Difference between revisions of "Onboarding"
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<small>''Page's last update : 12 January 2024''</small> | |||
=Introduction= | =Introduction= | ||
The aim of this page is to described the different onboarding and when should it be used | The aim of this page is to described the different onboarding and when should it be used | ||
You can also retrieve some guidance from our dedicated Webinar | |||
[https://attendee.gotowebinar.com/recording/4759815959109515011 hosted on 5th December 2023] and the [[Media:FSQ_channel_onboarding_Webinar_5_Dec_2023.pdf | related presentation]] | |||
'''<u>Note:</u>''' | |||
The onboarding is only required for new declarant/funds (i.e. recently created in the CSSF database).<br> | |||
In case of a transfer (from a former reporter/declarer) we only need : | |||
*The Transfer date | |||
*The name of the former sender | |||
=Onboarding listing= | =Onboarding listing= | ||
| Line 19: | Line 28: | ||
! scope="col" | '''Onboarding type''' | ! scope="col" | '''Onboarding type''' | ||
|- | |- | ||
||<span style="color: #008C84">'''Regulated UCIs and SICARs'''</span> <br> Reports required are '''TPTOBS''' (monthly), '''S 2.13''' balance sheet quarterly and '''S 1.6''' (monthly if applicable), as per Circular BCL 2014/237 and CSSF 14/588 and '''U1.1''' as per CSSF 15/627. | ||<span style="color: #008C84">'''Regulated UCIs and SICARs'''</span> <br> Reports required are '''TPTOBS''' (monthly), '''S 2.13''' balance sheet quarterly and '''S 1.6''' (monthly if applicable), as per Circular BCL 2014/237 and CSSF 14/588 and '''U1.1''' as per CSSF 15/627.<br> | ||
'''<u>Note:</u>''' In case of a '''<u>transfer</u>''' please provide us only with the '''CSSF code''' of the fund, the '''transfer date''' and the '''name of the former sender''' | |||
||YES | ||YES | ||
||[https://www.e-file.lu/wiki/index.php/E-file_Static_Data_Management FDF form via Static Data Management] | ||[https://www.e-file.lu/wiki/index.php/E-file_Static_Data_Management FDF form via Static Data Management] | ||
|- | |- | ||
||<span style="color: #008C84">'''Non-regulated AIFs'''</span> (NAFs) Reports required to be filed with BCL but not with CSSF<br>BCL Reports for NAFs:''' TPTOBS''' (monthly), '''S 1.6''' if applicable, '''S 2.13''' balance sheet quarterly. These are required as per Circular BCL 2018/241. | ||<span style="color: #008C84">'''Non-regulated AIFs'''</span> (NAFs) Reports required to be filed with BCL but not with CSSF<br>BCL Reports for NAFs:''' TPTOBS''' (monthly), '''S 1.6''' if applicable, '''S 2.13''' balance sheet quarterly. These are required as per Circular BCL 2018/241. <br> | ||
'''<u>Note:</u>''' In case of a '''<u>transfer</u>''' please provide us only with the '''NAF code''' of the fund, the '''transfer date''' and the '''name of the former sender''' | |||
||YES | ||YES | ||
||[https://www.e-file.lu/wiki/index.php/E-file_Static_Data_Management FDF form via Static Data Management] | ||[https://www.e-file.lu/wiki/index.php/E-file_Static_Data_Management FDF form via Static Data Management]<br> | ||
|- | |- | ||
||<span style="color: #008C84">'''Securitisation Vehicles'''</span> (reports required to be filed with BCL but not with CSSF)<br>BCL Reports for securitisation vehicles: '''TPTTBS''' (monthly), '''S 2.14''' balance sheet quarterly and '''S 2.15''' quarterly on transactions and write-offs/write-downs on securitised loans. These are required as per Circular BCL 2014/236. | ||<span style="color: #008C84">'''Securitisation Vehicles'''</span> (reports required to be filed with BCL but not with CSSF)<br>BCL Reports for securitisation vehicles: '''TPTTBS''' (monthly), '''S 2.14''' balance sheet quarterly and '''S 2.15''' quarterly on transactions and write-offs/write-downs on securitised loans. These are required as per Circular BCL 2014/236. | ||
| Line 49: | Line 60: | ||
||<span style="color: #008C84">'''Management company'''</span> <br> Quaterly '''G2.1''' Excel report as per CSSF 15/633. | ||<span style="color: #008C84">'''Management company'''</span> <br> Quaterly '''G2.1''' Excel report as per CSSF 15/633. | ||
||YES | ||YES | ||
||[[Media: | ||[[Media:Contact Form.xls | Contact form for each declarant code]] | ||
