organisation This chapter describes the tasks and topics that you will meet through the User Management Users and User Management User Groups commands in the navigation menu as follows e The main user management activities below e Managing users on page 2 2 e Managing User Groups on page 2 10 Note All users can change their own logon credentials password and preferences at any time OU Administrators can also change the credentials and password of any user in their OU and can set OU preferences see Maintaining logon details permissions and preferences on page 1 8 The main user management activities The main User Management tasks are as follows e Managing users to create new users and to perform other operations on exis
186. ge 4 Select Save Standing Instruction Note If there is an error in the saving of the instruction for example no values input in a mandatory field an error message will appear on the screen You can return to the input screen to complete required values 5 Enter a name for the Standing Instruction template to be saved The name you give the saved Standing Instruction is added to the Standing Payment Instruction dropdown list on Create New Instruction tab so that this specific Instruction template can be used again by all users in the OU Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual f U1 Working with cash Business Working with cash instructions post release As a business user with the appropriate permissions you can use CreationOnline to query view and request cancellation of Pre advice of Funds Withdrawal of Funds Customer Transfer cash instructions and Securities against payment instructions after they have been released that is sent for settlement Note For descriptions of the different instruction statuses post release see Appendix A Activity statuses and Reason codes You can also display the post release status history of cash instructions and Securities against payment instructions An instruction that has not yet been released for settlement is progressed as a pre release instruction see Working with cash instructions pre release on page 7 2 Gene
187. ge 7 13 Cash balances are available for online historical queries in any range of up to 7 business days within the current month or within any of the preceding 12 months To query cash balances oP o N In the navigator panel select Cash Balances to display the Cash Balances page From the Action menu select the Query command to display a Query tab for cash balances Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do one and or other of the following if required f you decide to change your query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again f you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Cash Balances page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform the query See A note about queries on page 1 4 The balances that match your set of criteria are displayed on the Cash Balances tab If there are no matches the tab is displayed empty Note You can customise the dis
188. h your set of criteria are displayed in a list view If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of a financial instrument P amp S Note In the navigator panel select Reference Data Financial Instrument From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required financial instrument see To query financial instruments above You can customise the displayed list see Customising displayed lists on page 1 5 On the Financial Instrument tab do one of the following to display the details of the Financial Instrument Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 12 7 Working with reference data Business Highlight the appropriate financial instrument in the list and select View from the Action menu Right click on the appropriate financial instrument in the list and select View from the popup menu 6 View the details o
189. hat have occurred since the last processing e Delta reports showing all positions that have been affected by movements that have occurred since the last retrieval of the report As part of user and user group management you can assign the respective reporting permissions to the users and user groups For details of user management see 2 Working with users Administration on page 2 1 Note OU Administrators cannot view retrieved reports Only Business Users and Business Supervisors can display filter print and export retrieved reports For details see 13 Working with retrieved reports Business on page 13 1 This chapter describes the features of CreationOnline scheduled report request management e Report scheduling and retrieval on page 5 2 e Report frequencies on page 5 4 e Report distribution on page 5 5 e Managing scheduled report requests on page 5 6 Note You can name your reports as you choose In this user manual and in the help for CreationOnline the name of the associated Standard report type is used in each case 1 Business Users and Business Supervisors are hereafter collectively referred to as business users Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual o 1 Working with scheduled reports Administration Report scheduling and retrieval The following reports can be scheduled in CreationOnline for retrieval via Creati
190. he Sender s Reference of the allegement Highlight the appropriate allegement in the list and select Check Potential Matching Instructions from the Action menu Right click on the appropriate allegement in the list and select Check Potential Matching Instructions from the popup menu Note The results can include both pre release and post release instructions Particular fields that do not match are highlighted in the list in bold red If there are no potential matching instructions listed or none of those listed is suitable and if you still want to create a matching instruction you must return to the list of allegements and follow the standard procedure for creating a matching instruction see To create a matching instruction for an allegement on page 6 19 6 If you want to view the details of a potential matching instruction on the respective pre release or post release page do one of the following Highlight the appropriate potential matching instruction in the list and select View from the Action menu Right click on the appropriate potential matching instruction in the list and select View from the popup menu 7 If you want to modify a potential matching instruction do the following If the potential matching instruction is a pre release instruction a View the details of the potential matching instruction see above b Select the Modify button make the required changes and select Submit If the potential
191. he appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to verify or fail verify it select the Verify or Fail Verify button or Action menu command as required Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Verify or Fail Verify from the Action menu as required m Right click on the appropriate instruction in the list and select Verify or Fail Verify from the popup menu as required 7 Respond to the prompt by selecting OK to confirm the verification operation for the instruction On completion of the verification operation for the instruction it will appear in list views with status Verified or Failed Verified as appropriate Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To undo verification of a securities instruction pre release Note You can undo the verification of only those instructions that have either Verified or Failed Verified status 1 In the navigator panel select Securities Securities Pre Releas
192. he report as follows e Securities reports Statement of Holdings MT535 no filtering options are currently available Statement of Transactions MT536 no filtering options are currently available Statement of Pending Transactions M1537 by address Statement of Settlement Allegements MT586 by address e Cash reports Money Suspense report MT940 MT942 by currency and or address Cash Balances MT950 by currency Money Statement MT950 by currency e Clearing and settlement reports Settlement confirmations MT544 MT545 MT546 MT547 by address Settlement Status and Processing Advice MT548 by address by status reason Settlement Allegement report MT578 by address Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 5 7 Working with scheduled reports Administration General scheduled report tasks You can use the Action menu on the Scheduled Reports page as follows To create a scheduled report request below To query scheduled report requests on page 5 8 To view an existing scheduled report request on page 5 8 To view underlying reports of a report schedule on page 5 9 To modify a scheduled report request on page 5 9 To delete a scheduled report request on page 5 10 To confirm a scheduled report request on page 5 11 To reject a scheduled report request on page 5 11 To re
193. he subsections are shown in the Contents list beneath this entry at an indent Reference or Procedural Help often a subsection of a main Help page for a main area of activity and often a separate Help page e Reference Help gives specific explanation context and or background information with hypertext links to related Procedural Help as appropriate e Procedural Help gives specific instructions in a procedure with hypertext links to related Reference Help as appropriate 23 November 2015 Clearstream Banking Luxembourg D 2 CreationOnline User Manual Appendix D Using the Online Help How to use the Online Help Index You can use the button to display the Index of the Help information system in the Help navigation pane The Index list is presented in alphabetical sequence of topics within keyword To speed your search you can use the letters of the alphabet at the top of the Help navigation pane to jump directly to that section of the Index list To view a chosen topic double click on it in the Index list How to use the Online Help full text Search facility You can use the button to display the Search facility The Search list is presented in alphabetical sequence of character strings To speed your search you can use the letters of the alphabet at the top of the Help navigation pane to jump directly to that section of the Search list Where more than one instance of the string occurs in the Help system the entry is
194. hether payment is Confirmed or Unconfirmed Payment Date The income or refund payment date For income payments the date on which the payment is expected to be credited to the account This can be the current date 5 business days default setting Payment ID A 6 digit code to uniquely identify the payment Payment Indicator APMT Against payment FREE Free of payment Perform X Percent Calculation Check Yes means that the system will check whether the Settlement Amount is X percent greater or smaller than the product of Quantity of Financial Instrument and Deal Price Note X is a system preference currently set to 20 If this is changed it will affect all OUs and users Period Balances query You can list securities or cash balances according to one of the following specified periods The current balance The intraday balances for a specific date The end of day balance for a specific date The inter day balances for a specific range of up to 7 days Permissions The permissions that is access and permitted activities in the areas of for example Reporting or User Management associated with a user group Users who are members of this user group can be individually defined to use all or some of the permissions defined for the group 23 November 2015 Clearstream Banking Luxembourg Glossary xvi CreationOnline User Manual Glossary Place of Safekeeping A depository as the place of safekeeping of
195. ials password and permissions of users in their OU create modify and delete users and user groups control the day to day use of CreationOnline by individual users user groups and OUs run queries on audit events and alerts create scheduled reports e Business Users and Supervisor Users can input create upload and progress securities and cash instructions pre and post release check securities and cash balances query and view custody information IPAR query and view corporate action notifications and instructions life cycle pre and post release query and view messages query and view U S withholding tax tax refunds and tax certificates query and view reference data run queries on alerts view retrieved reports sort and filter displayed reports as available export and download reports to file access Vestima the order routing service for investment funds 1 Business User and Business Supervisor users are hereafter collectively referred to as Business users Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 13 Getting started Using wild card characters in queries On some pages some of the fields in which you can enter search criteria are marked with an asterisk to left and or right This indicates that the asterisk as a wild card character will automatically be appended or prepended in these fields to request that all items that con
196. iew of items up to 50 per page related to the selected activity and perform various operations on them according to the tabs and subtabs provided on the page and the commands available in the local Action menu e The dashboard see below at the lower left of the display where all the transaction exceptions can be listed e The alerts panel see overleaf at the lower right of the display where up to 30 of the latest Alert entries indicating particular events occurring in the system and to which the user has subscribed are listed Every page provides a Help command to access the integrated online Help system There is also a Logoff command on every page which you can use to end your session and return to the logon page 23 November 2015 Clearstream Banking Luxembourg 1 6 CreationOnline User Manual Getting started The dashboard Business users can use the dashboard command in the navigator panel to display the dashboard in the lower left of the page The dashboard displays the transaction exceptions for which the user has been granted permission in a tree like structure for all or individual accounts handled by the user When the dashboard is displayed you can list exceptions by clicking on the relevant area in the tree structure Note The accounts are those that have been assigned to the user by the OU Administrator Permissions can be removed or assigned to particular users by their OU Administrator This will correspond dir
197. imal 15d M 7 Sell Amount Currency Sell_Amount_Currency Currency 3 a M 8 Buy Amount Buy_Amount Decimal 15d 0 9 Buy Amount Currency Buy_Amount_Currency Currency 3 a 0 10 Requested Value Date Requested_Value_Date Date DD MM YYYY M M M M M 11 Intermediary Intermediary BIC Code 4 a2 a2 a3c M 12 Beneficiary Institution Beneficiary_Institution BIC Code 4 a2 a2 a3c M 13 Details of Payment Details_of_Payment Text 4 33x o 0 o o 14 Ordering Institution Format Ordering_Institution_Format BIC or Name and Address 0 0 15 Ordering Institution Clearing Code Ordering_Institution_Clearing_Code Clearing Code 2 c 0 0 16 Ordering Institution Account Clearing Ordering_Institution_Account_Clearing Text 5 c 8 8 17 Ordering Institution BIC Code Name Ordering_Institution_BIC_Code_Name BIC Code or Name and Address 0 0 4 a2 a2 a3c or 4 35x 18 Intermediary Institution Format Intermediary_Institution_Format BIC or Name and Address 0 o 19 Intermediary Institution Account Clearing Intermediary_Institution_Account_Clearing Text 5 c 0 0 20 Intermediary Institution BIC Code Name Intermediary_Institution_BIC_Code_Name BIC Code or Name and Address 0 O 4 a2 a2 a3c or 4 35x 21 Intermediary Institution Clearing Code Intermediary_Institution_Clearing Code Clearing Code 2 c 0 22 Account with Institution Format Account_with_Institution_Format BIC or Name and Address M M 23 November 2015 Clearstream Banking Luxembourg E
198. ing to be confirmed or rejected by a second administrator The existing report is still active until the deletion has been released Deleted The report deletion has been released into the system The report is logically deleted and will no longer appear on this list Report Type The type of available report expressed as a SWIFT message type for example MT950 Cash Balances MT950 Money Statement MT535 Statement of Holdings MT536 Statement of Transactions This choice determines the detailed content and the available frequencies and filtering criteria for scheduling the specific report request instance Note The report types that an individual OU Administrator can use are assigned to the respective OU by a Customer Support Officer when the OU is initially set up Report Type US Tax Whether the specific income item will be reportable to the IRS via annual 1042 reporting or 1099 reporting 1042 Foreign Person s U S Source Income Subject to Withholding which includes payments to be reported on IRS forms 1042 S Nominative and 1042 S Pooled 1099 U S Non Exempt Recipients Subject to Withholding which includes payments to be reported on IRS forms 1099 General Reporting 1099 Reporting for OID 1099 Reporting of Dividends 1099 Reporting of Interests and 1099 Reporting of Proceeds from Broker Reporting event family variable details Report ID Report Frequency Customer Report Name Rep
199. ing your modification do one and or other of the following if required If you decide to change the modification use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again If you decide to abandon the modification use the Discard button or Action menu command to cancel the operation and return to the Users page Select Submit to perform the modification To release a CreationDirect via Internet user Note 1 2 3 Only users who have the Confirmed Profile status can be released In the navigator panel select CreationDirect Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required 23 November 2015 Clearstream Banking Luxembourg 3 4 CreationOnline User Manual CreationDirect via Internet management 4 Perform a suitable query to list the required user in a list view Note You can customise the displayed list of results 5 On the Users tab do one of the following to display the details of the user in read only mode on a separate Users tab 6 Highlight the appropriate user in the list and select Release from the Action menu 7 Right click on the appropriate user in the list and select Release from the pop up menu To reject a CreationDIrect via Internet user Note This is only applicable if the 4 eyes p
200. ion menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required report requests see To query scheduled report requests on page 5 8 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 Either on the Scheduled Reports tab do one of the following Highlight the appropriate report request in the list and select Confirm from the Action menu Right click on the appropriate report request in the list and select Confirm from the popup menu Or in the alerts panel a Right click on the appropriate alert in the list and select Goto Link from the popup menu to display the details of the associated report request on a Report tab b Select the Confirm button or Action menu command to confirm the scheduled report request Note If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on scheduled report requests Otherwise a second OU Administrator must do this You can confirm or reject multiple report requests in one action provided that all the selected report requests have a suitable status To reject a scheduled report request Note Report requests awaiting confirmation rejection may also be listed in the alerts panel 1 In the navigator panel select Reporting Scheduled Reports to display the Scheduled Reports page
201. ionDirect The new list will supersede the previous received list There is also the possibility to download the actual list of securities for control and maintenance reason e US Withholding Tax Report Customers can verify and reconcile the applied withholding tax rates on their U S source income paid on U S securities with CBL e Advices of Fees and Income via MT290 Customers can get a breakdown of fees and income to be posted to the account Report frequencies You can schedule the generation of a report according to your selection of the available report frequency options in the Report Details tab See also Report distribution below There are various types of reporting frequency available depending on the type of report Full details of the scheduling possiblities can be found in the Report Timings Matrix e Continuous e Intraday A range of times within the current business day are available depending on the report type in either Complete or Delta format Complete format reports include all positions that are open on a customer s account and movements that have occurred since the last processing Delta format reports show all positions that have been affected by movements that have occurred since the last generation of the report e Real time e End of day Daily weekly monthly quarterly and yearly Reports include all data from the start of the first business day of the respective period to the end of the
202. ions to their default values so that you can start the query again If you decide to abandon the modification use the Discard button or Action menu command to cancel the operation and return to the Users page 8 Select Submit to perform the modification 23 November 2015 Clearstream Banking Luxembourg 2 4 CreationOnline User Manual Working with users Administration Note If there is an error in the modification for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the modification On successful modification of the user it will appear in list views with status Modified Note When you change the name of a user the links in the alerts panel and on the Alerts tab are changed accordingly You may also want to change the credentials for the user see To create change the credentials of another user on page 2 9 A modification must be confirmed or rejected before it can be effective If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this To delete a user Note You cannot delete users that have Pending Modified or Activated status When a user is deleted all the views and standing instructions created by this user are also deleted 1 In the naviga
203. is used OU Administrators cannot work with securities instructions or securities balances Only business users can perform the tasks described in his chapter This chapter describes the features of CreationOnline for working with securities e Working with securities instructions pre release on page 6 2 e Working with securities instructions post release on page 6 10 e Working with allegements on page 6 17 e Working with securities balances on page 6 20 1 Business Users and Business Supervisors are hereafter collectively referred to as business users 2 Instructions with Accepted or Rejected status have been sent but are still visible in the pre release category Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 1 Working with securities Business Working with securities instructions pre release As a business user with the appropriate permissions you can use CreationOnline to create create upload query view modify duplicate verify fail verify undo verify and cancel Receive Free Receive Against Payment buy Deliver Free and Deliver Against Payment sell securities settlement instructions up to and including release that is being sent for settlement You can also display the pre release status history of securities instructions When the instruction has been released for settlement it can if required be further progressed as a post release i
204. it is currently specified use the Count Only button or Action menu command to display the number in the Count field 6 Select the Query button or Action menu command to perform the query The US Tax items that match your set of criteria are displayed on the US Tax tab If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of US Withholding Tax 1 In the navigator panel select Tax US Tax to display the US Tax page From the Action menu select the Query command to display the Query tab for US Tax Adjust the depth of the alerts panel as required BR W N Perform a suitable query to list the required US Tax items see To query US Withholding Tax above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the US Tax tab do one of the following to display the details of one or more selected US Tax items in read only mode on a detail view tab Highlight the appropriate US Tax item s in the list and select View from the Actio
205. items in ascending or descending order in your selection of one from an appropriate set of criteria as follows Alerts Allegements Audit events Cash Balances CCB Currencies Financial Instrument Instructions Cash Securities IPAR Places of S keeping Reports view Scheduled reports Securities Balances 23 November 2015 Glossary xxil Creation Time Alert ID Alert Level Status Category Description Account User ID First Reader Financial Instrument Requested Settlement Date Safekeeping Account Date Event Type Description User ID Currency Currency of Cash Correspondent Bank Currency Currency Role Financial Instrument Place of Safekeeping BIC Name Pre release Requested Value Date Activity Status Instruction Type Currency Account Post release Requested Value Date Activity Status Instruction Type Currency Account Historical Query Execution Date Pre release Requested Settlement Date Financial Instrument Activity Status Safekeeping Account Party Format Trade Date Post release Requested Settlement Date Financial Instrument Activity Status Safekeeping Account Party Format Trade Date Historical Query Execution Date Entitled Amount Event Type Financial Instrument Financial Instrument Type Payment Currency Payment Date Clearstream Internal Code Customer Report Name Report Frequency Report Type Report Date Account Customer Report Name
