User Manual – PSF Reporting Transmission - e
Contents
1. Ke file lu Regulatory reporting User Manual PSF Reporting Transmission PSF reporting CSSF Version 1 2 Not to be communicated or re transmitted to third parties without permission of Bourse de Luxembourg Reference ManuUtil_EFile_Transmission_ReportingPSF_EN doc User Manual PSF Reporting Transmission 1 Introduction PSF reporting transmission 3 1 1 CSSF circularS 4 4 3 1 2 Focus on the naming convention 3 2 Manual transmission from www e file lu 5 2 1 Accessing e file lu 4 4 5 2 2 Creating a sending structure File Procedure Envelope 5 3 Automatic transmission via the Sending Service 11 3 1 Accessing and understanding the Sending Service tree structure 11 3 2 Triggering transmissions 4 4 22 22 11 321s Starline ending SeiyiC esesceeree sacs seee tee aE 12 Su DE UU Trequency resesi ninii i i ii E iihi 12 mund WOB CDUDSHU eo 0 Cte eee a a aa EEE 12 3 3 Making transmissions 4 4 4474747474747414 144MM 13 3 4 Initial results and interpretation 13 4 Follow up and authorities answers 15 4 1 Accessing e file lu2. Select the tab called Envelopes amp Documents Procedure PSF Reporting File File test Sept 08 Initiator Assets Associate Company Lux Addressee CSSF Unread envelopes 0 eee iin piu Envelopes amp documents Publications Progress report View by Received sent envelopes C Sent documents Back to file sheet iF Received items Item Id Date of receipt Subject Sender Attached documents n An v n g Sent items Item Id Sent Subject Sender Attached documents n An n New envelope GA Back to file sheet To send reports click on the New envelope button KA e file lu User Manual PSF Reporting Transmission E e file lu New envelope Microsoft Internet Explorer Welcome New envelope Procedure PSF Reporting File File test Sept 08 Send by Asset Associate Company Lux gt Unread envelopes 0 Envelope infa Status Sender Subject Send for validation t Attached documents Date of document Select a document type Iv Select a document type Encrypted A date has ta be specified Copyright Luxembourg Stack Exchange CCLux ied All rights reserved x E ER Trusted sites Fill in the subject and the text of the message required fields and click on the Attach document button Use the Browse functionality to find your report and select the corresponding type of report The date of the report is optional Be careful
3. reel eeeeswls 15 4 2 Follow up and search of transmitted reports 15 4 3 Answers from the CSSF LLLMLllIIIIMewfefl 17 Dg e file lu User Manual PSF Reporting Transmission 1 Introduction PSF reporting transmission The Luxembourg Stock Exchange makes available for your entity a complete and secure solution to transfer your PSF reporting to the CSSF via its website portal at www e file lu The CSSF sends back structured responses to the entities called feedback The Luxembourg Stock Exchange makes also available these feedback files to the entities from the e file lu portal 1 1 CSSF circulars PSF reporting Except support PSF and Support PSF CSSF Circular 08 369 31 07 2008 Electronic transmission of Statistical ad hoc information tables ll 1 11 22 to be submitted to the CSSF by the other professionals of the financial sector PFS Change of the ad hoc statistics periodicity and adaptation of the transmission method of the PFS prudential reporting File transfer and data protection rules CSSF Circular 08 334 04 01 2008 Encryption specifications for reporting firms CSSF Circular 08 344 12 03 2008 Provisions relating to the transmission of reporting files to the CSSF 1 2 Focus on the naming convention The PSF reporting files must follow this naming convention extracted from the CSSF naming conventio
4. The file that you want to send must be well named following the CSSF naming convention For PSF reporting transmission you must keep the Encrypted option checked Click on the Send button to launch the transmission The encryption module is automatically launched y 3 0 Creation of the envelope and att Password for documents encryption Password ee User Manual PSF Reporting Transmission v 3 0 Creation of the envelope and attached documents Transfer of envelope 12 Recovery public key of sender Once the transfer is finished this box appears 2 Creation of the envelope and attac Ye d Envelope has heen encrypted and sent Dg e file lu User Manual PSF Reporting Transmission 3 Automatic transmission via the Sending Service 3 1 Accessing and understanding the Sending Service tree structure Physically the Sending Service is represented as a traditional tree structure ServiceDeposant ReportingDiffusion File Edit wiew Favorites Tools Help AY Q B JO Search Erates HE M Address C3 WerviceDeposanfiReportingbiffusion M C WemeDeposantlReporngbiffuson 00M Be Folders X Mame Size Type Date Modified I E ServiceDeposant Al Bec Statistics File Falder 27 01 2011 16 45 Es c batch BoP File Folder 27101 2011 16 45 c builtJare COREP File Folder 27101 2011 16 45 H c config ij Dividendes File Falder 27101 2011 16 45 c dist 00c_BNK File Folder 271
