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<small>''Page's last update : {{REVISIONDAY2}} {{CURRENTMONTHABBREV}} {{REVISIONYEAR}}''</small>


=Introduction=
__TOC__


<span style="color:white; background:DarkTurquoise"> '''Please be informed that we are working on a new e-file version of the '''Static Data Management''' ('''SDM''') application that will be delivered in the first quarter of 2020.''' </span>
= FAQ =


This modernized e-file version will introduce a <u>new design</u> and <u>improve ergonomics</u> for a better user experience.
<span class="mw-customtoggle-q0" style="font-weight:bold;line-height:2.5;">Your module is greyed out?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q0">
::To get access to this module, please ask your e-file local administrator to [[E-file Administration#How_do_I_assign_groups_and_profiles_to_users|make you member]] of the '''''Distribution matrix ''''' and '''''Registration matrix ''''' groups.
::[[File:Matrix GreyedOut.png|alt=Registration and distribution matrix is greyed out.|To have access : '''''Distribution matrix ''''' and '''''Registration matrix ''''' groups ]]
</div>


Please find below our '''Before - After User Guide''' where all changes will be explained.
<span class="mw-customtoggle-q1" style="font-weight:bold;line-height:2.5;">How can I batch upload registration or distribution statuses?
Can I bulk upload multiple registration/distribution statuses in one go?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q1">
::Registration statuses can be uploaded by providing a .csv file with the following columns to rs.clientsupportoperations@fundsquare.net: ISIN;Country;Status;effective date (not mandatory).
::Example:


::LU1234567890;BE;R
::LU2124567890;DE;RX;24/01/24
::LU1231231234;FR;DX


</div>


<span class="mw-customtoggle-q2" style="font-weight:bold;line-height:2.5;">Why has the Distribution Status not been updated to Registered ('R') despite the R to D automation?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q2">
::If the current distribution status is DX, it will not be updated by an automation and has to be updated manually. Please also note that the automation only works for countries with a filing setup.
</div>


<span class="mw-customtoggle-q3" style="font-weight:bold;line-height:2.5;"> I can not find a closed share-class in the registration matrix</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q3">
::Please make sure filter status "closed" is selected
</div>


=Select Test or Production environment=
<span class="mw-customtoggle-q4" style="font-weight:bold;line-height:2.5;"> Why does the registration or the distribution  matrix appear to be empty?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q4">
::This is due to missing access rights. The latter have to be requested by email to rs.clientsupportoperations@fundsquare.net
</div>


Production environment : '''https://www.e-file.lu/e-file/'''
<span class="mw-customtoggle-q5" style="font-weight:bold;line-height:2.5;">How can I add a new country to the registration matrix?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q5">
::New countries can be added by clicking on the Manage Country button available on the top of the page
</div>


Homologation environment (Test) : '''https://homologation.e-file.lu/e-file/'''
<span class="mw-customtoggle-q6" style="font-weight:bold;line-height:2.5;">How can I see the audit trail of a registration or distribution status?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q6">
::Please click on the "clock" symbol 
</div>


<span class="mw-customtoggle-q7" style="font-weight:bold;line-height:2.5;">How can I extract a registration matrix?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q7">
::Registration and distribution extracts are available in the "reports" section of the registration and distribution matrix module
</div>


<span class="mw-customtoggle-q8" style="font-weight:bold;line-height:2.5;">Can we see the number of shares with status by country ? </span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q8">
::Yes, please click on the consolidated view tab in the registration and distribution matrix module
</div>


<span class="mw-customtoggle-q9" style="font-weight:bold;line-height:2.5;">What does this button mean?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q9">
::This button allows to  select all statuses at fund or umbrella level
</div>


<div style="text-align: center; width:100%;border-style: double none none none;"> </div>


=E-file login=


Enter your e-file login credentials (user name and password) and click the ACCESS button.


[[File:BeforAfterLogin.png|border|800 px]]
=Description=


'''IMPORTANT:''' If you do not have an e-file user account, you might contact the '''e-file administrator''' of your company.
==Selecting a fund ==


[[E-file Administration|=>for more detailed information please click the link '''e-file Administration''']]


[[File:2CorrectionAfter SelectFund.png|1000 px]]


[[File:AfterPoint1.png|30 px]] Click on the '''FILTER''' button [[File:AfterSDMFilter.png|20 px]] on the right side of the screen. The '''DYNAMIC FILTERS''' taskbar (highlighted in yellow) with a '''Status''' area [[File:After-point2a.png|20 px]] opens, where you can filter the funds by their status (Active, inactive, closed).


[[File:AfterPoint2.png|30 px]] '''Active''' and '''Inactive''' funds are displayed by default. If you want for example display '''Closed''' funds as well, open the drop-down list by clicking inside the STATUS area [[File:After-point2a.png|20 px]], select '''Closed''' and press the '''Search''' button [[File:After SearchButton.png|20 px]].


[[File:AfterPoint3.png|30 px]] You can narrow your search criteria by using '''ISIN''' and '''Fund name''' filters. Click inside the toolbar [[File:After-point3a.png|20 px]] (highlighted in yellow). A drop-down list (highlighted in orange) opens.


=Launchpad=
Select the '''ISIN''' and /or '''Fund name''' filter that will then be added to the '''DYNAMIC FILTERS''' taskbar (highlighted in yellow), see figure below.


Once logged in, the e-file launchpad opens.
[[File:After DynamicFiltersISINName.png|500 px]]


Click on the '''Static Data Management''' icon to access the module.
These two filter options will allow you to search for example for a specific share class of a fund by its '''ISIN''' or '''Fund name''' (The '''Containing''' and '''Begin''' functions are included as well).


[[File:3Launchpad.png|800 px]]
[[File:AfterPoint4.png|30 px]] Press the SEARCH button [[File:After SearchButton.png|20 px]] to initiate the search process.