206. ivity status The status of an instruction at the current point in its life cycle before or after release for settlement Address The SSC address for CreationDirect or BIC for SWIFT for retrieval of a report Administrator See OU Administrator on page Glossary xv Aggregate Balance Holding Value The currency in which the aggregate balance holding value is to be stated in the report Alert A notification broadcast to the relevant users of an event in CreationOnline for example the receipt of a report that may require action in response The 30 most recent alerts are listed in the alerts panel Alert Description The description of the alert type that triggered an associated audit event Alert event family variable details Alert ID Alert Description Alert Category Alert Level Alert ID The unique identifier of an alert that for example triggered an audit event Alert Level The severity that is importance or urgency of an alert for example that triggered an audit event A alert can have one of the following severity codes FYI For Your Information NEWS News YAR Your Action Required Alert Status The status of the alert This can be New or Expired The Expired status is not displayed but can be queried Alert Type A generic description of the associated alert Alerts panel The panel at the lower right of the CreationOnline page where alerts of particular events occurring in the
207. king with securities Business m Right click on the appropriate instruction in the list and select Request Modification from the popup menu 7 View the details of the instruction across all available subtabs as required and when ready select Submit to perform the modification request On submission of the modification request the instruction will appear in the Pre Release list view with status New To view the history of a securities instruction post release 1 In the navigator panel select Securities Securities Post Release to display the Securities Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions post release on page 6 11 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate to display the history details on a History subtab for the instruction If you are viewing the details of the instruction and want to see its hist
208. l Glossary IRS Exemption Code The code for the IRS classified corporate event from which the gross income amount stems This depends on the payment event type and on the type of security 01 Income effectively connected with a U S trade or business 02 Exempt under an IRC section 03 Income is not from U S source 04 Exempt under tax treaty 05 Portfolio interest exempt under an IRC section 06 Qualified Intermediary that assumes primary withholding responsibility 07 Withholding foreign partnership or withholding foreign trust 08 U S branch treated as a U S person 09 Qualified Intermediary represents interest as exempt IRS Income Code The code for the IRS classified corporate event from which the gross income amount stems This depends on the payment event type and on the type of security 01 Interests paid by U S obligors 06 Dividends paid by U S corporations 09 Capital gains 13 Real property income and natural resources royalties 24 Real estate investment trust RET distributions of capital gains 25 Trust distributions subject to IRC section 1445 27 Publicly traded partnership distributions subject to IRC section 1446 30 Long OID Between 184 days and 1 year 31 Short OID Less than 183 days Issue Date The date on which a financial instrument was first offered on the primary market Last Update The date and time that the status and or other details of the instruction user or user group were last changed L
209. l logon using a smart card is to use the appropriate commands in the installed smart card software to Initialise your smart card and optionally establish your logon password For details consult your local System Administrator Type your current password in the Password field and either press Return or Enter or click on the Log on button to open CreationOnline for your use To log on to CreationOnline using a P12 credentials file Note If you are accessing CreationOnline via the Clearstream Banking s VPN then you must as a preliminary step dial in to the VPN 1 Start your web browser and do one of the following to access the CreationOnline secure web site Via the Equant VPN connect to https creationonline clearstream banking Via the public internet connect to https www creationconnect com 2 On the Log on page select the P12 File option 3 Use the Browse button to locate your user credentials file in your local file system and double click on it to open it The name of the file is automatically entered in the User Credentials field on the Log on page Note Ona standalone PC this is the folder in which you originally saved your credentials file If you are using CreationOnline on a network then your local system administrator will tell you where your credentials file is stored see To change your own P12 access credentials on page 1 8 4 Type your current password in the Password field and either press Retur
210. l to settlement date TRANO The CBL Transaction Reference Number 1 7 alphanumeric characters that uniquely identifies the transaction Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary xxv Glossary Type of Settlement Transaction The type of transaction to which the instruction is related Pre release Trade Settlement Turnaround Reporting Only Internal Own Account Transfer External Own Account Transfer Matching Purposes Investment Fund Redemption Settlement Investment Fund Subscription Settlement Post release Securities Lending Securities Borrowing Collateral Repo Opening Repo Closing Triparty Repo Opening Triparty Repo Closing Triparty Repo Management Matching Purposes External Own Account Transfer Internal Own Account Transfer Reporting Only Trade Settlement Turnaround Securities Blocking Investment Fund Redemption Settlement Investment Fund Subscription Settlement Until revoked There is no formal expiry date set for the certificate but a change of account or beneficiary could lead to the expiry of the certificate See Expiry Date on page Glossary x User credentials Each authorised user of CreationOnline has user credentials that combine general security access and specific usage permissions You either save your credentials as a file that you locate on your system and you specify at logon for P12 access or you program them onto your smart card You c
211. lared transaction relates to a corporate action ISIN of the distributed proceeds YYYYMMDD Must be gt 01 08 2012 Payment date if the declared transaction relates to a corporate action YYYYMMDD Must be gt 01 08 2012 Payment date if the declared transaction relates to a corporate action If transaction type S the settlement date must always be in the month that immediately precedes the payment month indicated in field 6 Quantity of settled securities 31 figures maximum plus a comma maximum twelve decimals Example 1234567890123456789 123456789012 leading zeroes not mandatory Clearstream Banking Luxembourg CreationOnline User Manual 23 November 2015 E 9 Appendix E CSV file upload specifications Field Status Position in CSV Field description Format Content 9 Unit of quantity UNT or FMT of settled securities M 10 Cash amount Cash amount of the transaction in euros M If the declared transaction relates to a corporate action Unit price of the proceeds quantity 18 figures maximum plus a comma maximum two decimals Example 1234567890123456 78 leading zeroes not mandatory 11 Taxable Flag Indicates whether the transaction is taxable or not M If N gt Exoneration code must contain values 1 to 9 and Tax amount must be equal to 0 If Y Exoneration code must contain space and Tax amount must be different from 0 1 alpha numeric character mandatory 12 Exoneration code For a taxable transaction spa
212. last business day of the respective period Normally the reports are generated at 21 15 Note Intraday reports can only report data based upon what has occurred within the current business day There is no report available that can span multiple business days Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 5 5 Working with scheduled reports Administration Report distribution Reports are distributed to business users according to their respective account assignments and user group permissions To ensure that business users receive the reports correctly the various scheduled report requests must have the appropriate status A report is eligible for distribution if e The condition of the scheduled report request is active These conditions summarise possible respective statuses as follows e Active scheduled report requests have Confirmed Pending Modified or Pending Deleted status e Non Active scheduled report requests have Pending New Pending Rejected or Deleted status Consequently only reports that have Confirmed Pending Modified or Pending Deleted status will be distributed to users who have permissions on the respective report and accounts The modification or deletion of any scheduled report request will only affect report distribution if such actions are confirmed 23 November 2015 Clearstream Banking Luxembourg 5 6 CreationOnline User Manual Working with scheduled
213. lendar month 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Alerts page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results 6 Select the Query button or Action menu command to perform the query listing the results on a separate tab in list view The alerts that match your set of criteria are displayed on the Alerts tab If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 An OU Administrator can browse only those alerts that are for the respective OU to which he she belongs Business users can query only those alerts that have been broadcast to them When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in
214. les and the download of large report information It is platform independent and provides high speed fully automated file transfer e Creation via SWIFT which links customers to Clearstream Banking through the SWIFT network providing 15015022 compliant messages CreationConnect is developed to replace customers existing connectivity solutions in a phased approach adding to functionality with each release Credentials Media Your credentials are defined for access with a P12 credentials file or with a smart card 23 November 2015 Clearstream Banking Luxembourg Glossary vi CreationOnline User Manual Glossary Currency The currency of the holding transaction balance or statement expressed as a three character ISO currency code for example EUR USD Currency Role A currency can be used in CBL as a denomination currency and or as a settlement currency Current Activity Status The activity for example Processing status for example Accepted and CET timestamp of the instruction at the current point in its life cycle For pre release instructions only the current activity status details are displayed and the user name is also listed For post release instructions the user name is not listed and the complete post release history is provided Custody event family variable details Account Custody permissions Permissions to query custody information for example Income Pre Advice Report IPAR data Customer Report
215. lick on the appropriate allegement in the list and select View from the popup menu Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 17 Working with securities Business 6 View the details of the allegement as required and when finished select the Close button or Action menu command to return to the list view To check potential matching instructions pre and post release for an allegement Note Only pre release instructions with status New Verified Failed Verified Modified or Awaiting Feedback and post release instructions with status Unmatched or Pending Forthcoming Settlement will be considered as potential matches The functionality is not available for allegements for which a best matching instruction has been found nor for allegements from domestic markets 1 In the navigator panel select Securities Securities Allegements to display the Securities Allegements page 2 From the Action menu select the Query command to display a Query tab for Securities Allegements 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required allegement see To query allegements above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Securities Allegements tab do one of the following to display a list of potential matching instructions for an allegement in a list view named from t
216. list and select Duplicate from the pop up menu 7 Make the changes to the Instruction details as required to create a unique new instruction Note You will have to specify at least a new unique Sender s Reference 8 Before submitting your duplicated instruction do one or both of the following if required f you decide to change the duplication use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon duplication of the instruction use the Discard button or Action menu command to cancel the operation and return to the CA Pre release page 9 Select Submit to create the new instruction To release a corporate action instruction from CA Pre release You must have the correct permissions to perform this action 1 From the Action menu select the Query command to display a Query tab for CA Pre release Instructions 2 Adjust the depth of the alerts panel as required 3 Perform a suitable query to list the required instruction in a list view see above Note You can customise the displayed list of results 4 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the pop up menu 5 Then do one of the following as appropriate
217. listed with a number count against it for each instance To view a chosen instance of a string double click on the appropriate number against the string in the Search list Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual D 3 Appendix D Using the Online Help This page has intentionally been left blank 23 November 2015 Clearstream Banking Luxembourg D 4 CreationOnline User Manual DEUTSCHE BORSE clearstream croup Appendix E CSV file upload specifications This Appendix lists in separate tables the following categories of CSV file upload specifications e Cash pre release instructions on page E 2 e Securities instructions Create Upload file on page E 4 e Corporate Action pre release instructions on page E 6 e French FTT declaration on page E 7 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual E 1 Appendix E CSV file upload specifications Cash pre release instructions Position Field description kieta Name o copy aSa eels neado Format Content ie A in CSV in Instructions Data sheet 10 90 MT103 9E 9X 1 Instruction Type Instruction_Type 10 or 90 or 9E or 9X M M M M 2 Sender s Reference Senders_Reference Text 16x M M M M M 3 Account Account Text 5 c M M M M 4 Amount Amount Decimal 15d M M M M 5 Amount Currency Amount_Currency Currency 3 a M M M M 6 Sell Amount Sell_Amount Dec
218. ll no longer appear on this list User ID The name that identifies the user uniquely to CreationOnline In a users list query all users whose IDs contain the string you enter will be listed For example if you enter bus the resulting list would include users that had been named Bus1 bususer AAAbus1 etc 23 November 2015 Clearstream Banking Luxembourg Glossary xxvi CreationOnline User Manual User profile Glossary The type of user defined in terms of a user group authority level Business User Business Supervisor OU Administrator This designation determines whether members of the user group have OU Administrator rights with access to Audit Scheduled Reporting and User Management or Business User and Business Supervisor rights with access to view retrieved reports to progress instructions and to perform various operations on defined sets of accounts User Status The status of the associated user The statuses have different meanings in Vestima the Vestimat statuses can be found in Appendix C Vestima user statuses Valid user statuses are as follows User s name Pending New Pending Rejected Deleted Confirmed Profile The user has been created or updated after rejection and is waiting to be confirmed or rejected by a second administrator The user has been rejected and is not active It can be modified The user deletion has been released into the system The user is logically deleted
219. llateral Business Note You can customise the displayed list see Customising displayed lists on page 1 5 In the list view do one of the following to display the detail of a contract on a detail view tab Highlight the appropriate collateral instruction in the list view and select View from the Action menu Right click on the appropriate contract in the list and select View from the popup menu View the details of the contract as required and when finished select the Close button or Action menu command to return to the list view Working with Triparty Collateral Exposures As a Business User or Supervisor User with the appropriate permissions you can use CreationOnline to query and view Triparty Collateral Exposures including links to principal collateral details and post release instructions In addition you can perform the following actions from the exposure summary detailed view Principal Adjustment Change Rate Set Close Date Top Up Withdrawal Substitution Termination To query Triparty Collateral Exposures Summary il Note In the navigator panel select Triparty Collateral Exposures Summary to display the Exposures Summary page From the Action menu select the Query command to display the Query tab for for Exposures Summary Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting
220. llowing Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 23 November 2015 Clearstream Banking Luxembourg 7 18 CreationOnline User Manual Working with cash Business Working with credit and collateral usage As a business user with the appropriate permissions you can use CreationOnline to view the credit and collateral usage for an account Note Only a detailed view is available To query and view credit and collateral usage 1 In the navigator panel select Credit and Collateral Usage to display the Credit and Collateral Usage Query tab 2 On the Query tab specify the account number from the drop down list 3 Before submitting your query do the following if required lf you decide to change your query use the Reset button or Action menu command to return the account to the default value so that you can start again 4 Select the Query button or Action menu command to perform the query See A note about queries on page 1 4 The details of
221. lowing if required lf you decide to change your query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the CA Post Release page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results lf you want to perform the same or a very similar query on future occasions use the Save as button or Action menu command to save the currently specified query as a view 7 Select the Query button or Action menu command to perform your query The instructions that match your set of criteria are displayed in a CA Post Release list view If there are no matches the list view is displayed empty You can customise the displayed list of results When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open To create a corporate action cancellation request instruction from a Post Release corporate action instruction You must have the correct permission in order to be able to perform this action In the navigator panel select Custody CA Post Release Queries to display the appropriate CA
222. ls of a Tax Certificate 1 In the navigator panel select Tax Tax Certificate to display the Tax Certificate page 2 From the Action menu select the Query command to display the Query tab for Tax Certificates 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required Tax Certificate see To query a Tax Certificate above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Tax Certificate tab do one of the following to display the details of one or more selected Tax Certificate items in read only mode on a detail view tab Highlight the appropriate Tax Certificate item s in the list and select View from the Action menu You can browse multiple selections Right click on the appropriate Tax Certificate item in the list and select View from the popup menu 6 View the details of the Tax Certificate entry as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual is Working with tax Business Working with French FTT Financial Tax Transaction To upload an FTT Declaration Note e O N gi A list of 20 000 instruction can be included in one FTT declaration file Please see French FTT declaration in Appendix E for further format information In the navigator panel select Tax Fr
223. lumn will contain either BIC or Name In an Allegement list the Party Format column indicates the format of the associated counterparty s safekeeping account identifier This can be Clearstream for an internal transaction Euroclear for a Bridge counterparty or for a German domestic counterparty the entry CBF Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary xv Glossary Party Identifier An identification of the settlement party in the format determined by the associated format selection for example BIC Password See Rules for passwords on page 1 9 Password Expiry Period The total number of consecutive days for which your current password is valid Options are 5 15 30 45 or 60 days Password Expiry Warning Period The number of days before the expiry of your current password on which you shall be warned of the approaching expiry Options are 1 3 or 5 days before expiry Password History Length The number of previous passwords that you must have defined before you can use the same one again Options are 3 5 or 10 passwords Pay To details Details of the Intermediary the financial institution that will handle the funds between the payor and the payee the Account With Institution the financial institution that services the account of the final beneficiary and the Beneficiary Institution the final beneficiary of the funds Payment IPAR W
224. matching instruction is a post release instruction a Request cancellation of the potential matching instruction see To request cancellation of a securities instruction post release on page 6 13 b Create a new instruction that matches the allegement see To create a matching instruction for an allegement on page 6 19 23 November 2015 Clearstream Banking Luxembourg 6 18 CreationOnline User Manual Working with securities Business On successful creation of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To create a matching instruction for an allegement 1 In the navigator panel select Securities Securities Allegements to display the Securities Allegements page 2 From the Action menu select the Query command to display a Query tab for Securities Allegements 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required allegement see To query allegements above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Securities
225. media when the activity status can be one of the following see Appendix A Activity statuses and Reason codes Processing Receipt Cancelled Accepted Rejected Executed Cancellation processing Executed Denied Rejected Internal settlement Pending Failing Settled You can query and release corporate action instructions from post release and you can view their history You can also Create a corporate action instruction from a corporate action notification via file upload respond upload Query and view corporate action notifications Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used OU Administrators cannot work with corporate action instructions or notifications See the following sections for further details Working with corporate action instructions in CA Pre release on page 8 5 Working with corporate action instructions in CA Post Release on page 8 11 Working with corporate action notifications on page 8 13 Working with corporate action confirmation queries on page 8 16 1 Business Users and Business Supervisors are hereafter collectively referred to as business users 2 Instructions wi
