CFF: Universal-Investment Fund and Theta Global Fund migrate to CFF

Effective

Friday 13 January 2017

investment fund shares in funds handled by Universal-Investment Luxembourg S.A. and Hauck & Aufhäuser Investment Gesellschaft S.A. as Fund Manager and Hauck & Aufhäuser Alternative Investment Services S.A. (LU) as Order Handling Agent, and listed in the attached spreadsheet will use the Central Facility for Funds (CFF) service.

All customers of Clearstream Banking¹ that hold positions in these investment fund shares will immediately benefit from the CFF process and services.

Migration details

Time-line for process adaptations:

• Pending settlements from MD-1 and earlier continue to be settled with the existing process.
• Instructions that do not follow the CFF processes can be executed, at the latest, on the business day MD-1.
• Clearstream Banking will automatically transfer all positions in the overnight processing preceding MD-1. No action is required by Clearstream Banking account holders.
• Pending instrutions that do not follow the CFF processes on MD will not be executed and must be cancelled by customers. If the instructions are not cancelled by the customers Clearstream reserves the right to cancel the instructions on customer’s behalf.
• All trades with settlement date MD and later will use the CFF processes and settle against FIA 10010 in Clearstream Banking, as listed in the associated spreadsheet.
• All corporate actions with Record Date MD and later will use the CFF processes.

Further information

For more detailed information about CFF please refer to the Clearstream Banking Customer Handbook.

For further information, please contact as appropriate:

For more general information regarding Clearstream Banking products and services, customers may contact their  Relationship Officer.

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1. Clearstream Banking refers collectively to Clearstream Banking S.A., registered office at 42, avenue John F. Kennedy, L-1855 Luxembourg, and registered with the Luxembourg Trade and Companies Register under number B-9248, and Clearstream Banking AG (for Clearstream Banking Frankfurt (CBF) customers using CreationOnline), registered office at 61, Mergenthalerallee, 65760 Eschborn, Germany and registered in Register B of the Amtsgericht Frankfurt am Main, Germany under number HRB 7500.
2. Customers can use the Fund Market Account of CFF (“FMA01”) as Counterparty account in their settlement instructions.