[[File:AfterPoint5.png|30 px]] Press the '''RESET''' button [[File:AfterSDMResetButton.png|20 px]] to clear all filters and start a new search.


[[File:AfterPoint6.png|30 px]] Press the Expand '''DATA FILTER'''S icon to hide/display the '''DATA FILTERS''' taskbar.


[[File:AfterPoint7.png|30 px]] Move your mouse pointer over the fund area and click to open the '''Matrix''' screen.


== Matrix ==


=Select template - Before=


The '''Export screen''' opens.
[[File:2After Matrix.png|1200 px]]


[[File:3BeforeServiceSelection.png|border|700 px]]
[[File:AfterPoint1.png|30 px]] Click on the '''FILTER''' button [[File:AfterSDMFilter.png|30 px]] on the right side of the screen. The '''DYNAMIC FILTERS''' taskbar (highlighted in yellow) with a '''Status''' area [[File:AfterPoint2.png|25 px]] opens. Here you can filter the funds by their status (Active, inactive, closed).


[[File:BeforePoint1.png|20 px]] Open the drop-down list to select the SERVICE
[[File:AfterPoint2.png|30 px]] '''Active''' and '''Inactive''' funds are displayed by default. If you want to view '''Closed''' funds as well, open the drop-down list by clicking inside the STATUS area [[File:After-point2a.png|25 px]] , select '''Closed''' and press the '''Search''' button.


[[File:AfterPoint3.png|30 px]] Various filters are available to narrow further your search criteria. Click inside the toolbar [[File:After-point3a.png|25 px]]  (highlighted in yellow). A drop-down list (highlighted in orange) containing the following filter options, opens:


'''Matrix type''' - '''Distribution matrix status''' - '''Registration matrix status''' – '''Country''' – '''ISIN''' - '''Share class name''' - '''Sub fund name''' - '''Effective date''' – '''Error'''


Click on the filter options you need. They will be automatically added to '''DYNAMIC FILTERS''' taskbar [[File:After-point3a.png|25 px]] highlighted in yellow.


[[File:AfterPoint4.png|30 px]] Press the '''SEARCH''' button to initiate the search process once you have entered your filter options.


=Select template - After=
[[File:AfterPoint5.png|30 px]] Press the '''RESET''' button to clear all filters and start a new search.


[[File:5After SelectTemplate.png|700 px]]
[[File:AfterPoint6.png|30 px]] When a status box is selected, it is highlighted in green and the '''CANCEL''', '''REMOVE STATUS''' and '''CHANGE STATUS'''  buttons are activated [[File:AfterPoint7.png|25 px]].


[[File:AfterPoint1.png|20 px]] Click on the arrow highlighted in yellow in the top left hand corner of the page to open the drop-down list to select the TEMPLATE [[File:AfterPoint2.png|20 px]]
To select all share classes of a fund, click the box [[File:After-point6a.png|25 px]] at fund level. To select all share classes of a sub-fund, click the box [[File:After-point6b.png|25 px]] at sub-fund level.


These functions allow you to add / update several share class simultaneously, provided the same status is required for each share class. All historical changes are registered and you can view them by clicking on the small clock icon [[File:After-point6c.png|30 px]]. The '''HISTORY''' drawer opens on the right side of the screen,see figure below.


[[File:After DetailHistory.png|border|500 px]]




[[File:AfterPoint7.png|30 px]] '''CANCEL''', '''REMOVE STATUS''' and '''CHANGE STATUS''' buttons


=Filter functions - Before=
<u> '''CANCEL''' </u> : to cancel your previous selection press the '''CANCEL''' button.


[[File:2Before FilterFunctions.png|1000 px]]


[[File:BeforePoint1.png|20 px]] Click on the FILTER button on the left side of the screen. A window opens where you can specify your search criteria.


[[File:BeforePoint2.png|20 px]] Narrow your search criteria by selecting the PROMOTER/LIBRARY OWNER, FUNDS, SUB-FUND, SHARE CLASS.
<u> '''REMOVE STATUS''' </u>: to delete a status press the '''DELETE STATUS''' button. A small window pops up, where you have to confirm your deletion, see figure below.


[[File:BeforePrint3.png|20 px]] Narrow your search criteria by selecting the STATUS of your instrument (e.g. active and public).
[[File:After Remove status.png|300 px]]


[[File:BeforePrint4.png|20 px]] RESET button to clear all fields and start a new search.


[[File:BeforePrint5.png|20 px]] SEARCH button to start the search.


[[File:BeforePrint6.png|20 px]] EXPAND/COLLAPSE button to display the whole fund tree (fund, sub-funds and share classes) (EXPAND) or to display only the fund level (COLLAPSE).
<u> '''CHANGE A REGISTRATION AND/OR DISTRIBUTION STATUS ''' </u>: To update a registration/distribution status, please select one or more statuses (by clicking on the status) and select the <u>CHANGE STATUS</u> button. A pop up  opens on the right side of the screen. The below screen shot shows a change from R and D to RX and DX: Select the new status, add an effective date (not mandatory) and a comment and hit the '''CHANGE STATUS''' button.


[[File:BeforePrint7.png|20 px]] Narrow your search criteria by entering the ISIN, CSSF CODE or INTERNAL CODE in the appropriate search field.
[[File:ChangeStatusRX.jpg|500 px]]


[[File:BeforePrint8.png|20 px]] REFRESH button to make available the most updated version of the page you are viewing.


[[File:BeforePrint9.png|20 px]] Specify your display options: SHOW SELECTED instruments, SELECT ALL instruments, UNCHECK ALL boxes.
[[File:After-point8.png|30 px]] Press the '''MANAGE COUNTRY''' button to add or remove countries. A drawer ''' MANAGE COUNTRY'''  opens on the right side of the screen, where you have to check / uncheck boxes in order to add / remove countries. Filter country and Filter continent are available to ease the search, see figure below.


