Difference between revisions of "Test1"

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= e-file FAQ - User profile section =
= FAQ =


== Access and on Boarding / Initial Setup ==
<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" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q0">
<div style="font-weight:bold;line-height:2.5;">How can I get credentials ?</div>
::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.
<div class="mw-collapsible-content">
::[[File:Matrix GreyedOut.png|alt=Registration and distribution matrix is greyed out.|To have access : '''''Distribution matrix ''''' and '''''Registration matrix ''''' groups ]]
:Ask your local e-file administrator to get an account
</div>
</div></div>


<div class="mw-collapsible mw-collapsed" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
<span class="mw-customtoggle-q1" style="font-weight:bold;line-height:2.5;">How can I batch upload registration or distribution statuses?
<div style="font-weight:bold;line-height:2.5;">I forget my password</div>
Can I bulk upload multiple registration/distribution statuses in one go?</span>
<div class="mw-collapsible-content">
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q1">
:Use the 'Forgotten password' button on the home page
::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:


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


<div class="mw-collapsible mw-collapsed" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
</div>
<div style="font-weight:bold;line-height:2.5;">My data is not up to date</div>
<div class="mw-collapsible-content">
:[[Onboarding| Follow the onboarding page]]
</div></div>


== Submitting a report ==
<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" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q2">
<div style="font-weight:bold;line-height:2.5;">I want to send a 'ready to send' report </div>
::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 class="mw-collapsible-content">
</div>
:Ask your local e-file administrator
</div></div>


<div class="mw-collapsible mw-collapsed" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
<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 style="font-weight:bold;line-height:2.5;">I want to create a report</div>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q3">
<div class="mw-collapsible-content">
::Please make sure filter status "closed" is selected
:Ask your local e-file administrator
</div>
</div></div>


<div class="mw-collapsible mw-collapsed" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
<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 style="font-weight:bold;line-height:2.5;">I have lots of reports to send</div>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q4">
<div class="mw-collapsible-content">
::This is due to missing access rights. The latter have to be requested by email to rs.clientsupportoperations@fundsquare.net
:Ask your local e-file administrator
</div>
</div></div>


== Being informed / Monitoring ==
<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" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q5">
<div style="font-weight:bold;line-height:2.5;">I want to know my send's status</div>
::New countries can be added by clicking on the Manage Country button available on the top of the page
<div class="mw-collapsible-content">
</div>
:Ask your local e-file administrator
</div></div>


<div class="mw-collapsible mw-collapsed" data-expandtext="Show" data-collapsetext="Hide" style="width:400px; overflow:auto;">
<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 style="font-weight:bold;line-height:2.5;">I want to receive notifications by e-mail</div>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q6">
<div class="mw-collapsible-content">
::Please click on the "clock" symbol 
:Ask your local e-file administrator
</div>
</div></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>


==Test==
<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" >
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q8">
<div class="mw-collapsible-toggle" style="float:left; margin-left:0; margin-right:1em;">Expand for more details|collapse</div>
::Yes, please click on the consolidated view tab in the registration and distribution matrix module
Expand for more details 
<div class="mw-collapsible-content">
this is a text for test purpose and expand demonstration.this is a text for test purpose and expand demonstration.this is a text for test purpose and expand demonstration.
</div>
</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>
<div style="text-align: center; width:100%;border-style: double none none none;"> </div>
=Description=
==Selecting a fund ==
[[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.
Select the '''ISIN''' and /or '''Fund name''' filter that will then be added to the '''DYNAMIC FILTERS''' taskbar (highlighted in yellow), see figure below.
[[File:After DynamicFiltersISINName.png|500 px]]
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: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 ==
[[File:2After Matrix.png|1200 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: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.
[[File:AfterPoint5.png|30 px]] Press the '''RESET''' button to clear all filters and start a new search.
[[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]].
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
<u> '''CANCEL''' </u> : to cancel your previous selection press the '''CANCEL''' button.
<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:After Remove status.png|300 px]]
<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:ChangeStatusRX.jpg|500 px]]




[[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.


<div style="height:200px;  width:auto; overflow-y:scroll">
[[File:After ManageCountry.png|border|500 px]]