226. message 8 Enter the required responses to the message and then click on Submit The message status will be set to New To release a new message You must have the correct permission to perform this action 1 From the Action menu select the Query command to display a Query tab for Sent Messages 2 Adjust the depth of the alerts panel as required 3 Perform a suitable query to list the required message in a list view Note You can customise the displayed list of results 4 lf you want first to view the details of the message in its own tab do one of the following Highlight the appropriate message in the list and select View from the Action menu Right click on the appropriate message in the list and select View from the pop up menu 5 Do one of the following as appropriate Ifyou are viewing the details of the message and want to release it select the Release button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate message in the list and select Release from the Action menu m Right click on the appropriate message in the list and select Release from the pop up menu Respond to the prompt by selecting OK to confirm the release of the message Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 10 5 Working with Message Exchange Business This page has intentionally been left blank 23 November 2015 Clearstream Banking Luxembourg 10
227. message on page 10 5 To query a received message You must have the permission for message exchange in order to perform queries on Received Messages 1 In the navigator panel select Message Exchange Received Messages to display the appropriate Received Message page 2 From the Action menu select the Query command to display a Query tab for Received Messages 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify a sort sequence and other values to define your query as appropriate Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 10 1 Working with Message Exchange Business Before submitting your query do one and or other of the following if required If you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Received Messages Query page If you want to check how many results your query will yield as currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The Received Messages that match your set of criteria are displayed in a list view If
228. n menu You can browse multiple selections Right click on the appropriate US Tax item in the list and select View from the popup menu 6 View the details of the US Tax entry as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 11 3 Working with tax Business Working with Tax Refunds To query a Tax Refund 1 In the navigator panel select Tax Tax Refund to display the Tax Refund page 2 From the Action menu select the Query command to display the Query tab for Tax Refunds 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify a sort sequence and other values to define your query as appropriate Note You cannot specify a date range longer than seven days You can use wild card characters in the Beneficial Owner field to identify multiple beneficial owners see Using wild card characters in queries on page 1 4 If no beneficial owner or tax identification number TIN is specified the query must search both at the level of the account and at the level of each individual beneficial owner Alternatively if one or more beneficial owners are specified the query must search at the level of the specified beneficial owner s only 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button
229. n menu command to cancel the operation and return to the Securities Pre Release page Select Submit to create the new instruction If there is an error in the creation of the new instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the duplication On successful duplication of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in the Securities Pre Release list view with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To modify a securities instruction pre release Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 5 Working with securities Business Note Note Note In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page From the Action menu select the Query command to display a Query tab for securities instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query securities instructions pre release on p
230. n menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Securities Pre Release page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count Is high you can refine your query to yield fewer results lf you want to perform the same or a very similar query on future occasions use the Save as button or Action menu command to save the currently specified query as a view For details of views see Maintaining query views on page 1 4 6 Select the Query button or Action menu command to perform the query See A note about queries on page 1 4 The instructions that match your set of criteria are displayed on the Securities Pre Release tab If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the
231. n or Action menu command to cancel the operation and return to the CA Notification Queries page If you want to check how many results your query will yield use the Count Only button or Action menu command to display the number in the count field If the count is high you can redefine your query to yield fewer results 6 Select the Query button or Action menu command to perform your query The notifications that match your set of criteria are displayed in a list view If there are no matches the list view is displayed is empty Note You can customise the list of results displayed When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To display a CA Notification 1 In the navigator panel select Custody CA Notification Queries to display the appropriate CA Notification Queries page 2 From the Action menu select the Query command to display a Query tab for CA Notification Queries 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction in a list view see above 5 Do one of the following to display the details of the instruction in read only mode on its own tab named from the Corporate Action Reference associated
232. n or Enter or click on the Log on button to open CreationOnline for your use 23 November 2015 Clearstream Banking Luxembourg 1 2 CreationOnline User Manual Getting started System administrator s tasks Your local system administrator must be the first to log on to CreationOnline in order to prepare the system for use at the location Having followed the procedures described in the CreationOnline Installation Notes the system administrator must perform the following initial tasks in the appropriate sequence e Set the conditions for example implementing the 4 eyes principle and or Verify ON of the OU working environment see Setting OU preferences on page 1 11 e Create individual Business User Business Supervisor and OU Administrator users and user groups where OU refers to Organisation Unit including their respective credentials and permissions to work with particular accounts cash securities etc see Working with users Administration on page 2 1 e Define the timing and frequency of the retrieval of scheduled reports according to availability see Working with scheduled reports Administration on page 5 1 What users can do The functions provided by CreationOnline are available to the different users All users can change their own credentials password and preferences and view their own permissions In addition e OU Administrator users can change the credent
233. n the list and select History from the Link menu m Right click on the appropriate instruction in the list and select History from the popup menu 7 View the details of the instruction as required and when finished select the Close button or Action menu command to return to the list view To refresh the list of cash instructions e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 23 November 2015 Clearstream Banking Luxembourg 7 16 CreationOnline User Manual Working with cash Business Working with cash balances As a business user with the appropriate permissions you can use CreationOnline to query and view the balance of a specified currency Note In a post release instructions list view or from a displayed details tab of an instruction post release you can use the Cash Balance command to view the relevant cash balance see To query cash and securities against payment instructions post release on pa
234. n the navigator panel select Reference data Corporate Action to display the Corporate action query page 2 From the Action menu select Query to display the Corporate action query tab 3 Adjust the depth of the alerts panel as required 4 Enter the required search criteria in Corporate actions query screen The results of your query are displayed in a list view screen Note You can also customise the displayed list of corporate actions Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 12 5 Working with reference data Business Working with currencies If a user chooses to perform a query on All Currencies there are no mandatory fields but the query can be further refined by selecting a particular value in one or more of the dropdown lists By default the returned list view is presented in ascending order Further relevant information can be displayed in a detailed view of an individual list entry which lists the abbreviated currency for instance USD for US Dollar The currency name in full is also listed as well as the decimal places allowed Cash deadline group Currency role Cash deadlines CCB BIC and name To query currencies 1 In the navigator panel select Reference Data Currencies to display the Currencies page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify the details of the que
235. n the navigator panel select User Management User Groups to display the User Groups page From the Action menu select the Refresh command to list the user groups Adjust the depth of the alerts panel as required You can customise the displayed list see Customising displayed lists on page 1 5 Either on the User Groups tab do one of the following Highlight the appropriate user group in the list and select Reject from the Action menu Right click on the appropriate user group in the list and select Reject from the popup menu Or in the alerts panel a Inthe alerts panel right click on the appropriate alert in the list and select Goto Link from the popup menu to display the details of the associated user group on a User Group tab b Select the Reject button or Action menu command to reject the user group Enter a reason for the rejection and select OK If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on user groups Otherwise a second OU Administrator must do this You cannot confirm or reject multiple user groups in one action To refresh the list of user groups In the list view do one of the following Select Refresh from the Action menu Right click on the list and select Query from the popup menu 23 November 2015 Clearstream Banking Luxembourg 2 14 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 3 Creation
236. nce of one or more instructions You can perform a query based on the reference exactly as it is entered in the field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields Securities Clearing and Settlement event family variable details Account Sender s Reference Securities permissions Securities permissions for a particular user or user group are defined from the following Query security balances Query securities instructions Input securities instructions including in addition modify cancel others instructions release own and or others instructions verify own and or others instructions Security Code The valid identification code of a security held in an associated CBL account This can be an ISIN ora Common Code Security Credentials Expiry Warning Period The number of days before the expiry of your current security credentials on which you shall be warned of the approaching expiry Options are 1 3 or 5 days before expiry Selected accounts Accounts that you have selected from the lists of available accounts to be associated with a user group Users who are members of this user group can be Individually defined to use all or some of the accounts defined for the group Sender The sender of the alert or instruction Sender s Reference A value up to 16 characters that reflects in whole or in part the unique
237. nd settlement or custody instructions 3 Click OK on the warning message 4 A free format message input card is displayed with your user preferences assigning the default values 5 Input the required attributes to the message and then click on Submit The message status will be set to New To respond to a free format message 1 Select Received Messages from the Navigator panel 2 From the Action menu select the Query command to display a Query tab for Received Messages 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required message in a list view Note You can customise the displayed list of results 5 If you want first to view the details of the message in its own tab do one of the following Highlight the appropriate message in the list and select View from the Action menu or Right click on the appropriate message in the list and select View from the pop up menu 23 November 2015 Clearstream Banking Luxembourg 10 4 CreationOnline User Manual Working with Message Exchange Business 6 To respond to the message select the Respond button or Action menu command Note Following this action a warning message is displayed to remind you that free format messages should not be used for clearing and settlement or custody instructions 7 Click OK on the warning message A free format message input window is displayed populated with information relating to the received
238. nded user in the list and select Activate from the popup menu Select Submit to re Jactivate the user When you have re Jactivated a user this must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this You use the Stop command to remove only those users with Activated or Suspended status from CreationOnline Otherwise to remove a user from the OU you use the Delete command see To delete a user on page 2 5 In the navigator panel select User Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required user see To query users on page 2 3 You can customise the displayed list see Customising displayed lists on page 1 5 On the Users tab do one of the following Highlight the appropriate activated or suspended user in the list and select Stop from the Action menu Right click on the appropriate activated or suspended user in the list and select Stop from the popup menu Select Submit to stop the user When you have stopped a user this must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own ac
239. nel as required On the Query tab specify a sort sequence and other values to define your query as appropriate oho Ms Before submitting your query do one of the following if required If you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the CA Notification Queries page 6 If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results 7 Select the Query button or Action menu command to perform your query The sent messages that match your set of criteria are displayed in a list view If there are no matches an empty list view is displayed Note You can customise the displayed list of results When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open To create an unsolicited free format message from sent messages 1 Select Sent Messages from the Navigator panel 2 From the Action menu select Create Note Following this action a warning message is displayed to remind you that free format messages should not be used for clearing a
240. ng Click again on the now bold green text to conceal the information again leaving the text finally in bold maroon Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual D 1 Appendix D Using the Online Help Where this feature is not supported the pages can be quite long and internal navigation is provided in lists of appropriate hypertext links at the top and at the bottom of the page These Related topics lists also include hypertext links to related Help information on other pages Different symbols are used on the Help information pages to indicate the different ways of navigating within the Help information system as follows Via A down or up pointer in a hypertext link indicates that related Help information can be found below or above as appropriate on the current Help page The related Help information may be Reference Help or Procedural Help A right pointer in a hypertext link indicates that related Help information can be found on another Help page An up pointer ranged right of a section heading or at the bottom of the Help page indicates a direct jump to the top of the current Help page An up arrow ranged right of a section subheading indicates a direct jump to the main heading of that section on the current Help page This is used only in longer sections A pair of left and right pointers at the bottom right of a Help page indicates that the E s current Help page is part of a bro
241. ng as appropriate to display the history details on a History subtab for the instruction If you are viewing the details of the instruction and want to see its history select History from the Link menu Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select History from the Link menu m Right click on the appropriate instruction in the list and select History from the popup menu View the details of the instruction as required and when finished select the Close button or Action menu command to return to the list view To request cancellation of an Accepted cash instruction pre release Note The Request Cancellation command is available only for pre release cash instructions that have ie eS Accepted status In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 23 November 2015 Clearstream Banking Luxembourg 7 8 CreationOnline User Manual Working with cash Business Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of th
242. nline you must create unique credentials for that user see To create change the credentials of another user on page 2 9 When you have created a user if the 4 eyes principle is set ON see Setting OU preferences on page 1 11 the creation must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this To query users a e N In the navigator panel select User Management Users to display the Users page From the Action menu select the Query command to display the Query tab for users Adjust the depth of the alerts panel to reveal the list of users as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do one and or other of the following if required lf you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Users page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield
243. nning in a secure Virtual Private Network VPN environment or over the internet With this release of CreationOnline you can perform and manage activities according to the authority level of your user profile and your individual user permissions in the following areas e User Management e Message exchange e User Preferences e Reporting e Tax e Alerts e Securities and Cash e Reference Data e Audit e Custody e OU Preferences e Triparty Collateral e Vestima Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual i Foreword About this manual This Foreword contains information about the general security of CreationOnline the hardware and software requirements to run the system and details of how to get help This manual contains the following chapters Getting started on page 1 1 Working with users Administration on page 2 1 CreationDirect via Internet management on page 3 1 Working with Vestima on page 4 1 Working with scheduled reports Administration on page 5 1 Working with securities Business on page 6 1 Working with cash Business on page 7 1 e IN Jo Jor IA Jw In Working with custody IPAR and Corporate Actions Business on page 8 1 e 9 Working with Triparty Collateral Business on page 9 1 e 10 Working with Message Exchange Business on page 10 1 e 11 Working with tax Business
244. nput in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu commands correct the fault and re submit the instruction On successful creation of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To create upload a securities instruction file Note A list of up to 300 security instructions in ASCII file format can be uploaded to CreationOnline Please refer to Securities instructions Create Upload file on page E 4 for further format information 1 In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page 2 From the Action menu select the Create upload command 3 Browse for the instruction file and click on the Upload button 4 The feedback will be generated either confirming acceptance of the whole file or listing the error message in an online feedback window 5 If there are any errors these have to be corrected in the file and reloaded 6 Following a successful upload refresh your instruction Pre release screen and further proces
245. nstruction see Working with securities instructions post release on page 6 10 Using the search and select feature in queries When you select the Search button next to a field on a query tab You could be presented with a Query subtab Through this subtab you can perform a subquery and apply a found value for use in the related field in the main query that you are currently performing The results of the subquery are presented in a list view on a Result subtab and will include all the securities whose respective details contain the specified values On the Results subtab you can highlight the required list item and use the Apply button to place the appropriate value in the field in the main query For example if the Financial Instrument Identification Type is set to ISIN and you specify DE in the Identification of Financial Instrument field then the list view will contain an entry for each security whose ISIN contains the two characters DE You could be presented with a drop down list which allows you to make multiple selections by using Ctrl left mouse click General securities instruction tasks pre release You can use the Action menu on the Securities Pre Release page as follows To create a securities instruction on page 6 3 To create upload a securities instruction file on page 6 3 To query securities instructions pre release on page 6 4 To view th
246. nt list is used To view the details of a currency In the navigator panel select Reference Data Currencies From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Bale Perform a suitable query to list the required currency see To query currencies above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Currencies tab do one of the following to display the details of the currency including name decimal places and deadline information in read only mode on its own tab Highlight the appropriate currency in the list and select View from the Action menu Right click on the appropriate currency in the list and select View from the popup menu 6 View the details of the currency as required and when finished select the Close button or Action menu command to return to the list view 23 November 2015 Clearstream Banking Luxembourg 2 6 CreationOnline User Manual Working with reference data Business Working with financial instruments For most of the query funtions at least one of Financial Instrument Description of Financial Instrument and Currency of Denomination must be entered from the query criteria available The Belgian certificate and CFF eligible queries require other fields because of their specific characteristics The sort criteria are Financial Instrument or Place of
247. o one or more of the following if required m lf you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values and start the query again m If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the CA Notification life cycle query page 23 November 2015 Clearstream Banking Luxembourg 8 14 CreationOnline User Manual 6 Working with custody IPAR and Corporate Actions Business If you want to check how many results your query will yield as currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The Notifications that match your set of criteria are displayed in a list view If there are no matches the list view is displayed empty Note You can customise how the results are displayed When you refresh the displayed list the system will execute the last query that you set up in the Query tab even if it is no longer open To display a CA Notification life cycle 1 In the navigator panel select Custody CA Notification Lifecycle Queries to display the appropriate CA Notification Lifecycle Queries page From the Action menu select the Query command to display the Query tab for CA Notification Life
248. o query cash instructions pre release on page 7 4 You can customise the displayed list see Customising displayed lists on page 1 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Do one of the following as appropriate If you are viewing the details of the instruction and want to verify or fail verify it select the Verify or Fail Verify button or Action menu command as required Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Verify or Fail Verify from the Action menu as required 23 November 2015 Clearstream Banking Luxembourg 7 6 CreationOnline User Manual Working with cash Business m Right click on the appropriate instruction in the list and select Verify or Fail Verify from the popup menu as required 7 Respond to the prompt by selecting OK to confirm the verification operation for the instruction Note On completion of the verification operation for the instruction it will appear in list views with status Verified or Failed Verified as appropriate If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own