[[File:BeforePrint10.png|20 px]] Specify your SELECTION option. STANDARD: each box of the fund tree has to be selected either manually or through the SELECT ALL button. [[File:BeforePrint11.png|20 px]] SPREAD: the checked box of the fund will be automatically spread to the whole fund tree.
[[File:After ManageCountry.png|border|500 px]]


[[File:BeforePrint12.png|20 px]] EXPORT button: all selected instruments (with checked boxes) will be exported in the file.


[[File:After-point9.png|30 px]] Open Full screen mode. Filter taskbars will be hidden.


[[File:After-point10.png|30 px]] You can also export the complete matrix to Excel and view the status details, ISIN by ISIN, country by country. Press the '''Export''' button.


== Registration statuses ==


Please be informed that no changes have been made to the registration statuses rules.


=Filter functions - After=
The Registration status informs you whether your fund is registered with the European authorities or not.
[[File:2AfterSDMExport.png|1000 px]]


[[File:AfterPoint1.png|20 px]] Click on the '''FILTER''' button [[File:AfterSDMFilter.png|30 px]] on the right side of the screen. A toolbar (highlighted in yellow) opens where you can narrow your search options by specifying the [[File:AfterPoint2.png|20 px]] STATUS of the instrument (e.g. active and public).
[[File:After-Befor-Registration statuses.png|border|600 px]]


[[File:AfterPoint3.png|20 px]] Click inside the toolbar highlighted in yellow. A drop-down list '''DATA FILTERS''' pops up where you can narrow your search criteria by selecting e.g. ISIN, CSSF CODE. Enter your ISIN, CSSF CODE in the dedicated search field (3a, 3b) and
[[File:Blue-RegStatus.png|25 px]] Status manually set through the '''Registration and distribution matrix module'''


[[File:AfterPoint4.png|20 px]] Press the '''SEARCH''' button or press ENTER.
[[File:Orange-RegStatus.png|25 px]] Status set through the '''Notification module''' (automatically) or manually (cannot be deleted if set through the Notification module)


[[File:AfterPoint5.png|20 px]] Press the '''RESET''' button [[File:AfterSDMResetButton.png|20 px]] to clear all fields and reset filters.
[[File:Yellow-RegStatus.png|25 px]] Status automatically set through the '''Notification module''' (cannot be deleted through the Registration and distribtuion matrix module)


[[File:AfterPoint6.png|20 px]] If the '''SELECT ALL''' box is checked, all instruments of all management companies that are linked in our database to the ACTOR are selected.
X - Not registered


[[File:AfterPoint7.png|20 px]] Display options
E - To be registered


:: If the '''SHOW ONLY SELECTED''' button is green, only the selected instruments are displayed on the screen.
A - Registration in progress (selection of an instrument at step 2 of the '''Notification''')


:: If the '''EXPAND ALL''' button is green, the whole tree structure (fund, sub-fund, share class) of the instrument is displayed.
: AT - Registration in progress - Transmitted to the authority


:: If the '''SPREAD SELECTION TO RELATED INSTRUMENTS''' button is green and you select an instrument at fund level, the whole tree structure of the fund will be automatically selected.
: AR - Registration in progress - Rejected by the authority


[[File:AfterPoint8.png|20 px]] If you press the '''EXPORT''' button, all selected instruments with checked boxes will be exported in the file.
N - Notified


: NT - Notified - Transmitted to the HOST authority
 
: NR - Notified - Rejected by the HOST authority


: NA - Notified - Accepted by the HOST authority


R - Registered


: RI - Registered - Institutional


=Export a file - Before=
: RP - Registered - Private placement
[[File:2BeforeSDMExport.png|700 px]]


Press the '''EXPORT''' button.
XR - No more registered but with remaining investors


[[File:BeforePoint1.png|20 px]] A message on the top of the screen informs you that '''Currently 1 report(s) is generated'''.
RX - No more registered


[[File:BeforePoint2.png|20 px]] Once the file is generated, a window pops up indicating '''The following report was generated'''. Press the OK button to open the file.




<u>Important information</u>:


When a Luxembourg fund is notified through the e-file notification module, the matrix is automatically updated.




=Export a file - After=
'''Authorization table for Registration statuses'''
[[File:2AfterSDMEportFDF.png|700 px]]


[[File:AfterPoint1.png|20 px]] Press the '''EXPORT''' button
<u>Example</u>:: It is not allowed to replace a current status R by a status A.


[[File:AfterPoint2.png|20 px]] The red notification indicates that one file is being generated or has been generated.
[[File:RegStat-AuthorizedChanges.png|350 px]]


[[File:AfterPoint3.png|20 px]] Once that file is generated, a window pops up indicating '''The following report has been generated'''.


[[File:AfterPoint4.png|20 px]] Open the file that is available at the bottom of the page.
Some controls have been added to assist you in maintaining consistency between the registration and distribution.


* To insert a DI, you must have a RI (except for Switzerland).
* To insert a D, you must have a R.
* To insert a XR, you must have a DX.


== Distribution statuses ==


Please be informed that no changes have been made to the registration statuses rules.


The Distribution informs you whether your fund is distributed or not.


=Import a file - Before=
[[File:After-Before-Distribution statuses.png|300 px]]
[[File:3BeforeSDMImport.png|800 px]]


[[File:BeforePoint1.png|20 px]] Open the '''IMPORT''' tab on the top of the screen.
X - Not distributed


[[File:BeforePoint2.png|20 px]] Select the '''SERVICE'''.
D - Distributed<br/>
DI – Distributed - Institutional


[[File:BeforePrint3.png|20 px]] Press the button '''ADD a FILE''' and select the file you want to import.
DX - No more distributed<br/>
<br/>
<u>Exception</u>: For <span style="color: red">Switzerland only</span>, dissemination of documents will be possible with a status DI even if the share class is not registered (Registration Status X). For the other countries, the dissemination will work <span style="color: red">ONLY</span> if there is a Registration Status R or RI inserted.


