Transmission Manual for Circular 10/457 - e
Contents
1. e file lu Circular CSSF 10 457 Manual on the electronic transmission of financial reports Long Form Report Compte Rendu Analytique de R vision Management Letter Lettre de Recommandations Version 1 0 Not to be communicated or reproduced without autorisation from the Luxembourg Stock Exchange R f rence ManuUtil_EFile_Transmission_Rapport_10_457_EN doc Electronic transmission of financial reports circular 10 457 1 introduction 4 3 1 1 Circular CSSF 10 457 dated 05 10 2010 3 Igtale The documents Naming UIGE sssrrsmina aaa 4 2 Manual transmission via www e file lu 5 2 1 Accessing e file lu 4 5 2 2 Creating a filing structure File Procedure Envelope 5 3 Automatic transmission via the Sending Service 10 3 1 Accessing and understanding the Sending Service tree structure 10 3 2 Triggering transmissions 22222222022 ences cen seen eensessensccseensess 10 Jks ls Ala TEGUlar TREQUEING yes s5tenssast cess ones eiae 10 32 2 YOUR CONMMSUPAUIONsss s 5s2ersterseeestesseesstessteessinrsesrsterstieessinesetesccrstersinests 10 3 3 Making transmissions 2 222 2 n nen n nner enn nee nnn e erence ee enee 11 2 3014 Transmitting financial reports s ssesesesessaeseresceese nesses ease eee estes 112. or search an existing file as required New file 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 Long Form Owner entity Entite E001 File type Create 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 All rights reserved For file type select Regulatory Reporting Electronic transmission of financial reports circular 10 457 You then access the File record File sheet File Long Form Filing Entity Entite E001 File information Identifier 40744 Status In progress File identifier Creation date 01 09 2010 Owner entity Entite E001 Closing date File type Regulatory reporting I a o Procedures Sel Procedure Initiator label Initiator Agent Entity Start date Recipient Agent Entity Procedure code Status New procedure 35 Copyright Luxembourg Stock Exchange All rights reserved Click on New procedure button Select the Submission of long form amp mgmt letter procedure In the same file it is possible to create several procedures of the same type in the status Created or Started You then access the Procedure file So in the main information you note that the procedure is in the Status Cre
3. date Alert list is empty A Envelopes List of unread envelopes 3 Attached Item Id Date of receipt File name Procedure Subject Sender entity Sender documents Docml 2825163 10 09 2010 10 23 Remise de long form amp Submission of long form amp R ponse technique l envoi du reporting ReportingDOCML Entite E001 oat 1 a e file lu Electronic transmission of financial reports circular 10 457 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 creation date File identifier FT Portal identifier of the procedure i o qf aniic Procedure identifier OOO y Procedure start date by file information Procedure end date Owner entity all owner entities File name OOO O E File status in progress x by security description File type all filetypes x CSSF code ISIN code by procedure information Security name Procedure all procedure types y Initiator Agent fallagents oxy Recipient Agent fallagents o Procedure status fallstatuses l o Un Game 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 Luxembourg Stock Exchange Fine
4. 331 1 BUSINESS description e 2r2ss2e259ssecnarsecen es ceees een onestamoreciscmmereriooeaaeesncs 11 3 3 1 2 Folder of the Sending Service to be selected 11 Jke Pretransmission CHECKS 62s e s25ee e sce ea eSa 11 3 4 Initial results and interpretation 12 4 Monitoring transmitted reports 14 4 1 Searching transmitted reports 4 14 a e file lu Electronic transmission of financial reports circular 10 457 1 Introduction The Luxembourg Stock Exchange provides filing entities with a complete solution for the secure transmission of reports Circular 10 457 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 filling entity and transmitted to the authorities 1 1 Circular CSSF 10 457 dated 05 10 2010 The Circular is available at http www cssf lu uploads media cssti0 457 pdf and will be applicable from December 31 2010 As detailed in the circular the reports to be sent in there definitive form to the CSSF via e file are Long Form Rapport de r vision sur l
5. Activite Management Letter Lettre de Recommandations a e file lu Electronic transmission of financial reports circular 10 457 1 1 1 The documents naming rules Type de document Nom DOCREP BNNNNNNNN 00000000 0000 YYYY MM DD LF LL lIlll ext Management Letter DOCREP BNNNNNNNN OOOOO0000 0000 YYYY MM DD ML LL IIIl ext Where e NNNNNNNN digital number attributed by the CSSF to the entity e YYYY MM DD document s date year month and day use 01 if the day is not clearly defined e LL Document language code code ISO 639 1 alpha2 example o FR french o EN english o LB luxembourgish o DE german O e lll Annex number 0000 for main document nnnn to number the annexes e ext file type o pdf o doc Word 2003 o xls Excel 2003 o ppt Powerpoint 2003 o docx Word 2007 o xlsx Excel 2007 o pptx Powerpoint 2007 Documents sent to the CSSF must correspond exactly to the documents you distribute to your clients or publish a e file lu Electronic transmission of financial reports circular 10 457 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 refer directly to the e file user manual available online On the
