BANK OF UGANDA

OTHER CENTRAL SECURITIES DEPOSITORY

SYSTEM
OPERATIONAL FORMS

LISTING OF CSD FORMS

CSD Form 2: Bid Application Form to participate in the auction of Securities

CSD Form 3: Sale Confirmation Form

CSD Form 4: Purchase Confirmation Form

CSD Form 5: Lien Creation Form

CSD Form 6: Lien Release Form

CDS Form 2 BID APPLICATION FORM
TO PARTICIPATE IN THE AUCTION OF SECURITIES
(To be submitted in duplicate to the CDS Manager)

CDS A/C Number bidder: _ _ _ _ _ _ _ _ _

CSD A/C Name:

O/C Domestic Market Operations Date:
Bank of Uganda
Financial Markets Department
Tel: +256-414-343429/258441
Issuer:
Security Type:

(I) In accordance with the terms of the call for tenders for CDS instruments, I / We
hereby tender for CDS instruments as indicated below and agree to pay for the total, or for
any lesser, amount that may be allotted at the price per hundred shillings shown below.
Maturity period ………….. Days/Years
Amount of Tender Price per 100 shillings
(Face Value or Maturity Value) (To three decimal places)
(1) @
Shs……………...…………………………………………. ……………………………………...
(2) @
Shs………………….……………………………………... ………………………………………
(3) @
Shs………………….……………………………………... ……………………………………...
(4) @
Shs………………….……………………………………... ……………………………………...

(II) PARTICIPANT SETTLEMENT BANK DETAILS (ACCOUNT TO DEBIT)

Account Number Settlement Bank Name Amount

(1) __________________ (2) ____________________

Authorised Signatory Authorised Signatory

(III) For commercial bank: We, by the signatures below, hereby authorise you to debit our
clearing account at the Bank of Uganda on the issue date for the cost of the amount we have
tendered or the cost of a lesser amount allotted at the price quoted above.

(1) __________________ (2) ____________________

Authorised Signatory Authorised Signatory

For Official Use Only

Security Name: _______________________ Bid Type: _______________________
Amount Awarded:________________________ Price Awarded:________________
Bid Form No: _ _ _ _ _ _ _ _ _ Issue No:_ _ _ _ _ _ _ _ Awarded: Yes or No
Verified: Yes or No Settled and Delivered: Yes or No
Name of Assigning Officer: __________________ Date: ________________
CSD Form 3

SALE CONFIRMATION FORM

(To be submitted in duplicate and delivered to the CSD Manager)

CSD Manager
Bank of Uganda
Domestic Financial Markets

1 Reference Number:

2 Dealing Date:

3 Dealers:
1. Selling Dealer
2. Buying Dealer
4 Parties:
1. Seller
2. Buyer
5 Subject:
1. Transaction Type*
2. Issue No
3. Days to maturity
4. Face Value
6 Delivery from:
1. CSD INST. A/C No
2. Value Date
7 Settlement:
1. Agreed Price
2. Beneficiary Bank
3. Branch- A/c No
4. Value Date
5. Payment Status
8 Re-delivery to:
1. CSD INST. A/C No
2. Value Date
9 Re-settlement to:
1. Agreed Price
2. Remitting Bank
3. Branch- A/C No
4. Value Date
10 Confirmation:
1. Authorised Signatory
2. Authorised Signatory

*Transaction Type:
1. Sale 3. Lien 5. Reversal of REPO 7. Rediscount
2. REPO 4. Transfer 6. Lien Release

________________________________ _________________________________
Authorised Signature Authorised Signature

Note: Repo / lien transactions should be cancelled 2 days before the maturity date of the affected
CSD instrument; otherwise BOU will credit the CSD instrument account of their beneficiary.
 NOTES FOR COMPLETING SALES CONFIRMATION FORMS

1. Reference Number: This is a pre-printed number. The seller must advise the purchaser of this
number so that the purchaser can use the same number when completing the purchase confirmation
form.

