SEARCH

HOW TO LOGIN • If you are logging into CATS for the first time depending on the environment use one of the following addresses. • Enter your Username. • Enter your Password. • Click on Sign In. The following screen is displayed, as below. To continue to the CATS Desktop. • Select the required entity from the Entity drop-down box. • Click the Launch button as displayed above. To view the Business Manual. • Select the CATS DEMO Manual button. The Java screen will be displayed, as below. The Downloading application screen will be displayed, as below. The Verifying application screen will be displayed, as below. The screen will be displayed, as below. Do you want to run this application? Select the box above. I accept the risk and want to run this application. • Click on Run to start the application. The screen will be displayed, as below. The CATS Desktop opens and the Diary screen will be displayed, as below.

HOW TO VIEW AND ACCESS SEARCHES From the main CATS desktop go to the My Homepage section. • Select the Searches option. The Searches screen is displayed, as below. The list of searches previously saved will be displayed, as above. • Double-Click on the search that you would like to view. The procedure is the same as described in the HOW TO MODIFY AN EXISTING CORPORATE ACTION in the CA EVENT CAPTURE AND CLEANSING section of the manual. If you double left-click on a saved Corp Action search, this will open it to view. If you right-click on a saved Corp Action search, there are several options: The key functions are: • Run – Will run the saved search and display it in the main CATS desktop. • Edit – Will open the Corp Action search panel to allow it to be edited. • Delete – Will remove the saved search from the list. • Schedule Report – Will open My search/All Events screen and allow you to Schedule a Report. • Extract – Will allow you to save to file. HOW TO VIEW AND ACCESS EXCEPTIONS From the main CATS desktop. Go to My Homepage section of the CATS desktop. • Select the Exceptions option. The Exceptions screen is displayed, as below. This displays a list of exceptions in the system e.g. 1(10) Cannot Calculate. The first number relates to the number of Corporate Actions e.g. 1. The second number (in brackets) relates to the number of exceptions e.g. (10). If you right click on an item in the list, there are two options: The key functions are: List CAs – provides a list of the CATS files containing those exceptions. List Exceptions – provides a list of the exceptions. • Select List CAs. The screen is displayed, as below. • Select List Exceptions. The screen is displayed, as below.

HOW TO VALIDATE A CORPORATE ACTION FROM THE MAIN CATS SCREEN • Select the Search menu. • Select Validate CAs. The Validate CAs screen will be displayed as below, for you to Validate CAs. The procedure is the same as described in the HOW TO VALIDATE A CORPORATE ACTION in the CA EVENT CAPTURE AND CLEANSING section of the manual. HOW TO VALIDATE A FILE FROM THE MAIN CATS SCREEN • Select the Search menu. • Select Validate Files. The Validate Files screen will be displayed as below, for you to Validate files. HOW TO ACCESS THE NEW CORPORATE ACTION SEARCH SCREEN FROM THE MAIN CATS SCREEN • Select the Search menu. • Select CA Search. The New Corporate Action Search screen will be displayed, as below. The procedure is the same as described in the HOW TO SEARCH FOR CORPORATE ACTIONS in the CA EVENT CAPTURE AND CLEANSING section of the manual. HOW TO SEARCH FOR AN ENTITLEMENT FROM THE MAIN CATS SCREEN • Select the Search menu. • Select Entitlement Search. The New Corporate Action Search screen will be displayed, as below. The procedure is the same as described in the HOW TO SEARCH FOR CORPORATE ACTIONS in the CA EVENT CAPTURE AND CLEANSING section of the manual.

HOW TO FIND ACCOUNT BY INTERNAL ID ACCOUNT Go to the CATS main screen. • Select Ref Search. • Select Find Account by Internal Id Account. The Input screen will be displayed, as below. • Enter an Internal Id Account. • Click OK. The Party Base screen will be displayed, as below. HOW TO FIND AN INTERNAL ID ACCOUNT NUMBER Go to the CATS main screen. • Select Static Data. • Select Parties. • Select Account. The Account screen will be displayed, as below. • Enter a Code or • Enter a partial Name. You can search for the name by entering a value in the Name field. You can use a % character for a wildcard search. For example: Ita% would list all names starting with the text Ita. Please note: A code or a partial name must be entered. • Click Search. The screen will be displayed, as below. The user should refrain from selecting search with no values entered. An error message saying too many rows would appear. The ID Account number can be found in the ID Account column. • Double click on one of the accounts. The Party Base screen is displayed, as below. This also shows the ID Account number. HOW TO FIND AUDIT RECORD BY ID Go to the CATS main screen. • Select Ref Search. • Select Find Audit Record by Id. The Input screen will be displayed, as below. • Enter an Id Input Event. • Click OK. The Audit Static screen will be displayed, as below. HOW TO FIND A CLAIM Go to the CATS main screen. • Select Ref Search. • Select Find Claim. The Input screen will be displayed, as below. • Enter a valid Claim Ref. • Click OK. The Claim screen will be displayed, as below. The procedure is the same as described in the HOW TO FIND A CLAIM in the CLAIMS AND RISK section of the manual. HOW TO FIND A CORP ACTION FROM CA REF Go to the CATS main screen. • Select Ref Search. • Select Find Corp Action from CA Ref. The Input screen will be displayed, as below. • Enter a valid CA Ref to Edit. • Click OK. The Corporate Action details are displayed in the screen, as below. The procedure is the same as described in the HOW TO FIND THE CORPORATE ACTION USING THE REF SEARCH FUNCTIONS in the CA EVENT CAPTURE AND CLEANSING section of the manual. HOW TO FIND A CORP ACTION FROM CA SOURCE REF Go to the CATS main screen. • Select Ref Search. • Select Find Corp Action from CA Source Ref. The Input screen will be displayed, as below. • Enter a valid CA Source Ref. • Click OK. The Corp Action screen will be displayed, as below. The procedure is the same as described in the HOW TO FIND CORP ACTION FROM CA SOURCE REF in the CA EVENT CAPTURE AND CLEANSING section of the manual. HOW TO FIND AN ENTITLEMENT Go to the CATS main screen. • Select Ref Search. • Select Find Entitlement. The Input screen will be displayed, as below. • Enter an Entitlement Ref. • Click OK. The Entitlement screen will be displayed, as below. HOW TO FIND AN EXTERNAL PAYMENT Go to the CATS main screen. • Select Ref Search. • Select Find External Payment. The Input screen will be displayed, as below. • Enter a valid External Payment Ref. • Click OK. The External Payment screen will be displayed, as below. HOW TO FIND FILE FROM THE CA REF Go to the CATS main screen. • Select Ref Search. • Select Find File from CA Ref. The Input screen will be displayed, as below. • Enter a valid CA Ref for Entity(CUST). • Click OK. The CATS CA file screen will be displayed, as below. The procedure is the same as described in the HOW TO FIND FILE FROM CA REF in the CA EVENT CAPTURE AND CLEANSING section of the manual. HOW TO FIND FILE FROM CA SOURCE REF Go to the CATS main screen. • Select Ref Search. • Select Find File from CA Source Ref. The Input screen will be displayed, as below. • Enter a valid CA Source Ref. • Click OK. The CATS CA file screen will be displayed, as below. The procedure is the same as described in the HOW TO FIND FILE FROM CA SOURCE REF in the CA EVENT CAPTURE AND CLEANSING section of the manual. HOW TO FIND FILE FROM INSTRUMENT NAME Go to the CATS main screen. • Select Ref Search. • Select Find File from Instrument Name. The Input screen will be displayed, as below. • Enter a valid Instrument Name. • Click OK. The CATS CA File screen will be displayed, as below. This function will search for a CATS file, on a corporate action on an instrument with this name. If found the CATS CA file screen is displayed, as below. If one cannot be found nothing is displayed. HOW TO FIND FILE FROM INSTRUMENT XREF Go to the CATS main screen. • Select Ref Search. • Select Find File from Instrument XRef. The Input screen will be displayed, as below. • Enter a valid Instrument XRef (e.g. Isin number). • Click OK. This function will search for a CATS file, on a corporate action on an instrument with this cross reference. If found the CATS CA file screen is displayed, as below. If one cannot be found nothing is displayed. HOW TO FIND INCOMING SWIFT Go to the CATS main screen. • Select Ref Search. • Select Find Incoming Swift. The Input screen will be displayed, as below. • Enter a valid CORP or SEME Ref. • Click OK. If the reference and swift(s) are found The SWIFT TREE FOR CORP/SEME will be displayed, as below. HOW TO FIND INPUT EVENT Go to the CATS main screen. • Select Ref Search. • Select Find Input Event. The Input screen will be displayed, as below. • Enter a valid Id Input Event. • Click OK. HOW TO FIND A NOTIFICATION Go to the CATS main screen. • Select Ref Search. • Select Find Notification. The Input screen will be displayed, as below. • Enter a valid Notification Ref (e.g. ID number). • Click OK. The Notification screen will be displayed, as below. HOW TO FIND OUTCOME BY ID Go to the CATS main screen. • Select Ref Search. • Select Find Outcome by Id. The Input screen will be displayed, as below. • Enter a valid Outcome Reference. • Click OK. The Entitlement Trade screen will be displayed, as below. HOW TO FIND PARTY DISPENSATION BY ID Go to the CATS main screen. • Select Ref Search. • Select Find Party Dispensation by Id. The Input screen will be displayed, as below. • Enter a Party Dispensation Id. • Click OK. HOW TO FIND PAYMENT Go to the CATS main screen. • Select Ref Search. • Select Find Payment. The Input screen will be displayed, as below. • Enter a valid Payment Ref. • Click OK. The Payment Control screen will be displayed, as below. HOW TO FIND A POSTING EVENT Go to the CATS main screen. • Select Ref Search. • Select Find Posting Event. The Input screen will be displayed, as below. • Enter a valid Posting Event Ref. • Click OK. HOW TO FIND A POSTING ID Go to the CATS main screen. • Select Ref Search. • Select Find Posting Id. The Input screen will be displayed, as below. • Enter a valid Posting Id. • Click OK. HOW TO FIND A TRADE Go to the CATS main screen. • Select Ref Search. • Select Find Trade. The Input screen will be displayed, as below. • Enter a valid Trade Ref for Entity(CUST). • Click OK. The Trade screen will be displayed, as below.