5. Procedure Attached Sender documents Subject Sender entity Envelope list is empty Click on the New file button or search for an existing file using the advanced search 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 LICI visa Admission to trading File information Filing Entity identifier File name Owner entity File type Create p Assets Associate Company Lux Regulatory reporting x 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 Fill in the file name field and choose Regulatory reporting on the File type list in bold and click on the Create button The creation is successful click the Previous page button to see the File sheet User Manual PSF Reporting Transmission New file Creation successful To create a new procedure from the File sheet click on the New procedure button File sheet File File test Sept 08 Filing Entity Assets Associate Company Lux File information Identifier 4334 Status In progress File identifier Creation date 16 09 2008 Owner entity Assets Associate Company Lux Closing date File type Regulatory reporting Procedures n Sel Procedure Initiator label Initia
6. Annual informations PSFREP booocYYY Y MM TAB LL C D xls except support PFS Basis reporting PSFREP P oooc YYY Y MM 1H1 L1 C N xls Ad hoc reporting PSFREP P ooo YYY Y MM 121 L1 C N xls Annual informations PSFREP Pxxxx YYYY MM TAB LL C D xls By default choose the ReportingDiffusion PSF directory 3 4 Initial results and interpretation Once the Sending Service has taken into account the reports placed 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 In that situation just check that all 4 rules indicated previously have been applied first User Manual PSF Reporting Transmission Note concerning files with the extension TRT The result file with extension trt is the original file which has only been renamed It is thus possible to find your original file easily if necessary by renaming it with its original extension If the original file is OriginalFileName xls where OriginalFileName the name of the original file to be transmitted Then the result trt file will be OriginalFileName xls Timestamp trt with Timestamp a digital counte
7. File type falfiletypes sl CSSF code ISIN code Procedure end date by procedure information Security name Procedure allprocedure types l Initiator Agent fallagents sy Recipient Agent alagens H Procedure status al statuss sl ao uD trp 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 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 Procedure status 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 Dg e file lu User Manual PSF Reporting Transmission 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 The transfer to the authority is not confirmed O Closed status The procedure was closed by the authority This is the normal end of a procedure Please refer to paragraphs 3 3 Answers
8. from the CSSF Envelopes amp Documents tab From the Procedure sheet you can find the transmitted files by selecting the Envelopes amp Documents tab Two lists are available the Sent Items and the Received Items which are the sent reports and the answers of the authorities Note that the received items are also available on the homepage until a user reads them Once it is read you can always find it from the procedure sheet 4 3 Answers from the CSSF All CSSF answers are sent to www e file lu How long do you have to wait before getting an answer The average duration between sending and the answer from the CSSF is less than 45 minutes This duration depends on two main facts the CSSF receipt scanning process is run every 15 minutes the registration of the CSSF answers into the e file database is made every 30 minutes Acknowledgements of receipt The CSSF answers to all received reports This feedback is a technical acknowledgement of receipt called FBR type All FBR files are in XML format They are instances of the same FileAcknowledge v1 0 XSD schema This schema is available from the CSSF website www cssf lu This FBR file generated by the CSSF systems provides a structured answer On e file lu from the list of received items or from the homepage open the envelope detail and click on the attached file the encryption module is automatically launched and proposes two options f
