User Manual - TAF MiFID v1.2 Interface via www.bourse.lu - e
Contents
1. Ke file lu Regulatory reporting User Manual TAF MiFID v1 2 Interface via WWW bourse u Version 1 4 Not to be communicated or re transmitted to third parties without permission of Bourse de Luxembourg R f rence ManuUtil_EFile_SaisieTAF MiFID_EN doc User Manual TAF MiFID Interface 1 TAF GUI or TAF MiFID interface 3 2 Accessing the portal 4 3 TAF MiFID declaration 7 3 1 Opening the TAF MiFID declaration form 7 3 2 Filling in the form 22 22 22 2n nn enn n nen n nen n nee n nen nen nee enn een 7 Jrk i Ne NeaOel erresiren aaeei 7 3 2 2 The NISC Or ThansaCtions Assn 8 3 3 Importing an existing xml file 12 4 TAF MiFID cancellation forms 13 4 1 Opening one of the TAF MiFID Cancellation forms 13 4 2 Filling in the Transaction declaration cancellation TAF MiFID 2 22 2222 nnn nnn nnn nnn nnn nnn nnn nnn nn renee nnn en eens 13 4 3 Filling in the All transactions declaration cancellation TAF MiFID 2 22 2222 nnn nnn nn nnn nnn nn nnn nnn nner n nnn ennnnee 14 5 Sending a TAF MiFID report 15 6 Follow up of a TAF MiFID report and finding CSSF feedback 4 4 4 4 74 42. exchanges and freely and generally available ProductCode to all parties Max 12 characters es Underlying ISIN UnderlyingInstrumentidentificati Derivative type DerivatedT ype Option or Future List of choices w No Yes Put Call identifier PutCallldentifier P put or F future or C call List of choices Expiry date Contract s Exercise date Maturity date of the Informations MaturityDate derivative contract YYYY MM DD Yes Strike price Contract s The strike price of an option or 19 digits with 5 after Informations StrikePrice other financial instrument decimal point No Counterparty identification BIC code MIC code or Customer field must be provided PDF field XML CSSF Format The BIC code identifying the counterparty to the transaction Required if the counterparty is an BIC code CounterPartyldentificationBIC linvestment firm 11 characters No The MIC code identifying the counterparty to the transaction Mandatory if the counterparty is a regulated market or an MTF MIC code CounterPartyldentificationMIC Multilateral Trading Facility 4 characters No Default value Required if the counterparty is not an investment CounterPartyCustomer firm a regulated market an MTF or an entity acting as a central Customer counterparty No Trading venue BIC code MIC code or Off market field must be provided Mandatory a e file lu User Manual TAF MiFID Interface PDF field XML CSSF Definition Form
3. 7 4 17 6 1 Accessing e file lu 2222 2222 nee nnn n nn eee enn n nnn neenccnnensenscnnes 17 6 2 Follow up and search of TAF MiFID reports 17 6 3 Feedback files from the CSSF 19 a e file lu User Manual TAF MiFID Interface 1 TAF GUI or TAF MiFID interface The Luxembourg Stock Exchange makes available to entities a web based interface to input TAF reporting Transactions in Financial Instruments reporting under MiFID norms via its website portal at www bourse lu Input is carried out via 3 PDF forms covering all CSSF instructions Recueil d instructions TAF Electronic Reporting Instructions version 1 2 April 2008 Transaction declaration This form allows users to complete and send the TAF MiFID transaction report to the CSSF Users may provide information on several transactions In addition an xml file that conforms to CSSF specifications CSSF circular 07 306 and 08 365 may be imported to fill in the form directly Transaction cancellation This form allows users to complete and send to the CSSF a request to cancel one or several transactions of a previously submitted TAF MiFID report Report cancellation This form allows users to complete and send to the CSSF a request to cancel one or several previously submitted TAF MiFID reports All transactions in the report s will be canc
4. Instrument label Contract s informations Instrument label ISIN Code Strike price Expiry date Price multiplier PDF field XML CSSF Definition Format Mandatory e e Type CFI InstrumentTypeCFI The ISO 10962 CFI code UPPERCASE Yes Instrument label InstrumentlidentificationLabel Full textual description Maxi 120 characters NSromEniaBe UnderlyingInstrumentlidentificati Contract s ees g Full textual description Informations Maxi 120 characters No ISIN Code l ENE Informations 11 characters No Contract s The strike price of an option or 19 digits with 5 after Informations StrikePrice other financial instrument decimal point No Contract s Exercise date Maturity date of the Informations MaturityDate derivative contract YYYY MM DD No Price multiplier Contract s The number of derivatives 19 digits with 5 after Informations PriceMultiplier reoresented by one contract decimal point If you want to identify the instrument using its ISIN Code click on Alternative code and fill in those fields a e file lu User Manual TAF MiFID Interface Instrument identification Exchange MIC code Exchange product code Underlying ISIN code Derivative type Put Call identifier Expiry date Strike price PDF field XML CSSF Definition Format Mandatory code ExchangeCode that admits the derivative to trading 4 characters Yes Code maintained by the derivative