[[File:BeforePrint4.png|20 px]] Press the '''IMPORT''' button.


[[File:BeforePrint5.png|20 px]] A window '''REQUEST FOR UPDATE WITHIN THE FUNDSQUARE STATIC DATA REFERENTIAL''' pops up. Complete the fields and press the '''VALIDATE''' button.
'''Authorization table for Distribution statuses'''


[[File:BeforePrint6.png|20 px]] A window opens indicating that '''Your document has been successfully uploaded. Within 72 hours you will receive a confirmation on its processing.'''
<u>Example</u>:: It is not allowed to replace a current status D by a status X.


[[File:DisStat-AuthorizedChanges.png|350 px]]




Some controls have been added to assist you in maintaining consistency between the registration and distribution.


* To insert a DI, you must have a RI (except for Switzerland).
* To insert a D, you must have a R.
* To insert a XR, you must have a DX.


=Import a file - After=
== Consolidated view ==
[[File:3AfterSDMImport.png|800 px]]


[[File:AfterPoint1.png|20 px]] Press the '''FLOW-CHART''' button [[File:AfterSDMFlowChartButton.png|20 px]]. A small window pops up with two options: '''EXPORT''' and '''IMPORT'''. Select '''IMPORT.'''
[[File:After dashboard.png|border|1400 px]]


[[File:AfterPoint2.png|20 px]] You have two options to upload your file:
== Error messages ==
 
:: - either you '''BROWSE''' your file system and select the file you want to upload
 
:: - or you '''DRAG & DROP your file directly onto the appropriate area [[File:AfterSDMDragDrop.png|20 px]]
 
:: <span style="color:white; background:DarkTurquoise"> '''NEW:''' </span> Please be informed that new <u>features</u> have been added to the new e-file version of the '''Static Data Management''' application. You have now the possibility to upload <u>several</u> files at the same time.
 
:: In our example we uploaded two files:
 
:: ABC_2019_12_17_FDF.xlsx (cf. '''2b''')
 
:: XYZ_2019_12_17_FDF.xlsx (cf. '''2a''')
 
[[File:AfterPoint3.png|20 px]] You have two options to add the mandatory parameters '''TEMPLATE''', '''ACTION''', '''COMMENT'''
 
::- either you select each parameter for each single file
 
::- or you set all parameters via the SET BULK PARAMETERS [[File:AfterPoint4.png|20 px]] funcionality cf. screen below
 
 
 
'''VERY IMPORTANT INFORMATION'''
 
Please ensure that you always follow the Fundsquare naming convention of the templates. The respective acronyms at the end of the file name are '''mandatory''' and they have to be preceded by an underscore. Please note that only '''.xlsx''' files are allowed to be imported.
 
FDF template: nnnnnnn_'''FDF'''.xlsx
 
MIFID template: nnnnnnn_'''MIFID'''.xlsx
 
PRIIPS template: nnnnnnn_'''PRIIPS'''.xlsx
 
 
 
 
 
==Set bulk parameters==
[[File:2AfterSDMBulkImport.png|600 px]]
 
[[File:AfterPoint1.png|20 px]] If you check the '''SELECT ALL''' box and complete all mandatory fields in this sections, all mandatory fields of the two files we imported, will be populated automatically with the same parameters.
 
[[File:AfterPoint2.png|20 px]] Press the '''VALIDATE IMPORT PARAMETERS''' button.
 
 
 
 
 
==Import confirmation==
[[File:NewSDM.png|600 px]]
 
[[File:AfterPoint1.png|20 px]] Press the IMPORT DATA button.
 
[[File:AfterPoint2.png|20 px]] A window pops up indicating '''Your documents were received'''
 
[[File:AfterPoint3.png|20 px]] At the top of the screen a toast notification shows up confirming that the import was successful.
 
[[File:AfterPoint4.png|20 px]] The red notification with number 2 inside, shows you that 2 files have been imported.
 
[[File:AfterPoint5.png|20 px]] If you click on the exclamation mark, a drop down list with all imported files opens.
 
 
Furthermore, please be informed, that you will receive a '''notification''' by email with detailed information on your files you imported.
 
[[File:ConfirmationMail.png|border|400 px]]
 
 
 
 
 
==How to use FSQ IDs in the Fundamental Data Form (FDF)==
 
In the following, we would like to explain you, how to use <u>Fundsquare's internal identification numbers</u> of instruments which are available in column 45, 46, 47 of the Fundamental Data Form (Id Fund, Id Sub-Fund, Id Share-Class).
 
(1) <u>Modification of an instrument</u>
 
If you modify an instrument '''<u>the three FSQ Id must not be changed under no circomstances</u>.'''
 
For example, if you want to change a sub-fund name, the new name must be reported in the appropriate cell. '''DO NOT CHANGE''' the FSQ IDs.
 
[[File:1 FSQ ID FDF.png|border|300 px]]
 
 
 
(2) <u>Closure of an instrument</u>
 
If you want to close an instrument, the appropriate cells in column 13, 24, 34 have to be completed with the closure date. '''DO NOT CHANGE''' the FSQ IDs.
 
[[File:1 FSQ ID FDF.png|border|300 px]]
 
Please note, that if you close a fund, the whole fund tree structure will be closed in our database.
 
If you close a single sub-fund, all share classes belonging to this sub-fund will be closed in our database.
 
 
 
(3) <u>Creation of a new fund</u>
 
To create a new fund, select a standard FDF extraction with the same fund structure (SICAV i.e..) and the same Law directive (P110 i.e..) as the new one you will have to create.
 