249. o undo verification of a cash instruction pre release on page 7 7 To cancel a cash instruction pre release on page 7 7 To view the history of a cash instruction pre release on page 7 8 To request cancellation of an Accepted cash instruction pre release on page 7 8 To release a cash instruction on page 7 10 You can use the Refresh command to display the latest list view in your organisation unit You can also customise the displayed list of instructions see Working with displayed list views on page 1 4 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this 23 November 2015 Clearstream Banking Luxembourg 7 2 CreationOnline User Manual Working with cash Business To create a cash instruction Note Note CreationOnline provides different pages for the creation of each of the different cash instruction types Pre advice of Funds Withdrawal of Fun
250. ode of the Accountable Party Up to 20 alpha numeric characters M If the Accountable Party has no Intra EU VAT reference code it must provide its local corporate registration code eg SIREN code in France If it has none of them it must indicate NONE 23 November 2015 E 8 Clearstream Banking Luxembourg CreationOnline User Manual Repetitive fields agi Field description 1 Transaction external number 2 Reference of the transaction 3 Type of transaction 4 Netted transaction flag 5 ISIN code 6 Trade date 7 Settlement date 8 Quantity Appendix E CSV file u Format Content Incremental reference number of the declared transaction Up to 9 figures leading zeroes not mandatory Up to 16 alpha numeric characters Refence of the declared transaction attributed by the Accountable Party 1 alpha numeric character mandatory S Standard pload specifications Field Status M R Regularisation Update of a previous declared transaction resulting in an additional tax amount C Refund claim Update of a previous declared transaction resulting in a refund of an overpaid tax amount A Amendment Update of a previous declared transaction without impact on the tax amount Note R C and A types must have the same reference as the original transaction YorN Y applies if the transaction is the result of a netting e g intra day 12 alpha numeric characters mandatory ISIN of the security If the dec
251. of the OU preferences see Setting OU preferences on page 1 11 e The new password must have at least 4 characters that have changed The system checks this by comparing character 1 of the new password with character 1 of the old current password character 2 with character 2 and so on For the password rules for smart card access see the smart card documentation Note If you enter an invalid password or specify an invalid user credentials file the system displays an error message accordingly After three invalid logon attempts you are logged out and locked out of the system and must contact your local System Administrator Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 1 9 Getting started To change your own P12 access password 1 In the navigator panel select the My Settings Change Password command 2 Type your current password 3 Type a new valid password and type it again to confirm that this password is to be associated with the current credentials you are using see Rules for passwords above 4 Select Submit to establish your new password This will now be your personal password until you change it To change your own smart card access password in CreationOnline 1 In the navigator panel select the My Settings Change Password command to display the Change Password tab 2 Type your current password 3 Type a new valid password and type it again to confirm that this
252. ogether with variable fields that are specific to the event family to which the event belongs This chapter describes the tasks that you can perform through the CreationOnline Audit command in the navigation menu as follows e To query audit events on page 15 2 e To view the details of an audit event on page 15 2 You can query audit events on the Audit page This page has an Action menu of commands that you can perform in relation to one or more of the listed events This Action menu also contains a Refresh command to update the list A list count of the particular set of displayed details is shown at the top of the tab for example 1 of 18 You display on the View tab the details of one or more events that you have selected on the Audit tab The View tab has an Action menu of commands that you can perform in relation to the displayed event details This Action menu also contains a Refresh command to update the details Note You cannot delete or modify items in the audit events list An OU Administrator can browse only those audit events that are for the respective OU to which he she belongs To refresh the list of audit events e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that
253. olding TaXxXi c cisscacsacsesiencssaness aansteaasdengsdensnategadtanais eabavenasdansades 11 3 Toque a Tax RET MGS 5 sce steccacesnnsateterneaate at sabetennssecassneaseadsoededaye enadeienss stadtetadeduaeaectaast ane ctonedadee 11 4 Towiew the details Of a Tax REMUING 2 seciscccise dist aastactaastanestenns spas dendacnasstindaategastanaat cnabateadsenaniace 11 4 MO QUENY a Tax U SEETIC ATOR ees noe e bees cesGees e o england 11 5 To view the details of a Tax Certificate 00 cee eecceseseeeseeeeeeeeeseeeeeseeeeseeeeseeeeseaeeeeaaeseeaeeseaeeeaas 11 5 To upload ami FIT Declaratio Mincer icdebeg ances dagei tie ougeeel ae e todecianeilicesneedicceys 11 6 Toquery submitted FIT Declarations ssie eana api e EAE EAER 11 6 thoxdowntoad the Declaration Feier icsrsicsonnisie einnar e ea ane 11 6 To download the FTT Status Message cesccceeceeeceeeceeeceeeeeceeeeeeeeeeeeeaeeseesneeeeeecuseeeesenseetesnneeess 11 6 12 Working with reference data Business sssssssnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnn nenna 12 1 To refresh the list of reference datas ecesececessceseeeeeceeeeeeeceseeeeeceeeeeeaeeseeaeeseaeeeeeaeeeeaeessaeeeaas 12 1 MOiGUErY cash CORFESPONGEMES zerin ane aS EE E AA a Eai 12 2 To view the details of a cash correspondent cceccececeeeeececeeeeeeeceeeeeeececeneeeeessneeeeesseeeetsneeess 12 3 TO QUErY corporate ACTIONS se erreen eae E E A TE E EEEE EE EEEE EEE ETSE EAEE 12 4 To view the output of a corporate action Q
254. on tax certificates or on refund request forms Tax permissions Tax permissions for a particular user or user group are defined from the following Query Tax Certificates Query Tax Refunds Query US Tax Tax Rate The percentage of a cash distribution income event that will be withheld and paid to the tax authority 23 November 2015 Clearstream Banking Luxembourg Glossary xxiv CreationOnline User Manual Glossary Tax Refund Amount The amount of a tax refund Tax Refund Payment Date The date on which the tax refund was paid Tax Refund Status Accepted The depository or tax authority has accepted a refund form that formerly had status Verified Valid and Forwarded Closed A final status for refunds that have been removed from the tax refund database The reason is given On paper based reports refunds that have been closed appear only once in the time period in which this status is applied In Progress A follow up status for accepted refunds that are pending with the depository or fiscal authority Paid The refund request has been processed by the depository or tax authority and an amount has been paid to the customer Recorded The refund form has been received by Clearstream Banking and entered into the database but has not yet been checked for validity Rejected The depository or tax authority has refused a refund request form that formerly had status Verified Valid and Forwarded The reason for the
255. onOnline CreationDirect or SWIFT and downloaded in CreationOnline Securities reports to 15015022 standards Statement of Holdings report via SWIFT MT535 Clearstream Banking uses the MT535 Statement of Holdings to report on the holdings that it services for the customer The Complete report contains all holding information The Delta report contains only changes since the previously sent statement Statement of Transactions report via SWIFT MT536 The MT536 Statement of Transactions contains settled transactions according to the impact on customer s positions of movements generated by the clearing and settlement system from instructions or corporate events Statement of Pending Transactions report via SWIFT MT537 Clearstream Banking uses the MT537 Statement of Pending Transactions to report on instructions that are not booked and do not include booked securities instructions on a customer account Either all or the most relevant status can be reported Statement of Intra Position Advices report via SWIFT MT538 The MT538 Statement of Intra Position Advices contains movements related to securities lending collateral and blocking unblocking of securities Statement of Settlement Allegements report via SWIFT MT586 The MT58 6 Statement of Settlement Allegements reports on allegements from Clearstream Banking Luxembourg Euroclear Clearstream Banking Frankfurt and domestic market participants Cash reports Money Suspense
256. onOnline User Manual 23 November 2015 E 5 Appendix E CSV file upload specifications Corporate Action pre release instructions Position in CSV 3 2 oo NBD oO RF UUN gt a a s a gt gt a a o N a ol A w N EI NM NY py Oo N gt O Note In the following table Field Status is indicated as M Mandatory O Optional Field description Clearstream Corporate Action Reference ISIN Number Financial Instrument Account ID Safekeeping Account Option Number Option Type Quantity Instructed Quantity to Receive Sender s Reference Requested Tax Rate Disposition of Fractions Beneficial Owner BIC Beneficial Owner Name amp Address Beneficial Owner Country of Domicile Beneficial Owner Country of NON Domicile Beneficial Owner Quantity of Securities Owned Beneficial Owner Narrative Narrative Additional Text Narrative Delivery Details Narrative Information to be complied with Narrative Version Narrative Party Contact Narrative Registration Details Narrative Basket or Index Information Field Name to copy as a table header in Instructions Data sheet Clearstream_Corporate_Action_Reference Financial_Instrument_ISIN Safekeeping_Account Option_Number Option_Type Quantity_Instructed Quantity_to_Receive Senders_ Reference Requested_Tax_Rate Disposition_of_Fractions Beneficial_Owner_BIC Beneficial_Owner_Name_ amp _Address Beneficial_Owner_Country_of_Domicile Beneficial
257. option to print your request 23 November 2015 Clearstream Banking Luxembourg 3 6 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 4 Working with Vestima As a Business User or Business Supervisor with the relevant permissions you can launch the Vestima order routing for investment funds routing application Click on Vestima in the navigation menu to launch the Vestima application in a new browser window Note If you close the CreationOnline window or log off from CreationOnline while the Vestima application is running any further actions in Vestima will not be possible and an error message will appear on the screen 1 Business Users and Business Supervisors are hereafter collectively referred to as business users Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 4 1 Working with Vestima This page has intentionally been left blank 23 November 2015 Clearstream Banking Luxembourg 4 2 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 5 Working with scheduled reports Administration As an OU Administrator with the appropriate permissions you can use CreationOnline to request instances of all the available report types which can then be queried and or viewed by Business Users In most cases you can request a report in either of the following two modes e Complete reports showing all positions that are open on a customer s account and movements t
258. or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Tax Refund page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field 6 Select the Query button or Action menu command to perform the query The results that match your set of criteria are displayed on the Tax Refund tab If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of a Tax Refund 1 In the navigator panel select Tax Tax Refund to display the Tax Refund page 2 From the Action menu select the Query command to display the Query tab for Tax Refunds 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required Tax Refund see To query a Tax Refund above Note You can cus
259. or Rejected status have been sent but are still visible in the pre release category Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 7 1 Working with cash Business Working with cash instructions pre release As a business user with the appropriate permissions you can use CreationOnline to create create upload query view modify verify fail verify undo verify and cancel Pre advice of Funds Withdrawal of Funds Customer Transfer and Foreign Exchange cash instructions up to and including release that is being sent for settlement You can also display the pre release status history of cash instructions When the instruction has been released for settlement it can if required be further progressed as a post release instruction see Working with cash instructions post release on page 7 12 General cash instructions tasks pre release You can use the Action menu on the Cash Pre Release page as follows To create a cash instruction on page 7 3 To create upload a cash instruction file on page 7 3 To query cash instructions pre release on page 7 4 To view the details of an existing cash instruction pre release on page 7 4 To duplicate an existing cash instruction pre release on page 7 5 To modify a cash instruction pre release on page 7 5 To verify fail verify a cash instruction pre release on page 7 6 T
260. ord entry that a user is allowed before the session is automatically closed Options are 3 4 or 5 attempts Number of Weekdays to Settlement The number of business days before settlement date Options are 0 1 2 or 3 days Old Event Body The former value of the object whose change of value has triggered an event to be logged Old Value New Value The existing and or modified values of the associated report item that is field checkbox etc that has been added changed or removed in the pending modification of the report For added items Old Value is blank for removed items New Value is blank 23 November 2015 Clearstream Banking Luxembourg Glossary xiv CreationOnline User Manual Glossary Organisation Unit OU One or more users of CreationOnline within a customer s organisation grouped according to the sets of activities they can perform and the permissions they have user credentials to access and use the data and functions of the system Other Settlement Parties Third party intermediaries between the delivering receiving agent and the buyer seller OU Administrator A non business user of CreationOnline who has OU Administrator permissions and acts as one of normally several local System Administrators for the Organisation Unit OU to which he she belongs An OU Administrator can for example access audit events perform user management tasks and schedule report requests but cannot display export or print reports Contra
261. orting permissions Reporting permissions for a particular user or user group are defined from the following For OU Administrators and Business Supervisors Manage scheduled reports and authorise others Authorise own changes to scheduled reports For Business Users View report schedules Requested Amount The amount of tax refund reclaimed as specified by the claimant Requested Settlement Date The date on which the you require the transaction to settle Requested Value Date The date according to which the value of the amount of the cash transfer exchange instruction is to be applied 23 November 2015 Clearstream Banking Luxembourg Glossary xx CreationOnline User Manual Glossary Safekeeping Account The Clearstream Banking account that is to be used to execute the instruction You can use My Preferences to set a default value that will be placed in the Safekeeping Account field automatically when you open an input page that contains this field For Allegement the dropdown list value specified for this field in a query will be listed in the Party Format column of the results Note If you specify All Domestic in the query the Party Format column of the results list will contain CBF If you specify All in the query a value of CBF in the Party Format column of the results list will indicate a German domestic counterparty SE Reference A value up to 7 characters that reflects in whole or in part the unique refere
262. ory select History from the Link menu If you are in list view do one of the following m Highlight the appropriate instruction in the list and select History from the Link menu m Right click on the appropriate instruction in the list and select History from the popup menu 7 View the details of the instruction as required and when finished select the Close button or Action menu command to return to the list view To view the history of stock exchange instructions post release 1 In the navigator panel select Securities Securities Post Release to display the appropriate Historical Queries page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 On the query screen click on the search criteria Type of Settlement Transaction and select SE Trade and SE Trade with Partial Delivery 5 Perform a suitable query to list the required instruction see To query securities instructions post release on page 6 11 Note You can customise the displayed list see Customising displayed lists on page 1 5 6 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Clearstre
263. ount Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results lf you want to perform the same or a very similar query on future occasions use the Save as button or Action menu command to save the currently specified query as a view For details of views see Maintaining query views on page 1 4 Select the Query button or Action menu command to perform the query See A note about queries on page 1 4 The instructions that match your set of criteria are displayed on the Securities Post Release tab If there are no matches the tab is displayed empty Note In the list view you can do one of the following to view the securities balance related to an instruction Highlight the instruction in the list and select Securities Balance from the Action menu Right click on the instruction in the list and select Securities Balance from the popup menu You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used Clearstream Banking Luxembourg 23 November 2015 CreationOnline User M
264. ourg 8 10 CreationOnline User Manual Working with custody IPAR and Corporate Actions Business Working with corporate action instructions in CA Post Release You can use the Action menu on the CA Post Release page as follows e To query a corporate action instruction in Post Release on page 8 11 e To create a corporate action cancellation request instruction from a Post Release corporate action instruction on page 8 11 To query a corporate action instruction in Post Release In the navigator panel select Custody CA Post Release to display the CA Post Release page From the Action menu select Query to display the Query tab for securities instructions Adjust the depth of the alerts panel as required Pe a DN Select a view and or specify a sort sequence and other values to define your query as appropriate Note To identify a specific financial instrument you can enter a value or you can use the search and select lookup feature 5 You can perform a query based on the reference exactly as it is entered in the Sender s Reference field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields If not blank the date must be less than 400 calendar days after the current CET date and cannot be more than 364 calendar days before the current date 6 Before submitting your query do one and or other of the fol
265. play a Query tab for securities balances 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required balance see To query securities balances above Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Securities Balances tab do one of the following to display the details of a balance on a details tab named from the Financial Instrument of the balance Highlight the appropriate balance in the list and select View from the Action menu Right click on the appropriate balance in the list and select View from the popup menu 6 View the details of the balance as required and when finished select the Close button or Action menu command to return to the list view 23 November 2015 Clearstream Banking Luxembourg 6 20 CreationOnline User Manual Working with securities Business To refresh the list of securities balances e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu comm
266. played list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of a cash balance Inthe navigator panel select Cash Balances to display the Cash Balances page From the Action menu select the Query command to display a Query tab for cash balances Adjust the depth of the alerts panel as required Perform a suitable query to list the required cash balance You can customise the displayed list see Customising displayed lists on page 1 5 In the Cash Balances list view do one of the following to display the details of a balance ona details tab named from the Currency of the balance Highlight the appropriate balance in the list and select View from the Action menu Right click on the appropriate balance in the list and select View from the popup menu View the details of the balance as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual iF Working with cash Business To refresh the list of cash balances e In the list view do one of the fo
267. port command at the top of the display to print the report in HTML format use the Display Formatting Options for PDF reports at the top of the display to refine the content of your current view of the report see Sorting and filtering HTML reports for display on page 13 4 To print a displayed HTML report 1 In the navigator panel select Reporting View Reports 2 Adjust the depth of the alerts panel as required 3 On the View Reports tab do one of the following to open a report in HTML format Highlight the appropriate report in the list and select View from the Action menu Right click on the appropriate report in the list and select View from the popup menu 4 At the top right of the page of the displayed report select Print Report 5 Complete the Print dialog box for the print job on the printer associated with your web browser Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 13 3 Working with retrieved reports Business Sorting and filtering HTML reports for display You can sort and or filter a retrieved report to refine the content for display You can sort the content of reports for display as follows e Securities reports Statement of Holdings MT535 sort by ISIN or Common Code Statement of Transactions MT536 sort by ISIN or Common Code Instruction type Counterparty Account Number and or Customer Reference Additional sort criteria are CB Reference Your Refer
268. ppropriate cash correspondent in the list and select View from the Action menu Right click on the appropriate cash correspondent in the list and select View from the popup menu 6 View the details of the cash correspondent as required and when finished select the Close button or Action menu command to return to the list view Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 12 3 Working with reference data Business Working with corporate actions Corporate actions query You can run a corporate actions query to view detailed corporate action information for any security held in Clearstream Banking provided that at least one Clearstream Banking customer has a holding in it and at least one notification related to it has been issued Subject to this you do not need a holding a security in order to use this query to view corporate actions related to it Warning If the query does not find any event the absence of an event does not necessarily mean that there are none It is possible that no Clearstream Banking customer has a holding in the related security Disclaimer The notification and the subsequent autoreply email and its attachments can not be reproduced or transmitted in any form or by any means electronic or mechanical if neither you nor the addressee is entitled to participate in the relevant corporate action You are aware that you shall bear sole responsibility for any and all harmful conse
269. pup menu Do one of the following as appropriate If you are viewing the details of the instruction and want to cancel it select the Cancellation button or Action menu command If you are in list view do one of the following m Highlight the appropriate instruction in the list and select Cancellation from the Action menu m Right click on the appropriate instruction in the list and select Cancellation from the popup menu Select Submit to cancel the instruction or Discard to abandon the cancellation On successful cancellation of the instruction it will appear in list views with status Cancelled To view the history of a cash instruction pre release P E a Note 7 In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 You can customise the displayed list see Customising displayed lists on page 1 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Do one of the followi
