Transmission Manual for Circular 10/467 - e
Contents
1. 13 335 leds Pre transmission Che CK 6 Etasis 13 3 4 Initial results and interpretation 14 4 Monitoring transmitted reports 15 4 1 Searching transmitted reports 22 2222 enn n nee e nnn nee e renee ene 15 a e file lu Electronic transmission of financial reports circular 10 467 1 Introduction The Luxembourg Stock Exchange provides filing entities with a complete solution for the secure transmission of reports Circular 10 467 to the Commission de Surveillance du Secteur Financier CSSF via its Sending Service tool and the www e file lu portal The solution has two available modes of transmission manual transmission by filing on the e file lu internet portal automatic transmission via the Sending Service These tools integrate end to end security as documents are encrypted by the filing entity and transmitted to the authorities a e file lu Electronic transmission of financial reports circular 10 467 1 1 Circular CSSF 10 467 dated 01 07 2010 The Circular is available at http www cssf lu uploads media cssf10 467 pdf and will be applicable from October 1 2010 As detailed in the circular the report to be sent in there definitive form to the CSSF via e file is Prudential reporting for management company a e file lu Electronic transmission of financial reports circular 10 4672. 1 2 The rules for naming documents to be transmitted TYRDIR ENNNN YYYY MM TAB LL C D S ext Where e TYR constant SGO e DIR REP for report to the CSSF and FBR for Feedback sent by CSSF to reporter e E S Management company e NNNN digital number attributed by the CSSF to the entity e YYYY MM year and month only 03 06 09 12 for month o For version comptable N to be sent quarterly the year and the last month of the quarter which the data is related o For version definitive D to be sent annually the year and the last month of the accounting year e TAB Table G21 for reporting G2 1 of mangement company to the CSSF e LL Layout L2 for G2 1 e C Version comptable L N or S e D Version d finitive D or N e S Sub type e ext extension of file o For file REP xls Excel 2003 or xlsx Excel 2007 o For file FBR xml Examples SGOREP S9999 2009 03 G21 L2 S N xls SGOREP S9999 2009 12 G21 L2 L D xlsx a e file lu Electronic transmission of financial reports circular 10 467 2 Manual transmission via www e file lu Manual transmission is via the platform www e file lu This part of the document thus gives a rapid overview of the means at your disposal to make a manual transmission via the site However to go more deeply into the use of e file we advise you to
3. Ke file lu Circular CSSF 10 467 Manual on the electronic transmission of financial reports Version 1 1 Not to be communicated or reproduced without autorisation from the Luxembourg Stock Exchange R f rence ManuUtil_EFile_Transmission_Rapport_10_467_EN doc Electronic transmission of financial reports circular 10 467 1 introduction 3 1 1 Circular CSSF 10 467 dated 01 07 2010 4 1 2 The rules for naming documents to be transmitted 5 2 Manual transmission via www e file lu 6 2 1 Accessing e file lu 4 4 6 2 2 Creating a filing structure File Procedure Envelope 6 3 Automatic transmission via the Sending Service 12 3 1 Accessing and understanding the Sending Service tree structure 12 3 2 Triggering transmissions 4 4 2 2 12 Betels Ata regular regu NC lt scs sa8 assests cee cea aA 12 Si 2222 VOU COMMGUMa TION aiiai Eii Soares Semana eee eeee ere ene ia Eiai ii 13 3 3 Making transmissions 22 22 cen e ee nn nner ene MnM 13 3 3 1 Transmitting financial EDO S se2seeessesnenessnenesecsesncceseenesiecsesnteesaeaesende 13 Jdss leis BUSINESS QES IDUON Aisen e 13 3 3 1 2 Folder of the Sending Service to be selected
4. Electronic transmission of financial reports circular 10 467 Help Glossary Contact Links Logout Navigation menu J Welcome EOO1RESP utilisateur Reporting des Soci t s de Gestion Supervisor File and procedure search Your search criteria were File name test File status In progress Procedure Financial informations of a management company Procedure status Started Procedure start date 03 03 2010 min 03 03 2010 List of found files File name Correspondent Procedure Start date Correspondent agent Procedure status y v v 8 v v A Financial informations of a management 03 09 2010 Started company Financial informations of a management 03 09 2010 Started company By clicking on the links in the list of procedures the procedure record is displayed From the procedure record you can display the documents transmitted by selecting Envelopes amp Documents Navigation menu i _ Welcome EOOIRESP utilisateur Reporting des Soci t s de Gestion Supervisor v Procedure Financial informations of a management company File Test Initiator Entite E001 Addressee CSSF Unread envelopes 0 PETS TEN Envelopes amp documents LISST fede en View by Received sent envelopes Sent documents P Received items Item Id Date of receipt Subject B 46 Y A i rad 2824790 03 09 2010 09 56 R ponse technique l envoi du reporting ReportingSGO SGO CSSF API oh Sent items I
