Scope - Clearstream

MARKET PRACTICE BOOK - ANNEXES
84
Asset Servicing Checklist C
General Meeting See MPB flow a1 /a2 in section 3.2.2.3
Template to announce a General Meeting, from upstream to Common Depository/Common Service Provider
Family/ Grouping Field Name Value Application method Definition Priority
Instruction Event
Proceeds
Event - Details of
the Event
Instruction - Details
related to Inx
Instruction -
Disclosure
Instruction -
Withdrawal
information
Proceeds - Early
Fee
ISIN [ISIN] (blank) A 12-digit security identification code comprised of a 2-digit ISO 3166 country
code, a 9-digit national number (e.g. cusip) and a 1-digit 'check number'.
Security Name (blank) (blank) Description of the financial instrument as provided by the agent. M
CAEV MEET (blank) Corporate action event indicator M
Contact Name Name at original executing Agent (blank) General:
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entity
The details (name, e-mail address and/or telephone number) at the agent in
case further clarifications are required.
Voting Quorum [% of Nominal Amount Issued], [% (blank) Defines the required level of voting needed in order for the meeting to proceed. M
of Total Issued Shares]
If the quorum is not met, the meeting is adjourned.
Value depends on Issuance Type, Equity vs. Bond.
Meeting Date [DATE] (blank) Date on which the meeting will occur M
Meeting Time [TIME], [TIMEZONE] (blank) Time & local Timezone applicable at which meeting will occur on Meeting Date M
Meeting Location [ADDRESS] (blank) Location at which meeting will occur on Meeting Date. A physical address (not
P.O. Box).
Meeting Agenda /
Resolutions
(blank) (blank) Meeting Agenda and proposed Resolutions which will be voted on during the
Meetings
Voting Threshold [%] (blank) Defines the % threshold required for votes cast vs. nominal held needed to
pass the resolution
Paying Agent (Principal)
(PPA)
Full Meeting Information
(Online)
[NAME], [CITY LOCATION] (blank) An agent appointed by the issuer to process the cash payments to be made by
the issuer (collection of coupon, redemption or other monies) related to a
security.
website or email address If upstream parties publish this 'online',
otherwise for ICSD population
Details defining where online information of the Meeting Event may be obtained C
from (JWGGM recommendation)
Meeting Result Date [DATE] (blank) Date on which the results from the meeting are available. M
Information Confidentiality Public / Restricted (blank) Details whether ICSDs may publish the available event documentation for
online consultation.
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CAON 1, 2, 3, 4, 5, 6 (blank) Corporate action option number: this identification is assigned by account
servicer to identify the option of a CA event.
Required in ISO message.
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CAOP MNGT, AMGT, ABST, PROX,
NOAC, SPLI
(blank) MNGT: Vote WITH MANAGEMENT M
AMGT: Vote AGAINST MANAGEMENT M
ABST: ABSTAIN M
PROX: ATTEND (Issue a Proxy Card) M
NOAC: No Action M
SPLI: Voting SPLIT on Resolution M
Record Date [DATE] If Event is based on Record Date. See Date/time at which positions are struck at the end of the day to note which C
ICMSA Recommendation in Annex 11. parties are entitled to vote, held positions and securities are not required to be
blocked from trading upon instructions being submitted. See ICMSA
Recommendation in Annex 11.
Blocking Type (blank) In case event is not Record Date based Indicates if instructed/voted positions need to be blocked from trading until the C
latter of, 1.) the meeting date, or 2.) meeting results being published
Unblocking Date [DATE] In case event is not Record Date based Date on which blocked (voted) securities may be unblocked, either pre-defined
prior to meeting or re-defined in case of an adjourned
Market Deadline [DATE], [TIME], [TIMEZONE] (blank) Date upon which the issuer has set as the deadline to respond with
instructions. Expiry Date (on the market).
CAOP Default Action NOAC May be required, dependent upon Issuer's
legal jurisdiction.