|- | |- | ||
||<span style="color: #008C84">'''Management company'''</span> <br> Non-structured electronic documents '''DOCREP''' as per CSSF 19/708. | ||<span style="color: #008C84">'''Management company'''</span> <br> Non-structured electronic documents '''DOCREP''' as per CSSF 19/708. | ||
||YES | ||YES | ||
||[[Media: | ||[[Media:Contact Form.xls | Contact form to get the code of the technical sender]] | ||
|- | |- | ||
||<span style="color: #008C84">'''Sicar '''</span> <br> Half-yearly '''K3.1''' Excel report as per CSSF 08/376. | ||<span style="color: #008C84">'''Sicar '''</span> <br> Half-yearly '''K3.1''' Excel report as per CSSF 08/376. | ||
||YES | ||YES | ||
||[[Media: | ||[[Media:Contact Form.xls | Contact form for each declarant code]] | ||
|- | |||
||<span style="color: #008C84">'''Sicar '''</span> <br> Non-structured electronic documents '''DOCREP''' as per CSSF 19/708. | |||
||YES | |||
||[[Media:Contact Form.xls | Contact form to get the code of the technical sender]] | |||
|- | |- | ||
|} | |} | ||
Latest revision as of 14:18, 29 August 2024
Page's last update : 12 January 2024
Introduction
The aim of this page is to described the different onboarding and when should it be used
You can also retrieve some guidance from our dedicated Webinar hosted on 5th December 2023 and the related presentation
Note:
The onboarding is only required for new declarant/funds (i.e. recently created in the CSSF database).
In case of a transfer (from a former reporter/declarer) we only need :
- The Transfer date
- The name of the former sender
Onboarding listing
Please find below the description of the reporting type related onboarding
| Type of Entity and Reports | Onboarding required | Onboarding type |
|---|---|---|
| Regulated UCIs and SICARs Reports required are TPTOBS (monthly), S 2.13 balance sheet quarterly and S 1.6 (monthly if applicable), as per Circular BCL 2014/237 and CSSF 14/588 and U1.1 as per CSSF 15/627. Note: In case of a transfer please provide us only with the CSSF code of the fund, the transfer date and the name of the former sender |
YES | FDF form via Static Data Management |
| Non-regulated AIFs (NAFs) Reports required to be filed with BCL but not with CSSF BCL Reports for NAFs: TPTOBS (monthly), S 1.6 if applicable, S 2.13 balance sheet quarterly. These are required as per Circular BCL 2018/241. Note: In case of a transfer please provide us only with the NAF code of the fund, the transfer date and the name of the former sender |
YES | FDF form via Static Data Management |
| Securitisation Vehicles (reports required to be filed with BCL but not with CSSF) BCL Reports for securitisation vehicles: TPTTBS (monthly), S 2.14 balance sheet quarterly and S 2.15 quarterly on transactions and write-offs/write-downs on securitised loans. These are required as per Circular BCL 2014/236. |
NO | N/A |
| Financial Companies (reports required to be filed with BCL but not with CSSF) BCL Reports for financial companies: TPTIBS (monthly), S 2.16 balance sheet quarterly and S 2.17 quarterly information on transactions of financial companies. These are required as per BCL 2014/No 17 and BCL 2011/No8. |
NO | N/A |
| Financial Institutions - Foreign Account Tax Compliance Act (FATCA) Foreign Account Tax Compliance Act Reporting to be filed with ACD - ECHA 3 ciruclar |
YES | Fatca-CRS onboarding form |
| Financial Institutions - Common Reporting Standard (CRS) Automatic exchange of financial account information on a global level to be filed with ACD - ECHA 4 circular |
YES | Fatca-CRS onboarding form |
| Regulated AIFs (AIFMD - Annex IV) Reports required to be filed with with CSSF These are required as per CSSF Circular 14/581. |
YES | FDF form via Static Data Management |
| Management company Quaterly G2.1 Excel report as per CSSF 15/633. |
YES | Contact form for each declarant code |
| Management company Non-structured electronic documents DOCREP as per CSSF 19/708. |
YES | Contact form to get the code of the technical sender |
| Sicar Half-yearly K3.1 Excel report as per CSSF 08/376. |
YES | Contact form for each declarant code |
| Sicar Non-structured electronic documents DOCREP as per CSSF 19/708. |
YES | Contact form to get the code of the technical sender |