5. Logout Navigation menu J Welcome EOO1RESP utilisateur Reporting des Soci t s de Gestion Supervisor Procedure Financial informations of a management company File Test Initiator Entite E001 Addressee CSSF Unread envelopes 0 Procedure Information Envelopes amp documents J Publications J Progress report Procedure info Identifier 2779594 Status Created Procedure code Creation date 03 09 2010 Procedure Financial informations of a management company Start date Addressee CSSF Closing date Initiator Agent utilisateur EQOLRESP Y Initiator Group Reporting des Soci t s de Gestion Recipient Agent Recipient Group Rapport societe de gestion Initiator description Back to file sheet Copyright Lusembourg Stock Exchange Finesti Select the Envelopes amp Documents folder Help Glossary Contact Links Logout v Welcome EOO1RESP utilisateur Reporting des Soci t s de Gestion Supervisor v Procedure Financial informations of a management company File Test Initiator Entite E001 Addressee CSSF Unread envelopes 0 Jeep ieee Envelopes Publications Progress report Received sent envelopes Sent documents iF Received items Item Id Date of receipt y i A i G F Sent items Item Id j Attached documents zo 46 8 New enverope gA Back to file sheet Copyright Luxembourg Stock Exchange Finesti All rights rese
6. its extension Rule 4 file the files to be transmitted in clear in the folder selected i e the file must not have been previously encrypted by another system 3 3 1 Transmitting financial reports 3 3 1 1 Business description The documents concerned are Remise de rapports financiers circ 10 467 Reporting prudentiel SGOREP SNNNN YYYY MM G21 L2 C D ext 3 3 1 2 Folder of the Sending Service to be selected ReportingDiffusion SGO 3 3 1 3 Pre transmission checks The Sending Service performs the following checks file names long form or management letter report file extension xls or xlsx extensions are expected The Sending Service ignores all other types of file without generating an error message internal file formats are not verified e file lu Electronic transmission of financial reports circular 10 467 3 4 Initial results and interpretation Once the Sending Service has taken account of the reports filed in the different folder it returns some result files in the original folder Three types of result files are possible Extension TRT indicates that the Sending Service has scanned the folder and started the process of transmission to e file Extension ACQ indicates that the transmission to e file is effective Extension ERR indicates that the transmission has not been possible firstly a check should be made that the four 4 rules indicated
7. previously have been applied Note concerning files with the extension TRT The result file with the extension trt is the original file renamed It is thus possible to find your original file easily if necessary by renaming it with its original name Here is the rule for naming the result file trt In standard operation original files are filed directly in a folder If the original file is nomDuFichierOrigine x s where nomDuFichierOrigine the name of the original file to be transmitted When the result file trt will be nomDuFichierOrigine xls_Traitement trt with Traitement a digital counter providing a time stamp Note concerning files with the extension ERR Result files with the extension err are error files They contain technical messages which assist in diagnosing the problem File naming errors are stored in this file An empty file size 0 KB means that the transmission has been made without error It is possible to change the configuration so as not to generate the error file if the transmission is correct e file lu Electronic transmission of financial reports circular 10 467 4 Monitoring transmitted reports Filings and responses from the CSSF can be monitored via the platform www e file lu This part of the document thus gives a rapid overview of the means at your disposal to monitor your fillings and to access the various responses from the authorities How
8. NEMENT Help Glossary Contact Links Logout Navigation menu J Welcome EOO1RESP utilisateur Reporting des Soci t s de Gestion Supervisor v You re about to create a new file in which you ll be able to create one or more procedures Grant of a UCI visa Admission to trading File information Filing Entity identifier File name Test Owner entity Entite E001 File type Luxembourg open end UCI IK Back to search Creating procedures will be the next step With each procedure you will be able to exchange documents with the depositor concerned using envelopes Copyright Luxembourg Stock Exchange Finesti All rights reserved For file type select Luxembourg open end UCI Electronic transmission of financial reports circular 10 467 You then access the File record Help Glossary Contact Links Logout J Welcome EOO1RESP utilisateur Reporting des Soci t s de Gestion Supervisor File sheet File Test Filing Entity Entite E001 File information Identifier 40753 Status In progress File identifier Creation date 03 09 2010 Owner entity Entite E001 Closing date File type Luxembourg open end UCI Attached funds This file has no attached fund You can request the attachment of one or more funds to the file For each fund provide its CSSF code and click on the button Request for attachment Caution fund informati