5. automatically by the form YYYY MM DD _ lyes when you open it l This field is automatically by the form tnana CreationLocalTime when you open it HH MM SS yes Note regarding the Sequence Number It is possible to change this field with a higher number than that initialised CreationDate Creation time from Reporting parameters The sequence number is common to all three TAF MiFID forms 3 2 2 The list of transactions To fill in the transactions use the edit links to go to the transaction details and the buttons to add or remove transactions lines Transaction details COMMISSION de SURVEILLANCE du SECTEUR FINANCIER Bourse de Reporting TAF MiFID Form Transaction details Transaction identification Transaction Buy Sell Declarant BIC Code Capacity Transaction date 2008 10 24 Quantity Transaction time 15 29 58 Unit price Instrument identification C Attematif code Type CH ISIN code Underlying ISIN code Counter party Identification Trading venue C BIC Code C MIC Code Customer C BIC Code C MIC Code XOFF Back to the transactions list e file lu User Manual TAF MiFID Interface Transaction identification PDF field XML CSSF ie Soicionarne foment a identification of the Transaction Transactionldentification transaction 15 characters Declarant BIC Code The BIC code of the branc
6. 5 12 14 Bond een Lh ETA AEG aR 04 10 2012 XS0820547742 OrcPropG 12 18 Bond 1260 02 10 2012 XS0774429103 BNPParAr 12 Bond een 01 10 2012 XS0825886598 PetGlFin 3 25 12 19 01 10 Bond v 1180 1140 1100 Quick Search Advanced search 1060 1020 Security ISIN trading name Oct 11 Jan 12 Apr 12 Jun 12 Sep 12 Documents all CSSF approved documents are available free of charge via the issuer search The LuxSE provides limited free access 2 downloads per month to all other documents Additional downloads are subject to a fee Welcometo our _ new website Issuer Notices and Official Notices Listing on the LuxSE View the last ten days issuer notices from With issuers from more than 100 countries we a periodic information such as financial reports to _ p provide a listing service that meets the needs of A onaoina information such as news releases international capital markets e file lu User Manual TAF MiFID Interface Fill in your login user name and password in the window that appears and click on LOGIN Login Username DO Forgot your password LOGIN Create a new account Once you are connected you can access the TAF reporting by pointing PRODUCTS AND SERVICES then clicking E FILE amp REGULATORY REPORTING in the menu mya gt Bourse de LISTING MARKET OAM PRODUCTS ABOUT US an py Luxembourg AND SERVICES SEARCH EN Products and S
7. D All transactions W declaration cancellation Reporting parameters BIC Code Creation date 2012 09 04 Sequence number Creation time 14 06 00 List of reports to cancel Report ID Within the list of reports to cancel use the buttons to add or remove reports to cancel For each line you must fill in the Report ID field in accordance with the following convention ReporterldentificationBIC_Date_SequenceNumber where ReporterldentificationBIC BIC code of the entity sending the report to cancel 11 characters Date date on which the file was generated using the YYYY MM DD format SequenceNumber the sequence number of the report to cancel 6 digits Example BANKLULLXXX_2007 07 10_000142 e file lu User Manual TAF MiFID Interface 5 Sending a TAF MiFID report You will find a button named Send on each of the 3 TAF MiFID forms When you have finished filling in a report click on the Send button to transmit the report to the CSSF The page below will appear You then need to fill in the sending parameters required fields are Subject and Text and click on the Send button For your reference transmission is carried out via the e file lu portal Please note that at the bottom on this page you can see the name of the generated report Here TAFREP_BANKLULLXXX_2008 04 01_00010 xml F e file lu New envelope Microsoft Internet Explo