This provides a list of procedures for the capture and cleansing of corporate action announcements within the CATS application. HOW TO CREATE A NEW CORPORATE ACTION When you create Corporate Actions, it is against a master instrument reference (an ISIN) that would create corporate actions against all of the other cross references associated with that instrument. To create a corporate action from within the CATS application. • Select the Business menu. • Select Corp Action. • Select New Corp Action (Manual). The Corp Action New entry screen is displayed, as below. • Click the Lookup button in the Instrument Details section. The Which Instrument? screen will be displayed, as below. You can search for the selected instrument by entering a value in the Name field. You can use a % character for a wildcard search. For example: Ita% would list all instruments starting with the text Ita. You can search for the selected instrument by cross reference. • Select the XRef type from the XRef drop-down box and enter the X Reference value. • Select Search. Inactive instruments are included in the search if the check box is selected. The screen will be displayed, as below. • Highlight the required instrument. • Click Select. The screen will be displayed, as below. CATS holds a default set of required dates and values for each corporate action. From the drop-down box displayed, as below. • Select CA Type and select the type of corporate action you require. • Select New in the Diary section if there are any missing date types. The screen is displayed, as below. • Select Type from the drop-down box. • Enter Date. • Click Save. • Enter required dates for each Type in the diary section, as above. • Click on the Date. • Select View to view. • Select Edit to edit. • Select Delete to delete. The Value box of each Option and Type need to be completed as shown above. • Select New if there are any missing Types or delete any that are not required. • Select View to view. • Select Edit to edit. • Select Delete to delete. For example: • Click on Currency. The screen is displayed, as below. • Select the required Currency from the Type drop-down box. Complete any relevant Values for each Type. • Select the processing Value for the corporate action from the provided list of values or enter the information manually. • Click Save. The number and type of Options and Outcomes can be modified and more than one can be added per event. The Corp Action New screen will be displayed, as below. You must enter a value in the Source Ref field. To add text narrative to the event. • Click the Terms tab and enter text in the field provided. To add Documents to the event. • Click Attachments. • Click Save once all the relevant information has been added. The Are you sure? screen will be displayed, as below. • Click Yes to store any changes and to dismiss the screen. The corporate action is then available for validation in the Validate CAs queue. HOW TO MODIFY AN EXISTING CORPORATE ACTION You can access the screen to modify an existing Corporate Action through a number of methods. From the Main Diary View, if the diary task is associated with a corporate action. • Select the Diary Task. • Select Goto. • Select Edit Corp Action. The Corp Action screen will be displayed, as below. • Select the values that need modifying. • Click Save. The Are you sure? screen will be displayed, as below. • Click Yes to store any changes and to dismiss the screen. The corporate action is then available for validation in the Validate CAs queue. HOW TO MODIFY AN EXISTING CORPORATE ACTION FROM THE CATS CA SEARCH From the My Homepage, main CATS desktop. • Select Searches. • Select Corp Action. • Select the Corporate Action you want to modify by ticking the box in the S column. • Select Manage. • Click Edit. The Corp Action screen will be displayed, as below. Select the values that need modifying. • Click Save. The Are you sure? screen will be displayed, as below. • Click Yes to store any changes and to dismiss the screen. The corporate action is then available for validation in the Validate CAs queue. HOW TO CANCEL A CORPORATE ACTION You can cancel a corporate action, for example by selecting it from a list of corporate actions. From the Main Screen. • Select Open Events. • Select the Corporate Action you want to cancel by ticking the box in the S column. • Select Manage. • Select Cancel. The Corp Action screen will be displayed, as below. • Click Corp Action Cancel. The Are you sure? screen will be displayed, as below. • Click Yes. The corporate action is then available for validation in the Validate CAs queue. HOW TO VALIDATE A CORPORATE ACTION The validation of all Corporate actions, whether new announcements or modifications, are done from the Validate CAs screen. From the main CATS Desktop screen. • Select Validation. The corporate action Validate CAs screen will be displayed, as below. • Select the corporate action that is to be validated by clicking on the row. • Click Validate. The screen will be displayed, as below. To validate the corporate action. • Click Validate. This will dismiss the validation screen. To invalidate a corporate action. • Click Reject. This will, also, dismiss the validation screen. Invalidating a new corporate action will cancel the corporate action. Invalidating a modification to a corporate action will re-instate the previous version of the corporate action. WHAT HAPPENS WHEN A CORPORATE ACTION IS VALIDATED? CATS check if any business entities have interest in this corporate action. Where interest is any trades and/or positions. If there is interest, then CATS will create a CA File which is the main processing record for the corporate action in that business entity. If a CA File already exists, then a new one is NOT created. A CATS CA File has a unique reference in the system, this has the form. For example, ZZP/1208 is the main processing record for corporate action 1208 in entity ZZP. After creating the CA File CATS reprocesses the file. This is a term often referred to in relation to CATS. A reprocess is the collection of functions automatically performed by CATS to ensure the processing state of a corporate action is correct. HOW TO SEARCH FOR CORPORATE ACTIONS You can search for corporate actions using a variety of functions. VIA THE CA SEARCH SCREEN • Click on the CA Search button from the CATS desktop. The New Corporate Action Search screen is displayed, as below. • Enter a name in the Search Name field if the user wishes to save a particular CA search. • Click Save as New. Three types of corporate action search are available from this form. All – All corporate actions are listed based on the filters entered. Interesting – Only corporate actions interesting to business entities are listed. Select the business of interest from the Entity field in the Interest section. Status – Only corporate actions with a particular processing status are listed. The status is filtered using the controls in the Status section. Different types of corporate actions can be searched for. The filters are available in the Corp Action section of the form. Corporate actions for specific instruments can be searched for. The filters are available in the Underlying Instrument section of the form. By default, corporate actions with exceptions are listed. To remove these from the list set the Flg Exceptions field to N in the Filters section. By default, cancelled corporate actions are listed. To exclude these from the list set the Include Cancellations field to N in the Filters section. The saved search appears in the list of Corp Action Searches in the My Homepage section of the CATS desktop. VIA THE SEARCH FIELD FROM THE CATS HOME PAGE There are several search options available from this field. • Press F2 to come directly to this field and place a ':' in it for an instrument search. For example, entering :XX1234567890 [where XX1234567890 represents an ISIN] would perform a search for all Interesting corporate actions on this security. • Press F3 to come directly to this field and clear the field for another search. You can enter a CATS CA file reference or trade reference. You can also prefix with an entity reference for example CUST/3660. Where CUST is the entity code and 3660 is the corporate action reference id. As in the example above right. HOW TO FIND THE CORPORATE ACTION USING THE REF SEARCH FUNCTIONS HOW TO FIND CORP ACTION FROM THE CA REF There are four options available. From the main CATS desktop. • Select Ref Search menu. • Select Find Corp Action from CA Ref. The Input screen will be displayed, as below. • Enter a valid CA Ref to Edit. • Click OK. The Corporate Action details are displayed in the screen, as below. HOW TO FIND CORP ACTION FROM CA SOURCE REF From the main CATS desktop. • Select Ref Search. • Select Find Corp Action from CA Source Ref. The Input screen will be displayed, as below. • Enter a valid CA Source Ref. • Click OK. The Corp Action screen will be displayed, as below. HOW TO FIND FILE FROM CA REF From the main CATS desktop. • Select Ref Search. • Select Find File from CA Ref. The Input screen will be displayed, as below. • Enter a valid CA Ref for Entity(CUST). • Click OK. The CATS CA file screen will be displayed, as below. • Click the Corp Action tab. From the CATS CA File screen, you can also find the CA Source Ref. The source reference is the value displayed on the corporate action screen in the Source Ref field. As per the example below. HOW TO FIND FILE FROM CA SOURCE REF From the main CATS desktop. • Select Ref Search. • Select Find File from CA Source Ref. The Input screen will be displayed, as below. • Enter a valid CA Source Ref. • Click OK. The CATS CA file screen will be displayed, as below. HOW TO FIND THE CORPORATE ACTION REFERENCE ID This reference Id can be found by several methods. It is the numeric part of the CATS corporate action file reference. In this example below, the unique corporate action reference Id is 4323. From the main CATS desktop. • Double click on the required row. The screen will be displayed as below, with the CA Ref in the top left-hand corner. The corporate action reference Id is the unique reference number CATS uses for this corporate action. It is NOT the reference Id from any external feed or system. This reference Id is created by CATS and unique for that corporate action REGARDLESS of any business entity processing. Go to the CATS main screen and the reference Id can also be found by selecting the Open Events screen. • Select Open Events. The Open Events screen will be displayed, as below. The corporate action reference ID column is shown, as below. HOW TO ADD ELECTION MINIMUM AND ELECTION MULTIPLE VALUES From the Main Diary View. • Select the required Diary Task. • Select Goto. • Select Edit Corp Action. The Corp Action screen will be displayed, as below. • Select the Event tab. • Select New. The screen will be displayed, as below. There are the following options. • Select Type Election Minimum from the drop-down box. • Enter a Value. • Select Save or • Select Type Election Multiple from the drop-down box. • Enter a Value. • Select Save. Please Note: This will then need to be validated by a supervisor.

HOW TO BLOCK A FILE FROM THE MAIN CATS SCREEN • Select the required file. • Select Action menu. • Select Block Request. NB: The same user cannot make the Block Request and then the Validation. The Validation has to be done by a different user. • To Block a file the process status MUST always be OK, as below. The screen will be displayed with the process status of Block Request, as below. NB: The file then requires validation by a different user. • Select the Validation menu. • Select Validate Files. The screen will be displayed, as below. • Select the file you wish to validate from the list. • Select Validate. The screen will be displayed, as below. • Select Validate. The screen will be displayed with a process status of Blocked, as below. The file is then Blocked. HOW TO UNBLOCK A FILE FROM THE MAIN CATS SCREEN • Select the required file. • Select Action menu. • Select UnBlock Request. NB: The same user cannot make the UnBlock Request and then the Validation. The Validation has to be done by a different user. • To UnBlock a file the process status MUST always be Blocked, as below. The screen will be displayed with the process status of UnBlock Request, as below. NB: The file then requires validation by a different user. • Select the Validation menu. • Select Validate Files. The screen will be displayed, as below. • Select the file you wish to validate from the list. • Select Validate. The screen will be displayed, as below. • Select Validate. The screen will be displayed with a process status of OK, as below. The file is then UnBlocked.

HOW TO CANCEL A FILE FROM THE MAIN CATS SCREEN • Select the required file. • Select Action menu. • Select Cancelled Request. NB: The same user cannot make the Cancelled Request and then the Validation. The Validation has to be done by a different user. The Message screen will be displayed, as below. • Select OK. The screen will be displayed with the process status of Cancel Request, as below. NB: The file then requires validation by a different user. • Select the Validation menu. • Select Validate Files. The Validate Files screen will be displayed, as below. • Select the file you wish to validate from the list. • Select Validate. The screen will be displayed, as below. • Select Validate. The screen will be displayed with a process status of Cancelled, as below. The file is then Cancelled. HOW TO UNCANCEL A FILE IMPORTANT INFORMATION – Before a file can be cancelled the user has to make sure that the event is in a non-cancelled status. If the event is cancelled the following steps/process will have NO effect on the file. FROM THE MAIN CATS SCREEN • Select the required file. • Select Action menu. • Select UnCancel Request. NB: The same user cannot make the UnCancel Request and then the Validation. The Validation has to be done by a different user. The Message screen will be displayed, as below. • Select OK. The screen will be displayed with the process status of UnCancel Request, as below. NB: The file then requires validation by a different user. • Select the Validation menu. • Select Validate Files. The Validate Files screen will be displayed, as below. • Select the file you wish to validate from the list. • Select Validate. The screen will be displayed, as below. • Select Validate. The screen will be displayed with a process status of Initializing, as below. The file is then UnCancelled.