9. cessary Electronic transmission of financial reports circular 10 467 SS oF Pe Po TE eS v 3 2 Creation of the envelope a x Password for documents enc typ ti on Password 3 2 Creation of the envelope and attached documents x Transfer of envelope 50 Encryption in progress Once the transmission has been completed this window will appear Creation of the envelop 4 x Envelope has been encrypted KA e file lu Electronic transmission of financial reports circular 10 467 3 Automatic transmission via the Sending Service 3 1 Accessing and understanding the Sending Service tree structure St ReportingDiffusion File Edit Yiew Favorites Tools Help Q Back E po Search Key Folders fi Address Folders x Bcl Statistics O config x BoP S dist COREP B keystores Dividendes a ib D0c_BNK E log D0c_FIS_opc E por DESP E O ReportingDiffusion COFINREP E E BCL_Statistics orc a BoP oT COREP PSF P B B Dividendas O Securisation E DOC_BNK sco DOC_FIS_OPC sicar S ESP TAF S E FINREP rr Fs D OPC Yarious_Correspondence S OTH Owi E G PSF T E Securisation E G sco amp i sicar gt Tar O TPT DB various_Correspondence kaii m Cy ar gt 2 Local intranet Physically the Sending Service is represented as a traditional tree structure Reports of CSSF 10 457 circular are to be sto
10. ever to go more deeply into the use of e file we advise you to refer directly to the e file user manual available online Finally this part requires knowledge of the basic notions of e file file procedure envelop and document also explained in the e file manual 4 1 Searching transmitted reports Once you are connected to www e file lu the home page will appear Click on Search files and procedures under Advanced search Help Glossary Contact Links Logout Reporting des Soci t s de Gestion Supervisor v Navigation menu J Welcome EOO1RESP utilisateur S Configure my workstation security Advanced search Procedure o Usk file and procedure search My current procedures Current procedures of the group Reporting des Soci t s de Gestion See all non assigned procedures o Envelope Envelopes to validate 0 Configure my alerts Delete all v Alerts Filter alerts by Event All events Filename All files lict of latect alerta o Internet Q10 KA e file lu Electronic transmission of financial reports circular 10 467 The advanced search page is displayed 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 8 by date comparison Portal identifier of the file File creat
11. ies Rule 3 Observe the format of the file and its extension Rule 4 Only attach reports to be transmitted clear i e the file must not have been previously encrypted by another system i e file lu eS SE Welcome EOO1RESP utilisateur Groupe principal Supervisor Rapport Soci t s de Gestion Supervisor Rapport des tablissements de credits Superv Rapports Statistiques BCL Supervisor Reporting EDIFACT Supervisor Reporting OTHER BCL Supervisor Quick links Advanced search Reporting SICAR Supervisor Station CCLux Finesti Station Manager TAF MIFID CSSF Supervisor Procedure Use file and procedure search Titre par tire bancaire Supervisor My current procedures f V hicule titrisation Supervisor Current procedures of the group Groupe principal See all non assigned procedures o Heip Glossary Contact Links Logout Envelope Envelopes to validate 0 New file a Alerts Configure my alerts Del Filter alerts by Event fall events File name fall files z List of latest alerts Event File name Concerned entity Procedure Procedure identifier Event date Alert list is empty H Envelopes List of unread envelopes Item Id Date of receipt File name Procedure Sender entity 8 6 Envelope list is empty Copyright Luxembourg Stock Exchange All rights reserved Click on New File or search an existing file as required Legal Disclaimer se e file lu ENCHAI
12. ion date File identifier iT Portal identifier of the procedure a aiani Procedure identifier Procedure start date by file information Procedure end date Owner entity All owner entities File name uI File status in progress 3 by security description File type all filetypes x CSSF code ISIN code by procedure information Security name Procedure all procedure types gt Initiator Agent fallagents ox Recipient Agent all agents om Procedure status all statuses 3 UD tre Specify at least one of the above criteria and click Validate button to obtain the result Generic characters and can be used Case specifications are maintained Copyright Lusembourg Stock Exchange Finesti All rights reserved Enter your criteria and click on Validate to begin your search Criteria for searching financial reports File name Proc dure type Financial informations of a management company Procedure status Created the procedure has been created but the envelope has not yet been transmitted Started an envelope has been transmitted Closed the approved prospectuses are returned by the CSSF in the same procedure the prospectuses or financial reports of the procedure are published File creation date Procedure start date date of envelope transmission The list of results is displayed with the files and procedures relating to the entered criteria s a e file lu
