How to invest in OTC Traded Products non-listed on stock exchange :

 

1. Contact Over-the-Counter (OTC) trading desk of your bank/broker and request to contact the OTC desk of the Paying Agent Bank for specific ETP security, using its ticker symbol, ISIN or name

 

2. OTC trading desk of your bank/broker  will need to register a purchase order through Clearing System (SIX, Euroclear or Clearstream)

 

3. OTC trading desk of your bank/broker will need to make a wire transfer to Paying Agent Bank for delivery of ETP security (Delivery-versus-Payment)

 

4. After the ETP order is executed, you can track the investment’s performance through your brokerage account

 

5. Information Notice for investors regarding OTC trading process at Paying Agent Bank :

 

Investors, represented in a fiduciary capacity by their principal bank or broker, make a binding offer to the Issuer for the subscription (or the redemption request) to the debt securities in the desired amount, in writing, by e-mail or by telephone. The debt securities are acquired upon acceptance of the offer by the Issuer. The Issuer reserves the right of non-acceptance of a subscription offer (or a redemption request). Investors, represented in a fiduciary capacity by their principal bank or broker, make a binding offer to the Issuer for the subscription to the debt securities in the desired amount, in writing, by e-mail or by telephone. The debt securities are acquired upon acceptance of the offer by the Issuer. The Issuer reserves the right of non-acceptance of a subscription offer.

Subscription orders can be placed during regular banking hours (except for public holidays), between 8.00 a.m. and 6.00 p.m. (CET), and via the following acceptance channels of the Paying Agent (Bank Frick AG)  :
                                                                                                                                 E-mail: trading@bankfrick.li
                                                                                                                                 Fax: +423 388 21 15
                                                                                                                                 Telephone: +423 388 21 25

Where an order is received until 16.00 (cut-off time) on a Liechtenstein working day or cut-off time specified in Product Termsheet, the transaction is recorded on the subsequent Liechtenstein working day (transaction date “TS”) and settled two banking days later (settlement date “SD”). Subscriptions on Fridays will be processed on the next business day (Monday) to avoid weekend risk. The issuer confirms orders by notifying the ordering bank.

The debt securities are delivered electronically to the order-issuing bank via SIX SIS Ltd, Baslerstrasse 100, 4600 Olten, Switzerland, against payment of the respective purchase price, being calculated in line with the provisions of the Redemption Amount as per Termsheet.

The transaction is processed on SD using the delivery-versus-payment method (DVP). The investor’s order-issuing bank acts as an investor in a fiduciary capacity (for the end investor) in respect of the debt securities and processes the transaction directly with the Issuer using the aforementioned method. This ensures that the payment and transfer of the debt securities take place simultaneously and only when both parties have issued the same instructions (matching) .