2. Dealing Date: Contract date (Date the SCF form is filled)

3. Dealers:
Selling Dealer- Dealer selling on behalf of the owner of the CSD instrument account.
Buying Dealer- Dealer buying on behalf of the prospective (new) owner.

4. Parties:
Seller- Account holder of the CSD instrument being sold.
Buyer- Account holder for whose account the CSD instrument is being bought.

5. Subject:
Transaction Type- 1.- Sale, 2.- REPO, 3.- Lien, 4.- Transfer,
5.- Reverse REPO, 6.- Lien Release, 7- Rediscount

Issue No – The number of the particular security issue being transacted.

Days to Maturity- Days to redemption of the issue, calculated from the value date.

Face Value- The par value i.e. amount payable at maturity

6. Delivery from:
CSD INST. A/C No- Seller’s CENTRAL SECURITIES DEPOSITORY System instrument
account number.

Value Date- Agreed settlement date, when CSD instruments will be transferred

7. Settlement:
Agreed Price- Contract price for the deal.

Beneficiary Bank- Seller’s bank.

Branch A/C No - Seller’s branch and his/her account number with that branch.

Value Date- Agreed date of settlement which must be the same as in 6. above.

Payment Status- will indicate whether or not seller has received payment i.e.
as “Settled” or “Not Settled” between seller and buyer.

8. Re-delivery to:
CSD INST. A/C No- Seller’s CENTRAL SECURITIES DEPOSITORY System instrument
account number.

Value Date- Maturity date of the REPO or Lien (agreed upon the dealing date).

9. Re-Settlement to:
Agreed Price- Amount agreed upon by both parties to square their positions.

Remitting Bank- Bank that initially sold the REPO, either BOU or the bank that created
the lien.

Branch A/C No – His/her branch and respective account number.

Value Date- Maturity date for the REPO/ Lien.

10. Confirmation:
For single investors, his/her signature is sufficient; others will be signed by two officers
authorised to commit their institutions.
CSD Form 4

PURCHASE CONFIRMATION FORM

(To be submitted in duplicate and delivered to the CSD Manager)

CSD Manager
Bank of Uganda
Domestic Financial Markets

1 Reference Number:

2 Dealing Date:

3 Dealers:
1. Selling Dealer
2. Buying Dealer
4 Parties:
1. Seller
2. Buyer
5 Subject:
1. Transaction Type*
2. Issue No
3. Days to maturity
4. Face Value
6 Delivery to:
1. CSD INST. A/C No
2. Value Date
7 Settlement:
1. Agreed Price
2. Beneficiary Bank
3. Branch- A/C No
4. Value Date
5. Payment Status
8 Re-delivery to:
1. CSD INST. A/C No
2. Value Date
9 Re-settlement to:
1. Agreed Price
2. Remitting Bank
3. Branch- A/C No
4. Value Date
10 Confirmation:
1. Authorised Signatory
2. Authorised Signatory

*Transaction Type:
1. Sale 3. Lien 5. Reversal of REPO 7. Rediscount
2. REPO 4. Transfer 6. Lien Release

________________________________ _________________________________
Authorised Signature Authorised Signature

Note: Repo / lien transactions should be cancelled 2 days before the maturity date of the affected CSD
instrument; otherwise BOU will credit the CSD instrument account of their beneficiary.
NOTES FOR COMPLETING PURCHASE CONFIRMATION FORMS
1. Reference Number: This is a pre-printed number. The seller must advise the purchaser of this
number so that the purchaser can use the same number when completing the purchase confirmation
form.

2. Dealing Date: Contract date (Date the PCF form is filled)

3. Dealers:
Selling Dealer- Dealer selling on behalf of the owner of the CSD instrument account.
Buying Dealer- Dealer buying on behalf of the prospective (new) owner.

4. Parties:
Seller- Account holder of the CSD instrument being sold.
Buyer- Account holder for whose account the CSD instrument is being bought.