8. at Mandatory eee A i BIC code of the trading venue rs BIC code BIC where the transaction was executed 11 characters iic coss atinaVenueldentcaton The MIC code of the trading venue a MIC code MIC where the transaction was executed 4 characters Default value The transaction was oft market TradingVenueXOFF madc o Wait 3 3 Importing an existing xml file A button named Import XML near the header allows you to import data from an existing TAF MiFID Declaration XML file it works as a simple upload functionality Select File Containing Form pata R E Look in ef Desktop ck EE My Documents My Computer History My Network Places Desktop PN My Documents 7 Ror an Myt omputer Fiename a Files of type xML Files xml Cancel My Network Px e file lu User Manual TAF MiFID Interface 4 1 4 2 TAF MiFID cancellation forms Opening one of the TAF MiFID Cancellation forms From the choice page click on the Form link corresponding to one of the two following functions depending on your needs Transaction declaration cancellation TAF MiFID This form allows you to complete and send to the CSSF a request to cancel one or several transactions of a previously submitted TAF MiFID report AIl transactions declaration cancellation TAF MiFID This form allows you to complete and send to the CSSF a request to cancel one or several previousl
9. cated electronic platform e file lu the eB er ax 352 26 26 51 6 Luxembourg Stock Exchange is able to provide an ideal info bourse lu solution for filing entities for all the new reporting requirements Technical support SDI Tel 352 47 79 36 211 edigbourse lu ot oad s on Fyternal T inks There you can choose your report E file lu amp Regulatory Reporting p n wv Market Data Services gt Other Services E file lu amp Regulatory Reporting TAF MiFID Search Corporate Governance a i Security y te TAF MiFID SiN ar Reporting About e filelu Reporting Types TAF MiFID Stops on Securities My Space TAF MIFID Transactions in Financial Instruments All transaction declaration cancellation TAF MiFID This form allows users to complete and send to the CSSF a request to cancel one or several previously submitted TAF MiFID reports All transactions in the report s will be cancelled Transaction declaration TAF MiFID This form allows users to complete and send TAF MiFID transaction repor to the CSSF Users may provide information on several transactions In addition an xml file that conforms to CSSF specifications CSSF circular 07 206 may be imported to fill in the form directly Form lt Transaction declaration cancellation TAF MiFID This form allows users to complete and send to the CSSF a request to cancel one or several transactions
10. correctness and data quality The CSSF sends this XML file via www e file lu using the procedure of the original transfer All envelopes sent to the user are displayed on the homepage until they are read After they have been read they can always be found via the search functionalities a e file lu
11. ecifications are maintained Fill in your criteria and click on Validate to launch the request Note concerning File status the default value of this field is In progress If you are looking for an old transfer change this criterion to all statuses The search result is a list of files and procedures corresponding to your previous criteria You can then open a procedure by clicking on the links X e file lu User Manual TAF MiFID Interface 6 3 Procedure statuses A procedure always has a status as described below created started closed or cancelled O Created status The procedure is created but no envelope has yet been sent O Started status At least one envelope was sent by the filing entity or by the authority The sending date of the first envelope becomes the starting date of the procedure O Closed status The procedure was closed by the Authority This is the normal end of a procedure The CSSF will then enter your report on their database and send you a feedback file via the same procedure You will find this feedback file on the Envelopes amp Documents tab Envelopes amp Documents tab This tab enables you to send and receive envelopes and documents for the procedure You can then access the received and sent envelopes Feedback files from the CSSF Feedback files XML files are generated at the CSSF to monitor both transmission
12. elled On the other hand the CSSF send back a feedback file to the entities The Luxembourg Stock Exchange makes available these feedback files to the entities from its www e file lu site a e file lu User Manual TAF MiFID Interface 2 Accessing the portal Users should have a login password to access to this functionality via www bourse lu For more details please contact our Client Relationship Management Client Relationship Management Tel 352 47 79 36 529 Fax 352 26 26 51 269 info bourse lu If you already have a login name please launch your navigator Internet Explorer Firefox go to www bourse lu and point to SIGN UP LOGIN ir tila SIGN UP LOGIN EN Bourse de PRODUCTS STIN MARK OAM OOUrT 2 OUT US ee Luxembourg oe nee AND SERVICES ee a _ ur alt tY 1 46 oe 0 42 ra 0 69 0 680 GS Ate A P i 15 76 te intemationat Ren Unics em o s p z ih te slice i P y Aperam ne 12178 EUR 3 71669 ArcelorMittal ne 11 16 EUR 1 1952 BIP pe 51 7 EUR 05 c 1 re LuxX index GDRs india GDRs Taiwan New listings Fisting odo Name ype 13195 76 13301 59 13143 79 02 10 2012 BE6242530952 ORES 4 12 21 Bond En on EAE ROO 02 10 2012 FROO11332196 Bouygues 2 625 12 23 Bond Ebina LuxX index 0 75 1195 7605 3 10 2012 XS0825389413 KBCintFi 4 25 12 17 E eee anai 01 10 2012 10 29 32 Faime 03 10 2012 XS0825389330 KBCintFi7