6. B Adobe Acrobat Doc 3 12 2008 16 AO PORREP O005120000 2009 03 01 PC 2 434EKB Adobe Acrobat Doc 3 12 2008 16 ST PORREP O005120001 2009 03 01 P5 2 434KB Adobe Acrobat Doc 3 12 2008 16 9 PDRREP O005120002 2009 03 01 P5 2 434EB Adobe Acrobat Doc 3 12 2008 16 5 PORREP 0005120003 2009 03 01 P5 2 434EB Adobe Acrobat Doc 3 12 2008 16 After processing Mame FORREF O00S120000 2009 03 01 LE pdf_20090317140715636 trt PORREP O005120000 2009 03 01 PC pdF_20090317140719058 tr PORREP O005120001 2009 03 01 PS pdF_20090317140720792 rt PORREP O005120002 2009 03 01 PS por 200903171407235151 ert PORREP O005120003 2009 03 01 PS por 20090317140724980 crt PORREP O005120001 2009 03 01 PS pdF_20090317140806745 acq PORREP O005120002 2009 03 01 P5 pdF_20090317140805370 acq PORREP O005120003 2009 03 01 PS pdF_ 20090317140803980 acq PORREP O005120000 2009 03 01 LE poF_20090317140809526 acq PORREP O005120000 2009 03 01 PC pdF_20090317140808167 acq a e file lu Electronic transmission of financial reports circular 10 457 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 that nor empty error file is generated if t
7. ated Procedure Submission of long form amp mgmt letter File Long Form Initiator Entite E001 Addressee CSSF Unread envelopes 0 ton Envelopes amp documents Publications Progress report Procedure info Identifier 2779569 Status Created Procedure code Creation date 01 09 2010 Procedure Submission of long form amp mgmt letter Start date Addressee CSSF Closing date Initiator Agent utilisateur EQOLRESP Initiator Group Rapport des tablissements de credits Recipient Agent Recipient Group Long form amp mgmt letter banques Initiator description Copyright Luxembourg Stock Exchange All rights reserved a e file lu Electronic transmission of financial reports circular 10 457 Select the Envelopes amp Documents folder Procedure Submission of long form amp mgmt letter File Long Form Initiator Entite E001 Addressee CSSF Unread envelopes 0 Procedure Information Enve lopes amp c ocuments 1 MAA a aa AS View by Received sent envelopes Sent documents amp Received items Item Id Date of receipt Subject y 8 A 8 y Attached documents M Oo B Sent items Item Id Subject Sender i 4 6 Attached documents v 6 New envelope 5 5 Copyright Luxembourg Stock Exchange All rights reserved To transmit your documents click on New envelope Welcome EOOLRESP utilisateur New envelope Procedure Submission of lang form a
8. e file homepage you also will find a t link to our help section with interactive videos showing the main features of e file 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 First of all users must 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 11 avenue de la Porte Neuve B P 165 L 2015 Luxembourg Tel 352 47 79 36 330 Fax 352 47 79 36 275 info bourse lu 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 tablissements de cr dit to enter the context of transmission of procedures relating to Circular 10 457 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 10 457 The following rules should be followed Rule 1 Select the proper types of file procedure and document depending upon the
9. he transmission is correct KA e file lu Electronic transmission of financial reports circular 10 457 4 Monitoring transmitted reports Fillings and responses from the CSSF can be monitored via the platform www e file lu This part of the document gives a rapid overview of the means at your disposal to monitor your fillings and to access the various responses from the authorities However 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 e file lu J J ET Legal Disciaimer RS Navigation menu E _ J welcome EOO1RESP utilisateur argae mend E Configure my workstation security Quick links Advanced search Procedure Use file and procedure search My current procedures Current procedures of the group Reporting des tablissements de credit See all non assigned procedures Envelope Envelopes to validate 0 Teute F Alerts Configure my alerts Filter alerts by Event fall events File name All files List of latest alerts Procedure Event File name Concerned entity Procedure denner Event
10. mp mgmt letter File Long Form Send by Entite E001 Unread envelopes 0 Envelope info Status Draft Sender EQOLRESP utilisateur Subject Message object Send for validation F Attached documents Attach document Date of Name Annuoat Encrypted v o Brow Long form report B i M Select a document tupe tLong torm report i ra es jane letter 4 date has to be specified epyright Luxembourg Stock Exchange r Finesti All rights reserve Type 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 Electronic transmission of financial reports circular 10 457 Microsoft Internet Explorer om Pte oO aooe aooaa E eaan a 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 necessary Password for documents encryption Password v 3 2 Creation of the envelope and attached documents Transfer of envelope ee Envelope has been encrypted and sent Electronic transmission of fina