270. quences losses or damages which may be suffered for any reason whatsoever by yourselves the addressee third parties or Clearstream Banking by reproducing or transmitting the notification or the subsequent autoreply email and its attachments Only general event related reference data information is displayed No customer specific information in a notification such as balances or entitlement information is shown You identify the security in the Financial Instruments field either by entering its common code or ISIN or by entering its description and clicking the Add button The details of this security are displayed in the panel below this field You can include further securities in the query by entering the code or description and clicking Add You can limit the scope of a corporate action query by one or more of the following e by selecting either the options Active or Inactive in the Event Indicator field or by selecting a specific event type e by setting a date range for a securities or cash payment date e by setting a date and time range notification time stamps The output from a query is a list view containing the holding the ISIN the common code description common code type and place of settlement of an individual corporate action This output is listed in the order specified in the Sort Criteria field either ascending or descending The sort criteria are e Notification timestamp e Securities payment date e
271. r if the 4 eyes principle is set ON the the new user must be confirmed or rejected If as OU administrator you have authorise own privileges you can release modify or delete users Otherwise a second OU administrator must do this To create a CreationDirect via Internet user To create a CreationDirect via Internet user do the following 1 In the navigator panel select CreationDirect Management Users to display the Users page 2 From the Action menu select the Create command to display the Create New CreationDirect via internet User tab 3 Adjust the depth of the alerts panel as required 4 On the New CDinternet User tab fill in the first name and surname fields and give the user a unique user ID 5 Before submitting the instruction creating a new user do one and or other of the following if required If you decide to change any of the details in the instruction use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon creation of the instruction use the Discard button or Action menu command to cancel the operation and return to the Users page 6 Select the Submit button to create the user The user that you have created so far is given the status Confirmed Profile Note To enable a newly created user to log on to CreationOnline you must create unique credentials for that user To confirm a
272. r with the appropriate permissions you can use CreationOnline to retrieve instances of all the available report types in the following formats CSV comma separated values which you can load as a spreadsheet in Microsoft Excel HTML which you can open directly in CreationOnline ISO which you can download and import into your local SWIFT applications PDF which you can download and open in Acrobat Reader XLS which you can download and open in MS Excel XML which you can download and use as a data interchange format with other applications You can use the Refresh command to display the latest list of reports available in your organisation unit You can also customise the displayed list of reports see Customising displayed lists on page 1 5 Note Business Users cannot schedule requests to retrieve reports Only OU Administrators can schedule report requests For details see 5 Working with scheduled reports Administration on page 5 1 OU Administrators can name reports as they choose In this user manual and in the help for CreationOnline the name of the associated SWIFT IS015022 message type is used in each case For details of the timings frequencies availability and distribution of the different scheduled report requests see 5 Working with scheduled reports Administration on page 5 1 To refresh the list of reports to view e In the list view do one of the following Select Refresh from the
273. ral cash instructions tasks post release You can use the Action menu on the Cash Post Release page as follows e To query cash and securities against payment instructions post release on page 7 13 e To view the details of existing cash and securities against payment instructions post release on page 7 14 To duplicate an existing cash instruction post release on page 7 14 e To request cancellation of a cash instruction post release on page 7 15 e To view the history of cash and securities against payment instructions post release on page 7 16 You can use the Refresh command to display the latest list view in your organisation unit You can also customise the displayed list of instructions see Working with displayed list views on page 1 4 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this 23 November 2015 Clearstream Banking Luxembourg f 12 CreationOnline Us
274. rate action notification You must have the correct permission to perform this action 1 In the navigator panel select Custody CA Notification Queries to display the appropriate CA Notification Queries page From the Action menu select the Query command to display the Query tab for CA Notification Queries Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 5 Working with custody IPAR and Corporate Actions Business 3 4 5 Note Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do one and or other of the following if required If you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the CA Notification Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count Is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The Notifications that match your set of criteria are displayed in a list view If there are no matches
275. ream Banking as further definition of the status of an instruction Receipt Delivery DELI A delivery instruction RECE A receipt instruction Receiving Agent The agent for the Buyer in a securities transaction Recipient Type The IRS recipient code that applies to the recipient of a specific income payment 01 Individual 02 Corporation 03 Partnership other than a withholding foreign partnership 04 Withholding foreign partnership or withholding foreign trust 05 Trust 06 Government or international organisation 07 Tax exempt organisation IRC section 501 a 08 Private foundation 10 Estate 11 U S branch treated as a U S person 12 Qualified intermediary 13 Private arrangement intermediary withholding rate pool general 14 Private arrangement intermediary withholding rate pool exempt organisations 15 Qualified intermediary withholding rate pool general 16 Qualified intermediary withholding rate pool exempt organisations 17 Authorized foreign agent 20 Unknown recipient Reclaim Holding The beneficial owner position or the account position if the beneficial owner is the account holder on which a refund is calculated Record Date The date for which after the daytime processing Clearstream Banking records holdings in the security as being an entitled position Reference The Customer or Clearstream Banking reference of a tax refund or tax certificate Reference Data permissions Permissions to access refe
276. reationOnline User Manual Working with securities Business To create a securities instruction 1 Note Note In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page From the Action menu select the Create command to display a New tab for the instruction open on the Trade Details subtab Adjust the depth of the alerts panel as required On the New tab select the required instruction type settlement type and financial instrument type from the appropriate dropdown lists To identify a specific financial instrument you can enter a value or you can use the search and select lookup feature see Using the search and select feature in queries on page 6 2 Only when you have specified the instruction type settlement type and instrument type will you be able to access the Settlement Parties subtab Before submitting your created instruction do one and or other of the following if required f you decide to change the instruction use the Reset button or Action menu command to return all the specifications to their default values so that you can start again Ifyou decide to abandon creation of the instruction use the Discard button or Action menu command to cancel the operation and return to the Securities Pre Release page Select Submit to create the instruction If there is an error in the creation of the instruction for example no value i
277. red instruction in a list view Note You can customise the displayed list of results 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the pop up menu 6 Do one of the following as appropriate f you are viewing the details of the instruction and want to undo its positive or negative verification select the Undo Verify button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Undo Verify from the Action menu m Right click on the appropriate instruction in the list and select Undo Verify from the pop up menu 7 Respond to the prompt by selecting OK to confirm the undo verification operation for the instruction On completion of the undo verification operation for the instruction the instruction will appear in list views with the status New or Modified Note If the Verify step is required as set in the OU preferences and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this 8 Make the changes to the instruction as required Note You cannot change the Sender s Reference 23 November 2015 Clearstream Banking Luxemb
278. reference of one or more instructions You can perform a query based on the reference exactly as it is entered in the field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields Note For a cash instruction post release each sender s reference of more than 7 characters is converted by Clearstream Banking into a unique 7 digit reference Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary xxi Glossary Settled Position The quantity of securities to be considered as a settled entitled position held on account The amount can be zero if the customer has only pending positions Settlement Date The date for settlement in the format yyyymmdd This can be a requested or an actual effective date Settlement institutions Intermediary The institution to which the funds are to be paid in the country of the currency for the account of the Account With Institution Account With Institution The institution to which the funds are to be paid for the account of the beneficiary customer Beneficiary Institution The beneficiary customer to whom the funds will be paid Settlement Parties instructions Delivering Receiving Agent Buyer Seller Party Account Settlement Processing Narrative Free format narrative used to provide additional information about the settlement Sort criteria You can list
279. rejection is given Clearstream Banking may return the original refund form to the customer for further action and or correction Verified Invalid A previously Recorded refund form has been checked by Clearstream Banking and found to be invalid according to normal procedures The reason for the invalidity is given along with the status Clearstream Banking then returns the original refund form to the customer for further action and or correction The status remains Verified Invalid until a corrected form is received by Clearstream Banking checked and is either moved to Verified Valid and Forwarded status or it is Closed at the request of the customer Verified Valid and Forwarded A previously Recorded refund form has been checked by Clearstream Banking and determined to be valid The refund request has been forwarded to the relevant depository or tax authority Tax Withheld The amount of withholding tax This is listed in the original currency of the income proceeds and in USD Timestamp For instructions post release the time at which the instruction reached the associated stage in its life cycle For IPAR the time at which a change was last made to the instruction In detail views this is the Last Update Total Account Holding Value The currency in which the total account holding value is to be stated in the report Trade Date Time The date and time of the trade This must be earlier than or equa
280. released into the system The user is logically suspended and is no longer active The user stop has been released into the system The user is logically stopped and is no longer active The forename and surname of the user associated with the formal User Name by which the user is known to CreationOnline Clearstream Banking Luxembourg CreationOnline User Manual 23 November 2015 Glossary xxvil Glossary Value assigned to next instruction If the Generate Automatic Sender s Reference option is set to Yes the value entered here will determine the sender s reference for the next instruction You can modify this field but it will then be automatically incremented after each instruction Value Date The value date of the associated amount in the format yyyymmdd Verify Step Required In compliance with the 4 eyes principle Yes here means that an instruction must be verified or failed verified before it can be released for settlement Vestima The order routing service for investment funds which can be accessed via CreationOnline when the appropriate set up been configured View Query You can select from a dropdown list a predefined view to pre refine your securities instruction or cash instruction query Each entry in the available dropdown list apart from None bears the name that was given to a query when a user used the Save as button or Action menu command to save it Workspace panel The pan
281. remains ACTIVATED in Vestima User data is modified immediately in Vestima This concerns User first name User last name Enail address Phone number Fax number User type Supervisor flag Permissions User becomes DEACTIVATED in Vestima User remains ACTIVATED in Vestima User remains DEACTIVATED in Vestima User remains DEACTIVATED in Vestima User remains DEACTIVATED in Vestima User becomes ACTIVATED in Vestima User remains DEACTIVATED in Vestima End date is set User remains ACTIVATED or DEACTIVATED in Vestima depending on current status 23 November 2015 C 4 Clearstream Banking Luxembourg CreationOnline User Manual DEUTSCHE BORSE clearstream croup Appendix D Using the Online Help You can access the CreationOnline Help information system in either of the following ways e Via the Help command in the navigator panel e Via the Help menu on each page How the Online Help is presented The Help system is presented on a page divided into two panes The Help information is displayed in the right hand pane and a table of contents is provided in the left hand Help navigation pane A toolbar at the top of the Help page provides toolbar buttons with the following uses To display the Contents list in the Help navigation pane The Contents list is presented as a tree structure to reflect the organisation of the Help information See How to use the Online Help Contents list below _
282. rence data details of for example cash correspondent banks currencies 23 November 2015 Clearstream Banking Luxembourg Glossary xvili CreationOnline User Manual Glossary Refund Procedure Type Proactive Clearstream Banking assisted refund services for certain markets Simplified A less complicated or faster refund procedure than standard refund procedures Such a procedure is offered by Clearstream Banking for specific markets only Standard The regular refund procedures in accordance with Clearstream Banking tax procedures as described in the Clearstream Banking Customer Tax Guide Refund Rate The applicable tax refund rate Registration Details Registration details as may be required by the particular domestic market Release Status The general status category to which the potential matching instruction currently belongs This can be POST for post release or PRE for pre release Repetitive Amounts Amounts that might added to an instruction from the following types Accrued Interest Trade Amount Stamp Duty Special Concession Amount Report Channel The channel through which the user selects to receive a report that is SWIFT CreationOnline CreationDirect or CreationDirect via SWIFTNet Report Date The date on which the report you want to view was generated Report Format The format in which the user wants to receive a report as per selected Report Channel as follows SWIFT 1S015022 CreationOnline
283. report via SWIFT MT940 The MT940 Money Suspense report contains all pending cash instructions as well as all cash countervalues of against payment securities instructions that are reported in the Statement of Pending Transactions report via SWIFT MT537 It includes the opening and closing balance of booked funds all pending cash transactions all unconfirmed funds anticipated net balances cancelled funds which are reported but not included in the balances The Money Suspense report Is sent only when there are transactions in Suspense One report is sent per currency per account Interim Money Suspense report via SWIFT MT942 The MT942 Interim Money Suspense report contains new transactions and those transactions that are already in Suspense and whose status has changed since the last Money Suspense or Interim Money Suspense report The Interim Money Suspense report includes pure cash transactions and cash countervalues of against payment securities transactions It reports the matching status of every transaction listed and where appropriate the processing status based on the previous processing cycle 23 November 2015 Clearstream Banking Luxembourg 5 2 CreationOnline User Manual Working with scheduled reports Administration Cash Balances report via SWIFT MT950 Customers can choose to report all or specified currencies open on the account For complete reports there is the additional option to exclude currencies for
284. reports Administration Managing scheduled report requests As an OU Administrator with the appropriate permissions you can create view modify delete confirm or reject report requests through the Reporting Scheduled Reports command in the navigator panel A Query command is available to query the current list of scheduled report requests Note When you have created a scheduled report request if the 4 eyes principle is set ON see Setting OU preferences on page 1 11 the creation must be confirmed or rejected If you have authorise own privileges then you can confirm or reject your own action on scheduled report requests Otherwise a second OU Administrator must do this You can use the Refresh command to display the latest list of scheduled report requests in your organisation unit You can also customise the displayed list of scheduled report requests see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of scheduled report requests is displayed Filtering scheduled report requests When you are defining a report request you can in some cases use Currency and or Address subtabs to refine the content of t
285. rinciple is in force 1 In the navigator panel select CreationDirect Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required BO NS Perform a suitable query to list the required user in a list view Note You can customise the displayed list of results 5 Either on the Users tab do one of the following Highlight the appropriate user in the list and select Reject from the Action menu Right click on the appropriate user in the list and select Reject from the popup menu Or in the alerts panel Right click on the appropriate alert in the list and select Goto Link from the pop up menu to display the details of the associated user on a User tab 6 Select the Reject button or Action menu command to reject the user Note If as OU Administrator you have the authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this To delete a CreationDirect via Internet user Note You cannot delete users that have the Configuration in Progress Pending Rejected or Pending New status 1 In the navigator panel select CreationDirect Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required AOUN Perform a suitable qu
286. rmat narrative used to provide additional information about a cash instruction Document Description The description of the exemption documents Document Status The status of the certificate Invalid Valid Document Type The type of the certificate Per Payment P or Standing S End of day report End of day reports are available as Complete reports only and are based on activity that has occurred during a complete business day that is from the start of RTP to the end of DTP Entitled Amount The net proceeds after tax Entropy When you sweep your mouse pointer over this area the system records the trace of the movement as a unique signature for the credentials that you are defining 23 November 2015 Clearstream Banking Luxembourg Glossary viil CreationOnline User Manual Event family Glossary A class or category of audit events that represents a high level grouping according to the nature of the event being audited An event family can have many audit events related to it Examples of event families are Reporting and Alerts Event Family Description The name of the event family for example Alert events Reporting events Event Status US Tax The current payment processing status of a taxable or reportable income event Paid Repaid Reversed A taxable or reportable income payment has been processed A previously reversed taxable or reportable income payment has been re issued with the correct
287. rocessing Advice contains the rejection status es of a previously received instruction or cancellation request Settlement Allegement report via SWIFT MT578 The MT578 Settlement Allegement report contains allegements from Clearstream Banking Luxembourg Euroclear or Clearstream Banking Frankfurt participants Custody reports to 15015022 standards Income Pre Advice Report IPAR via MT564 Customers can use the IPAR to forecast cash and securities flows generated by their portfolios during the period of up to five days after production of the report The projected cash and securities flows are based on the situation of the customer s account at the time the report Is produced Corporate Action Confirmation via MT566 The CA Confirmation reports securities and cash proceeds from income and non income events that are credited to a customer s account Each credit and debit is reported separately and details are included of the security to which the interest or redemption proceeds are attributable Triparty Collateral Management Reports to 15015022 standards Triparty Collateral Status and Processing Advice via MT558 The Triparty Collateral Status and Processing Advice provides the status of instructions matching and cancellations Triparty Collateral and Exposure Statement for Collateral Giver via MT569 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 5 3 Working with scheduled reports Administra
288. rom the popup menu Make changes to the instruction details as required to create a new unique instruction You will have to specify at least a new unique Sender s Reference Before submitting your duplicated instruction do one and or other of the following if required If you decide to change the duplication use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon duplication of the instruction use the Discard button or Action menu command to cancel the operation and return to the Pre Release page Select Submit to create the new instruction If there is an error in the creation of the new instruction for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the duplication On successful duplication of the instruction the system displays an alert with the Sender s Reference for that instruction and the instruction will appear in list views with status New Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To modify a cash instruction pre release mo Note In the naviga
289. ructions and you can view their history e Post release including all instructions input via CreationOnline or other input media when the activity status can be one of the following see Appendix A Activity statuses and Reason codes Processing Receipt Incomplete Rejected Cancelled Pending Cancellation Accepted Filter Code Replaced Priority Replaced Replacement Denied Executed Replaced Pool Complete Pool Incomplete Pending Repo Complete Repo Incomplete Matching Matched Unmatched Allegement Matched Allegement Unmatched Allegement Removed Internal settlement Pending Failing External settlement Pending Failing Cancellation processing Rejected Denied Pending Executed Accepted Incomplete Settlement Settled You can query post release securities instructions and you can view their history as well as historical stock exchange queries that have reached end of life cycle over the past 13 months You can also e Create upload ASCII instruction files e Query view create matching instructions for and check potential matches for allegements e Query and view securities balances Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list