13. ervices Create your own user account And access more options MARKET DATA SERVICES E FILE LU AND REGULATORY REPORTING REGISTER NOW TOPS ON SECURITIES CORPORATE GOVERNANCE MY BOURSE ee wae ai idii 020 2012 BE6242520952 ORES 4 12 21 Bond i 7 02 10 2012 FR0011332196 Bouygues 2 625 12 23 Bond a E STAIR aR eT RT RN TRI TR TR OR TARR eR URTRUR TRU RINT RT EERTE ETE TAT RRR E EIEE eRe ee ETR LuxX index 0 75 1195 7605 03 10 2012 XS0825389413 K CIntFi 4 25 12 17 Bond ea oa 01 10 2012 10 29 33 or Ooo 03 10 2012 XS0825389330 KBCintFi7 5 12 14 Bond Saunton cee Ae saa 04 10 2012 XS0820547742 OrcPropG 12 18 s Bond 1260 02 10 2012 XS0774429103 BNPPar amp r 12 14 Bond bpi l AN e file lu User Manual TAF MiFID Interface The following page appears choose TAF MIFID in the left menu Pt te Bourse de LISTING MARKET OAM PRODUCTS ABOUT US P pax Luxembourg AND SERVICES SEARCH EN E file lu and Regulatory Reporting Market Data Services Products andSerices gt E file lu and Regulatory Reporting ices E file lu and Regulatory Reporting E file lu and Regulatory Reporting E ISIN trading name About e file lu gt S Reporting Types z e file lu Contact TAF MiFID Stops on Securities Client Relationship Management CRM Soci t de la Bourse de Luxembourg S A Corporate Governance My Bourse Through its dedi
14. h that aaa a the transaction 11 a Transaction date TradingDay __ _i Pe WYM O Transaction time TradingLocalTime HH MSS BuySellindicator Buy or Sell Listof choices TradingCapacity Agent or Principal List of choices Number of units of the instrument or 19 digits with 5 after i Quantit nominal value of bonds decimal point Quantity unit Notation Quantit U nits or V alue List of choices w Price per instrument excluding 19 digits with 5 after e Unit Price commission decimal point Currency Notation Unit Price listofchoices Yes Instrument identification Within this part you need to choose between three modes ISIN Alternative code or Other If you want to identify the instrument using its ISIN Code click on ISIN and fill in those fields Instrument identification ISIN C Altematif code Type CH ISIN code Underlying ISIN code PDF field XML CSSF Definition Format Mandatory Type CFI InstrumentTypeCFI The ISO 10962 CFI code UPPERCASE Yes The ISIN code of the financial InstrumentidentificationISIN instrument 11 characters Yes Underlying ISIN UnderlyingInstrumentidentificati ee ANEREN oi Ode 11 characters non a e file lu User Manual TAF MiFID Interface If you want to identify the instrument using its ISIN Code click on Other and fill in those fields Instrument Identification C Altematif code Type CA
15. of a previously submitted TAF MiFid report pe a e file lu Form User Manual TAF MiFID Interface 3 TAF MiFID declaration 3 1 Opening the TAF MiFID declaration form From the choice page click on the Form link corresponding to the desired Transaction declaration TAF MiFID function 3 2 Filling in the form This form is composed of two parts The header the main parameters of the report including the parameters used to generate the name of the report file COMMISSION de SURVEILLANCE du SECTEUR FINANCIER Bourse de A Luxembourg TAF MiFID Reporting Form Reporting parameters BIC Code Creation date 2008 04 01 Sequence number Creation time 08 33 27 aii aes Ee Transaction Date Time Buy Sell Capacity Unit price Quantity ISIN Code cs ee ee 3 2 1 The header PDF field XML CSSF Definition Format Required This field is automatically filled in by Report Identification Reportldentification the form when you fill in the main yes parameters BIC Code from Reporting ReportidentificationBIC BIC code of the entity generating the 11 characters yes parameters report This is the sequence number used to Sequence number from generate the Report identification 6 diaits ae Reporting parameters field This number is automatically g y initialized by the form User Manual TAF MiFID Interface Creation date from Reporting parameters This field is