'''<u>IMPORTANT</u>''': you '''must <u>REMOVE</u> all ID instruments''' from the cells in columns 45, 46 and 47 as they refer to a <u>already existing instrument</u>', and the risk is you replace the existing instrument.
 
[[File:2 FSQ ID FDF.png|border|300 px]]
 
 
 
(4) <u>Creation of a new sub-fund</u>
 
For example, if you want to add 3 sub-funds to an existing fund, you have to add 3 lines below the fund in the extraction template and complete the appropriate cells.
 
'''<u>REMOVE</u> Id Sub-Fund and Id Share-Class''', but '''<u>DO NOT CHANGE</u> the Id Fund'''.
 
[[File:3 FSQ ID FDF.png|border|300 px]]
 
 
 
(5) <u>Creation of a new share-classes</u>
 
For example, if you want to add 5 share-classes to an existing sub-fund, you have to add 5 lines to the existing sub-fund structure in the extraction template. Complete all cells accordingly.
 
'''<u>REMOVE</u> Id Share-Class''', but '''<u>DO NOT CHANGE</u> the Id Fund and Id Sub-Fund'''.
 
[[File:4 FSQ ID FDF.png|border|300 px]]
 
 
 
(6) Exception in column 28
 
In the case of share class creations, we would like to ask you, for internal processing reasons only, to delete all "Capitalisation" and "Distribution" words that appear in column 28.
 
[[File:SDMException.png|400 px]]
 