5. Subject:
Transaction Type- 1.- Sale, 2.- REPO, 3.- Lien, 4.- Transfer
5.- Reverse REPO, 6.- Lien Release, 7- Rediscount

Issue No – The number of the particular security issue being transacted.

Days to Maturity- Days to redemption of issue, calculated from the value date.

Face Value- The par value i.e. amount payable at maturity

6. Delivery to:
CSD INST. A/C No- Purchaser’s CENTRAL SECURITIES DEPOSITORY System
instrument account number.

Value Date- Agreed settlement date, when CSD instrument will be transferred

7. Settlement:
Agreed Price- Contract price for the deal.

Beneficiary Bank- Seller’s bank.

Branch A/C No - Seller’s branch and his/her account number with that branch.

Value Date- Agreed date of settlement which must be the same as in 6. above.

Payment Status- will indicate whether or not buyer has made payment i.e.
as “Settled” or “Not Settled” between buyer and seller.

8. Re-delivery to:
CSD INST. A/C No - Purchaser’s CENTRAL SECURITIES DEPOSITORY System
instrument account number.

Value Date- Maturity date of the REPO or Lien (agreed upon the dealing date).

9. Re-Settlement to:
Agreed Price- Amount agreed upon by both parties to square their positions.

Remitting Bank- Bank that initially sold the REPO, either BOU or the bank that created
the lien.

Branch A/C No – His/her branch and respective account number.

Value Date- Maturity date for the REPO/ Lien.

10. Confirmation:
For single investors, his/her signature is sufficient; others will be signed by two officers
authorised to commit their institutions.
CSD Form 5

LIEN CREATION FORM

(To be completed in triplicate and delivered to the CSD Manager)

CSD Manager
Bank of Uganda
Domestic Financial Markets

Date: …………..……

1. Name of the CSD instrument account on which the lien is being created:

2. CSD instrument a/c. number

on which the lien is being
created

3. Name of the CSD instrument account holder to benefit from the lien:
_____________________________________________________________________

4. CSD instrument a/c. number

of the CSD member to
benefit from the lien

5. Value date of the lien: __/__/ ____

DD MM YYYY

6. Issue number of the CSD instrument to be placed

under lien: _ _ / _ _ _ _ / _ _/ _ _

7. Maturity date of the issue: ________________________________________

8. Maturity date of the lien: _________________________________________

9. Value of the lien: Ushs.

10. Value in words: _________________________________________________

___________________________________________________________
___________________________________________________________

1. Instructions for disposing of the lien:

In the event that CSD instruments posted as collateral mature before the
lien has been released by the creator of the lien, then the face value of the
affected CSD instruments will automatically be credited to the clearing
account of the beneficiary of the lien.

(1) …………………………. (2) ………………………………

Authorised Signatory Authorised Signatory
______________________________________________________________________
For Official Use Only
Approved by _________________________ Date ______________________

Prepared by __________________________ Date ______________________

CSD Form 6

LIEN RELEASE FORM

(To be completed in triplicate and delivered to the CSD Manager)

CSD Manager
Bank of Uganda
Domestic Financial Markets

Date: …………..……

1. Name of the CSD instrument account on which the lien is being released:

2. CSD instrument a/c.

number to to be
credited on release
of the lien.

3. Name of the CSD instrument account holder releasing the lien:

_____________________________________________________________________

4. CSD instrument a/c.

number on which the
lien is being released

5. Value date of the lien release: __/__/ ____

DD MM YYYY

6. Issue number of the CSD instrument to be released

from the lien: _ _ / _ _ _ _ / _ _/ _ _

7. Maturity date of the issue: _________________________________________

8. Maturity date of the lien release: ____________________________________

9. Value of the lien release: Ushs.

10. Value in words: _________________________________________________
_________________________________________________
_________________________________________________

(1) ………………………….. (2) ………………………………

Authorised Signatory Authorised Signatory
_____________________________________________________________________
For Official Use Only
Approved by: __________________________ Date ______________________

Prepared by: __________________________ Date ______________________