9. 01 2011 16 45 E keystores DOC FIs oec File Folder 27 01 2011 16 45 I lib ESF File Folder 27 01 2011 16 45 E log FINREP File Folder 27101 2011 16 45 E c PDF orc File Folder 27101 2011 16 45 3 ReportingDiffusion 90TH File Folder 27 01 2011 16 45 3 BCL Statistics om File Folder 27 01 2011 16 45 E3 Bor ij Securisation File Folder 27101 2011 16 45 io COREP 560 File Folder 27101 2011 16 45 C3 Dividendes J SICAR File Folder 27101 2011 16 45 3 boc BNK TAF File Folder 27 01 2011 16 45 amp E DOC FIS OPC TPT File Folder 27101 2011 16 45 ea ESP Various Correspondence File Falder 27101 2011 16 45 amp FINREP Gyn File Folder 27 01 2011 16 45 E E opc 7j OTH 5 PSF L3 Securisation GB sao L3 SICAR amp Ez TAF pz TPT 5 various Correspondence G YMI O Templates 3 tmp B webservices 1 objects selected The standard tree see screenshot above provides a directory PSF which is our concern By default all folders are present even if your entity is not subject to any of the reports In the case where a directory that does not serve you it is present but inactive that is to say there is no scanning done 3 2 Triggering transmissions User Manual PSF Reporting Transmission 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 S
10. e lu docs FR Manuel e file EN pdf e file lu User Manual PSF Reporting Transmission Legal Disclaimer e file lu Help Glossary Contact Links Logout Navigation menu J Welcome z PSF Supervisor S Configure my workstation security Quick links Advanced search Procedure Use file and procedure search O My current procedures Current procedures of the group PSF See all non assigned procedures o Envelope Envelopes to validate 0 New file 73 Alerts Configure my alerts f Delete all Filter alerts by Event fall events File name all files List of latest alerts Event File name Concerned entity Procedure Procedure artar Event date Subject Alert list is empty a Envelopes List of unread envelopes Attached Item Id Date of receipt File name Procedure Subject Sender entity Sender documents Envelope list is empty The search screen appears 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 A by date comparison Portal identifier of the file File creation date File identifier y Fa File close date Portal identifier of the procedure Procedure identifier Procedure start date by file information Owner entity All owner entities x File name Orr File status mprogess H by security description
11. ending Service configuration file In order to facilitate configuration the Luxembourg Stock Exchange has set a standard default frequency 30 minutes If the coordinator has given other instructions frequencies may therefore vary 3 2 1 Starting Sending Service Your IT manager can start and stop the sending service for your entity 3 2 2 Default frequency By default that each directory is scanned every 30 minutes from the last start of the service 3 2 3 Your configuration It is also possible to customize the frequency depending on the needs of your organization directory by directory Thank you to contact your project manager to determine the frequencies for your configuration Dg e file lu User Manual PSF Reporting Transmission 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 on 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 file format and its extension Rule 4 The file must not have been previously encrypted by another system before being transmitted Relevant documents are support PFS Basis reporting PSFREP Ixxxx YYYY MM 1Ht1 L1 C N xls Ad hoc reporting PSFREP Ixxxx YYYY MM 121 L1 C N xls
12. es e file e file cache workdir 1210231904216 txt lt xml version 1 0 encoding UTF 8 gt lt Fileacknowledge xmlns http www cssf lu ns fa 2008 03 01 xmlns xsi http www w3 org 2001 XMLSchema instance Version 1 0 CreationDate 2008 04 30 xsi schemaLocation http www cssf lu ns fa 2008 03 01 Fileicknowledge vi 0 xsd CreationLocalTime 12 00 01 gt lt SourceFile gt lt FileName gt TAFREP_BOURSEXXXXX_2007 10 26 000002 xm1l_0000000000065933 lt FileName gt lt CreationDate gt 2008 04 30 lt CreationDate gt lt CreationTime gt 12 00 01 lt CreationTime gt lt SourceFile gt lt FileReceiveOperations gt Filename lt Status gt a lt Status gt lt Filename gt lt Authentication gt lt Status gt a lt Status gt lt fiuthentication gt lt Signature gt lt Status gt a lt Status gt lt Signature gt lt Decryption gt lt Status gt a lt Status gt lt Decryption gt lt FileReceiveOperations gt lt Fileacknowledge gt
