Securities purchase/sale

This note explains how to submit a “Securities purchase/sale” transaction types:

• Securities purchase
• Securities sale

These transaction types concern payments made from or to a bank account.

Example of a “Securities purchase”

General part of a transaction

Description

Refers to the exact description of the transaction.

Example: Buying CRF shares

From - Source of funds

If the funds originate from an account held by a client of the reporting entity, and this client is relevant to the report, you must select “Account (My Client)”.

If the funds originate from an account held with another institution, you must select “Account”.

The same applies if the originating account belongs to a client of the reporting entity but is not relevant to the report.

If the Funds originating from are in a currency other than EUR, the Foreign currency section must be filled-in.

Next, you must specify the object type for the origin of the funds.

IMPORTANT:

For a “Securities purchase/sell” transaction type, the object type must ALWAYS be: “Account” or “Account (My Client)”

Thus, you must fill-in the details of the source account (the bank account used in order to buy the shares).

See the user manual: Account - General information

Note:

• If you select “Account (My Client)”, you must complete the section “Related person(s)” (account holder, beneficial owner), and if the holder is an entity, also the “Account Owning Entity”.
• If you select “Account”, it is technically sufficient to enter the presumed account holder’s name in “Account holder name”.

To - Destination of funds

If the funds are destined for an account held by a client of the reporting entity, and this client is relevant to the report, select “Account (My Client)”.

If the funds are destined for an account held with another institution, select “Account”. The same applies if the destination account belongs to a client of the reporting entity but is not relevant to the report.

If the funds To are in a currency other than EUR, the Foreign currency section must be filled-in.

Next, you must specify the object type for the destination of the funds.

IMPORTANT:

For a “Securities purchase/sell” transaction type, the object type must ALWAYS be: “Account” or “Account (My Client)”

Thus, you must fill-in the details of the destination account.

See the user manual: Account - General information

Note:

• If you select “Account (My Client)”, you must complete the section “Related person(s)” (account holder, beneficial owner), and if the holder is an entity, also the “Account Owning Entity”
• If you select “Account”, it is technically sufficient to enter the presumed account holder’s name in “Account holder name”.

"Sale of securities"

This type of transaction must be submitted in the opposite manner to a “Purchase of Securities”:

• “From- Source of funds” must indicate the object type ACCOUNT, using the data of the securities portfolio.
• “To - Destination of funds” must indicate the object type ACCOUNT, using the data of the bank account receiving the proceeds from the sale of the securities.

Note: Transactions involving securities held in an investment portfolio or in an investment structure may be provided in any understandable format, to be chosen by the Reporting Entity (e.g., PDF or Excel).

Examples of transactions:

accounting entries, conversions or transfers of units/shares, changes in the securities portfolio