290. ry as required You can sort the currencies in ascending or descending order of ISO currency code or currency role denomination or settlement You can include all currencies or those of a specific Currency Cash Correspondent Bank BIC and Name and or Currency Role 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Currencies page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field 6 Select the Query button or Action menu command to perform the query The currencies that match your set of criteria are displayed in a list view If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most rece
291. s 641 if the transaction is settled via one of your CBL accounts C If the total tax amount results in a negative amount refund requested to the French tax authorities D If the total tax amount results in a positive amount tax to be paid to the French tax authorities If total tax amount 0 code D should be entered 18 figures maximum plus a comma maximum two decimals Example 1234567890123456 78 leading zeroes not mandatory Total amount of the tax to be paid on the underlying transactions in the declaration Total tax amount Sum of all tax amounts field 25 of all transactions where transaction type field 15 S and R minus all tax amounts field 25 of all transactions where transaction type field 15 C Up to 9 figures leading zeroes not mandatory Number of transactions reported in the declaration YYYYMMDD Date on which Clearstream customer sends the declaration to Clearstream Banking Field Status Clearstream Banking Luxembourg CreationOnline User Manual 23 November 2015 E 7 Appendix E CSV file upload specifications Position rae in CSV Field description 6 Payment month 7 Reference of the declaration 8 BIC of the Accountable Party 9 Name of the Accountable Party 10 Address of the Accountable Party 11 Country of the Accountable Party 12 EU VAT reference Field Format Content SEIS YYYYMM M Month on which the cash is to be debited for the total amount For all transactions with trans
292. s your newly created instructions Note If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 3 Working with securities Business To query securities instructions pre release 1 In the navigator panel select Securities Securities Pre Release to display the Securities Pre Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 On the Query tab select a view and or specify a sort sequence and other values to define your query as appropriate Note To identify the financial instrument you can use the button to employ the search and select feature see Using the search and select feature in queries on page 6 2 You can perform a query based on the reference exactly as it is entered in the Sender s Reference field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields 5 Before submitting your query do one and or other of the following if required If you decide to change the query use the Reset button or Actio
293. s 1 6 Preferred User S GrtimiGSs ices ccacsaadecnsdacedcecaatasenaundsatnus dees ai aa E seuss aces eaer aeia 1 6 Tarevealihe CaShbO ars serienr nnns noo ORE E E R ERO 1 7 To concealihe GaShbO avis ace stuscaretecumnsectnred cebae tudes sini ain eanne E Ean ENESE 1 7 To reveal the latest list of exception tyPeS 2 eceecececececeeeeececeeeeeeeeeeeeaeeseeceeeeeeseeeeeeseneeseesneeess 1 7 To display all the current exceptions of a specific type in a Ust view eeeeeeeeeeeeeeeeeeeeteeees 1 7 To change your own P12 access Credentials ccccccccccesssccsscsgesdeccageazessseeeseceeseesadsieaseseeicasansesnesaeds 1 8 To change your own smart card access credentials cccccccecececeeeeeeeceeeeeeeeeeeeeeeeeesteeeeesnneeess 1 9 To change your own P12 access paSSWOMrd esscsenccscesessesdesenssedigeaeedsazeieedeageaees dni ieiti Enaka 1 10 To change your own smart card access password in CreationOn line cccceceeseeeeeeeeeeeees 1 10 To Set your OWN preferences ecccceeceeeceeeceeeceeeeeeeeeeecaeeceeenaeeceeeeaeeeseaeeeeeseeeeeeeseseeeeesneeeessneeeess 1 10 TOVIEW your OWN PEMMISSION S srna Er E Ea E eues desea aaron ee aanceee cana Ree 1 10 To Set your QOU PReerEMCeS caccozscsscacctsdccetenatsatesdedesocees ae a Ee e aa eee aaaea 1 11 To view your current OU permiSSiOns c cccecececeeeeececeeeeeceeeeeeeeeeeeeaeeseecaeeeseeeeeeeesseseeeenseeess 1 11 2 Working with users AGMINIStratiOn ccccsssecesee
294. s an OU Administrator with the appropriate permissions you can use the commands in the Action menu to view modify delete create confirm or reject user groups on the User Groups page There is no query function for user groups You can use the Refresh command to refresh the page to display the latest list of user groups in your organisation unit Note When you have created a user group it must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on user groups Otherwise a second OU Administrator must do this You allocate each user to a specific user group when you originally create the user As an OU Administrator you can use the Action menu on the User Groups page as follows To create a user group on page 2 11 To query user groups on page 2 11 To view the details of an existing user group on page 2 12 To modify a user group on page 2 12 To delete a user group on page 2 13 To confirm a user group on page 2 13 To reject a user group on page 2 14 To refresh the list of user groups on page 2 14 You can use the Refresh command to display the latest list of user groups in your organisation unit You can also customise the displayed list of user groups see Customising displayed lists on page 1 5 Note You allocate each user to a specific user gro
295. s appropriate If you are viewing the details of the instruction and want to send it for settlement select the Release button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Release from the Action menu m Right click on the appropriate instruction in the list and select Release from the popup menu 7 Respond to the prompt by selecting OK to confirm the release of the instruction Note When an instruction has been sent for settlement it can be further progressed as a post release securities instruction see Working with securities instructions post release on page 6 10 If Verify is set ON in the OU preferences see Setting OU preferences on page 1 11 and you have authorise own privileges you can verify or fail verify your own action on instructions Otherwise a second Business user must do this To refresh the list of securities instructions e In the list view do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can also customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on
296. s panel are by default sorted at generation time with the most recent alerts at the top of the list The alerts panel contains a maximum of 30 entries If this number is reached and then a new alert is generated the oldest alert is removed from the alerts panel This panel is displayed independently of the activity you are performing in the workspace area You cannot hide the alerts panel nor change its width but you can grab the horizontal bar at the top of the panel and move this up and down to vary its height The alerts panel shows alerts until they expire at which time they are removed Expired alerts can be queried from the Query tab on the Alerts page until they are archived see Working with alerts on page 14 1 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual t Getting started You cannot sort filter or perform searches on the list in the alerts panel you must use the Query tab on the Alerts page to perform these operations You can however right click in the list to access the Refresh and Goto Link commands in a popup menu The different varieties of alert are indicated in the alerts panel as follows e All newly published alerts on which no action can be taken are displayed in normal type no italic no bold e Newly generated alerts that are not yet read and on which action can be taken as indicated by the presence of a hyperlink in the Link column are listed in bold type
297. s panes AE AESA ER Sa EA 14 1 15 Working with audit events Administration sssssssunnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnn 15 1 23 November 2015 Clearstream Banking Luxembourg vi CreationOnline User Manual Appendix A Activity statuses and Reason codes ccsssceeseeeseeeseeseeneseneeeesenseeeeeeeees A 1 Appendix B Life cycles and History diagrams ssccssseesseseseeeseeseeseseeeseesenneeeeeeeens B 1 Appendix C Vestima user StatUSes ccccessecceeseesesneseeeseeeenseseeeseesenseseeeseesenseesoeneees C 1 Appendix D Using the Online Help sicisisisicsscssisnntenensensinescassnscanmsucstenonsssccamsnsensanensssnies D 1 Appendix E CSV file upload Specifications sscsecceeeeeeeeeeeeeeseeeeeeeeneeseeeeeeeeeseaeees E 1 Glossary Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual vii Tasks Tasks l Getting started sssaaa A ARa NAAKTEN ERARE 1 1 To log on to CreationOmline usinga smart Cardi ccecccs sssacanessocsaesceeseceuteneeveacdeaeeneraeeene ee 1 2 To log on to CreationOnline using a P12 credentials file 0 eee eeeeeesceeeeeeseeeeeeseeeeeseeeeaeeeeaes 1 2 PU A UO SW eccentric Dace tac a onsets E EE 1 5 Save Column Settings 2 vc csiz casceccdeasdedseccdancdssdeadede tesdde Cesagdagaedadanctdaeagedeatedectddandeaseaeienstesdwassleedds 1 6 Default System S tHIAGSiice csis cose cesseccaseesasgievastenegnceaaue s eoecdessaesaetsveeis eashscageeseatacseeueesbesdeckscasuede
298. s required Perform a suitable query to list the required instruction see To query securities instructions pre release on page 6 4 You can customise the displayed list see Customising displayed lists on page 1 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Do one of the following as appropriate If you are viewing the details of the instruction and want to duplicate it select the Duplicate button or Action menu command lf you are in list view do one of the following m Highlight the appropriate instruction in the list and select Duplicate from the Action menu m Right click on the appropriate instruction in the list and select Duplicate from the popup menu Make changes to the instruction details as required to create a new unique instruction You will have to specify at least a new unique Sender s Reference Before submitting your duplicated instruction do one and or other of the following if required If you decide to change the duplication use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon duplication of the instruction use the Discard button or Actio
299. s to define your query as appropriate Before submitting your query do one and or other of the following if required f you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again Ifyou decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the CA Notification Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The Notifications that match your set of criteria are displayed in a list view If there are no matches the list view is displayed empty 23 November 2015 Clearstream Banking Luxembourg 8 6 CreationOnline User Manual 10 Note Working with custody IPAR and Corporate Actions Business Highlight the appropriate Corporate Action Notification in the list and select Respond upload from the Action menu or right click on the appropriate notification in the list and select Respond upload from the pop up menu Browse for the instruction file and click on the Respond Upload button The feedback will be generated either confirming acceptance of the whole file or listing the error
300. seeseeesesenseeeeeeeeeeaseneeeneeeeneenes 2 1 THOVERE ALE EA E E E A E E E E 2 3 Togq ery USCIS iiron nien e a a a a e a aaa 2 3 To view the details of an existing USEM ccccceecececeeeeececeeecececeeceaeeceeaeececceeeseeseeeetsnieeeetenaseess 2 4 To modify the details Of a USOMP ccecececceeceneceeeceeeeeeeeeeeeeeeeaeecesecaeeseeaeeseecneeeseeceseeeeeseneeeesnneess 2 4 eE Leas USSiiS 2 54 css sa A E TAP EA TEA ETE saute AAT TAT 2 5 Toconfirma user with Pending Status iss ise diss cases desciteus raves denssateadi sass tctaintegasedaateaaas tenes anadace 2 5 Toreject auser with Pending Status s zc c2ccdsacedscanssaecesadacdsctessuaishe easdeosetesitacassesnbsbetasdbimnaeanesadan 2 6 WO SUS POI Gh AUSER ninen rer eree ee E ae a e a E aa ae Raae E EE E EEEE EEE EEE 2 6 To re Jactivate a USE ninen ee e S E E EEEE 2 7 Ioel EMA AEA AE E N E A AE EE 2 7 MO force auser tolog ofisiga a a aae Here a a aeea 2 8 Toremeshihe Wst Of USERSE ireren reann daera r E a EEEE EEEE E ETERA ET 2 8 To create change the credentials of another USCP ccececceceseeseeseeceseceeeeeeeeeeeceeseeaeeseeseeeeeees 2 9 To create a ser grOUDi icciciincireninereniierieireorirrarinei nireset aiir ee siline s irei rie airean nerea dinda cei eiiiai 2 11 T g ery ser JrOuUPSis iseset ereinen aaea e aiae aae sowed eee 2 11 To view the details of an existing User GrOUP ccececceeeeececeeeeeeceeeeeeeeeeceeeeeesneeeesessueeeensneees 2 12 Tamodiiy a USER G
301. senees 9 1 To create a Triparty Collateral instruction pre release ccceccceeeeeeeeeeeeeeeceeeeeeeseeseeeeeeeseneeeees 9 2 To query Triparty Collateral instructions pre release cceceeeceeeeeeeeeeeeeeeceeeeeeeeeeeeeeeeeettseeeees 9 2 To view the details of a Triparty Collateral instruction pre release ccceceeeeeeeeeteeeeetteeeees 9 3 To query Triparty Collateral post release ccccccecececeeececeeeeeeeeeceeseaeeceeeaeesessneeeeeesneeeereneseeeees 9 3 To view the details of an existing Triparty Collateral instruction post release cceee 9 4 To duplicate an existing Triparty Collateral instruction post release ccceceeeteeeeeeereeeees 9 5 To request cancellation of a triparty collateral instruction post release ceeeeeeeeteeeees 9 6 To refresh the list of triparty collateral instructions ccccceeeeeceeeeececeeeeeeeceeeeeeeeeeteeeeeeeseeeeeess 9 6 To query Triparty Collateral contract SUMMATIICS cc ccceceececceeeeceeeeeeeeaeeeeeeeeeeseaeeeeeseneeeeeees 9 7 To view the details of Triparty Collateral contract SUMMATIIES cceecceceeeeeeeeeeteeeeteeteeeeeees 9 7 To query Triparty Collateral Exposures SUMIMAL cccceeeeceeeeeeeeeeeeeeeeeceeeeeeesesteeeeeeentseeeess 9 8 To view the details of Triparty Collateral Exposure SUMMATY ccceeeeeeeeeeeeeeeceeteeeeeeeeeeeteees 9 9 To refresh the list of Triparty Collateral Exposure SUMMATY
302. siness Supervisor authority level and permissions See Business user below Contrast with OU Administrator on page Glossary xv Business user A user of CreationOnline who has Business User or Business Supervisor authority level and permissions A business user can for example display export and print reports but cannot access audit events perform user management tasks or schedule report requests Contrast with OU Administrator Buyer Seller The receiver deliverer of the securities in a transaction Calculated Amount The calculated amount of the tax refund as opposed to the requested amount Cash permissions Cash permissions for a particular user or user group are defined from the following Query cash balances Query cash instructions Input cash instructions including in addition modify cancel others instructions release own and or others instructions verify own and or others instructions Category Alert A classification of alerts that links authority level and user permissions CB Reference The unique 16 character reference assigned to an instruction by Clearstream Banking 23 November 2015 Clearstream Banking Luxembourg Glossary iv CreationOnline User Manual Glossary CCB BIC and Name The Bank Identification Code BIC and name of the Cash Correspondent bank for a currency Changed Yes or blank mean respectively that within the specified Last Update period the associated IPAR ev
303. splay the Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query cash and securities against payment instructions post release on page 7 13 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate If you are viewing the details of the instruction and want to duplicate it select the Duplicate button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Duplicate from the Action menu m Right click on the appropriate instruction in the list and select Duplicate from the popup menu 7 Make changes to the instruction details as required to create a new unique instruction Note You will have to specify at least a new unique Sender s Reference 8 Before submitting your duplicated instruction do one and or other of the following if required If you decide to change the duplication
304. splayed on which are shown your name user ID and the name and other details of the user group to which you belong 2 Select the User Permissions subtab to display your user permissions as appropriate If you are an OU Administrator User Management and Reporting permissions 23 November 2015 Clearstream Banking Luxembourg 1 10 CreationOnline User Manual Getting started lf you are a Business user Securities and Cash query and input permissions 3 To quit select another command from the navigator panel Changing another user s credentials As an OU Administrator you can change the credentials of any other user in your OU at any time When you do so you will also have to specify a new password for the user and store the new credentials file on your file system For details see To create change the credentials of another user on page 2 9 Setting OU preferences As an OU Administrator you can at any time set OU preferences and view the current OU permissions The defaults you set will operate for all users in the OU To set your OU preferences 1 In the navigator panel select the OU Settings OU Preferences command to display the OU preferences tab which comprises four subtabs 2 Specify your OU preferences as required in the various areas as follows On the Security subtab define defaults for password expiry password history and other security related details On the Securities subtab specif
305. st with Business user OU details The institution name of the organisation unit OU its business function and address code as registered with Clearstream Banking OU Management event family variable details OU name OU Name The name of the organisation unit OU OU permissions Permissions defined for the organisation unit OU in the initial setup of CreationOnline for the OU identifying the account s that the OU is authorised to handle the types of activity that the OU is authorised to perform on instructions Query Input Reporting OU User Management permissions Permissions defined for the user or user group identifying the user management activities that the users are authorised to perform from the following Manage CreationOnline users user groups and authorise others Authorise own changes to CreationOnline users and user groups Set up system preferences product service preferences and authorise others View Organisation Unit profile Outgoing Message ID The unique identifier of an outgoing message Party The identity of the particular Delivering Receiving Agent in BIC or Name and Address format Party Capacity The role of the financial institution for the purposes of the securities instruction for example Custodian Party Format A counterparty can be internal Clearstream Banking or Euroclear or external Domestic If you specify Domestic in a securities instruction query the results list co
306. stem Default Instrument Type A default value that will be placed in the Instrument Type field automatically when you open an Input page that contains this field The initial default is ISIN Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary vil Glossary Delivering Receiving Agent The agent for the Seller Buyer in a securities transaction Delivery Information The Report Channel Report Format and delivery address of a scheduled report Delta report A report that shows all positions that have been affected by movements that have occurred since the baseline of the report Denominations Use this table to list the numbers of securities that you require in different denominations Description Alert The description of the alert Description Financial Instrument The name of the security identified by an associated ISIN or Common Code Description Party The name of the institution identified by an associated Party Identifier Description Reports The name of the instrument that is identified by an associated security code Description Tax Refund A description of the refund Detailed Position BORR Quantity of borrowed securities held on account LOAN Quantity of lent securities belonging to the account but not on the account PEND Quantity of securities to be delivered pending settlement PENR Quantity of securities to be received pending settlement Details of Payment Free fo
307. succession to ensure that the most recent list is used To link to an item that triggered an alert 1 In the alerts panel right click on the appropriate alert in the list 2 Select Goto link from the popup menu to display the relevant details of the underlying scheduled report on the appropriate page The displayed details always reflect the current that is most recent status of the underlying item This status Is indicated at the top of the display tab Note An alert is generated for each action taken in the life cycle of an item with a corresponding change of status for that item If you select an alert in the alerts panel that is not the most recent alert for the underlying item nevertheless it is the current status of the item that is reflected in the display tab and the actions that you can perform on the item for example confirm or reject are according to that current status 23 November 2015 Clearstream Banking Luxembourg 14 2 CreationOnline User Manual Working with alerts To refresh the list of alerts Either 1 2 Or Note In the alerts panel right click anywhere in the list Select Refresh from the popup menu On the Alerts page do one of the following Select the Refresh command from the Action menu Right click anywhere on the list and select Refresh from the popup menu When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that
308. system and to which the user has subscribed are listed Allegement An instruction from the counterparty against your account for which your matching instruction is missing This is also called an alleged instruction 23 November 2015 Clearstream Banking Luxembourg Glossary ii CreationOnline User Manual Glossary Amount The countervalue of the instruction Positive and negative amounts are shown as such on all reports N B When you are filtering the display of an MT950 Money Statement you must ensure that the From amount is lower in real terms than the To amount This means that for positive amounts the From figure must be smaller than the To figure and for negative amounts the From figure must be bigger than the To figure For example If an actual amount is positive 2346 30 then a From To range of 2000 to 3000 will include the statement for this amount in the display If an actual amount is negative 2346 30 then a From To range of 3000 to 2000 will include the statement for this amount in the display but a From To range of 2000 to 3000 is not valid and will result in a no movements message Amount instructions In a query From and To amounts define a range of amounts in a selected currency and those instructions that involve amounts within this range are included in the results of your query In a securities instruction this is the Settlement Amount and currency In a cash instruction this is
309. t select the Cancellation button or Action menu command as required Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Cancellation from the Action menu m Right click on the appropriate instruction in the list and select Cancellation from the popup menu 7 Select Submit to cancel the instruction or Discard to abandon the cancellation On completion of the cancellation operation for the instruction it will appear in list views with the status Cancelled To verify fail verify a corporate action instruction in CA Pre release 1 From the Action menu select the Query command to display a Query tab for Corporate Action instructions 2 Adjust the depth of the alerts panel as required 3 Perform a suitable query to list the required instruction in a list view Note You can customise the displayed list of results 4 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 5 Do one of the following as appropriate If you are viewing the details of the instruction and want to verify fail verify the instruction m If you are in list view do one of the following o Highlight the appropriate instruction in the list and select Verify or Fail V
310. t Refresh from the popup menu You can customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 19 Working with securities Business Working with securities balances As a business user with the appropriate permissions you can use CreationOnline to query and view the balance of a specified security Note In a post release instructions list view or from a displayed details tab of an instruction post release you can use the Securities Balance command to view the relevant securities balance see To query securities instructions post release on page 6 11 To query securities balances 1 In the navigator panel select Securities Securities Balances to display the Securities Balances page From the Action menu select the Query command to display a Query tab for securities balances Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate OF E a Before submitting your query do one and or other of the following i