This provides a list of procedures for the diary and task processing associated with corporate actions within the CATS application. Note: The terms diary item and diary task are used interchangeably. Diary information is available from two places. The main diary view and the file diary view. HOW TO DETERMINE THE STATUS OF A PARTICULAR TASK The status of a diary task is displayed in two ways. Through a text description and the colour of the diary items in the diary views. The colour coding for a diary task are: HOW TO ALLOCATE DIARY TASKS Diary items can be allocated from the main diary view or the file diary view. NOTE: Some diary tasks can only be performed by a Supervisor. HOW TO ALLOCATE TASKS FROM THE MAIN DIARY VIEW • To assign a single task to a user, select the diary item in question. • Click the Workflow button. • Select Task Allocate. The Choose User screen will be displayed, as below. • Select the user you wish to allocate the task to. • Click OK. MULTIPLE ALLOCATIONS CAN ALSO BE PERFORMED AT ONCE From the Main Diary View. NOTE: Some diary tasks can only be performed by a Supervisor. • Click the Status button. • Select the Multiple option. The Multiple Diary Changes screen will be displayed, as below. • To allocate multiple changes hold down the Ctrl button on your keyboard and click on the ones you wish to allocate. • Click Select. • Select All. • Select Task Allocate. The Confirm Allocation Change screen will be displayed, as below. To confirm the Allocation Changes and carry on. • Click Yes. The Choose User screen will be displayed, as below. • Select the user you wish to allocate the task to. • Click OK. From the CATS CA file screen. • Select the Work tab. The screen will be displayed, as below. • Select the Diary tab. The screen will be displayed, as below. • Click Status. • Select Multiple. The Multiple Diary Changes screen will be displayed, as below. • Select the diary items you wish to assign by pressing the Ctrl button on your keyboard and click on the rows you wish to allocate. • Click Select. • Select All. • Select Task Allocate. The Confirm Allocation Change screen will be displayed, as below. • Click Yes to continue. The Choose User screen will be displayed, as below. • Select the user you wish to allocate the task to. • Click OK. HOW TO ALLOCATE A TASK TO YOURSELF From the CATS CA file screen shown below. • Select the Work tab. The screen will be displayed, as below. • Select the item and highlight the row. • Select Workflow. • Select Task Allocate To Me. HOW TO UNALLOCATE DIARY TASKS As with diary task allocation, items can be unallocated from the main diary view, file diary view or from the workflow tool on the Tasks tab of the CATS My Homepage. HOW TO UNALLOCATE A SINGLE TASK FROM A USER From within the CATS CA File screen. • Select the Work tab. The screen will be displayed, as below. • Select the diary item in question. • Select Workflow. • Select Task UnAllocate. HOW TO UNALLOCATE MULTIPLE TASKS Un-allocating tasks from the main diary view. NOTE: Some diary tasks can only be performed by a Supervisor. • Click Status. • Select the Multiple option. The Multiple Diary Changes screen will be displayed, as below. To unallocate multiple tasks hold the Ctrl button on your keyboard and click on the ones you wish to unallocate. • Click Select. • Select All. • Click Task UnAllocate. The Confirm Allocation Change screen will be displayed, as below. To confirm the allocation changes. • Click Yes. HOW TO ADD A NEW TASK FOR THE PROCESSING OF A CORPORATE ACTION Adding a new task is performed from the Entity Corp Action Type Config screen. From the main CATS desktop screen. • Click the Static Data menu. • Select Internal. • Select the Entity Corp Action Type Config option. This displays the Entity Corp Action Type Config screen, as displayed below. • Select the corporate action you wish to add the new task for. • Click the Edit button. The Entity CA Type Processing screen is displayed, as below. To add a new diary task. • Click New. The Entity CA Type Diary Map Item New screen is displayed, as below. • Add the label to be displayed on the CATS screens for this task in the Tx Diary Date field. • Use the spin control next to the Offset field to determine the number of days from the Id CA Date Type field to create the diary task. • Select the corporate action date type from the IdCADateType drop down list. • Set the task priority from the Id Priority field. • Set the task type from the Id Item Type field. P for a processing task and T for a linked diary task. • Select the relevant diary from IdDiary. • Click Save to create the new diary task. • Click Close to dismiss the Entity CA Type Diary Map Item New screen. The new diary task would be created in a CATS CA file the next time that file is reprocessed. HOW TO ADD AN “AD-HOC” DIARY TASK “Ad-hoc” diary items can be added from the file diary view. • Select the Work tab. The screen will be displayed, as below. • Select the Diary Tab. The screen will be displayed, as below. • Select Task. • Select New. The Select A User Diary screen will be displayed, as below. • For example, select the Custody Automated Diary option. The Diary Item New screen is displayed, as below. • Allocate the task to the relevant diary by selecting from Id Diary. • Enter the date of the task in the Date Task field. • Enter the time required in the Time field (e.g. HH:MM). • Enter the details of the task in the Text box. • Click Save to save the task and dismiss the dialog box. HOW TO COMPLETE A DIARY TASK If the diary task is assigned to a particular user, that user would complete a diary task. From the file diary view. • Select the Work tab. The screen will be displayed, as below. • Select the Diary tab. The screen will be displayed, as below. • Click on the diary item in question to highlight it in the list. • Select Status. • Select Complete. Multiple diary tasks can be completed in one action from the Main Diary view. • Click Status. • Click Multiple. The Multiple Diary Changes screen is displayed, as below. • Select the diary items you wish to complete by ticking the box in the S column. • Click Complete. • Click Close. HOW TO CANCEL A DIARY TASK If the diary task is assigned to a particular user, that user would cancel a diary task. From the main diary. NOTE: Some diary tasks can only be performed by a Supervisor. • Click on the diary item in question to highlight it in the list. • Select Status. • Select Cancel. From within the CATS CA File Screen. • Select the item in question and highlight the row. • Click Status. • Select Cancel. MULTIPLE DIARY TASKS CAN BE CANCELLED IN ONE ACTION From the Main Diary Screen. NOTE: Some diary tasks can only be performed by a Supervisor. • Click on the diary item in question to highlight it in the list. • Click Status button. • Select Multiple. The Multiple Diary Changes screen is displayed, as below. • Hold the Ctrl key and select the ones you wish to cancel. • Click Select. • Select All. • Select the Cancel button to cancel the diary items. The Confirm Status Change screen will be displayed, as below. • Click Yes to confirm. • Select No to dismiss the Confirm Status Change screen. In certain cases, diary items can also be cancelled automatically by the system. When a CATS CA File is cancelled any incomplete diary items will be cancelled automatically.

This provides a list of procedures for additional functions within the CATS application. Certain functions may be restricted by the permissions allocated to individual users. HOW TO ADD NEW DEPOT STATIC DATA • Select the Static Data menu. • Select Parties. • Select Account. The Account screen is displayed, as below. • Select the Entity required e.g. Custody. • Select the Type required from the drop-down box e.g. Depot. • Click Search. The Depot search screen is displayed, as below. • Select New to add a new Depot. The New Depot screen is displayed, as below. • Add Code in the Code field. • Add Short Name in the Short Name field. • Add Long Name in the Long Name field. • Add any other details required. • Select Save. The editing of agent, book, client, counterparty (old), entity, tax authority, user and depot static uses similar screens so there is some overlap in the descriptions provided. HOW TO EDIT BOOK STATIC DATA • Select the Static Data menu. • Select Parties. • Select Account. The Account screen is displayed, as below. • Select the Entity required e.g. Custody. • Select the Type required from the drop-down box e.g. Book. • Select Search. The Book search screen is displayed, as below. • To find the required book enter a name in the Name field or the CATS Book identifier in the Code field. • Select Search to list the books. To edit a particular book. • Select the book from the list. • Click Edit. Note: It is possible to enter wildcard searches in the Name and Code field. G’%’ character is the wild card character. For example, entering G% in the Code field would search for all Books with a name starting with the letter G. The searches are case sensitive. If there is too much data being returned when searching, an error message will be displayed stating a maximum of 1,000 rows can only be returned and the user needs to apply more filters to run the search. The Party Base screen is displayed, as below. To edit book settlement static. • Select the Settlement tab. • Select the settlement item to edit. • Click Edit. The Party Settle screen is displayed, as below. Modify the settlement information as required. • The IdSettleType field must be set to Corporate Action. • Set the IdSettleReason field to Claim if the settlement details are for a claim or Entitlement if for entitlement advices. Set to All if the settlement details are to be included in all searches. • If the settlement details are only to be used for a particular instrument type, then select that type from the IdInstType field. Leave blank if the settlement details are to be used for all instrument types. • If the settlement details are only to be used for a particular currency, then select that from the IdCurrency field. Leave blank if the settlement details are to be used for all currencies. • If the settlement details have some specific filtering applied. Set the FlagFilter field to Y and enter the filter description in the Filter Field. The actual filter requirements should be discussed with your CATS Support Team. • CATS can support a number of different settlement methods. Select the required method from the Settle Method field. • To select a particular settlement account category set the value from the IdSettleCategory field. • The other values entered will be dependent upon the Settle Method selected. • Click Save. This will dismiss the Party Settle screen and save the settlement information. Please Note: This will need to be validated by a supervisor. To create or edit select book communication information. • Select the Communication tab. The Party Base screen will be displayed, as below. • Click New to create a new communication item, or • Click Edit to change an existing one. The PartyCommNew screen is displayed, as below. Confirm the following: • The IdCommType field must be set to Corporate Action. • Set the IdCommReason field to the reason for the communication. • If the communication details are only to be used for a particular instrument type, then select that type from the IdInstType field. Leave blank if the communication details are to be used for all instrument types. • If the communication details have some specific filtering applied. Set the FlagFilter field to Y and enter the filter description in the filter field. The actual filter requirements should be discussed with your CATS Support Team. CATS can support several different settlement methods. Select the required method from the Comm Method field. • The other values entered will be dependent upon the Comm Method selected. • Click Save. This will dismiss the PartyCommNew screen and save the communication information. The Party Base Screen will be displayed, as below. To edit specific configuration information. • Select the Configuration tab. • Select the configuration item to edit. • Click Edit. The PartyConfig screen is displayed, as below. • Set the ConfigName field to the required configuration item. • Set the ConfigValue field to the required configuration value Y or N. • Set a period that the configuration is valid for in the PeriodStart and PeriodEnd fields. • Select the Save button. This will dismiss the PartyConfig screen and save the configuration information. • To edit book cross reference information, select the Cross Reference tab. • To edit book specific diary items, select the Diary tab. The dispensation tab is not used for Book static. • To edit Book specific properties, select the Property tab. • To edit any roles for the book, select the Role tab. HOW TO EDIT AGENT STATIC DATA • Select the StaticData menu. • Select Parties. • Select Account. The Account screen is displayed, as below. • Select the Entity required e.g. Custody. • To edit a particular agent, select the Type from the drop-down box e.g. Agent. • Click Search. The Agent search screen is displayed, as below. • To find the required Agent enter a Name in the Name field or the CATS Agent identifier in the Code field. • Click Search, to list the agents. Note: It is possible to enter wildcard searches in the Name and Code field. A’%’ character is the wildcard character. For example, entering A% in the Code field would search for all Agents with a name starting with the letter A. The searches are case sensitive. The Agent edit screen is displayed, as below. • To edit a particular agent, select the agent from the list. • Click Edit. The Party Base screen is displayed, as below. The editing of Settlement, Communication, Configuration, Cross Reference, Diary, Property, Dispensation and Role information is as described in the above for book static. HOW TO EDIT COUNTERPARTY (OLD) STATIC DATA • Select the Static Data menu. • Select Parties. • Select Account The Account screen is displayed, as below. • Select the Entity required e.g. Custody. • Select the Type required from the drop-down box e.g. Counterparty(Old). • Click Search. The Counterparty(Old) search screen is displayed, as below. • To find the required Counterparty(old) enter a name in the Name field or the CATS Counterparty(old) identifier in the Code field. • Click Search to list the counterparties. Note: It is possible to enter wildcard searches in the Name and Code field. A’%’ character is the wild card character. For example, entering A% in the Code field would search for all counterparties with a name starting with the letter A. The searches are case sensitive. If there is too much data being returned when searching, an error message will be displayed stating a maximum of 1,000 rows can only be returned and the user needs to apply more filters to run the search. To edit a Counterparty. • Select the Counterparty. • Click Edit. The Counterparty(Old) edit screen is displayed, as below. The editing of Settlement, Communication, Configuration, Cross Reference, Diary, Property, Dispensation and Role information is as described in the above for book static. HOW TO EDIT DEPOT STATIC DATA • Select the StaticData menu. • Select Parties. • Select Account. The account screen is displayed, as below. • Select the Entity required e.g. Custody. • Select the Type required from the drop-down box e.g. Depot. • Click Search. The Depot search screen is displayed, as below. • To find the required Depot enter a Name in the Name field or the CATS Depot identifier in the Code field. • Click Search, to list the depots. Note: It is possible to enter wildcard searches in the Name and Code field. A’%’ character is the wildcard character. For example, entering A% in the Code field would search for all Depots with a name starting with the letter A. The searches are case sensitive. To edit a particular depot. • Select the Depot. • Click Edit. The Depot edit screen will be displayed, as below. The editing of Settlement, Communication, Configuration, Cross Reference, Diary, Property, Dispensation and Role information is as described in the above for book static. HOW TO EDIT ENTITY STATIC DATA • Select the StaticData menu. • Select Parties. • Select Account. The Account screen is displayed, as below. • Select the Entity required e.g. Custody. • Select the Type required from the drop-down box e.g. Entity. • Click Search. The Entity search screen is displayed, as below. • To find the required Depot enter a Name in the Name field or the CATS Depot identifier in the Code field. • Click Search to list the entity. Note: It is possible to enter wildcard searches in the Name and Code field. A’%’ character is the wildcard character. For example, entering A% in the Code field would search for all Depots with a name starting with the letter A. The searches are case sensitive. To edit the entity. • Select the required entity from the list. • Click Edit. The editing of Settlement, Communication, Configuration, Cross Reference, Diary, Property, Dispensation and Role information is as described in the above for book static. HOW TO EDIT REGION STATIC DATA • Select StaticData menu. • Select Parties. • Select Account. Note: This should only be modified after discussion with The Corporate Action Company. HOW TO EDIT TAX AUTHORITY STATIC DATA • Select StaticData menu. • Select Parties. • Select Account. The Account screen is displayed, as below. • Select the Entity required e.g. Custody. • Select the Type required from the drop-down box e.g. Tax Authority. • Click Search. • Select the row. • Click Edit. The editing of Settlement, Communication, Configuration, Cross Reference, Diary, Property, Dispensation and Role information is as described in the above for book static. Note: This should only be modified after discussion with The Corporate Action Company. HOW TO EDIT USER STATIC DATA • Select StaticData menu. • Select Parties. • Select Account. The Account screen is displayed, as below. • Select the Entity required e.g. Custody. • Select the Type required from the drop-down box e.g. User. • Click Search to list the users. The User search screen is displayed, as below. To edit the user. • Select the User you wish to edit. • Click Edit. The Party Base screen will be displayed, as below. The editing of Settlement, Communication, Configuration, Cross Reference, Diary, Property, Dispensation and Role information is as described in the above for book static. HOW TO EDIT INSTRUMENT STATIC DATA • Select StaticData menu. • Select Instrument. • Select Instrument. The blank Instrument search screen is displayed, as below. • Click Search to list the instrument. The Instrument search screen is displayed, as below. To edit the instrument. • Select the Instrument from the list. • Click Edit. The Instrument edit screen will be displayed, as below. HOW TO ADD NEW INSTRUMENT XREF After finding the Instrument (as shown previously, above). • Select New XRef. The Instrument XRef New screen will be displayed, as below. HOW TO EDIT EXCHANGE RATES STATIC DATA • Select the StaticData menu. • Select Instrument. • Select Exchange Rates. The Exchange Rates screen is displayed, as below. • Select Edit. The Exchange Rate screen will be displayed, as below. • Select IdCurrFrom. • Select IdCurrTo. • Enter the Rate. • Click Save. The new rate will be displayed in the Exchanged Rates file below. HOW TO EDIT PLACE STATIC DATA • Select the StaticData menu. • Select Location. • Select Place. This lists all the Places configured for this entity, as displayed below. • Select the New tab to create a new country. The Place New edit screen will be displayed, as below. HOW TO EDIT CALENDAR STATIC DATA • Select StaticData menu. • Select Location. • Select Calendar. The Calendar screen is displayed, as below. • Click New to create a new calendar. The Bus Day Calendar New screen is displayed, as below. • Enter relevant information in the first two boxes e.g. below. • MK: __ • Calendar: __ • Click New. The screen is displayed, as below. • Enter Id countries in the IdCalendar. • Enter the date in BusDayDate. • Enter the type in BusDayType, example H. • Enter the Description, example Easter, as displayed above. • Select Save or Close. Or, from the Calendar screen. • Select required row. • Click Edit. The Bus Day Calendar screen is displayed, as below. • Alter the present information if you wish to and select Save to store the changes. • Select Close to cancel the changes and dismiss the dialog box. HOW TO EDIT CURRENCY STATIC DATA • Select StaticData menu. • Select Instrument. • Select Currency. A list of all currencies will be displayed, as below. • Select the required currency from the list. • Select Edit. The Currency screen is displayed, as below. • Set the currency ISO Code in the ISO Code field. • Set the currency name in the Name field. • Set the number of decimal places that currency will be processed within CATS within the Decimals field. • If the currency is processed within CATS set the Active field to Y or set to N if the currency is not processed within CATS. • Where the currency has a fixed conversion rate to Euro set the value in the Rate To Euro field. • Select Save to store the changes. • Select Close to cancel the changes and dismiss the dialog box. HOW TO VALIDATE EDITED STATIC DATA Static data changes are typically validated by a different user from the one that made the data change. • Select Validation menu. • Select Validate Non-CA Modifications. The list of pending static data changes is displayed in the Static Validation screen shown below. • Double click on the item to be validated. The AuditStatic screen will be displayed, as below. • Select View Old Object or • Select View New Object or • Click Close. Details of the change are highlighted on this screen. To accept the change. • Select the Accept change or the Accept change option from the Validate menu. The Validate the displayed change? screen is displayed, as below. • Select Validate the displayed change. The Information screen is displayed, as below. • Click OK to validate the change. Using Accept change will mean that the new version of the object is used with the CATS processing. • Select Do nothing and the change is NOT accepted. No action is taken. • Select Validate the displayed change to accept the change. The change is therefore applied to the CATS processing. To reject the change. • Select the Reject change button or the Reject change option from the Validate menu. Rejecting the change will mean that the old version of the object is used with the CATS processing. The Reject the displayed change? dialog box is displayed, as below.