{| class="wikitable table-filterable mw-collapsible mw-collapsed sortable"
|+ <span style="white-space:nowrap"> Table test </span>
|- <div style="position:sticky;top:-1px;z-index:10">
!scope="col" style="color:green |Lib Metier EN
!scope="col" style="color:green"| CODE
!scope="col" style="color:green"| Déclaration CSSF
!scope="col" style="color:green"| Particularités
!scope="col" style="color:green"| Config a vérifier
</div>
|-
| CSSF pilot phase member                                      ||  ||  ||  ||
|-
| Stock Exchange pilot phase member                            ||  ||  ||  ||
|-
| Stock Exchange filing entity                                ||  ||  ||  ||
|-
| Stock Exchange pilot phase non-member                        ||  ||  ||  ||
|-
| CSSF pilot phase non-member                                  ||  ||  || Pour la validation de prospectus (par groupe principal) ||
|-
| Publication Service S7                                      ||  ||  ||  ||
|-
| Transmission of UCI descriptive information                  ||  ||  || www.fundsquare.net ||
|-
| Transmission of UCI regulatory reports                      ||  || Pour les O1.2 || www.fundsquare.net ||
|-
| Transmission of periodic data                                ||  ||  || www.fundsquare.net ||
|-
| Euronext - Corporate Bonds                                  ||  ||  ||  ||
|-
| TAF COREP FINREP reports transmission                        || 07/302 & 07/306 & 06/251& 07/319 & 07/316 & 07/324 & 07/331 & 08/344 & 08/365 & 14/583 || PKCS7 (declarer BIC pour TAF MiFID + agrement CSSF pour COREP + FINREP) || www.bourse.lu || "Code BIC
|-
| Code agrément CSSF"                                          ||  ||  ||  ||
|-
| Balance of Paiements                                        || 2011/7 ||  ||  ||
|-
| BCL Statistics                                              ||  || A VALIDER A PRIORI : NON ||  || Code agrément CSSF (BXXX)
|-
| CSSF Polls                                                  || 08/363 & 11/500 & 12/530 || PKCS7 (agrement CSSF) ||  || Code agrément CSSF (BXXX)
|-
| EDIFACT Reporting                                            || 08/344 ||  ||  ||
|-
| SICAR Reporting                                              || 08/376 || PKCS7(agrement CSSF) ||  || Code agrément CSSF (BXXX)
|-
| PSF Reporting                                                || 08/369 || PKCS7(agrement CSSF) ||  || Code agrément CSSF (BXXX)
|-
| OTHER Reporting (-> CSSF)                                    ||  || PKCS7(agrement CSSF) ||  || Code agrément CSSF (BXXX)
|-
| Security by security Reporting                              ||  ||  || www.bourse.lu + www.e-file.lu/e-file ||
|-
| Metier des circulaires CSSF 371 et 09/423                    || 08/371 & 09/423 ||  ||  ||
|-
| Various correspondence (OTH -> BCL)                          ||  ||  || Gratuit ||
|}


</div>
[[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.
 
The Registration status informs you whether your fund is registered with the European authorities or not.
 
[[File:After-Befor-Registration statuses.png|border|600 px]]
 
[[File:Blue-RegStatus.png|25 px]] Status manually set through the '''Registration and distribution matrix module'''
 
[[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:Yellow-RegStatus.png|25 px]] 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
 
 
 
<u>Important information</u>:
 
When a Luxembourg fund is notified through the e-file notification module, the matrix is automatically updated.
 
 
'''Authorization table for Registration statuses'''
 
<u>Example</u>:: It is not allowed to replace a current status R by a status A.
 
[[File:RegStat-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.
 
== 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.
 
[[File:After-Before-Distribution statuses.png|300 px]]
 
X - Not distributed
 
D - Distributed<br/>
DI – Distributed - Institutional
 
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.
 
 
'''Authorization table for Distribution statuses'''
 
<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.


== Consolidated view ==


[[File:After dashboard.png|border|1400 px]]