 
== How to complete the FDF ==
In due course, we will provide further information on this section.<br>
<div style="text-align: center;">
{| border="1" cellspacing="5" cellpadding="10"
|-
|'''Main Category'''||'''Column Number'''||'''Field Label'''||'''Mandatory Field'''||'''Definition'''||'''Type of Data'''||'''Field Format'''||'''Format Constraints'''||'''Business Rule'''||
|-
|'''Third-Party Information'''||1||Promoter||No||Indicates the name of the Initiator/Sponsor of the fund including the country||Company Name||String char (100)||N/A||N/A||
|-
|'''Third-Party Information'''||2||Management Company||Yes||Indicates the name of the Management Company of the fund including the country||Company Name||String char (100)||N/A||N/A||
|-
|'''Third-Party Information'''||3||Investment Company||Conditional cf Definition||Indicates the name of the Investment Company of the fund including the country.<br>This field is mandatory if the fund is self-managed and no management company has been provided||Company Name||String char (100)||N/A||N/A||
|-
|'''Third-Party Information'''||4||Fund Administration||Yes||Indicates the name of the Administrator of the fund including the country.||Company Name||String char (100)||N/A||N/A||
|-
|'''Third-Party Information'''||5||Transfer Agent||Conditional cf Definition||Indicates the name of the Transfer Agent of the fund including the country.<br>This field is mandatory for the Order Routing Data||Company Name||String char (100)||N/A||N/A||
|-
|'''Fund Information'''||6||Fund Name||Yes||Indicates the legal name of the fund||Label||String char (100)||Is unique in Fundsquare's database (upper/lower case letters)||N/A||
|-
|'''Fund Information'''||7||Fund National Competent Authority Code||No||Indicates the codification used by the fund's domicile authority on fund level||Codification||String char (20)||Is unique in Fundsquare's database||N/A||
|-
|'''Fund Information'''||8||Fund Administration Code||No||Indicates the central administration's instrument code at the fund level (AC internal code)||Codification||String char (20)||Is unique at this level||N/A||
|-
|'''Fund Information'''||9||Fund GIIN Code||Conditional cf Definition||Indicates the Global Intermediary Identification Number of the instrument at the fund level<br>This field is mandatory for FATCA reporting||Codification||String char (20)||Alphanumerical: Char(6).Char(5).Char(2).Number(3).<br>Is unique in Fundsquare's database.||Has to be unique if not SP (Sponsor).<br>7th char = "."<br>13th char = "."<br>16th char = "."<br>&<br>Last 3 char = 442<br>or<br>14th&15th = SP
|-
|'''Fund Information'''||10||Fund RFI ID (CRS)||Conditional cf Definition||Indicates the Social Security Identification number at the fund level. Mandatory for CRS reporting||Codification||String char (20 or 22)||Number(11) - Number(13)||9th char is a letter followed by 8 "0"||
|-
|'''Fund Information'''||11||Type of EU Directive||Yes||Indicates whether the fund is an UCITS-fund or an AIF-fund according to european directives||Indicator||String char (6)||List of values:<br>UCITS<br>AIF<br>OTHER||N/A||
|-
|'''Fund Information'''||12||Umbrella Fund||No||Indicates whether the fund is an umbrella or not||Indicator||String char (3)||Boolean: YES/NO||N/A||
|-
|'''Fund Information'''||13||Fund Creation Date||Yes||Indicates the date on which the fund is created/activated||Date||Date char (10)||Date format: dd/MM/yyyy||If date > current date OR If no date = inactivated = anticipated creation (AC).<br>If date ≤ current date = activated = available for documents notification and dissemination (ACT).||
|-
|'''Fund Information'''||14||Fund End Date||No||Indicates the ending date of the fund's activity (closing/liquidation date)||Date||Date char (10)||Date format: dd/MM/yyyy||If Date ≤ current date = inactivated = not available for documents notification and dissemination.<br>available 1 year for reporting.||
|-
|'''Fund Information'''||15||Fund Jurisdiction Country||Yes||Indicates the country where the fund is domiciled||Legal||String char (2)||Code ISO2||The two first characters must be the same as the two first letters included in ISIN code.<br>For example: LU, GB, IE, etc.||
|-
|'''Fund Information'''||16||Fund Legal Form||Yes||Indicates the legal form of the fund||Legal||String char (4)||List of values:<br>"FCP" = FCP: Common fund<br>"SICV" = SICAV: Investment company with variable capital<br>"SICF" = SICAF: Investment company with fixed capital<br>"SICR" = SICAR: Investment company in risk capital<br>"OT" = OT: Securitisation entities<br>"SCA" = SCA: Partnership limited by shares<br>"SCS" = SCS: Limited partnership<br>"SCSp" = SCSp: Special partnership<br>"SA" = SA: public limited liability company<br>"OTH" = OTHER: Other fund||Linked/compatible with "Fund Legal Status"||
|-
|'''Fund Information'''||17||Fund Legal Status ||Yes||Indicates the legal status of the fund||Legal||String char (4)||List of values:<br>"SIF" = SIF<br>"NLUX" = Non-LU-domiciled<br>"PA04" = Law 14 june 2004<br>"PA05" = Law 22 march 2004<br>"P110" = Part I 2010 law<br>"P210" = Part II 2010 law<br>"RAIF" = RAIF||Linked/compatible with "Fund Legal Form"||
|-
|'''Sub-fund Information'''||18||Sub-Fund Name||Yes||Indicates the legal name of the sub-fund||Label||String char (100)||Is unique in Fundsquare's database at this level (upper/lower case letters)||N/A||
|-
|'''Sub-fund Information'''||19||Sub-Fund National Competent Authority Code||No||Indicates the codification used by the fund's domicile authority at the sub-fund level||Codification||String char (20)||Is unique in Fundsquare's database||N/A||
|-
|'''Sub-fund Information'''||20||Sub-Fund Administration Code||No||Indicates the central administration's instrument code at the sub-fund level (AC internal code)||Codification||String char (20)||Is unique at this level||N/A||
|-
|'''Sub-fund Information'''||21||Sub-Fund GIIN Code||Conditional cf Definition||Indicates the Global Intermediary Identification Number for the instrument at the fund level.<br>This field is mandatory for FATCA Reporting.||Codification||String char (20)||AlphaNumerical:Char(6).Char(5).Char(2).Number(3).<br>Is unique in Fundsquare Database.||Has to be unique<br>7th char = "".""<br>13th char = "".""<br>16th char = "".""<br>&<br>Last 3 char = 442<br>OR<br>14th&15th=SP||
|-
|'''Sub-fund Information'''||22||Sub-Fund RFI ID (CRS)||Conditional cf Definition||Indicates the Social Securities Identification number at the sub-fund level.<br>This field is mandatory for CRS reporting.||Codification||String char (20or22)||Number(11)-Number(13)||The 9th character is a letter followed by 8 numbers.<br>The CSSF code should be retrieved in the last part of the ID (Ex: MATRICULE+F00000145).<br>With a maximum of 8 characters after the letter.||
|-
|'''Sub-fund Information'''||23||Sub-Fund Creation Date||No||Indicates the date on which the sub-fund is created/activated||Date||Date char (10)||Date format: dd/MM/yyyy||If date > current date OR If no date = inactivated = anticipated creation (AC).<br>If date ≤ current date = activated = available for documents notification and dissemination (ACT).<br>Ensure that the date is not greater then creation date of the fund.||
|-
|'''Sub-fund Information'''||24||Sub-Fund End Date||No||Indicates the ending date of the sub-fund's activity (closing/liquidation date)||Date||Date char (10)||Date format: dd/MM/yyyy||If Date ≤ current date = inactivated = not available for documents notification and dissemination.<br>available 1 year for reporting.||
|-
|'''Sub-fund Information'''||25||Sub-Fund Base Currency||Yes||Indicates the ISO3-currency code for the base accounting currency of the sub-fund||Currency||String char (3)||Currency ISO-3||RMB should be CNH or CNY||
|-
|'''Sub-fund Information'''||26||NAV per Share Frequency||Yes||Notifies the frequency of the net asset per share calculation.<br>It must be the same for all the share classes that are included in one sub-fund.||Frequency||String char (4)||List of values:<br>YEAR = Annual<br>TWYR = Twice a year<br>TOWK = Twice a week<br>TOMN = Every two months<br>TWMN = Twice a month<br>WEEK = Weekly<br>DAIL = Daily<br>MNTH = Monthly<br>TRIE = Every four months<br>SEMI = Every six months<br>QURT = Every three months<br>MLTD = Multi-daily<br>NIMN = Every nine months<br>||N/A||
|-
|'''Sub-fund Information'''||27||Sub-Fund Sleeping Indicator||No||Indicates whether the sub-fund is sleeping or not||Indicator||String char (3)||Boolean:YES/NO||N/A||
|-
|'''Share-class Information'''||28||Share Class Name||Yes||Indicates the legal name of the share class||Label||String char (100)||Is unique at this level (upper/lower case letters)||N/A||
|-
|'''Share-class Information'''||29||Client Share Class Name||No||Indicates a client's name of the share class||Label||String char (100)||Is unique in Fundsquare's database (upper/lower case letters.<br>Combined with fund & sub-fund labels.||Name available on Fundsquare website and client whitelabelling||
|-
|'''Share-class Information'''||30||Share Class National Competent Authority Code||No||Indicates the codification used by the fund's domicile authority on share class level||Codification||String char (20)||Is unique in Fundsquare's database||The CSSF codes from 1 to 9  have to be written with two characters (01-02-03...)||
|-
|'''Share-class Information'''||31||Share Class Administration Code||No||Indicates the central administration's instrument code at the share class level (AC internal code).<br>Share class ID used in the client's proprietary system (for NAV).||Codification||String char (20)||Is unique at this level||N/A||
|-
|'''Share-class Information'''||32||Share Class ISIN Code||Conditional cf Definition||Indicates the ISIN code of the share class.<br>This field is mandatory for Ucits-funds if the share class is activated (creation date)||Codification||String char (12)||Is unique in Fundsquare's database||Ensure that the first two letters match to the fund juridiction country.<br>For Ucits Funds:If empty the share class status is inactivated (INA)||
|-
|'''Share-class Information'''||33||Share-Class Ticker Bloomberg Code||No||Indicates the Instrument’s Bloomberg Ticker (code)||Codification||String char (20)||Is unique in Fundsquare's database||N/A||
|-
|'''Share-class Information'''||34||Share Class Creation Date||No||Indicates the date on which the share class is created/activated||Date||Date char (10)||Date format: dd/MM/yyyy||If date > current date OR If no date = inactivated & anticipated creation (AC).<br>If date ≤ current date = activated = available for documents notification and dissemination (ACT).<br>If UCITS and NO ISIN CODE then no creation date should be available.<br>Ensure that the date is not greater than creation date of the sub-fund||
|-
|'''Share-class Information'''||35||Share Class End Date||No||Indicates the ending date of the share class activity (closing/liquidation date)||Date||Date char (10)||Date format: dd/MM/yyyy||If Date ≤ current date = inactivated = not available for documents notification and dissemination.<br>Available 1 year for reporting.||
|-
|'''Share-class Information'''||36||Share Class Reference Currency||Yes||Indicates the ISO3-currency code for the reference currency of the share class||Currency||String char (3)||Currency ISO-3||N/A||
|-
|'''Share-class Information'''||37||Share Class Dividend Payment Frequency||No||Indicates the frequency at which the dividends are paid||Frequency||String char (4)||List of values:<br>YEAR = Annual<br>TWYR = Twice a year<br>TOWK = Twice a week<br>TOMN = Every two months<br>TWMN = Twice a month<br>WEEK = Weekly<br>DAIL = Daily<br>MNTH = Monthly<br>TRIE = Every four months<br>SEMI = Every six months<br>QURT = Every three months<br>MLTD = Multi-daily<br>NIMN = Every nine months<br>||Yearly by default||
|-
|'''Share-class Information'''||38||Share Class Result Allocation||Yes||Indicates whether income payment is distributed or capitalized or other||Indicator||String char (3)||List of values:<br>ACC<br>INC<br>CAD=Acc&Inc<br>OTH||N/A||
|-
|'''Share-class Information'''||39||Share Class Sleeping Indicator||No||Indicates whether the share is sleeping or not||Indicator||String char (3)||Boolean:YES/NO||If blank, then N by default||
|-
|'''Share-class Information'''||40||Institutional Investor Type||No||Indicates whether the instrument is reserved for institutional investors or not||Indicator||String char (3)||Boolean:YES/NO||If blank, then N by default||
|-
|'''Share-class Information'''||41||Initial Launch Price||No||Indicates the initial launch price of the instrument||Number||Numeric char (20)||Separator: "." => "0.0000"||N/A||
|-
|'''Share-class Information'''||42||Initial Launch Price Currency||No||Indicates the ISO-3 currency code of the initial launch price of the instrument||Currency||String char (3)||Currency ISO-3||The initial launch price currency has to be the same as the share class reference currency||
|-
|'''Share-class Information'''||43||Initial Launch Price Date||No||Indicates the date of the initial launch price||Date||Date char (10)||Date format: dd/MM/yyyy||Should not be greater then the creation date of the share class||
|-
|}
</div>