11. ncial reports circular 10 457 3 Automatic transmission via the Sending Service 3 1 Accessing and understanding the Sending Service tree structure alx Physically the Sending Service 3 2 is represented as a traditional tree structure n Reports of CSSF 10 457 circular oo are to be stored in the E O dst DOC_BNK folder see screen keystores a ib shot H log gt PDF E D ReportingDiffusion BCL_Statistics Bop E COREP E Go Pda E de DOC pa _OPC i ESP 2 FINREP B orc OTH PSF B Securisation sco gt sicar E TAF E TPT E a Yarious_Correspondence 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 service start 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 p
12. ng an error message internal file formats are not verified e file lu Electronic transmission of financial reports circular 10 457 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 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 filled directly in a folder If the original file is named OriginalName pdf Then the result file trt will be OriginalName pdf _Traitement trt with Traitement a digital counter providing a time stamp Example The folder ReportingDiffusion DOC_FIS_OPC PROSP_OPC contains Mame Size Type Date Modified 9 PDRREP O005120000 2009 03 01 LE 2 434 K
13. om the procedure record you can display the documents transmitted by selecting Envelopes amp Documents Proc dure Remise de prospectus OPC conf circulaire 08 371 Dossier 01531 Fond virtuel Initiateur Banque g n rale du Luxembourg Destinataire CSSF Enveloppes non ouvertes 0 Vr A AN Enveloppes amp documents Publications Etat d avancement vue selon Enveloppes recues envoy es Documents d pos s Retour la fiche dossier P El ments re us Id l ment Date de r ception Objet Exp diteur Documents joints v A A A v v A v A Al 627769 23 10 2008 16 09 prospectus vis s 1531 _ Responsable cssf 1 3 g El ments envoy s Id l ment Date d envoi Objet Exp diteur Documents joints A 46 v ae ii ae ii Al 627768 23 10 2008 14 20 prospectus 1531 Mr DURAND 2 Nouvelle enveloppe 5 4 Retour la fiche dossier 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
14. roject coordinator if you need to know your specific configuration KA e file lu Electronic transmission of financial reports circular 10 457 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 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 Filing of financial reports Circular 10 457 Long Form DOCREP BNNNNNNNN 0OOOO000 0000 YYYY MM DD LF LL IIIl ext Management Letter DOCREP BNNNNNNNN 0OOOOO0000 0000 YYYY MM DD ML LL IIIl ext 3 3 1 2 Folder of the Sending Service to be selected ReportingDiffusion DOC_BNK 3 3 1 3 Pre transmission checks The Sending Service performs the following checks file names long form or management letter report file extension pdf doc docx xls xlsx ppt or pptx extensions are expected The Sending Service ignores all other types of file without generati
15. sti All rights reserved Enter your search criteria and click on Validate to begin your search Criteria for searching financial reports File name Procedure type Submission of long form amp mgmt letter 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 a e file lu Electronic transmission of financial reports circular 10 457 The list of results is displayed with the files and procedures relating to the entered criteria s a eae F Legal Disclaimer e file lu tt ero 7 J l ai Help Glossary Contact Links Logout z Navigation menu Welcome Marc DURAND Doc OPC et FIS circ CSSF Supervisor _ File and procedure search Your search criteria were File name 01531 Virtual fund File status In progress List of found files File name Correspondent Procedure Start date Correspondent agent Procedure status v y B y 9 Y Y 8 01531 Virtual fund CSSF Submission of UCT prospectus pursuant 20 04 2009 Started circ 08 371 New file gt Back to search By clicking on the links in the list of procedures the procedure record is displayed Fr
16. type of file to be transmitted Rule 2 Observe the file naming convention by referring to the instructions from the authorities 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 A e file lu Help Glossary Contact Links Logout Navigation menu gel o Welcome EOO1RESP utilisateur Groupe principal Supervisor Groupe principal Supervisor Rapport OTHER Supervisor Rapport PSF Supervisor Rapports Statistiques BCL Supervisor Reporting EDIFACT Supervisor Reporting OTHER BCL Supervisor Advanced search Reporting SICAR Supervisor Reporting des Soci t s de Gestion Supery Quick links Procedure My current procedures Current procedures of the group Groupe principal See al non assigned procedures Use file and procedure search Envelope Envelopes to validate 0 New file gt a Alerts Configure my alerts Deb Filter alerts by Event all events File name fall files z List of latest alerts Event File name Concerned entity Procedure Procedure identifier Event date Subject Alert list is empty a Envelopes List of unread envelopes Item Id Date of receipt File name Procedure Subject Atta Sender entity Sender Jocu a Envelope list is empty Copyright Luxembourg Stock Exchange All rights reserved Click on New File
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