16. rer EBak gt A A Asearch Favorites media 4 D GSE eA y o m creation of a multi procedures envelope a re Procedure description Procedure uvelle proc dure Reporting r glementaire TAF MiFID Welcome Nathalie SMITH Addressee Copy Envelope info Status Draft Sender Nathalie SMITH Subject Attached documents Date of Name document V TAFREP_BANKLULLXXX_2008 04 01_000010 xml A n can jy 01704 2008 IV Encrypted A date has to be specified ide omn n_a To encrypt the report enter the password of the encryption key y 3 0 Creation of the envelope and a I Password for documents encryption Password es KA e file lu User Manual TAF MiFID Interface 3 0 Creation of the envelope and attached documents Transfer of envelope 0 Transfer in progress The envelope has been successfully encrypted and sent a e file lu User Manual TAF MiFID Interface 6 Follow up of a TAF MiFID report and finding CSSF feedback Follow up of transfers and feedback of the CSSF can be done from www e file lu portal This part of the manual provides an overview of these functionalities However if you require more details on the use of e file lu you are advised to read the User Manual of e file available online The instructions in this part also imply an understanding of the base concepts of e file lu such as files procedures envelopes and documents The
17. se are explained din the User Manual 6 1 Accessing e file lu Users should have a login password to access to www e file lu For more details please contact our Client Relationship Management Client Relationship Management Tel 352 47 79 36 529 Fax 352 26 26 51 269 info bourse lu If you already have a login please launch your navigator Internet Explorer Firefox go to www e file lu The login page will be displayed Please note that your login name and password to the 2 portals e file ltu and bourse lu may be different 6 2 Follow up and search of TAF MiFID reports Once you are connected to www e file lu the homepage appears To find a TAF MiFID report that you have previously sent you first have to choose the correct context by selecting Rapport TAF MiFID in the drop down list located in the top right of the homepage Next click on the link Use file and procedure search under Advanced search a e file lu User Manual TAF MiFID Interface o flle lu e S Help Glossary Contact Links Logout Navigation menu J Welcome Nathalie SMITH Rapport TAF MiFID Supervisor a Configure my workstation security Quick links Advanced search Procedure Use file and procedure search My current procedures Current procedures of the group Rapport TAF MiFID See all non assiqned procedures Envelope Envelopes to validate 0 Ne
18. w file 3 Alerts Filter alerts by Event fall events Filename All files X List of latest alerts Event File name Concerned entity Procedure eee Event date Subject Alert list is empty H Envelopes List of unread envelopes tt z a Attached em Id Date of receipt File name Procedure Subject Sender entity Sender documents 5 li 9 5 Envelope list is empty The search screen appears Legal Disclaimer Help Glossary Contact Links Logout Navigation menu Welcome Nathalie SMITH Rapport TAF MIFID Supervisor z File and procedure search You can use several cumulative search criteria to access your data By identifier name procedure description file status or dates of the file by identifier by date comparison Portal identifier of the file Fi File creation date File identifier a 7 gix File close date Portal identifier of the procedure Procedure identifier Procedure start date by file information Procedure end date Owner entity all owner entities 3 File name Ctr File status inprogress 3 by security description File type falfiletypes CSSF code ISIN code by procedure information Security name Procedure all procedure types 3 Initiator Agent al agents Recipient Agent falagents i l Procedure status fallstatuses a o anD Gee Specify at least one of the above criteria and click Validate button to obtain the result Generic characters and can be used Case sp
19. y submitted TAF MiFID reports All transactions in the report s will be cancelled Filling in the Transaction declaration cancellation TAF MiFID This form allows you to cancel a list of transactions It is composed of two parts The header the main parameters of the report including the parameters used to generate the name of the report file This part is similar to the header of the declaration form COMMISSION de SURVEILLANCE du SECTEUR FINANCIER TAF MiFID Transaction OG iii declaration cancellation Reporting parameters BIC Code Creation date 2012 09 04 Sequence number Creation time TAS List of transactions to cancel Pai Declarant BIC Code Transaction Within the list of transactions use the buttons to add or remove transactions For each line you must fill in the two following fields X e file lu Declarant BIC code 11 characters User Manual TAF MiFID Interface Transaction 15 characters 4 3 Filling in the all transactions declaration cancellation TAF MiFID This form allows you to cancel a list of reports It is composed of two parts The header the main parameters of the report including the parameters used to generate the name of the report file This part is similar to the header of the declaration form The list of reports to cancel COMMISSION de SURVEILLANCE du SECTEUR FINANCIER g gt TAF MiFI
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