This provides a list of procedures covering access to a corporate actions stock record within the CATS application. WHERE TO FIND STOCK RECORD INFORMATION Stock record information is located within the CATS CA File screens. HOW TO FIND A SUMMARY OF THE STOCK RECORD INFORMATION First, find the appropriate CATS CA file by either: • Select Open Events. Enter the relevant CA reference number in the Search box as below. • Or, from the main Diary screen open the required CATS CA File by double clicking on any item in the list provided. When the CATS CA File screen opens. • Go to the Summary tab. Depending upon the event type, the summary screen can differ. By default, for non-electable events the summary screen will contain two tables. As illustrated below. The left-hand table showing a stock record summary. The right-hand side showing an outstanding summary of payable/receivable event outcomes. For electable events an additional table is displayed in the summary screen. This provides a summary of the current elections required/made in the system. Reconciliation issues being highlighted in red. HOW TO FIND THE DETAILED STOCK RECORD INFORMATION Open the required CATS CA File screen. • Click the Entitlements tab. The screen will be displayed, as below. • For the stock record of Agent positions select the Depots tab. The screen will be displayed, as below. HOW TO GET A REPORT OF THE ENTITLED STOCK RECORD Open the required CATS CA File screen. • Go to the Entitlements tab. • Select the Report button. • Select the Overview option. • Select the Report button. • Select the Overview option. The overview report is previewed in its own window, as below. To print this overview report, • Select the Print button. You can export this report via several methods. • To save this report in PDF format select the Export button. • Select As PDF option. The Select Report File Name screen will be displayed, as below. • Enter the file name required. • Select PDF only in the Files of type drop-down list. • Select the Save button. The Save Completed screen will be displayed, as below. When the file is created, you can open the file automatically. • Select Yes in the Save Completed dialog box. • Select No to dismiss this option. • To save this report as an encrypted PDF select the Export button and As Encrypted PDF option. • To save this report in comma separated format select the Export button and As CSV option. • To save this report in Microsoft Excel format select the Export button and As XLS option. • To save this report in HTML format select the Export button and As HTML option. • To send the report using the standard email system select the Send button and As Standard Email option. • To send the report using the CATS email system select the Send button and Via Cats Email option HOW TO CHANGE THE CONFIGURATION OPTIONS FOR STOCK RECORD GENERATION It is possible to change the time, within a corporate actions lifecycle, that the stock record is generated. This configuration is per event type and per business entity. From the main CATS desktop. • Select the Static Data menu. • Select the Internal menu. • Select the Entity Corp Action Type Config option. The Entity Corp Action Type Config screen is displayed in the Main CATS desktop, as below. • Select the required event type from the list. • Select the Edit button. The Entity CA Type Processing screen is displayed, as below. • To calculate the stock record, the FlgPosition flag must be Y. The IdDaysAheadPredict value details how many business days prior to the entitled date of the event that the stock record will be generated. • Click the Save button to store any changes or • Click the Close button to dismiss this dialog box. Any changes take effect the next time any appropriate CATS CA File is reprocessed. HOW TO MANUALLY ADJUST POSITIONS WITHIN THE STOCK RECORD BOOK/CLIENT SETTLED POSITIONS Open the required CATS CA File screen. • Go to the Entitlements tab. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select DPO or DPT row from the Type column that requires adjustment. • Select Override option. • Select Apply Override. The What do you want to Override? screen is displayed, as below. • Select the Stock Record Information option using the drop-down box. • Click OK. The Choose an Override screen is displayed, as below. • Select Adjust Position Value using the drop-down box. • Click OK. The Enter Values screen will be displayed, as below. • Enter details in Position Offset box and any associated notes in the Reason for Override section. • Select Finish to apply the override. • Select Cancel to dismiss the dialog without applying the override. AGENT SETTLED POSITIONS Open the required CATS CA File screen. • Go to the Depots tab. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select the Agent position line that requires adjustment. • Select the Position column. • Select the Override button and the Apply Override option. The What do you want to Override? screen is displayed, as below. • Select the Stock Record Information option using the drop-down box. • Click OK. The Choose an Override screen is displayed, as below. • Select Adjust Position Value using the drop-down box. • Click OK. The Enter Values screen will be displayed, as below. • Enter details in Position Offset box and any associated notes in the Reason for Override section. • Select Finish to apply the override. • Select Cancel to dismiss the dialog without applying the override. HOW TO VIEW INDIVIDUAL TRADES WITHIN THE STOCK RECORD • Open the required CATS CA File screen. • Go to the Entitlements tab. • Double click on any entitlement line that is a trade. The Trade view screen will be displayed, as below. It is also possible to find an individual trade using CATS enquiry functions. • Select Ref Search. • Select Find Trade. The Input screen will be displayed, as below. • Enter a Trade Ref for Entity(CUST). • Click OK. The Trade view screen will be displayed, as below.

Various reconciliation options are available. INTERNAL RECONCILIATION This is between pieces of data provided to CATS which can be checked for consistency. • Book/Client Position Reconciliation. • Agent Position Reconciliation. • Book/Client Outcome Reconciliation. • Agent Outcome Reconciliation. EXTERNAL RECONCILIATION These checks can be done outside of CATS with data on external systems or the outside world. • Open Trade Reconciliation. • Open Claim Reconciliation. • Account Balance Reconciliation. This provides a list of procedures covering the internal reconciliation functions within the CATS application. External reconciliation functions are out of scope of this document. HOW TO DETERMINE THERE ARE INTERNAL RECONCILIATION ISSUES CATS will display reconciliation issues as exceptions. Stock record reconciliation issues will be displayed in several places. VIA THE EXCEPTION OVERVIEW • Select the Exceptions tab from the CATS main screen. By default, reconciliation exceptions are displayed as system level exceptions. WITHIN THE CATS CA FILE SCREEN Open the CATS CA File screen. • Select the Summary tab. Reconciliation exceptions are shown as red items on the summary screen. • Go to the Entitlements tab and Depots tab for more detailed views of the issues. In all cases the reconciliation issues are highlighted in red, as displayed below. • Go to the Exceptions tab. The exceptions associated with reconciliation issues for the particular CATS CA file only are displayed here, as below. HOW TO CONFIGURE DIFFERENT RECONCILIATION RULES From the main CATS desktop. • Select the Static Data menu. • Select the Internal menu. • Select the Entity Corp Action Type Config option, as below. The Entity Corp Action Type Config screen is displayed in the main CATS desktop, as below. • Select the required event type from the list. • Select the Edit button. The EntityCATypeProcessing screen is displayed, as below. • Select the reconciliation option in the FileReconciler field. • Press the Save button to store any changes. • Press the Close button to dismiss this dialog box. Any changes take effect the next time any appropriate CATS CA file is reprocessed. HOW TO MANUALLY CORRECT CATS TO ALLOW RECONCILIATION Reconciliation issues are addressed, manually, by the use of overrides. The procedure is the same as described in the HOW TO MANUALLY ADJUST POSITIONS WITHIN THE STOCK RECORD in the ENTITLED STOCK RECORD section of the manual.

