Reporting Office Rules for the Fulfilment of the Legal Reporting Requirements for Securities Dealers
(RR)

Reporting Office Rules for the Fulfilment of the Legal Reporting Requirements for Securities Dealers of 17/10/2012

Effective from: 01/01/2014

Reporting Rules 01/01/2014

1 Trade Report

The Reporting Fee for Trade Reports is generally based on the volume of turnover in a transaction. It is expressed in basis points (1/10,000) and there is a minimum ("floor") and a maximum amount ("cap"). Reporting Fees per Trade Report and Securities Dealer subject to reporting requirements: – Equity securities (shares)

Floor Scale Cap CHF 1.50 0.25 bp CHF 26.00

– ETF / ETSF and other investment funds

Floor Scale Cap CHF 2.00 0.25 bp CHF 26.50

– CHF bonds

Floor Scale Cap CHF 3.50 0.50 bp CHF 151.50

– International bonds

Flat CHF 1.50

– Derivatives (ex-subscription rights)

Floor Scale Cap CHF 2.00 1.50 bp CHF 26.00

– Subscription rights7

Floor Scale Cap CHF 0.10 0.25 bp --

2 Transaction Report

The Reporting Fee per Transaction Report and Securities Dealer subject to reporting requirements is CHF 1.00.

3 Minimum fee

The Reporting Office charges a minimum fee of CHF 50.00 per month, provided a reporting activity was exercised.

7 For example, subscription rights within the framework of capital increases, subscription rights in connection with the distribution of a stock dividend, put options for the purpose of share repurchases, as well as shareholder and employee options.

Reporting Rules 01/01/2014

4 Fees to cover non-standard costs

The Reporting Office charges a fee of CHF 50.00 per report for the entry and cancellation of Trade Reports on behalf of a Securities Dealer.