13. on is accessible only when the Authority has validated the request for attachment Request for attachment Procedures Sel Procedure Initiator label Initiator Agent Entity Start date Recipient Agent Entity Procedure code Copyright Luxembourg Stock Exchange Finesti All rights reserved Click on New procedure button Help Glossary Contact Links Logout Navigation menu J Welcome EOO1RESP utilisateur Reporting des Soci t s de Gestion Supervisor New procedure File Test Initiator Entite E001 Procedure info Procedure Financial informations of a management company See internal procedures Recipient entity Group Select a reci SS ae sic I pient entity Initiator description Initiator Agent utilisateur EO01RESP v Proprietary service Reporting des Soci t s de Gestion Publication info Launch date Desired publication date Copyright Lusembourg Stock Exchange Finesti All rights reserved Select the Financial informations of a management company procedure It is possible in the same file to create several procedures of the same type in the status Created or Started e file lu Electronic transmission of financial reports circular 10 467 You then access the Procedure file So in the main information you note that the procedure is in the Status Created Help Glossary Contact Links
14. red in the DOC_BNK folder see screen shot 3 2 Triggering transmissions 3 2 1 At a regular frequency Each folder is scanned by the Sending Service at a regular frequency That frequency is specific to each folder and is defined when the solution is implemented with your company s project coordinator Sending Service configuration file In order to facilitate configuration the Luxembourg Stock Exchange has set a standard default frequency If the coordinator has given other instructions frequencies may therefore vary The default value of the scanning frequency is set to 30 minutes This means therefore that each folder is scanned every 30 minutes from the last service start KA e file lu Electronic transmission of financial reports circular 10 467 3 2 2 Your configuration It is also possible to personalise frequencies the hours fixed in relation to your company s requirements folder by folder Please contact your project coordinator if you need to know your specific configuration 3 3 Making transmissions As explained above the automatic transmission is made simply by filing your files directly in a folder The following four rules must be applied however Rule 1 select the proper folder depending upon the document s to be transmitted Rule 2 observe the naming convention of files to be transmitted by referring to the instructions in the Circular Rule 3 observe the format of the file and
15. refer directly to the e file user manual available online Finally this part requires knowledge of the basic notions of e file file procedure envelope and document also explained in the e file manual 2 1 Accessing e file lu Users must first of all have a personal login and password to connect to this service at www e file lu Please contact your internal coordinator or Client Relationship Management for more information Service Relations Clients T l 352 28 370 330 clientservice fundsquare net If you already have a login go directly to www e file lu Give your login and password and click Validate 2 2 Creating a filing structure File Procedure Envelope Once you are connected to www e file lu the home page appears First of all you must select the context from the list of choices located at the top right of the home page For example Select Reporting des soci t s de gestion to enter the context for transmission of procedures relating to Circular 10 467 NB The list of choices only contains contexts to which you are personally authorised by your administrator a e file lu Electronic transmission of financial reports circular 10 467 The following rules should be followed Rule 1 Select the proper types of file procedure and document depending upon the type of file to be transmitted Rule 2 Observe the file naming convention by referring to the instructions from the authorit
16. rved To transmit your documents click on New envelope e file lu Electronic transmission of financial reports circular 10 467 Welcome EOOLRESP utilisateur i New envelope ii re Procedure Financial informations of a management company File Test Send by Entite E001 Unread envelopes 0 Envelope info Status Draft Sender EQOLRESP utilisateur Subject Send for validation E Attached documents Date of document Encrypted Management company report we iSelect a document i Management company report j z Ha l A date has to be specified Copyright GLuxembourg Stock Exchange Finesti All rights reserved Give the object and the text of your message and then click on Attach a document Search for your PDF file using the Browse function select the type of document corresponding to your file and enter the date of the document if an asterisks appears By default the Encrypted box is ticked Click on Send to start transmission Windows Internet Explorer Invalid File name install test jar Expected File name example SGOREP 59999 2009 03 Ge 1 L2 5 H xls Please consult the official naming convention For more details An error message will appear if the file name is incorrect If file names and their extensions are correct the encrypting module will then be triggered If one of the documents is to be encrypted then your keystore password is ne
17. tem Id Subject i 46 v LA i Al 2824788 03 09 2010 09 46 test EOOIRESP utilisateur Back to file sheet Copyright Luxembourg Stock Exchange Finesti All rights reserved Two lists are then available transmissions completed and envelopes received i e documents transmitted and responses from the CSSF It should be noted that the envelopes received can be viewed directly in the in box until they have been read by someone in your company Once they have been read it is still possible to find them by advanced search a e file lu
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