HOW TO ADD A NEW TRADE FROM THE MAIN CATS SCREEN • Select the Business menu. • Select Trade. • Select New. The Trade Modification Warning message screen will be displayed, as below. • Click OK. The Trade New screen will be displayed, as below. • Enter the Entity from the options using the drop-down box. • Enter the Trade Type from the drop-down box. • Enter the Trade Source e.g. MAT. • Enter a new unique Trade Ref. • Enter the Stock – enter the amount of shares. • Enter Cash – enter cash consideration. Leaving this field blank will not stop the trade from being created but may have other processing impact. • Select Settle Ccy – enter currency that trade was booked and settled with, from the drop-down box. • Enter the External Ref – The Trade reference which will be recognised by external parties. This could be the same as the Trade Ref. • Enter the Trade Date – enter date of trade. If trade is to form part of a Corporate Action event then relevant dates will need to be added. • Enter the Settle Date – enter date of intended settlement. If trade is to form part of a Corporate Action event then relevant dates will need to be added. • Enter the Close Date – enter the date that the trade actually settled/closed. If trade is to form part of a Corporate Action event then relevant dates will need to be added. • Enter Conditions from the drop-down box OR this can be left blank. Leaving this field blank will not stop the trade from being created but may have other processing impact. • Enter Front Office Book – choose the relevant book that the trade was booked on. User may need to check in relevant trading/settlement system. Leaving this field blank will not stop the trade from being created but may have other processing impact. • Enter Back Office Book – leaving this field blank will not stop the trade from being created but may have other processing impact. • Enter Depot – enter the relevant depot code e.g. 22449. • Enter Lend Rq Rate – enter the dividend rate as per trade booking e.g. the dividend rate that will be used to calculate any cash dividends within an event. • Enter Trade Source from the drop-down box. • Enter the Ref from the drop-down box e.g. Isin, select Lookup and continue below OR • The user can enter code in the field next to Ref and then select Lookup – a pop will then detail any codes connected with the entered number. The user can then highlight the relevant row and choose Select. The following fields, Name, Mkt, Isin and Id will then be automatically populated. The Which Instrument? screen will be displayed, as below. • Select the row you want to use. • Click Select. The Trade New screen will be displayed, as below. • Enter in Trading Party Type B or C, depending whether the trading party is a Book (B) or Counterparty (C). • Enter Trading Party Id – enter relevant code. • Enter in Counterparty Type B or C, depending whether the trading party is a Book (B) or Counterparty (C). • Enter relevant code in Counterparty Id. • Click Save. To complete the posting the settlement needs to do be done for the same trade. From the CATS Main Diary page. • Select Ref Search. • Select Find Trade. The Input screen is then displayed, as below. • Enter the relevant Trade Ref for Entity(CUST). This is the trade reference that was used and entered in the previous steps. • Click OK. The Trade screen will be displayed, as below. Please note: If there are no trade/settlement postings, the trade would not feed into any relevant event at this stage. • Select New Posting.   The Posting New screen is displayed, as below. The IdEntity, TradeRef and IdDepot fields will have populated automatically. • Select the required IdPostingType New Trade Posting from the drop-down box. • If no postings exist, then user should select New Trade Posting as the first step. • Enter relevant date in DtValue. Please note: If trade is to form part of a Corporate Action event then relevant dates will need to be added. • Enter relevant trade amount in AmountStock. Normally this would be the same amount as the original trade amount. • Enter the relevant cash consideration amount in AmountCash. Leaving this field blank will not stop the posting from being created, but may have other processing impact. • The DtUpdate will automatically update. Please note: The format of the date and the time entered. This should be the current date but if testing then enter a date before the UAT testing system date e.g. if UAT shows 13th June 2017 then make sure this date is before 13th June 2017. • Click Save. The user then has to repeat the same steps and complete the Settlement Posting. • From the Id Posting Type box, select Settlement Posting from the drop-down list. This will then enter the trade into the relevant event, IF the correct dates have been entered Please note: The Supervisor must then validate the relevant trade From the main CATS Diary page. • Select Validation. • Select Validate Non-CA Modifications. The Static Validation screen will be displayed, as below. The Trade screen shown below shows trade that only has the New Trade Posting completed and approved. Please note: The screen above shows the New Trade Posting was approved before the user entered the Settlement Posting. Users can do both postings at the same time before getting approval OR do 1 at a time. The Trade screen below shows trade has both Postings completed and approved. HOW TO EDIT AN ENTITLED DEPOT POSITION Users can also update DPT or DPO from the CATS CA File. • Select Entitlements. • Double click the relevant row. The EntitlementPosition screen will be displayed, as below. • Select Adjust from the top row. Then selecting one or more of the options given – depending on option selected, will give rise to the position appearing in the entitlement screen or not. Please note: The Supervisor must then validate the changes. HOW TO EDIT AN ENTITLED DEPOT POSITION FROM THE CATS CA FILE Users can also update DPT or DPO from the CATS CA File. • Click the relevant row. • Click Goto. • Select Item. The Entitlement Position screen will be displayed, as below. • Click Close to return to the CATS CA file. HOW TO ADD A NEW TRADE FROM WITHIN THE CATS CA FILE Note: The CATS CA file must be locked. To add any override, the CATS CA File must be locked to that user. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select Entitlements. • Select Override. • Select Create Missing Position(NEW). The Create new position screen will be displayed, as below. • Select Trade from the drop-down box. The Trade screen will be displayed, as below. • Select the appropriate option from the Select Holding Type drop-down box. • Select (In this case) Open Buy from the Select Holding Type drop-down box. • Enter the unique to CATS Trade Ref. • Enter the relevant Transaction Ref. • Enter the Lending Rate - Optional for Buy/Sells. • Enter the relevant Amount. • Enter the relevant Depot Code or Depot Name. • Select Find. • Highlight the relevant Depot row. • Click Select. • Enter the relevant Client Code or Client Name. • Select Find. • Highlight the relevant Client row. • Click Select. • Enter the relevant Counterparty Code or Counterparty Name. • Select Find. • Highlight the relevant Counterparty row. • Click Select. • Select Create Position. The Confirmation Pop Up screen will be displayed, as below. • Select Yes to create a trade or • Select No if you wish to void or cancel it. The Trade Created screen will be displayed, as below. • Click OK. HOW TO ADD A NEW DEPOT FROM WITHIN THE CATS CA FILE Note: The CATS CA file must be locked. To add any override, the CATS CA File must be locked to that user. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select Entitlements. • Select Override. • Select Create Missing Position(NEW). The Create new position screen will be displayed, as below. • Select Depot from the drop-down box. The Depot screen will be displayed, as below. • Enter Position Value • Enter the relevant Depot Account Code or Depot Account Name. • Select Find. • Highlight the relevant Depot row. • Click Select. • Enter the relevant Owner Account Code or Owner Account Name. • Select Find. • Highlight the relevant Client row. • Click Select. • Click Create Position. The Confirmation Pop Up screen will be displayed, as below. • Select Yes to create a depot or • Select No if you wish to void or cancel it. The Depot New screen will be displayed, as below. • Click OK to close. Go back to the entitlement screen and the depot will appear on the depot screen, once the file has reprocessed. • Click Reprocess button. The processing task % bar will appear and then disappear when completed. HOW TO ADD A NEW POSITION FROM WITHIN THE CATS CA FILE Note: The CATS CA file must be locked. To add any override, the CATS CA File must be locked to that user. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select Entitlements. • Select Override. • Select Create Missing Position(NEW). The Create new position screen will be displayed, as below. • Select Position from the drop-down box. The Position screen will be displayed, as below. • Enter the relevant Position Value. • Enter the relevant Depot Account Code or Depot Account Name. • Select Find. • Highlight the relevant Depot row. • Click Select. • Enter the relevant Owner Account Code or Owner Account Name. • Select Find. • Highlight the relevant Client row. • Click Select. • Select Create Position. The Confirmation Pop Up screen will be displayed, as below. • Select Yes to create a position or • Select No if you wish to void or cancel it. The Position New screen will be displayed, as below. • Click OK and it will close. Go back to the entitlement screen and the position will appear on the position screen, once the file has reprocessed. • Click Reprocess button. The processing task % bar will appear and then disappear when completed.

This provides a list of procedures and processes for the entitlement calculation processing of corporate actions within the CATS application. HOW TO CHECK THAT CALCULATIONS ARE UP TO DATE A CATS reprocess ensures that the CA File calculations are up to date. Under normal operation the calculations for all current CA Files will be up to date at the start of each business date. From the CATS CA File screen, you can tell if the calculations are up to date by the Reprocess icon in the top left of the CA File screen. • Place your mouse over the Reprocess button to find information on whether the calculations are up to date. HOW TO START THE ENTITLEMENT CALCULATION PROCESS FOR THE WHOLE CATS CA FILE From the CATS CA File. • Press the Reprocess button at the top left of the CATS CA File screen. While reprocessing it will go grey. When completed it will come back in colour. From the CATS CA File. • Go to the Action Menu and select the Reprocess option. While reprocessing it will go grey. When completed it will come back in colour. HOW TO DETERMINE THAT A REPROCESS IS RUNNING From within the CATS CA File the Reprocess button will go grey. When completed it will come back in colour. HOW TO START THE ENTITLEMENT CALCULATION PROCESS FOR A SINGLE ENTITLEMENT LINE From the CATS CA File. • Go to the Entitlements tab. • Select the element to be reprocessed by checking the appropriate box in the S column. • Click Reprocess. The tasks currently processing % bar will appear as above. When completed it will disappear. HOW TO MANUALLY ADJUST THE CALCULATIONS It is possible to adjust the calculations for a particular corporate action by the use of CATS overrides. These do NOT include adjusting the core corporate action terms to change the entitlement calculations. ENTITLEMENT LEVEL OVERRIDES To change the calculations at a granular level you can add Overrides to an individual entitlement. This is done from the CATS CA File and the Entitlements tab. Note: The following procedure illustrates the overriding of values in an income type corporate action. • Select the Entitlements tab and then the relevant row to which the override applies. To add any override, the CATS CA File must be locked to that user. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select the row. • Click the Override button. • Select the Apply Override option, displayed below. The What do you want to Override? screen will be displayed, as below. If you want to override the rates calculation: - • Select the Outcome you want to change using the drop-down box. • Click OK. The Choose an Override screen will be displayed, as below. • Select Adjust Rates using the drop-down box. • Click OK. The Enter Values screen will be displayed, as below. To override the rate:- • Enter the rate in the appropriate field and any notes in the Reason field. • Select Finish to apply the override. • Select Cancel to dismiss the dialog without applying the override. The original users will then need to reprocess the file to see the updated rates. The above procedure can be used for various entitlement level rate overrides as indicated in the screen above.