311. t Type Description A generic description of the associated audit event EX Date The first day on which securities transactions are settled ex entitlements Exchange Rate The exchange rate between the original currency of the income proceeds for the IPAR or withholding tax for US Tax and USD displayed with 6 decimals Execution Date The date on which a settled transaction was executed This corresponds to the settlement date of a securities instruction You can query historical instructions according to a range of execution dates within a specified month selected from the preceding 12 month period Expiry Date The date on which a certificate expires You can either enter From and To dates to define a rate range or you can specify Until revoked Note Until revoked means that there is no formal expiry date set for this certificate but that a change of account or beneficiary could lead to the expiry of the certificate e lf the From and or To date fields are filled in but the Until revoked checkbox is unchecked only those certificates will be retrieved whose Expiry Date falls within the specified period but not including Until revoked certificates e If you check the Until revoked checkbox the From and To date fields are not available and the query will retrieve all Until revoked certificates only e If neither of the From and To date fields is filled in and the Until revoked checkbox is
312. t only licensed subscribers can connect to it This chapter describes the tasks and topics you will meet when you start to use CreationOnline as follows e Logging on to CreationOnline below e System administrator s tasks on page 1 3 e What users can do on page 1 3 e Using wild card characters in queries on page 1 4 e Working with displayed list views on page 1 4 e The CreationOnline page on page 1 6 e Maintaining logon details permissions and preferences on page 1 8 Logging on to CreationOnline As a licensed subscriber you may optionally have received a smart card and under separate cover a unique PIN code to enable you to connect to the system Note Before you connect to the system for the first time please make sure that you have read and fully understand any installation connection and or release documentation supplied with your CreationOnline package and with any external application for example for your smart card On initial connection your local system administrator must be the first to log on and must perform various initial tasks to make the system available to local users see System administrator s tasks on page 1 3 When you open CreationOnline the system presents the Log on page offering a choice of logon method e using a smart card DLL file and password or e using a P12 credentials file and password By default on successful logon you
313. tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of alerts is displayed See To query alerts on page 14 2 You can customise the displayed list of alerts on the Alerts page see Customising displayed lists on page 1 5 but not in the alerts panel The alerts in the alerts panel are by default sorted at creation time with the most recent alerts at the top of the list The alerts panel contains a maximum of 30 entries If this number is reached and then a new alert is generated the oldest alert is removed from the alert panel Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 14 3 Working with alerts This page has intentionally been left blank 23 November 2015 Clearstream Banking Luxembourg 14 4 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 15 Working with audit events Administration An audit event is an action performed by the user or by the system in the use of CreationOnline and logged as such in the Audit Log As a non business user OU Administrator you can query audit events and view the details of individual audit events You can also customise the displayed list of audit events see Customising displayed lists on page 1 5 The details of a particular audit event record are made up of generic fields t
314. tain the string of characters associated with the wild card character are included in the results of your search The following examples illustrate the use of the wild card character in a field entry e ABC will include all items in which this field contains a value beginning with ABC e ABC will include all items in which this field contains a value ending with ABC e ABC will include all items in which this field contains a value that includes ABC anywhere between the first and last characters Working with displayed list views Local Action menus each contain a Query command that you can use where appropriate to define a set of filtering criteria in order to locate as closely as possible a particular target You can save such a set of criteria as a query view which you can re use in other queries The results of your query are displayed in a list view and you can select one or more to be the subjects of the commands available in the Action menu Standard Shift click and Ctrl click selection can be used A note about queries A query can yield very high numbers of results and CreationOnline will present 50 results per page up to a maximum of 20 pages Each page carries count and time information at the right hand end of the menu bar You can use left and right arrows in the menu bar to page forward and backward through the list as required If your query operation can yield more than 1000 results a message warns you of this and
315. te about queries on page 1 4 The instructions that match your set of criteria are displayed on the Cash Pre Release tab If there are no matches the tab is displayed empty Note You can customise the displayed see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of an existing cash instruction pre release Po Note In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 You can customise the displayed list see Customising displayed lists on page 1 5 On the Pre Release tab do one of the following to display the details of the instruction in read only mode on its own tab Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu View the details of the instr
316. te actions on page 12 4 e Working with financial instruments on page 12 7 e Working with places of safekeeping on page 12 9 e Working with settlement parties on page 12 10 To refresh the list of reference data e In the list view of the particular reference data page do one of the following Select Refresh from the Action menu Right click anywhere on the list and select Refresh from the popup menu You can also customise the displayed list see Customising displayed lists on page 1 5 Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used 1 Business Users and Business Supervisors are hereafter collectively referred to as business users Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 12 1 Working with reference data Business Working with cash correspondents You can list Cash Correspondents in currency order for all or a selected currency You can refine your query by specifying a particular Party Name that is one of the places of safekeeping to which you have access and optionally a Bank Identification Code BIC or Country Code By default the returned list view is presented in asc
317. ted the user and another OU Administrator has authorised the creation of credentials for the user then you can create credentials for that user e If the 4 eyes principle is off the user cannot have the status awaiting credential authorisation and if the user is activated then you can change the credentials for the user if the user is pending credential creation m if you originally authorised the creation of credentials for the user then you cannot create change credentials for that user m if you originally created the user you can create the credentials for that user To create change the credentials of another user Note Your ability to create change the credentials of another user is subject to whether the 4 eyes principle is in force and to other conditions see above 1 In the navigator panel select User Management Users to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user see To query users on page 2 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you are changing an existing user s credentials check whether that user is logged on If Yes then use the Force Log Off command to log the user off see To force a user to log off on page 2 8 6 Do one of the following to
318. ter The length of time after which period of inactivity the interface will automatically be locked You must enter your logon password to gain further access to the interface Options are 2 5 10 20 40 or 60 minutes Incoming Message ID The unique identifier of an incoming message Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary xi Glossary Input Media You can use CreationOnline to progress instructions that were input via any of the following media CreationOnline Cedcom Workstation Internal generated by Clearstream Banking CreationDirect customer input via Clearstream Banking s system to system file transfer connection CreationDirect SwiftNet customer input via CreationDirect over SWIFTNet Internal generated by Clearstream Manual customer input SWIFT customer input via the SWIFT network Telex customer input via telex Vestima customer input from Clearstream Banking s online investment funds service For SE historical queries Input Media refers to the Stock Exchange on which the associated instruction was executed that is Boss Eurex or Xetra Instruction Origin Customer Customer originated instruction Clearstream Internally Clearstream Banking originated instruction Instruction Type The type of instruction used as appropriate by the counterparties to a transaction as follows Securities instruction types Cash instruction types Receive free of payment
319. ternal Code A unique code used internally by Clearstream Banking to identify a place of safekeeping Close or clean Input Card Close means that the system will close the input card each time the user submits a new instruction and to create a new instruction the user will have to use the Create command from the Action menu Clean means that the system will clean the input card each time the user submits a new instruction so that the user can input a new instruction directly without having to select the Create command from the Action menu Comments Any additional free format information that applies to a payment Common Code Type An indicator as to whether the security is listed on a single market S or on multiple markets and if on multiple markets whether the current instance is listed on the Home market H or on the Remote market R Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary v Glossary Compensation Flag US Tax Y or N indicate respectively that the current payment is or is not compensation for an earlier payment Complete report A report that shows all positions that are open on a customer s account and movements that have occurred since the baseline of the report Contact Reference A reference for a contact member of staff at the institution where the safekeeping account is held Count Count Only If you use the Count Only button or Action menu
320. th at the level of the account and at the level of each individual beneficial owner Alternatively if one or more beneficial owners are specified the query must search at the level of the specified beneficial owner s only 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Tax Certificate page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field 6 Select the Query button or Action menu command to perform the query The results that match your set of criteria are displayed on the Tax Certificate tab If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the detai
321. th Accepted or Rejected status have been sent but are still visible in the pre release category 23 November 2015 Clearstream Banking Luxembourg 8 4 CreationOnline User Manual Working with custody IPAR and Corporate Actions Business Working with corporate action instructions in CA Pre release You can use the Action menu on the CA Pre release page to perform the following actions To create an unsolicited corporate action instruction in CA Pre release on page 8 5 To create a corporate action instruction from a corporate action notification on page 8 5 To create a corporate action instruction from a corporate action notification via respond upload on page 8 6 To modify a corporate action instruction in CA Pre release on page 8 7 To duplicate a corporate action instruction in CA Pre release on page 8 8 To release a corporate action instruction from CA Pre release on page 8 8 To cancel a corporate action instruction in CA Pre release on page 8 9 To verify fail verify a corporate action instruction in CA Pre release on page 8 9 To undo the verification of a corporate action instruction in CA Pre release on page 8 10 To create an unsolicited corporate action instruction in CA Pre release You must have the correct permission to perform this action 1 Note In the navigator panel select Custody CA Pre release to display the
322. the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 6 9 Working with securities Business Working with securities instructions post release As a business user with the appropriate permissions you can use CreationOnline to query and view Receive Free Receive Against Payment buy Deliver Free and Deliver Against Payment sell securities instructions after they have been released that is sent for settlement Note For descriptions of the different instruction statuses post release see Appendix A Activity statuses and Reason codes In addition you can request cancellation confirmation and modification of such securities instructions You can also display the post release status history of securities instructions An instruction that has not yet been released for settlement is progressed as a pre release instruction see Working with securities instructions pre release on page 6 2 General securities instruction tasks post release You can use the Action menu on the Securities Post Release page as follows To query securities instructions post release on page 6 11 To view the details of an existing securities instruction post release on page 6 12 To duplicate an existing securities instruction post release on page 6 12 To request
323. the displayed list see Customising displayed lists on page 1 5 On the Users tab do one of the following Highlight the appropriate activated user in the list and select Suspend from the Action menu Right click on the appropriate activated user in the list and select Suspend from the popup menu Select Submit to suspend the user When you have suspended a user this must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this 23 November 2015 Clearstream Banking Luxembourg 2 6 CreationOnline User Manual Working with users Administration To re activate a user Note 1 Note To stop a user Note Note You can only re activate a user that currently has Suspended status In the navigator panel select User Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Perform a suitable query to list the required user see To query users on page 2 3 You can customise the displayed list see Customising displayed lists on page 1 5 On the Users tab do one of the following Highlight the appropriate suspended user in the list and select Activate from the Action menu Right click on the appropriate suspe
324. the list and select View from the Action menu You can browse multiple selections Right click on the appropriate audit event in the list and select View from the popup menu View the details of the audit event as required and when finished select the Close button or Action menu command to return to the list view 23 November 2015 Clearstream Banking Luxembourg 15 2 CreationOnline User Manual DEUTSCHE BORSE clearstream croup Appendix A Activity statuses and Reason codes Instruction statuses post release Activity Status Description Matching Matched The details of the instruction are matched with the counterparty s corresponding details Unmatched The details of the instruction are not matched with the counterparty s corresponding details or the details are not present Allegement matched The details of the instruction are matched with the domestic counterparty s corresponding details Allegement unmatched The details of the instruction are not matched with the domestic counterparty s corresponding details Allegement removed The instruction is no longer linked to the domestic allegement External Pending Settlement is confirmed as still to take place Settlement Failing Exceptionally the instruction cannot settle in the domestic market or the Requested Settlement Date has passed Internal Pending Settlement is confirmed as still to take place Settlement Failing Exceptionally
325. there are no matches the list view is displayed empty You can customise the displayed list of results When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To display a received message il OE Moos In the navigator panel select Received Messages to display the appropriate Received Messages page From the Action menu select the Query command to display a Query tab for Received Messages Adjust the depth of the alerts panel as required Perform a suitable query to list the required message in a list view Do one of the following to display the details of the message in read only mode on its own tab Highlight the appropriate Received Message in the list and select View from the Action menu Right click on the appropriate Received message in the list and select View from the pop up menu View the details of the received message as required and when finished select the Close button or Action menu command to return to the list view To change the folder owner of a received message To perform this you must have the relevant permissions 1 In the navigator panel select Message Exchange Received Messages to display the appropriate Received Messages Queries page
326. three levels of sort by A then by B then by C 3 Specify any of the available sort and or filter formatting options to refine your display as required and select View to redisplay the report accordingly Note You can also export or print the report when the report is displayed see To download a report ISO 15022 PDF XML XLS HTML and CSV and To print a displayed HTML report on page 13 3 23 November 2015 Clearstream Banking Luxembourg 13 4 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 14 Working with alerts An alert is a notification broadcast to the relevant users of an event in CreationOnline for example the receipt of a report that may require action in response CreationOnline uses alerts to inform business or non business users with the appropriate permissions of particular events occurring in the system A list of the 30 most recent alerts is maintained and refreshed every 30 seconds by the system in the alerts panel beneath the workspace on the CreationOnline page see The alerts panel on page 1 7 Alerts are listed in descending order of published date time in the alerts panel and on the Alerts page Alerts are either new read and unread or expired The alerts panel shows new alerts only the Alerts page shows both new and expired alerts and expired alerts can continue to be used in queries until they are archived On the Alerts page you can
327. tials will expire naturally after two years but you can change your own credentials at any time When you log on for the first time you use a credentials file for P12 access or DLL file for smart card access that you have been given as a first time file You must change these first time credentials as soon as possible When you do so you will have to specify a new password also To change your own P12 access credentials 1 In the navigator panel select the My Settings Change Credentials command to display the Change Credentials tab 2 Select the P12 option and sweep your mouse pointer in any all directions at random across the open entropy field until the associated progress bar reaches 100 3 Enter your own current P12 password and then the new password for use with the new credentials file that you are defining 23 November 2015 Clearstream Banking Luxembourg 1 8 CreationOnline User Manual Getting started 4 Confirm the new credentials password by entering it again in the next field 5 Select Submit to establish your new credentials and password 6 Specify a unique file name and save your new credentials file to a location of your choice on your file system When you next use the P12 option to log on to CreationOnline you will locate this new file through the Browse button on the Log on page Note Passwords are case sensitive Each user credentials file is associated with a single password only An OU Administrator can ch
328. ting and Securities and Cash Query and Input and the User Group Accounts subtab to set the selections of accounts that the members of the user group can use Note You cannot modify the user profile assigned to a user group Note For Vestimat only the full set of permissions can be chosen 6 Before submitting your modification do one and or other of the following if required If you decide to change the modification use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the modification use the Discard button or Action menu command to cancel the operation and return to the User Groups page 7 Select Submit to implement your changes to the user group Note If there is an error in the modification for example no value input in a mandatory field this will be listed on an Errors Warnings subtab You can use the Modify button or Action menu command correct the fault and re submit the modification On successful modification of the user it will appear in list views with status Modified 23 November 2015 Clearstream Banking Luxembourg 2 2 CreationOnline User Manual Working with users Administration Note A modification must be confirmed or rejected before it can be effective If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on user groups Otherwise a secon
329. ting can be modified on an instruction post release Profile User The type of user group See User profile on page Glossary xxvii Purpose Code The purpose for which a cash instruction has been created Fees Financing Cash Pledged Redemption Coupon Interest Internal Customer Quantity The quantity in nominal amounts of shares or warrants or the nominal value of bonds as defined in the instruction All deliveries are represented as negative values for example 9 000 000 and all receipts as positive values Note Normally bonds are designated as Face Value and shares as Unit If it is not known whether the security being traded is a bond or a share for example it has an ISIN but is not open in Clearstream Banking at the time of the current instruction the designation can be left blank Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual Glossary xvil Glossary Reason For Change Credentials the OU Administrator must specify the reason for the change to another user s credentials from Key compromise Superseded or Cessation of operation For Tax Refunds free format text in further explanation of the status of the tax refund Reason Codes post release Taken together with the Activity Status the Reason Code gives further information about the status of an individual instruction after release for settlement Reason Narrative Free format narrative provide by Clearst
330. ting users according to their individual status An OU Administrator can also force a user logoff Users are identified to CreationOnline by user name ID and user group details user credentials and permissions and for Business User and Business Supervisor users relevant accounts and reports e Managing user groups to create new user groups and to perform other operations on existing user groups according to their individual status User groups are identified to CreationOnline by user group name and type and user group permissions and for Business User and Business Supervisor user groups relevant accounts and reports You can select the type of user management activity that you want to perform from the User Management command in the navigator panel You can run queries on users and user groups and view the details of one or more individual entries from the results list view in each case See Working with displayed list views on page 1 4 1 Business User and Business Supervisor users are hereafter collectively referred to as Business Users Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 2 1 Working with users Administration Managing users As an OU Administrator you can use the Action menu on the Users page as follows To create a user on page 2 3 To query users on page 2 3 To view the details of an existing user on page 2 4 To modify the details of