13. he base concepts of e file lu such as me procedures envelopes and documents These are explained in the e file s User Manual 4 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 T l 4352 28 370 330 clientservice fundsquare net If you already have a login please launch your navigator Internet Explorer Netscape go to www e file lu The login page will be displayed 4 2 Follow up and search of transmitted reports Once you are connected to www e file lu the homepage Help Glossary Contact Links Logout appears Rapport COREP Supervisor Balance des Paiements Supervisor First you must choose the correct context by selecting OTHER Supervisor h ropri item in the drop down list l in a ds GAB the app op ate ite the drop down list located Spore CORED Sune rer the top right of the homepage Rapport FINREP Supervisor T Reporting EDIFACT Supervisor For example Choose PSF if you want to send a PSF SICAR Supervisor report station CCLux CCLux Station Manager Statistiques BCL Supervisar Titre par titre Bancaire Supervisor Please note that the drop down list contains your authorised contexts Then click on the Use file and procedure search link under Advanced search See the e file s user guide https www e fil
14. n Format attendu TYRDIR ENNNN YYYY MM TAB LL C D S ext See the CSSF website http www cssf lu index php id 123 amp L 1 O http www cssf lu index php id 192 amp L 1 E http www cssf lu index php id 224 amp L 1 http www cssf lu fileadmin files Reporting_legal transport_securisatio n_reporting Convention_de_noms_310708 pdf Xe e file lu User Manual PSF Reporting Transmission Description Type of the reporting Direction im MN REP a report gt file to CSSF FBR for feedback gt file returned by CSSF R entity Char 1 P PSF or T Support PSF EN RENE 0001 9999 M J Moth Numbe2 01 12 12 a MEME Es support Lr P11 for basic reporting P21 for ad hoc reporting Support PSF HT for basic reporting I21 for ad hoc cpus I11 and Di t npe Gu ONS DD Vesnd i e CD DoaN S swuem ew v ext Extension Char 5 For REP files xls Excel 2003 or xlsx Excel 2007 For FBR files xml For example PSFREP P9999 2008 03 P11 L1 L N xls PSFREP 19999 2008 03 121 L1 L N xlsx Dg e file lu User Manual PSF Reporting Transmission 2 Manual transmission from www e file lu Manual transfers can be done from the portal at www e file lu This part of the manual provides an overview of these func
15. or downloading Dg e file lu User Manual PSF Reporting Transmission A e file lu Envelope sheet Microsoft Internet Explorer Welcome Nathalie SMITH Envelope sheet Procedure Reporting r glementaire TAF MIFID File Reporting TAF MIFID 2008 04 29 Send by Assets Associate Company Lux Unread envelopes 0 Envelope info Sender TafMiF Utilisateur API Sent 29 04 2008 15 19 Read 19 05 2008 11 25 Status Validated Validator TafMiF Utilisateur API Subject R ponse technique l envoi du reporting Reporting TAFMFID Text Attached documents Name Date of document Encrypted TAFFBR BOURSEXXXXX 2008 04 X 29 000025 xml txt a ALLE ine Source envelope Id Date of receipt Subject Sender Attached documents 26403 29 04 2008 11 44 test caa Marie DUPONT al Copyright Luxembourg Stock Exchange CCLus All rights reserved zi S Trusted sites Enter the decryption password choose the downloading mode and click on the Download button 2 3 0 Downloading a file Downloading the file TAFFBR B URSEXXXxx 2008 04 29 n 0 This document is encrypted Password What would you like to da with this File J Open it Save it as C Program Filesfe Filefe File cache workdir Browse cos A C Program Files e file e file cache workdir 1210231904216 txt File Edit View Favorites Tools Help ack gt A Asearch Favorites media S R GSE OA C Program Fil