This provides a list of procedures for the recording of election decisions associated with corporate actions within the CATS application. HOW TO RECORD SINGLE ELECTION DECISIONS Election decisions can be recorded on a single entitlement item. This is done from within the CATS CA File screens. This allows full or partial election, across all options, for a single trade or position. • Open the CA file Screen and go to the Entitlements tab. To add any election decision, the CATS CA File must be locked to that user. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select the entitlement line you wish to record the election decision for. • Click Election. • Select Elect. The Election Input screen is displayed, as below. • Enter the election amount for each option in the fields provided. • Enter any text narrative in the Narrative field provided. • Press Save to store the election decision and apply it to the CATS processing of the corporate action. • Press Delete to remove an existing election decision and to update the CATS processing of the corporate action. • Press Cancel to end the election decision capture process and dismiss the dialog box. HOW TO RECORD BULK ELECTION DECISIONS This allows for election decisions to be recorded when multiple trade and positions rows are selected in the CATS CA File Entitlements screen. It allows the election of a single option for the full unelected values of each trade and position selected. • Open the CA file Screen and go to the Entitlements tab. To add any election decision, the CATS CA File must be locked to that user. • Ensure the file is locked to you. If not locked press the Lock button at the top of the CA File screen, as below. • Select the entitlement lines you wish to record the election decision for by holding down the Ctrl (Control key) on your keyboard and selecting the rows required. • Click Election. • Select Elect. The Multi Election Input screen is displayed, as below. • Select the required option from the Options list. • Press Save to apply that election decision to all selected entitlements and apply them to the CATS processing of the corporate action. • Press Delete to remove any existing election decisions from all selected entitlements and to update the CATS processing of the corporate action. The Delete options screen will be displayed, as below. • Press Cancel to end the election decision capture process and dismiss the dialog box. HOW TO MODIFY EXISTING ELECTION DECISIONS The procedure is the same as described in the HOW TO RECORD SINGLE ELECTION DECISIONS section. HOW TO DELETE EXISTING ELECTION DECISIONS The procedure is the same as described in the HOW TO RECORD SINGLE ELECTION DECISIONS section and the HOW TO RECORD BULK ELECTION DECISIONS section. This both cancels the elections for the trade or position and recreates the provisional set of entitlements for each of the options. HOW TO VIEW AN AUDIT OF ELECTION ENTRIES CATS maintain a full election audit. This includes details of the current election status and all earlier elections that have been inserted, modified or cancelled. Open the CA File Screen. • Select the Entitlements tab. • Select the row you wish to review the election audit for. • Click Election. • Select Election Audit. The Election Audit screen is displayed, as below.

This provides a list of procedures for the outcome generation of corporate actions within the CATS application. HOW TO RELEASE ACCRUAL MESSAGES FOR BOOK OR CLIENT POSITION P & L This is known as entitlement release and is performed from within the CATS CA File. • Go to the Entitlements tab. Ensure the CA File is both locked and checked. • To lock the file, press the Lock button at the top of the main CATS CA File screen. A separate user must have checked the file prior to the lock being applied. To check the file, press the Check button at the top of the main CATS CA File screen. Important Note: The CATS CA File must be checked and locked by different users. • Select the entitlement summary lines to be released. Exceptions should be resolved before releasing the entitlement. • The lines which can be released have a Process of Ready. • Select by checking the item in the S column. To release the entitlements. • Select the Posting button. • Select the Release/Release Changes option, as displayed below. If you do not select all of the entitlements, the Warning box will appear, as below. • Select Yes to release the changes. • Select No to cancel the changes. The entitlement release process takes a small period of time to complete. When completed the released entitlements have the process value of Accepted, as below. HOW TO CORRECT ALREADY RELEASED P & L ACCRUAL MESSAGES If due to a change in processing values released accrual messages would change then it may be necessary to reverse any previous sent messages and release a new set of messages. • Go to the Entitlements tab. Ensure the CA File is both locked and checked. • To lock the file, press the Lock button at the top of the main CATS CA File screen. A separate user must have checked the file prior to the lock being applied. To check the file, press the Check button at the top of the main CATS CA File screen. Important Note: The CATS CA File must be checked and locked by different users. • Select the entitlement summary lines to be un-released. The lines which can be un-released have a Process of Accepted or Review. • Select by checking the item in the S column. • To un-release the entitlements select the Posting button and the UnRelease option, as above. • Select Yes on the displayed dialog box to confirm the entitlement unreleased. • Select No to stop the unreleased process. The Warning screen will be displayed, as below. The entitlement unrelease process takes a small period of time to complete. When completed the released entitlements have the Process value of Ready. To release the entitlements once again repeat the above HOW TO RELEASE ACCRUAL MESSAGES FOR BOOK OR CLIENT POSITION P & L procedure. HOW TO VIEW THE EXPECTED POSTINGS If CATS is being used to generate ledger entries then the current posting expectation is shown in the Expected Postings screen, whilst any postings actually generated are detailed in the Generated Postings screens. The expected postings can be viewed from two places within CATS CA File. • Go to the Entitlements tab. • Click on the required entitlement summary line. • Select Goto. • Select Item from the list. The Entitlement Position screen will be displayed, as below. • Select the Expected Postings tab. In addition, from the main CATS CA File screen. • Select the Accounting tab. • Select the Expected Postings tab within that screen. HOW TO VIEW THE GENERATED POSTINGS This generated postings, can be viewed from two places within the CATS CA File. • Go to the Entitlements tab. • Click on the required entitlement summary line. • Click on the Goto tab. • Select Item from the list. The Entitlement Position screen will be displayed, as below. • Select the Generated Postings tab. In addition, from the main CATS CA File screen. • Select the Accounting tab. • Select the Generated Postings tab within that screen. The screen will be displayed, as below.

HOW TO VIEW NOTIFICATIONS To view all CATS notifications (which will also include, by default, SWIFT messages) go to the Notification Queue. Go to the CATS main screen. • Select the Business menu. • Select the Notification option. • Select the Notification Queue. The Notification Queue screen will be displayed, as below. Apply the relevant filters to ensure accurate results are returned. • Select Entity. • Select Source. • Select the required Creation Start Date. • Select the required Creation End Date. • Select Status. • Select Notification Type. • Select Direction Type. • Select Source Ref if required. • Click Refresh. The Notification Queue screen will be displayed, as below. The user can then choose from the various tabs at the bottom of the screen. • Click on a row. • Click Goto. • Select Source. The CommControl screen will be displayed, as below. • Choose Action to select Add Association or Repair and Retry or Choose Association. • Click Refresh to run the search. • Choose Select to choose All, None, Append Selected or to Remove Selected. • Click Close to close. HOW TO VIEW INCOMING SWIFTS To view incoming SWIFTs, go to the SWIFT Queue. Go to the CATS main screen. • Select the Business menu. • Select the Notification option. • Select the SWIFT Queue option. The SWIFT Queue screen will be displayed, as below. Apply the relevant filters as below to ensure accurate results are returned. • Select Entity. • Select Source. • Select the required Creation Start Date. • Select the required Creation End Date. • Select Status. • Select SWIFT Type. • Select Text. • Select Refresh to run the search. The Swift Queue screen will be displayed, as below. • Click Close to return to the Main CATS diary page. • Click Goto and select required option from the list. • Click on the row required. • Select Action. • Select the option required from the list. HOW TO ACCESS THE COMPENSATION SCREEN Go to the CATS main screen. • Select the Business menu. • Select the Receipt option. • Select the Cash option. The Incorrect Compensation Entry screen is displayed, as below. Select the relevant fields using the drop-down boxes and complete any necessary values. Once all the fields are completed. • Click Save. HOW TO BUILD AN EXCEL CA LOAD TEMPLATE Go to the CATS main screen. • Select the Business menu. • Select the Corp Action option. • Select the Build Excel CA Load Template option. The Choose instrument load type screen will be displayed, as below. Choose the required option from the drop-down list. • Click OK. The Choose location for Excel template screen is displayed, as below. HOW TO VIEW AND ACCESS THE BUSINESS POSITION NEW Go to the CATS main screen. • Select the Business menu. • Select the Position option. • Select the New option. The Create new position screen is displayed, as below. Choose and select the relevant fields using the drop-down boxes and complete any necessary values. Once all the fields are completed, • Click Save. HOW TO VIEW AND ACCESS THE BUSINESS POSITION SEARCH Go to the CATS main screen. • Select the Business menu. • Select the Position option. • Select the Position Search option. The Position Search screen is displayed, as below. Choose and select the relevant fields using the drop-down boxes and complete any necessary values. Once all the fields are completed, • Click Search. HOW TO VIEW AND ACCESS THE BUSINESS POSITION STATEMENT Go to the CATS main screen. • Select the Business menu. • Select the Position option. • Select the Position Statement option. The Position Statement screen is displayed, as below. Choose and select the relevant fields using the drop-down boxes and complete any necessary values. Once all the fields are completed, • Select Search.

HOW TO ADD A NEW TRADE FROM THE MAIN CATS SCREEN • Select the Business menu. • Select Trade. • Select New. The Trade New screen will be displayed, as below. Complete all relevant fields and values. • Enter the Entity from the drop-down box. • Enter the Trade Type from the drop-down box. • Enter the Source. • Enter the Trade Ref. • Enter the Stock. • Enter Cash. • Select Settle Ccy from the drop-down box. • Enter the Trade, Settle and Close Dates. • Select Save. The procedure is the same as described in the HOW TO ADD A NEW TRADE in the ADDING POSITION TYPE section of the manual. HOW TO VIEW TRADE VALIDATION FROM THE CATS CA FILE • Select the Business menu. • Select Trade. • Select Validation. The Validation screen will be displayed, as below. HOW TO VIEW A TRADE SEARCH • Select the Business menu. • Select Trade. • Select Trade Search. The Trade Search screen will be displayed, as below. In the Options section type in the relevant information from the options available. • Select the Entity from the Entity drop-down list. • Type the instrument in the Instrument box. • Select the required Trade from the Trade Type drop-down list. • Type the quantity in the Quantity From and Quantity To box. • Insert the relevant dates in the Traded From and Traded To boxes. • Insert the relevant dates in the Close From and Close To boxes. • Select Reset tab to clear the search. • Type in Main Party or • Type in Counterparty or • Type in Depot. • Select Layout. • Select Search to do a search. • Select New to search for a new trade. • Select View to view. • Select Edit to edit. • Select Validate to validate. • Select Trade Cancel to cancel a trade. • Select Edit Postings to edit postings. HOW TO VIEW A TRADE IE SEARCH • Select the Business menu. • Select Trade. • Select Trade-IE Search. The Trade Input Event Search screen will be displayed, as below. In the Options section type in the relevant information from the options available. • Select the Entity from the Entity drop-down list. • Type the instrument in the Instrument box. • Select the required Trade from the Trade Type drop-down list. • Type the quantity in the Quantity From and Quantity To box. • Insert the relevant dates in the Traded From and Traded To boxes. • Type in Main Party or • Type in Counterparty or • Type in Depot. • Select Reset to reset. • Select Layout. • Select Search to do a search. • Select New to search for a new trade. • Select View to view. • Select Edit to edit. • Select Delete to delete.