[[Category: FAQ e-file]]
Should you try to insert an unauthorized registration or distribution status, an error message will appear in a pop up while you hover over the status<br>
[[File:After-Status blocked Error message.png|border|400 px]]

Latest revision as of 11:55, 30 September 2024

Page's last update : 30 Nov 2024

FAQ

Your module is greyed out?

To get access to this module, please ask your e-file local administrator to make you member of the Distribution matrix and Registration matrix groups.
Registration and distribution matrix is greyed out.

How can I batch upload registration or distribution statuses? Can I bulk upload multiple registration/distribution statuses in one go?

Registration statuses can be uploaded by providing a .csv file with the following columns to rs.clientsupportoperations@fundsquare.net: ISIN;Country;Status;effective date (not mandatory).
Example:
LU1234567890;BE;R
LU2124567890;DE;RX;24/01/24
LU1231231234;FR;DX

Why has the Distribution Status not been updated to Registered ('R') despite the R to D automation?

If the current distribution status is DX, it will not be updated by an automation and has to be updated manually. Please also note that the automation only works for countries with a filing setup.

I can not find a closed share-class in the registration matrix

Please make sure filter status "closed" is selected

Why does the registration or the distribution matrix appear to be empty?

This is due to missing access rights. The latter have to be requested by email to rs.clientsupportoperations@fundsquare.net

How can I add a new country to the registration matrix?

New countries can be added by clicking on the Manage Country button available on the top of the page

How can I see the audit trail of a registration or distribution status?

Please click on the "clock" symbol

How can I extract a registration matrix?

Registration and distribution extracts are available in the "reports" section of the registration and distribution matrix module

Can we see the number of shares with status by country ?

Yes, please click on the consolidated view tab in the registration and distribution matrix module

What does this button mean?

This button allows to select all statuses at fund or umbrella level


Description

Selecting a fund

2CorrectionAfter SelectFund.png

AfterPoint1.png Click on the FILTER button AfterSDMFilter.png on the right side of the screen. The DYNAMIC FILTERS taskbar (highlighted in yellow) with a Status area After-point2a.png opens, where you can filter the funds by their status (Active, inactive, closed).

AfterPoint2.png Active and Inactive funds are displayed by default. If you want for example display Closed funds as well, open the drop-down list by clicking inside the STATUS area After-point2a.png, select Closed and press the Search button After SearchButton.png.

AfterPoint3.png You can narrow your search criteria by using ISIN and Fund name filters. Click inside the toolbar After-point3a.png (highlighted in yellow). A drop-down list (highlighted in orange) opens.

Select the ISIN and /or Fund name filter that will then be added to the DYNAMIC FILTERS taskbar (highlighted in yellow), see figure below.