16. r providing a time stamp Example If the original file is PSFREP PO0000 2011 04 P11 L1 L N xls trt file is PSFREP P0000 201 1 04 P11 L1 L N xls 20110421110355986 trt Initial directory Mame Size Type Date Modified eal PSFREP POOOO 201 1 04 P11 L1 L N xls 21456 KB Microsoft Excel Wor 26 08 2010 09 36 become this Size Type Date Modified f PSFREP POOOO 201 1 04 P11 L1 L M xls_ 20110421110355986 acq 2 146 KB ACQ File 26 08 2010 09 36 PSFREP POOOO 201 1 04 P11 L1 L N xls_20110421110355986 trt 2145 KB TRT File 26 08 2010 09 36 Notes concerning files with the extension ERR Result files with the extension err are error files They contain technical messages which assist you in diagnosing the problem File naming errors are stored in this file An empty file size O KB means that the transmission has been made without error It is possible to change the configuration to generate no error file if the transmission is correct e file lu User Manual PSF Reporting Transmission 4 Follow up and authorities answers Follow up of transfers and feedback of the authorities 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 t
17. that the drop down list contains your itis Bett ena Sup authorised contexts For manual transmission follow these four rules See the e file s user guide e 1 Choose the right 7 https www e file lu docs FR Manuel e file EN pdf e of file procedure and X e file lu User Manual PSF Reporting Transmission document depending on the type of reporting you want to transfer Rule 2 Respect the naming convention of the file by referring to the authorities instructions Rule 3 Respect the file format and its extension Rule 4 Only upload unencrypted files the encryption module will encrypt your file with the correct keys Rule 5 Attach only one document by envelope and only one envelope by procedure Navigation menu E Welcome D 2l 7 2 2 2nzsl Quick links Procedure My current procedures Current procedures of the group PSF See all non assigned procedures Envelope Envelopes to validate 0 New file 73 A Alerts Filter alerts by Event all events List of latest alerts Event File name Concerned entity Help Glossary Contact Links Logout PSF Supervisor Configure my workstation Advanced search security O Use file and procedure search o Configure my alerts f Delete all File name all files z Procedure Procedure Tope am Event date Subject Alert list is empty t Envelopes List of unread envelopes Item Id n Date of receipt File name
18. tionalities 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 me procedures envelopes and documents These are explained in the e file s User Manual 2 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 T l 352 28 370 330 clientservice fundsquare net If you already have a login please launch your navigator Internet Explorer Netscape go to www e file lu The login page will be displayed 2 2 Creating a sending structure File Procedure Envelope Once you are connected to www e file lu the homepage Help Glossary Contact Links Legnut appears Rapport COREP Supervisor Balance des Paiements Supervisor First you must choose the correct context by selecting OTHER Supervisor h ropri item in the drop n list in PST Supervisor a Seen the app op ate ite the drop down list located Spore CORED Sune rer the top right of the homepage Rapport FINREP Supervisor ae Reporting EDIFACT Supervisor For example Choose PSF if you want to send a PSF SICAR Supervisor report Station CCLux CCLux Station Manager Statistiques BCL Supervisor Please note
19. tor Agent Entity Start date Recipient Agent Entity Procedure code Status Select PSF Reporting in the list of type of procedures click on the Create button You can also fill in the other fields but they are not mandatory New procedure File File test Sept 08 Initiator Assets Associate Company Lux Procedure info Procedure See internal procedures Recipient entity Group Select a recipient entity gt i Select a group z Initiator description Initiator Agent Deposant Service Proprietary service PSF Publication info Launch date Desired publication date Previous page The creation is successful click the Previous page button to see the Procedure sheet New procedure Creation successful User Manual PSF Reporting Transmission You then have access to the Procedure sheet Note that the new procedure s status is Created Procedure PSF Reporting File File test Sept 08 Initiator Assets Associate Company Lux Addressee CSSF Unread envelopes 0 Procedure Information Envelopes amp documents f Publications J Progress report Procedure info Identifier 430491 Status Created Procedure code Creation date 16 09 2008 Procedure PSF Reporting Start date Addressee CSSF Closing date Initiator Agent Deposant Service Initiator Group PSF Recipient Agent Recipient Group Reporting PSF CSSF Initiator description Back to file sheet
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