HOW TO MANUALLY CREATE CLAIM DOCUMENTS FROM THE CATS CA FILE SCREEN • Click Claims. The screen will be displayed, as below. • Click to highlight the required row. • Click Document. • Select Preview. A preview of the claim document is displayed, as below. There are a number of options: • Click Print. The Print screen is displayed, as below. • Click OK to print a hard copy. • Click Refresh. • Select Save To File. The Select Report File Name screen is displayed, as below. • Enter the required file name. • Select Save. • Select Email to send an email. The Email screen will be displayed, as below. Enter the relevant details. • Click Send. • Select Alter. Please Note: This option only gives you the following screen. The Report Parameter Changes screen is displayed, as below. Please note: Documents can vary depending on event types. HOW TO CREATE AN ENTITLEMENT ADVICE FROM WITHIN THE CATS CA FILE • Click Entitlements. Select the line to generate the advice for. • Click Document. • Select Preview. The Advices screen will be displayed, as below. • Select CA Event Notification. • Select Prelim Notification. • Select Document. • Select OK. The Confirmation screen will be displayed, as below. • Select Yes. The Report Options screen will be displayed, as below. • Select the relevant Narrative. • Select OK. The Corporate Action Advice screen will be displayed, as below. There are various options. • Click Refresh. • Click Print to print a copy. • Select Export. • Click Send. • Select Via Cats Mail. The Email Data Screen will be displayed, as below. • Complete details. • Select Send. • Select Alter. • Select Change Values. The Editable Options screen will be displayed, as below. The user can then enter any additional relevant information in this box. • Click OK. The advice is then ready to be printed/sent as previously mentioned. HOW TO MANUALLY GROUP CLAIMS MANUAL GROUPING OF CLAIMS CAN BE PERFORMED FROM ANY LIST OF CLAIMS From Claim: New Claim Search list as shown below. Before a user starts to group any claims, the following should be remembered: 1. All the claims have to belong to the same Counterparty. 2. All the claims have to belong to the same CA event. 3. All the claims have to be from the same outcome. User selects the claims for grouping from the list. User selects Group from the list of options quoted – see screenshot below. User selects Yes from the warning message to confirm grouping, as below. User can see the screen indicates a Grp number and a Grp Type of Manual. User can then highlight the claim row and select Goto and CA File to be taken to the entitlement screen. To view the grouped claims the user should then navigate to the Claims tab. The grouped claim is shown below. The user then proceeds to view and process the claims as previously detailed. The user can see both claims are showing in the document. Grouping can also be processed within the Claims tab by applying the same steps and controls.

HOW TO FIND CLAIM INFORMATION FROM THE MAIN CATS SCREEN • Select Search menu. • Select Claim Searches. • Select Claim Search. The New Claim Search screen will be displayed, as below. • Enter a name in the Search Name field. To select the business Entity. • Select Entity from the drop-down box. To make the search available to all users. • Select Y from the Global drop-down box. The types of claim are determined by selecting from the drop-down box. • Select Claim Type. The corporate action type can be set to filter the search. • This is determined by selecting from the Event Type field displayed. The claim status can be set to filter the search. • This is determined by selecting from the Process Status displayed. To filter the list of claims based on the outstanding amount of the claim. • Select the Outstanding Claim Amount from the options from the dropdown box. To filter the list of claims to only include payable claims. • Select Pay from the options from the Pay/Rcv drop-down box. To list claims to only include receivable claims. • Select Rcv from the options from the Pay/Rcv drop-down box. Leave the box blank to include both payable and receivable claims. To filter the list of claims by amount, within a range of amount values. • Select Amount From. • Select To. To search for claims to a specific Counterparty. • Enter the Name of the Counterparty or • Enter the Id of the Counterparty. To filter the list of claims by Currency. • Select Claim Ccy from the drop-down box. Leave blank for all claims in all currencies. To filter the list of claims by Market. • Select the Market from the drop-down box. To filter the claim by a particular Instrument cross reference. • Select XRef Type from the drop-down box. • Enter XRef. Leave blank and claims for all instruments will be included in the search. To filter on the age of the claim. • Select Age From. • Select Age To. The age of a claim is the number of days since the pay date of the claim. To filter on the dates associated with the claims. • Select CA Date Filter from the drop-down box. (This must be selected to enable use of Date filters). • Enter the Start Date. • Enter the End Date. • Click Save as New. This will save the search parameters for later re-use. To run any of the selected searches. • Click Search. The saved search appears in the list of Claim searches in the My Homepage section of the CATS desktop. HOW TO FIND A CLAIM FROM THE MAIN CATS DESKTOP PAGE • Select Ref Search. • Select Find Claim. The Input screen will be displayed, as below. • Enter a valid Claim Ref. • Select OK. The Claim will be displayed, as below. HOW TO DETERMINE THE STATUS OF A CLAIM The status of a claim is displayed in two ways. Through a text description and the colour of the claim in claim lists. The available text descriptions for a claim are: The available colour coding for a claim are:

This provides a list of procedures for the settlement of outcomes associated with corporate actions within the CATS application. HOW TO MANUALLY SETTLE A CLAIM There are similarities between the processes involved but for clarity the procedure for each type of claim is discussed. We start with discussing the closing of cash claims. The closing of stock claims involves very similar procedures. TRADE CLAIMS Note: The procedure is the same for adding cash payments and cash receipts. The procedure is illustrated in this document using a cash receipt. This procedure does not cover specific of payment options as they will be installation and client specific. Open the CATS CA File screen. • Select the Claims tab. To settle any claim, the CATS CA File must be locked to that user. • To lock the file, select the Lock button at the top of the CA File Screen, as below. • Click on the claim in the list that you wish to settle. • Click Payment. There are options. • Select Cash Receipt to record a cash receipt against the claim. • Select Write Off Receipt to record a write off against the claim. • Select Create Claim for Incorrect Comp. The payment option selection dialog box is displayed, as below. • Enter the amount to be settled in the Amount field. This will be defaulted to the full outstanding amount of the claim. At this point the amount cannot be edited if you are a basic user. • Select the currency to be settled from the list provided. This will be defaulted to the same currency as the claim. • Select the Value date of the settlement in the Value Date field. • Select the payment option from the Options list provided. • Press OK to continue with Claim settlement. • Press Cancel to stop the Claim settlement process and dismiss the dialog box. Depending on the payment option selected and the user selecting OK, the below screen may be displayed. • Press OK to continue. • Press Cancel to stop the claim settlement process and dismiss the dialog box. The payment will now require authorizing by a different user. AGENT/DEPOT CLAIMS Note: The procedure is the same for adding cash payments and cash receipts. The procedure is illustrated in this document using a cash receipt. This procedure does not cover specifics of payment options as they will be installation and client specific. Open the CATS CA File screen. • Select the Depots tab. To settle any claim, the CATS CA File must be locked to that user. • To lock the file, select the Lock button at the top of the CA File screen, as below. • Select the claim to be settled from the list in the claim section of the depot screen. • Select the Payment button, as displayed above. There are options. • Select Cash Receipt to record a cash receipt against the claim. • Select Write off Receipt to record a write off against the claim. The payment option selection dialog box is displayed, as below. • Enter the amount to be settled in the Amount field. This will be defaulted to the full outstanding amount of the claim. At this point the amount cannot be edited if you are a basic user. • Select the currency to be settled from the list provided. This will be defaulted to the same currency as the claim. • Select the Value Date of the settlement in the Value Date field. • Select the payment option from the Options list provided. • Press OK to continue with Claim settlement. • Press Cancel to stop the claim settlement process and dismiss the dialog box. Depending on the payment option selected and the user selecting OK, the above screen may be displayed. • Press OK to continue. • Press Cancel to stop the claim settlement process and dismiss the dialog box. The claim will now require authorizing by a different user. HOW TO HANDLE SMALL DISCREPANCIES MANUALLY (WRITE OFFS) Write offs can be added to close the claim whilst accounting for the small discrepancies. The procedures involved are similar to the main claim settlement process and are the same for all write offs regardless of the type of claim. CLAIM WRITE OFFS Note: The procedure is the same for adding cash write off payments and cash write off receipts. The procedure is illustrated in this document using a Depot claim (cash) write off receipt. This procedure does not cover specifics of payment options as they will be installation and client specific. Open the CATS CA File Screen. • Select the Claims tab. To write off a claim the CATS CA File must be locked to that user. • To lock the file, select the Lock button at the top of the CA File screen, as below. • Click on the claim in the list that you wish to write off. • Select the Payment button. There are options. • Select Write Off Receipt to record a cash write off receipt against the claim. The payment option selection dialog box is displayed, as below. • Enter the amount to be settled in the Amount field. This will be defaulted to the full outstanding write off amount. • Select the currency to be settled from the list provided. This will be defaulted to the same currency as the claim. • Select the value date of the write off in the Value Date field. • Select the payment option from the Options list provided. • Press OK to continue with Claim write off. • Press Cancel to stop the Claim write off process and dismiss the dialog box. • Depending on the payment option selected and the user selecting OK, the above screen may be displayed. • Press OK to continue. • Press Cancel to stop the claim write off process and dismiss the dialog box. The claim write off will now require authorizing by a different user. To write off any other type of claim, go to the relevant claim and follow the same process as described above. HOW TO AUTHORISE A PAYMENT When a claim or write off is entered into CATS, it can require authorization by a second user. This can be done from within the CATS CA File or the Payment validation screen. FROM WITHIN THE CATS CA FILE • Select the Work tab. • Select the Payments tab. To authorize a payment, the CATS CA File must be locked to that user. • To lock the file, select the Lock button at the top of the CA File Screen, as above. • Select the payment to be authorised from the list. • Press the Authorize Payment button. • Press Yes to confirm the payment authorization or • Press No to cancel the process and dismiss the dialog box. When authorized, the payment status is updated, as below. FROM WITHIN THE PAYMENT VALIDATION SCREEN The number of methods for settling claims will differ per installation. A payment validation screen is available for each of these options. These are listed as items from the main Payment screen. • To show all pending payments select the main Payments tab. The following procedure describes the use of the main payment validation screen. The procedure is the same for the individual screens per payment option. • Select the Payments tab from the main CATS desktop. The payments screen is displayed. This displays all pending (non- authorised payments) for the entity. Select the payment to be authorised from the list. • Select the Authorize Payment button. • Press Yes to confirm the payment authorisation. • Press No to cancel the process and dismiss the dialog box. When authorised the payment is removed from the pending payment list. HOW TO REVERSE A PAYMENT When a payment has been authorized it may require reversal. This can be done from within the CATS CA File. There may be business specific rules governing the reversal of payments/receipts. The following is the general procedure. • Select the Work tab. • Select the Payments tab. To reverse a payment, the CATS CA File must be locked to that user. • To lock the file, select the Lock button at the top of the CA File Screen, as above. Select the payment to be reversed from the list. • Press the Reverse Payment button. • Press Yes to confirm the payment reversal or • Press No to cancel the process and dismiss the dialog box. When reversed authorisation may again be required (depending upon configuration). The authorisation process has already been described previously. HOW TO CANCEL/REJECT A PAYMENT When a claim or write off is entered into CATS, it can require cancellation prior to authorization. This can be done from within the CATS CA File or the Payment validation screen. FROM WITHIN THE CATS CA FILE • Select the Work tab. • Select the Payments tab. To cancel a payment, the CATS CA File must be locked to that user. • To lock the file, select the Lock button at the top of the CA File Screen, as below. Select the payment to be cancelled from the list. • Select the Cancel Payment button. • Select Yes to confirm the cancellation process or • Select No to leave the payment as pending. When cancelled, the payment status is updated, as below. FROM WITHIN THE PAYMENT VALIDATION SCREEN From the main CATS desktop. • Select the Payments tab. The Payments screen is displayed, as below. This displays all pending (non-authorised payments) for the entity. Select the payment to be rejected from the list. • Press the Reject Payment button, as below. • Press Yes to confirm the payment rejection or • Press No to cancel the process and dismiss the dialog box. When rejected the payment is removed from the pending payment list. HOW TO SEARCH FOR HISTORIC PAYMENTS • Select the Payments tab from the main CATS desktop. • Select the required business entity in the Entity list. • Set Search Type to be Advanced Search. The full filter options are displayed, as below. • To search for payments with a particular status, select the status from the Filter Status list. The default is to search for all status values. • To filter for all payments set Filter Progress to Everything. • To filter for only authorised payments set Filter Progress to Complete. • To filter for only non-authorised payments set Filter Progress to Incomplete. • To filter over a range of value dates enter dates in the Value Date Start and Value Date End fields. By default, only payments for value date of the current business day are included.