The option that holders will receive if they don't send an instruction: NOAC =
No Action
Voting Attendance Y, N If CAOP = PROX Defines the options available to voting participants in case CAOP = PROX.
Physical meeting attendance, Voting by Proxy, Voting by Correspondence
Voting Attendance
Identification
Name, ID Card/Passport Number,
Address to send card to
Agent Deadline (Final) [DATE], [TIME], [TIMEZONE] See ISMAG Recommendation on Agent
Deadlines in "CA Processing".
Disclosure Requested Y, N If more information on instructing party is
required and/or in case matching of
electronic instructions with Paper Forms is
required
Disclosure Level ICSD Participant, Final Beneficial
Owner
If Voting Attendance = Y Defines means for identification of Voting attendee and where the voting card
should be issued to, if required.
If more information on instructing party is
required and/or in case matching of
electronic instructions with Paper Forms is
required
Last day/time in the location of the Agent by when the Agent will accept
instructions about a given CA event
Defines if there is an obligation to disclose the customer name and account
details.
Defines if there is an obligation to disclose the name and account details of the
ICSD customer, their underlying clients or the Beneficial Owner (local
legislation)
Instruction Withdrawal Flag Y, N (blank) Indicates whether withdrawal of instruction is allowed M
Final Instruction Withdrawal
Deadline
[DATE], [TIME], [TIMEZONE] If different from Market/Agent Deadline Final date/time by when instruction withdrawals are permitted C
Expected Settlement Date [DATE] (blank) Date on which settlement of proceeds is expected, or in case of continuous
processing, the number of business days between the instruction and the
settlement of securities or payment
Early Deadline [DATE], [TIME], [TIMEZONE] If Early Deadline applicable First deadline in multiple period offer: day/time at which the issuer will accept
first period instructions about a given CA event
C
Early Deadline Incentive
Fee
[CCY], [PRICE] If Early Deadline applicable Additional cash amount payable for holders instructing in the Early Period C
Early Deadline for
Instruction Withdrawal
[DATE], [TIME], [TIMEZONE] If Early Deadline and Instruction Withdrawal
applicable
Agent Deadline (Early) [DATE], [TIME], [TIMEZONE] If different from 'Period of Action' early-end
date or 'Early Deadline' date/time
First deadline in multiple period offer: day/time at which the agent will accept
withdrawal of first period instructions about a given CA event
Last day/time at which the agent will accept instructions about a given CA
event for the Early Period
Early Fee Conditions Free text Conditions applicable to incentive fee
payment, in case Issuer proposes to pay an
early fee
Defines in which cases the Issuer will pay an early fee to holders C
Proceeds - Fee Voting Fee Y, N In case Issuer proposes to pay an incentive
fee to voting holders
Defines if the Issuer will pay a fee to voting holders for their participation in the
meeting
Voting Fee Conditions Free text Conditions applicable to incentive fee Defines in which voting cases, e.g. WITH MANAGEMENT [MNGT] on which
payment, in case Issuer proposes to pay an the Issuer will pay a fee to voting holders
incentive fee to voting holders
Voting Fee Deadline [DATE], [TIME], [TIMEZONE] In case Issuer conditions on a fee payable Deadline by when votes must have been cast in order to receive the incentive
define a particular response deadline, ahead fee
of the expected market deadline
Voting Fee Currency [CCY] In case Issuer proposes to pay an incentive
fee to voting holders
Voting Fee Amount [% of Nominal Amount Voted] In case Issuer proposes to pay an incentive
fee to voting holders
The ISO currency of the Issuer's incentive fee to voting holders for their
participation in the meeting
Defines if the Issuer will pay a fee to voting holders for their participation in the
meeting
Expected Settlement Date [DATE] (blank) Date on which settlement of proceeds is expected, or in case of continuous
processing, the number of business days between the instruction and the
settlement of securities or payment
Asset Servicing Checklists “C”: Notification Fields for Unpredictable Events • May 2010
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