331. tion e Triparty Collateral and Exposure Statement for Collateral Receiver via MT569 23 November 2015 Clearstream Banking Luxembourg 5 4 CreationOnline User Manual Working with scheduled reports Administration Other reports to 15015022 standards e Monthly Interest Scale Report via MT935 Customers can get a breakdown of the calculation of interest per currency for the previous month The report is issued in the morning one business day after the interest is calculated e Securities Lending and Borrowing Report Customers can get details of securities loans closed during the previous month The report also gives the fees on each loan and the total income and or borrowing fees for the book entry over the account on the 15th of the month or if that is not a business day on the first business day after that e Corporate Action Reference Data Report Customers can submit a list of security codes to CBL uploaded in CreationOnline via Upload function in the report scheduling menu or in CreationDirect via Internet and receive a report with all Corporate Action notifications associated with the securities Upon receipt of the list of financial instruments the report is automatically scheduled on a daily basis and is delivered via CreationOnline or CreationDirect in XML XLS PDF or ISO format Note To add or remove securities from the list a new list of financial instruments should be uploaded via CreationOnline or submitted via Creat
332. tion in the list and select View from the popup menu 6 View the details of the Collateral instruction as required and when finished select the Close button or Action menu command to return to the list view Working with Triparty Collateral instructions post release As a Business User or Supervisor User with the appropriate permissions you can use CreationOnline to query and view Triparty Collateral instructions after they have been released that is sent for settlement In addition you can duplicate or request cancellation confirmation and modification of securities instructions post release You can also display the post release status history of securities instructions An instruction that has not yet been released for settlement is progressed as a pre release instruction To query Triparty Collateral post release 1 In the navigator panel select Triparty Collateral Collateral PostRelease to display the Collateral Post Release page 2 From the Action menu select the Query command to display the Query tab for Collateral Post Release 3 Adjust the depth of the alerts panel as required 4 On the Query tab select a view and or specify a sort sequence and other values to define your query as appropriate Note To identify a specific contract or a specific financial instrument you can add a value or you can use the search and select lookup feature You can perform a query based on the reference exactly as it is entere
333. tion on users Otherwise a second OU Administrator must do this Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 2 7 Working with users Administration To force a user to log off 1 In the navigator panel select User Management Users to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user see To query users on page 2 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Users tab do one of the following Highlight the appropriate user in the list and select Force Log Off from the Action menu Right click on the appropriate user in the list and select Force Log Off from the popup menu 6 Confirm your intention to log off the selected user To refresh the list of users e In the list view do one of the following Select Refresh from the Action menu Right click on the list and select Query from the popup menu Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list of users is displayed Changing another user s cred
334. to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user in a list view 5 Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Users page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 3 3 CreationDirect via Internet management 6 Note Select the Query button or Action menu command to perform the query and list the results in a list view You can customise the displayed list of results To view the details of a CreationDirect via Internet user 1 2 3 4 In the navigator panel select CreationDirect Management Users to display the Users page From the Action menu select the Query command to display the Query tab Adjust the depth of the alerts panel as required Per
335. to perform the confirmation request To request modification of a securities instruction post release 1 In the navigator panel select Securities Securities Post Release to display the Securities Post Release page 2 From the Action menu select the Query command to display a Query tab for securities instructions 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction see To query securities instructions post release on page 6 11 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu 6 Do one of the following as appropriate to display the details of an instruction on a details tab named from the Sender s Reference associated with that instruction If you are viewing the details of the instruction and want to request modification select the Request Modification button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Request Modification from the Action menu 23 November 2015 Clearstream Banking Luxembourg 6 14 CreationOnline User Manual Wor
336. tomise the displayed list see Customising displayed lists on page 1 5 5 On the Tax Refund tab do one of the following to display the details of one or more selected Tax Refund items in read only mode on a detail view tab Highlight the appropriate Tax Refund item s in the list and select View from the Action menu You can browse multiple selections Right click on the appropriate Tax Refund item in the list and select View from the popup menu 6 View the details of the Tax Refund entry as required and when finished select the Close button or Action menu command to return to the list view 23 November 2015 Clearstream Banking Luxembourg 11 4 CreationOnline User Manual Working with tax Business Working with Tax Certificates To query a Tax Certificate 1 In the navigator panel select Tax Tax Certificate to display the Tax Certificate page 2 From the Action menu select the Query command to display the Query tab for Tax Certificates 3 Adjust the depth of the alerts panel as required 4 On the Query tab specify a sort sequence and other values to define your query as appropriate Note You cannot specify a date range longer than seven days You can use wild card characters in the Beneficial Owner field to identify multiple beneficial owners see Using wild card characters in queries on page 1 4 If no beneficial owner or tax identification number TIN is specified the query must search bo
337. tor panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for cash instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 You can customise the displayed list see Customising displayed lists on page 1 5 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 7 5 Working with cash Business Note Note If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Do one of the following as appropriate If you are viewing the details of the instruction and want to modify it select the Modify button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Modify from the Action menu m Right click on the appropriate instruction in the list and select Modify from the popup menu Make changes to the instruction details as required You cannot change the Sender s Reference Before submitting your modified instruction do one and or other of the following if required If you decide to change th
338. tor panel select User Management Users to display the Users page 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required user see To query users on page 2 3 Note You can customise the displayed list see Customising displayed lists on page 1 5 5 On the Users tab do one of the following Highlight the appropriate user in the list and select Delete from the Action menu Right click on the appropriate user in the list and select Delete from the popup menu 6 Confirm your intention to delete to perform the deletion Note To remove a user with Activated or Suspended status from CreationOnline you use the Stop command see To stop a user on page 2 7 If the user that you delete has Pending New or Pending Rejected status there is no need to confirm or reject this action the status of the user is immediately updated to Deleted If the user that you delete has Confirmed status the status of the user is initially updated accordingly to Pending Deleted and the deletion must be confirmed or rejected If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on users Otherwise a second OU Administrator must do this To confirm a user with Pending status Note Users awaiting confirmation rej
339. truction use the Discard button or Action menu command to cancel the operation and return to the Collateral Pre release page Select Submit to create the instruction To query Triparty Collateral instructions pre release You must have the correct permission to perform this action 1 Note In the navigator panel select Triparty Collateral Collateral Pre Release to display the Collateral Pre Release page From the Action menu select the Query command to display the Query tab for CollateralPre Release Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do one and or other of the following if required f you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Collateral Pre Release Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count Is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The results that match your set of criteria are displaye
340. u command to display the number in the Count field If the count is high you can refine your query to yield fewer results 6 Select the Query button or Action menu command to perform your query Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 99 Working with Triparty Collateral Business The results that match your set of criteria are displayed in a list view If there are no matches the Principal Securities tab is displayed empty You can customise the displayed list see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is displayed To query Triparty Collateral Exposures Collateral Cash amp Securities 1 In the navigator panel select Triparty Collateral Exposures Collateral Cash amp Securities to display the Collateral Cash amp Securities page From the Action menu select the Query command to display the Query tab for for Collateral Cash amp Securities Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do one and or other of the following if required If yo
341. u decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Collateral Cash amp Securities Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The results that match your set of criteria are displayed in a list view If there are no matches the Principal Securities tab is displayed empty You can customise the displayed list see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is displayed 23 November 2015 Clearstream Banking Luxembourg 9 10 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 10 Working with Message Exchange Business CreationOnline provides a message exchange facility to enable you exchange re
342. uction as required and when finished select the Close button or Action menu command to return to the list view 23 November 2015 Clearstream Banking Luxembourg 7 4 CreationOnline User Manual Working with cash Business To duplicate an existing cash instruction pre release 1 2 Note Note Note In the navigator panel select Cash Pre Release to display the Pre Release page From the Action menu select the Query command to display a Query tab for securities instructions Adjust the depth of the alerts panel as required Perform a suitable query to list the required instruction see To query cash instructions pre release on page 7 4 You can customise the displayed list see Customising displayed lists on page 1 5 If you want first to view the details of the instruction on its own tab do one of the following Highlight the appropriate instruction in the list and select View from the Action menu Right click on the appropriate instruction in the list and select View from the popup menu Do one of the following as appropriate If you are viewing the details of the instruction and want to duplicate it select the Duplicate button or Action menu command Ifyou are in list view do one of the following m Highlight the appropriate instruction in the list and select Duplicate from the Action menu m Right click on the appropriate instruction in the list and select Duplicate f
343. up when you originally create the user see To create a user on page 2 3 If as OU Administrator you have authorise own privileges then you can confirm or reject your own action on user groups Otherwise a second OU Administrator must do this There is no query function for user groups 23 November 2015 Clearstream Banking Luxembourg 2 10 CreationOnline User Manual Working with users Administration To create a user group e O Note Note In the navigator panel select User Management User Groups From the Action menu select the Create command to display the User Groups page Adjust the depth of the alerts panel to reveal the list of user groups as required On the User Groups tab do one of the following Select Create from the Action menu Right click anywhere on the list of user groups and select Create from the popup menu On the New User Group tab give the user group a unique name then select the user profile authority level that you want the users in the user group to share Use the other available subtabs to define further details of the user group as follows Foran OU Administrator user group use the User Group Permissions subtab to establish the User Management and Reporting capabilities for any member of the user group Fora Business User or Business Supervisor group use the User Group Permissions subtab to establish the Securities and Cash Query and Input capabiliti
344. urities Securities Post Release to display the Securities Post Release page From the Action menu select the Query command to display a Query tab for securities instructions Adjust the depth of the alerts panel as required On the Query tab select a view and or specify a sort sequence and other values to define your query as appropriate To identify the financial instrument you can use the button to employ the search and select lookup feature see Using the search and select feature in queries on page 6 2 You can perform a query based on the reference exactly as it is entered in the Sender s Reference field in order to target a single instruction To do this ensure that the associated Exact Ref checkbox is checked you do not complete any other fields If not blank the date must be less than 400 calendar days after the current CET date and cannot be more than 364 calendar days before the current date Before submitting your query do one and or other of the following if required f you decide to change your query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again f you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Securities Post Release page Ifyou want to check how many results your query will yield as it is currently specified use the C
345. used Note Unchanged credentials will expire naturally after two years but users can change their own credentials at any time Hardware and software requirements You can access CreationOnline from any computer running a supported Windows Java and Internet Explorer version You require an internet connection For more details please refer to the CreationOnline Technical Requirements document CreationOnline is designed to convert between SWIFT browser and HTML formats so that reports can be requested or displayed in either format Users will not be required to employ the same message format as their counterparty in any transaction and customers can choose to use any or all of the formats Where to get assistance Help with the use of CreationOnline is directly available in two ways e from the integrated online help information system and e from Clearstream Banking s Customer Services and Connectivity Services units Online help CreationOnline incorporates comprehensive online help information On each page you have access to two levels of help information as follows e Inthe navigator panel you can use the Help command to obtain information on all aspects of CreationOnline e On each page or form you can use the Help menu to display specific help information for the current activity Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual ill Foreword Contact details For further information
346. vity status can be one of the following see Appendix A Activity statuses and Reason codes Processing Receipt Cancelled Accepted Rejected Executed Cancellation processing Executed Denied Rejected Internal settlement Pending Failing Settled You can query post release cash instructions and you can view their history You can also e Create upload ASCII instruction files e Query and view cash balances e Query historical cash instructions that have reached end of life cycle over the past 13 months e Query and view current credit and collateral usage and the next day forecast Note When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used OU Administrators cannot work with cash instructions or cash balances This chapter describes the features of CreationOnline for working with cash e Working with cash instructions pre release on page 7 2 e Working with cash instructions post release on page 7 12 e Working with cash balances on page 7 17 e Working with credit and collateral usage on page 7 19 1 Business Users and Business Supervisors are hereafter collectively referred to as business users 2 Instructions with Accepted
347. where on the list and select Refresh from the popup menu Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To query IPAR data Pe Qe Ie Note 6 In the navigator panel select Custody IPAR Queries to display the IPAR Queries page From the Action menu select the Query command to display the Query tab for IPAR Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate You cannot specify a date range longer than seven days Before submitting your query do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again lf you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the IPAR Queries page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the
348. with that notification Highlight the appropriate notification in the list and select View from the Action menu Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual 8 13 Working with custody IPAR and Corporate Actions Business Right click on the appropriate notification in the list and select View from the popup menu 6 View the details of the notification as required and when finished select the Close button or Action menu command to return to the list view Note With the appropriate permissions you are able to respond to a CA Notification from the list view and the detailed view within the CA Notification Queries section If a new CA Notification has been received previously for that specific CA Notification CreationOnline will set the folder to New for the latest Corporate Action Notification The Action History for the previous CA Notification will be set to Amended Replaced or Withdrawn To change the folder owner of a CA Notification To perform this action you must have the relevant permissions 1 In the navigator panel select Custody CA Notification Queries to display the appropriate CA Notification Queries page 2 From the Action menu select the Query command to display a Query tab for CA Notification Queries 3 Adjust the depth of the alerts panel as required 4 Perform a suitable query to list the required instruction in a list view see above 5 Do one of the following to
349. wse sequence for example the sample reports On the first and last pages of a browse sequence the ineffective direction pointer is dimmed How to use the Online Help Contents list You can use the ml button to display a Contents tree of the Help information system in the Help navigation pane The Contents list is presented as a tree structure to reflect the organisation of the Help information system The closed book symbol against an entry in the list indicates that it contains subsections whose entries are currently not displayed Click once on this symbol or on the text of the entry to reveal the list of subsections The symbol changes to opened eS My Settings O Using the Online Help book 3 How the Online Help is presented Now you can How the Online Help is organised 5 How to use the Online Help Contents list e Click again on the text of the entry to go to help for this S How to use the Online Help Index ent ry or Howto use Onine Help ful taxt Search e Click on the required subsection entry to go to help for that entry or e Click again on the symbol to conceal the list of subsections again The graphic symbols used against the entries in the Contents list each indicate the nature of the information available as follows A main Help page for the whole application for a main area of activity or for the Help Such a page contains subsections of Reference Help and or Procedural Help T
350. y do one and or other of the following if required If you decide to change it use the Reset button or Action menu command to return all the specifications to their default values so that you can start the query again If you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Settlement Parties page Ifyou want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field Select the Query button or Action menu command to perform the query The settlement parties that match your set of criteria are displayed in a list view If there are no matches the tab is displayed empty Note You can customise the displayed list of results see Customising displayed lists on page 1 5 When you refresh the displayed list the system executes the last query that you set up on the Query tab even if that tab is not open Therefore before closing the Query tab you are advised to click on the Reset and Query buttons or Action menu commands in succession to ensure that the most recent list is used To view the details of a settlement party 1 In the navigator panel select Reference Data Settlement Parties 2 From the Action menu select the Query command to display the Query tab 3 Adjust the depth of the alerts panel as required 4 Perform a suitabl
351. y Collateral contracts via the Contract Summary The detailed view will show the details related to this contract together with a summary of of the Triparty Collateral Management activity for this contract You can also display the status of a Triparty Collateral contract To query Triparty Collateral contract summaries 1 Note In the navigator panel select Triparty Collateral Contract Summaries to display the Contracts Summary page From the Action menu select the Query command to display the Query tab for for Contract Summary Adjust the depth of the alerts panel as required On the Query tab specify a sort sequence and other values to define your query as appropriate Before submitting your query do one and or other of the following if required f you decide to change the query use the Reset button or Action menu command to return all the specifications to their default values so that you can start again f you decide to abandon the query use the Discard button or Action menu command to cancel the operation and return to the Collateral Post Release Queries page If you want to check how many results your query will yield as it is currently specified use the Count Only button or Action menu command to display the number in the Count field If the count is high you can refine your query to yield fewer results Select the Query button or Action menu command to perform your query The results that match your
352. y whether the Verify step is required for new securities instructions certain input card defaults and your reference numbering preferences for securities instructions On the Cash subtab specify whether the Verify step is required for new cash instructions and your reference numbering preferences for cash instructions On the Other subtab specify whether or not you want to enforce the 4 eyes principle 3 Select Submit to establish your OU preferences These will be your OU preferences until you change them Viewing OU current permissions As an OU Administrator you can view your current OU permissions at any time To view your current OU permissions 1 In the navigator panel select the OU Settings OU Permissions command to display the OU Permissions tab The OU Permissions tab comprises two subtabs which show the details of the OU permissions for OU Accounts and OU Business Services securities and cash query input and reporting 2 To quit select another command from the navigator panel Note OU Administrators can create and modify the OU permissions for users and user groups see Working with users Administration on page 2 1 Clearstream Banking Luxembourg 23 November 2015 CreationOnline User Manual tl Getting started This page has intentionally been left blank 23 November 2015 Clearstream Banking Luxembourg 1 2 CreationOnline User Manual DEUTSCHE BORSE clearstream croup 2 Workin

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