GUIDE TO ACCESS AND MAINTAIN TAX TABLES User profile limitations apply. Each Owner/Book and Counterparty (OLD) account must be linked to an Owner Tax Market and Tax Group (Default Tax Processing Type). This process is controlled within the Static Data section of CATs. • Select StaticData menu. • Select Location. • Select Taxation. • Select Tax Rates. The default table will be displayed, as below. The users can check, edit and add new rates and dates for each relevant Owner Market and Tax Group. The user chooses the relevant Stock Taxation Market and relevant Taxation Type, then selects Edit to update the necessary values. Dates within each rule should not overlap. If a new Tax Group is required, the user can: • Select Static Data menu. • Select Location. • Select Taxation. • Select Tax Groups. The default list will be displayed, as below. The user can create a new group by: • Selecting New. • Add the relevant values. • Select Save.

This provides a list of procedures covering the reporting functions within the CATS application. HOW TO FILTER THE DATA ON ANY SCREEN The data on any CATS list screen can be filtered from the column headers. • To add a filter, right click on the column header you wish to filter on and select the Filter option. • Select the values required. • Select whether to Include selected items or Exclude selected items from the drop-down list. • Press OK to create the filter. The data in the associated screen is then filtered. Whenever a column is filtered that column header is displayed in blue, as below. To modify an existing filter right click on the column header you wish to filter on and select the Filter option. • Click on the column filter you wish to modify. • To remove an existing filter, right click on the column header you wish to filter on and select the Filter option. HOW TO REMOVE AND ADD COLUMNS TO THE DATA Columns can be added and removed from CATS list screens. • To add a column right click on the column header. • Select the Add Column option. This will display the Choose the Column to add. dialog box, as below. • Select the column to be added from the drop-down list and then click OK. The column will be added to the list screen. • To remove a column right click on the column header for the column you want to remove. • Select the Hide Column option. This will hide that column from view. HOW TO SORT THE DATA ON ANY SCREEN The data on any CATS list screen can be sorted from the column headers. • Left click on the column header to sort the column in ascending order. • Left click on the column header twice to sort the column in descending order. If the column is sorted, the sort can be removed by left clicking until the arrow and shading is removed from the column header. HOW TO SAVE SCREEN LAYOUTS THAT HAVE BEEN CHANGED If the screen layout has been changed then it can be saved so that it can be re-used. Within CATS these are referred to as View Styles. • Right click on the column header and select the Save Custom View Style option to save the particular view for later use. A custom view style can only be used by the user creating the custom view style. • Click Delete Custom View Style option if you require to remove a previously saved view style. • Click Set Custom Default View option if you want to set a custom view style to always be used. • Click Save Standard View Style option to save the particular view for later use. A standard view style can be used to change a particular view for all users. • Click Delete Standard View Style option if you require to remove a previously saved view style. • Click Set Standard Default View option if you want to set a standard view style to always be used. HOW TO EXTRACT SCREEN INFORMATION FROM CATS The data on any CATS list screen can be extracted. This function relies on Microsoft Office being present upon the computer in question. On any list screen in CATS right click on any row and select the required options, as below. • To open Excel and copy the data from the screen and formatting select the Direct (with Formatting) option. The spreadsheet will open. • To open Excel and copy the data from the screen and without formatting select the Direct option. The spreadsheet will open. • To copy the data from the screen and formatting and save it to an Excel file, select the File (with Formatting) option. You will be asked to enter the name of the file to be created. To copy the data from the screen and without formatting and save it to an Excel file. • Select the File option. • Select the Save as Excel File option. HOW TO VIEW AND ACCESS THE STANDARD CATS REPORTS The CATS standard reports are available from the Report menu item on the main CATS desktop. • Select from the drop-down box. HOW TO VIEW AND ACCESS THE TAXATION REPORT AND DATA The Taxation Report – Provides a report showing US Tax documentation that has been received and recorded against the clients and counterparties. • Select Report menu. • Select Taxation. • Select United States. • Select Party Dispensation Static. The Party Dispensation Static screen is displayed, as below. • Select Entity Type. • Select Expiry Level. • Select Dispensation Type. • Select All Static ? • Select Expiry Status. • Select Exception Type. • Select Rows. • Select Party Name. • Select Expiry Date. • Enter the required start date in the Start and the required end date in the End fields. • Select Y or N in the Relative Dates field. • Select View Report or View Data from the View option. • Select Print to print. • Select Refresh to refresh. • Select Save to save. • Select Email to export. • Select Close to close the report. HOW TO VIEW AND ACCESS THE WITHHOLDING TAX CLAIMS REPORT AND DATA Withholding Tax Claims – Provides a report showing US Withholding Tax claims. • Select Report menu. • Select Taxation. • Select United States. • Select Withholding Tax Claims. The Withholding Tax Claims screen is displayed, as below. HOW TO VIEW AND ACCESS THE MATURING BONDS REPORT Maturing Bonds – Based on the instrument static held within CATS, provides a list of any bond with a maturity date within the required start/end dates. • Select Report menu. • Select Regulatory. • Select United States. • Select 1042S/1099 – US Tax Reporting. The US Tax Reporting screen is displayed, as below. • Select Report Type. • Select Entity Type. • Select Event Type. • Select Trade Type. • Select Pay or Rcv. • Select Data Filter. • Select Include Autocompensation Y or N. • Enter Ref. • Select Date Type. • Select Date Range. • Enter the required start date in the Start and the required end date in the End fields. • Select Y or N in the Relative Dates field. • Select View Report or View Data from the View option. • Select Print to print. • Select Refresh to refresh. • Select Save to save. • Select Email to export. • Select Close to close the report. HOW TO VIEW AND ACCESS THE STANDARD CATS TAXATION REPORTS If the user is a taxation user, the CATS Taxation reports are available from the Taxation option on the main CATS desktop, as below. HOW TO VIEW AND ACCESS THE STANDARD CATS MANAGEMENT REPORTING FUNCTIONS The CATS standard reports are available from the JFX Management option on the main CATS desktop, as below.

HOW TO VIEW AND ACCESS THE FEED MAPPING CODES This provides access to sets of data and configuration used in the processing of feeds in/out of the CATS application. These values should only be altered by appropriate support/expert users. • Select Local menu. • Select Demonstration. • Select System Data Feed. • Select Feed Mapping Codes. The Feed Mapping Codes screen is displayed, as below. • Select View, Edit, Delete or Close. • Select New. The Field Translation New screen is displayed, as below. • Enter required Type. • Enter required Item. • Enter required Result. • Select Save. The Field Translation box is displayed, as below.

HOW TO GET HELP • Select the Help menu. • Select the Help option or • Select the F1 key on your keyboard, as below. The help documentation will be displayed by opening a separate browser window. As illustrated below. The help documentation is an online version of the user manual. MESSAGE LOG You may be asked, in the case of application issues, to copy and send message log contents or part contents to the CATS application support team. • Select the Help menu. • Select the Message Log option or • Select the Alt + F11 key on your keyboard, as below. The Message Log screen is displayed, as below. • Select the E-Mail option. • Select the Clear option to clear or • Select the Close option to close. The Choose email address screen is displayed, as below. • Select who you would like to send the email to from the drop box option, as below. • Select OK. If the Error message screen is displayed as below, please contact CATS Support.

Open Internet Explorer. Enter the link https://dbrasweb-ext.db.com/. Deutsche Bank dbrasweb for Externals screen appears. Select London. Select Login. Dbras login name. Enter Username: name.name@db.com. Obtain the 8 digit number. Enter password: 300668. Select the RSA Token app. Enter PIN: 1004. Click and your 8 digit number will appear (make sure that it has 60 seconds left). Secure ID Passcode. Enter 8 digit code from RSA Token. Click Sign In. Loading Components will appear. Message Box OK. Click Box Launch dbGroup UA. Log on Enter Username: _________. Enter Password: _________. Log on to: DBG (This will automatically fill itself). Click Login. A box appears with text in, then another box appears with text in. Click UK-LON. Click Connect. This should then give you access into DB. If the program doesn't run then open download Citrix Receiever, using the link https://www.citrix.com/downloads/citrix-receiver/windows/receiver-for-windows-latest.html. Then close down Internet Explorer and restart. In the DB machine open Internet Explorer. Select Favourites . Select Deutsche Bank CATS. This will then allow you to select either. Agency Lending (AGL) and Fixed Income (FI)- (Global Markets London/Global Markets Frankfurt) or International Prime Brokerage (IPB) When the specific CATS system opens. Enter DBras username and password into the specific boxes. Click Launch. Finding the CA File Entity From the support request sent by email. Find the Entity. Find the CA File Reference.

PAYMENT AUTHORIZER LIMITS Various payment authorizer limits can be added. 4 EYES 4 eye controls are available in CATS for various processes e.g. Payment Authorizer Limits.

BRD: Business Requirement Documentation. Bug: A “SOFTWARE” problem that prevents the correct functioning of CATS. CA: Corporate Action/Event. CA File: A CA File is the main processing record for a Corporate Action in that business entity. It has a unique reference in the system in the form (Entity Id/CA Id). For example, AGL/43509 is the main processing record for Corporate Action 43509 in entity AGL. CATS: The Corporate Action Total Solution. Checked: The term used to describe the additional action required by another/different user (e.g. supervisor), other than the actual user performing the task. Claim: A record which describes a cash or stock amount that is outstanding and needs to be settled between two accounts/parties. CORP REF: Please see Information from the SWIFT Standard (https://www.swift.com/standards). Desktop: The page that the CATS desktop opens and the diary screen appears when you first login to CATS. Diary: The page that appears when you first login to CATS. Entitlement: An amount of stock or cash that is a legal right. Entity: A formal legal grouping of records of accounts and positions, such as a company, business unit. Event: See CA. Exception: Something unexpected or out of normal processing which requires correction. IDCA: The unique Corporate Action Identification number. Instrument: The trade/company name. Interesting: A term used to describe corporate actions that are likely to affect an entity, that may require processing to be done. Invalidate: The opposite of validate. This is used where a suggested change is not required e.g. Invalidating a modification to a Corporate Action will re-instate the previous version of the Corporate Action. Isin: A master instrument reference. An ISIN is International Securities Identification Number of a particular security. JIRA: A reference to a specific task. (The JIRA system is the tool used by The Corporate Action Company to log, track and monitor support issues). Locked: To ensure multiple users cannot work on the same item at the same time, work items can be locked to a specific user. NACK: Not acknowledged or something has failed. Notification: CATS record of some information being sent to/received by CATS for processing. Payment: To pay, give what is owed. Pending: The state of certain processing records in CATS that require additional validation or acknowledgement to continue processing. Posting: Posting refers to the process of transferring entries in the journal into the accounts in the ledger. Posting to the ledger is the classifying phase of accounting. The procedure needed to be undertaken to complete the transaction. Process: The procedure needed to be undertaken to complete the claim. Reference: Identification number and/or code. Reprocess: A reprocess is the collection of functions automatically performed by CATS to ensure the processing state of a Corporate Action is correct. Release: New or amended features. Search: Look for, find. It is possible to enter wildcard searches in the relevant field when performing certain searches. G% character is the wild card character. For example, entering G% in the Code field would search for all data with a name starting with the letter G. The searches are case sensitive. Sign In: Each user has to sign in using their unique Username and Password to access CATS. Source: The place something starts at or comes from, the cause of something. Status: Type, category, e.g. open, cancel, completed. The status is also displayed using different colour coding. Supervisor: A named user(s) who has/have authority/access to enable them to perform more advanced procedures. SWIFT Message: SWIFT Message types are the format or schema used to send messages to financial institutions on the SWIFT network. (SWIFT – Society for Worldwide Interbank Financial Telecommunication). UAT: User Acceptance Testing. Username: This is issued to each user and each Username is unique. Validate: When a Corporate Action is validated CATS check if any business entities have interest in this Corporate Action. Where interest is any trades and/or positions. Sometimes a Corporate Action/s need validating e.g. if they are a new announcement or modification.