After DynamicFiltersISINName.png

These two filter options will allow you to search for example for a specific share class of a fund by its ISIN or Fund name (The Containing and Begin functions are included as well).

AfterPoint4.png Press the SEARCH button After SearchButton.png to initiate the search process.

AfterPoint5.png Press the RESET button AfterSDMResetButton.png to clear all filters and start a new search.

AfterPoint6.png Press the Expand DATA FILTERS icon to hide/display the DATA FILTERS taskbar.

AfterPoint7.png Move your mouse pointer over the fund area and click to open the Matrix screen.

Matrix

2After Matrix.png

AfterPoint1.png Click on the FILTER button AfterSDMFilter.png on the right side of the screen. The DYNAMIC FILTERS taskbar (highlighted in yellow) with a Status area AfterPoint2.png opens. Here you can filter the funds by their status (Active, inactive, closed).

AfterPoint2.png Active and Inactive funds are displayed by default. If you want to view Closed funds as well, open the drop-down list by clicking inside the STATUS area After-point2a.png , select Closed and press the Search button.

AfterPoint3.png Various filters are available to narrow further your search criteria. Click inside the toolbar After-point3a.png (highlighted in yellow). A drop-down list (highlighted in orange) containing the following filter options, opens:

Matrix type - Distribution matrix status - Registration matrix status – Country – ISIN - Share class name - Sub fund name - Effective date – Error

Click on the filter options you need. They will be automatically added to DYNAMIC FILTERS taskbar After-point3a.png highlighted in yellow.

AfterPoint4.png Press the SEARCH button to initiate the search process once you have entered your filter options.

AfterPoint5.png Press the RESET button to clear all filters and start a new search.

AfterPoint6.png When a status box is selected, it is highlighted in green and the CANCEL, REMOVE STATUS and CHANGE STATUS buttons are activated AfterPoint7.png.

To select all share classes of a fund, click the box After-point6a.png at fund level. To select all share classes of a sub-fund, click the box After-point6b.png at sub-fund level.

These functions allow you to add / update several share class simultaneously, provided the same status is required for each share class. All historical changes are registered and you can view them by clicking on the small clock icon After-point6c.png. The HISTORY drawer opens on the right side of the screen,see figure below.

After DetailHistory.png


AfterPoint7.png CANCEL, REMOVE STATUS and CHANGE STATUS buttons

CANCEL  : to cancel your previous selection press the CANCEL button.


REMOVE STATUS : to delete a status press the DELETE STATUS button. A small window pops up, where you have to confirm your deletion, see figure below.

After Remove status.png


CHANGE A REGISTRATION AND/OR DISTRIBUTION STATUS : To update a registration/distribution status, please select one or more statuses (by clicking on the status) and select the CHANGE STATUS button. A pop up opens on the right side of the screen. The below screen shot shows a change from R and D to RX and DX: Select the new status, add an effective date (not mandatory) and a comment and hit the CHANGE STATUS button.

ChangeStatusRX.jpg


After-point8.png Press the MANAGE COUNTRY button to add or remove countries. A drawer MANAGE COUNTRY opens on the right side of the screen, where you have to check / uncheck boxes in order to add / remove countries. Filter country and Filter continent are available to ease the search, see figure below.

After ManageCountry.png


After-point9.png Open Full screen mode. Filter taskbars will be hidden.

After-point10.png You can also export the complete matrix to Excel and view the status details, ISIN by ISIN, country by country. Press the Export button.

Registration statuses

Please be informed that no changes have been made to the registration statuses rules.

The Registration status informs you whether your fund is registered with the European authorities or not.

After-Befor-Registration statuses.png

Blue-RegStatus.png Status manually set through the Registration and distribution matrix module

Orange-RegStatus.png Status set through the Notification module (automatically) or manually (cannot be deleted if set through the Notification module)

Yellow-RegStatus.png Status automatically set through the Notification module (cannot be deleted through the Registration and distribtuion matrix module)

X - Not registered

E - To be registered

A - Registration in progress (selection of an instrument at step 2 of the Notification)

AT - Registration in progress - Transmitted to the authority
AR - Registration in progress - Rejected by the authority

N - Notified

NT - Notified - Transmitted to the HOST authority
NR - Notified - Rejected by the HOST authority
NA - Notified - Accepted by the HOST authority

R - Registered

RI - Registered - Institutional
RP - Registered - Private placement

XR - No more registered but with remaining investors

RX - No more registered


Important information:

When a Luxembourg fund is notified through the e-file notification module, the matrix is automatically updated.


Authorization table for Registration statuses

Example:: It is not allowed to replace a current status R by a status A.

RegStat-AuthorizedChanges.png


Some controls have been added to assist you in maintaining consistency between the registration and distribution.

  • To insert a DI, you must have a RI (except for Switzerland).
  • To insert a D, you must have a R.
  • To insert a XR, you must have a DX.

Distribution statuses

Please be informed that no changes have been made to the registration statuses rules.

The Distribution informs you whether your fund is distributed or not.

After-Before-Distribution statuses.png

X - Not distributed

D - Distributed
DI – Distributed - Institutional

DX - No more distributed

Exception: For Switzerland only, dissemination of documents will be possible with a status DI even if the share class is not registered (Registration Status X). For the other countries, the dissemination will work ONLY if there is a Registration Status R or RI inserted.


Authorization table for Distribution statuses

Example:: It is not allowed to replace a current status D by a status X.

DisStat-AuthorizedChanges.png


Some controls have been added to assist you in maintaining consistency between the registration and distribution.

  • To insert a DI, you must have a RI (except for Switzerland).
  • To insert a D, you must have a R.
  • To insert a XR, you must have a DX.

Consolidated view

After dashboard.png

Error messages

Should you try to insert an unauthorized registration or distribution status, an error message will appear in a pop up while you hover over the status
After-Status blocked Error message.png

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