<div style="height:300px;  width:auto; overflow-y:scroll">
== Error messages ==


{| class="wikitable filterable mw-collapsible mw-collapsed sortable"
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>
|+ <span style="white-space:nowrap"> Table test </span>
[[File:After-Status blocked Error message.png|border|400 px]]
|- <div style="font-weight:bold; vertical-align:bottom; position:sticky;top:-1px;z-index:10">
! style= "background-color:#409293; color:#FFF" | Concerned  companies
! style= "background-color:#409293; color:#FFF" | Report<br />    naming convention
! style= "background-color:#409293; color:#FFF" | Table
! style= "background-color:#409293; color:#FFF" | Details
! style= "background-color:#409293; color:#FFF" | Authority
! style= "background-color:#409293; color:#FFF" | Sending way
! style= "background-color:#409293; color:#FFF" | An e-file form exists
! style= "background-color:#409293; color:#FFF" | Sending type in transmission  module
! style= "background-color:#409293; color:#FFF" | Example
</div>
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| NOTREP
| INI or<br />    UPD
| Notification procedures to be  followed by a UCITS governed by Luxembourg law wishing to market its units in  another Member State of the European Union
| CSSF
| S3
| yes
| -
|
|- style="vertical-align:bottom;"
| Investment  Funds
| -
| O1.2
| Monthly  financial information for guaranteed funds
| CSSF
| KS
| no
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| -
| O4.1
| Yearly financial information
| CSSF
| KS
| yes
| -
|
|- style="vertical-align:bottom;"
| Investment  Funds
| -
| O4.2
| Interventions  on the futures and options markets
| CSSF
| KS
| yes
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| S0103
| S1.3
| Monthly statistical balance  sheet for money market funds (MMF)
| BCL
| KS
| yes
| -
| S0103_L3_202302_B000000999_O009990099_20240619_001.xml
|- style="vertical-align:bottom;"
| Investment  Funds
| TPTOBS
| TPTOBS
| Monthly  Security by security reporting for investment funds
| BCL
| KS
| yes
| -
| TPTOBS_L2_202107_B000000009_O009990000_20240807_001.xml<br />    TPTOBS_L2_202107_P000000999_NAF99999999900000_20240603_001.xml<br />
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| DOCREP
| (-) PC<br />    (-) DE<br />    (-) LE
| SIF:<br />    (-) Prospectus (PC)<br />    (-) Offering document (DE)<br />    (-) Letter of explanation (LE)
| CSSF
| KS
| no
| 08/371 FIS  prospectus
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PC-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-DE-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LE-LL-0000.pdf
|- style="vertical-align:bottom;"
| Investment  Funds
| DOCREP
| (-)  AR<br />    (-) SR<br />    (-) LE<br />    (-) RO<br />    (-) PM
| SIF Law  2007:<br />    (-) Annual Report (AR)<br />    (-) Semi-annual report SIF (SR)<br />    (-) Letter of explanation (LE)<br />    (-) Other periodic report (RO)<br />    (-) Movements in the securities portfolios (PM)<br />    SICAR:<br />    (-) Annual Report (AR)<br />    (-) Other periodic report (RO)
| CSSF
| KS
| no
| 08/371 FIS report
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AR-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LE-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RO-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PM-LL-0000.pdf<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AR-LL-0000.pdf<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RO-LL-0000.pdf<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PM-LL-0000.pdf
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| DOCREP
| RR<br />    HK
| Auditor report<br />    (-) O: UCI Law 2010<br />    (-) O: UCI Law 2007<br />    (-) K: SICAR<br />    (-) S: Investment fund manager (IFM)<br />    (-) A: Investment fund manager (IFM)<br />    <br />    Report Hong Kong Securities and Futures (HK)
| CSSF
| KS
| no
| 08/371 report  not in 08/371
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf  (OPC Loi 2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-HK-LL-0000.pdf (OPC Loi  2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (SICAR)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (Inv. Fund  Manag.)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (Inv. Fund Manag.)
|- style="vertical-align:bottom;"
| Management  Companies
| DOCREP
| RR<br />    HK
| Auditor  report<br />    (-) S: Investment fund manager (IFM)<br />    (-) A: Investment fund manager (IFM)<br />    <br />    Report Hong Kong Securities and Futures (HK)
| CSSF
| KS
| no
| 08/371 report not in 08/371
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (OPC Loi  2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-HK-LL-0000.pdf (OPC Loi  2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (SICAR)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (Inv. Fund  Manag.)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RR-LL-0000.pdf (Inv. Fund Manag.)
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| DOCREP
| (-) PC<br />    (-) PS<br />    (-) LE
| UCI:<br />    (-) Prospectus (PC)<br />    (-) Simplified prospectus (PS)<br />    (-) Letter of explanation (LE)
| CSSF
| KS
| no
| 08/371 UCI  prospectus
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PC-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PS-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LE-LL-0000.pdf
|- style="vertical-align:bottom;"
| Alternative  Investment Fund Managers (AIFM)
| AIF
| AIF
| Alternative  Investment Fund reporting
| CSSF
| S3
| yes
| AIF Reporting
| AIFREP-P12345678-A00000001-F00000000-00000000-MAN-20140129145000.zip<br />    AIFREP-P12345678-A00000111-V00002222-00003333-AIF-20140129145000.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Alternative Investment Fund  Managers (AIFM)
| AIF
| MAN
| Alternative Investment Fund  reporting (AIF Manager)
| CSSF
| S3
| yes
| AIF Reporting
| AIFREP-P12345678-A00000001-F00000000-00000000-MAN-20140129145000.zip<br />    AIFREP-P12345678-A00000111-V00002222-00003333-AIF-20140129145000.zip
|- style="vertical-align:bottom;"
| Credit  Institutions
| ANTREF<br />    ANTT1M<br />    ANTT2M<br />    ANTT2Q
| ANTREF<br />    ANTT1M<br />    ANTT2M<br />    ANTT2Q
| AnaCredit:<br />    Collection of granular credit and credit risk data
| BCL
| KS
| no
| AnaCredit
| ANTREF_201801_LUB00999_20180205-001.xml<br />    ANTT1M_201801_LUB00999_LUB00999_20180205-001.xml<br />    ANTT2M_201801_LUB00999_LUB00999_20180205-001.xml<br />    ANTT2Q_201803_LUB00999_LUB00999_20180405-001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| S0218-L
| n/a
| Quarterly statistical balance  sheet of insurance corporations – Luxembourg entity
| BCL
| KS
| yes
| BCL report for  insurances
| S0218-L_L0_aaaamm_Rrrrrrrrrr_Dddddddd_aaaammjj_nnn
|- style="vertical-align:bottom;"
| Insurance  Corporations
| S0219-L
| n/a
| Information  on valuation effects on the balance sheet of insurance corporations
| BCL
| KS
| yes
| BCL report for insurances
| S0219-L_L0_aaaamm_Rrrrrrrrrr_Dddddddd_aaaammjj_nnn
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| S0403-L
| n/a
| Annual Premiums, claims and  commissions of insurance corporations – Luxembourg entity
| BCL
| KS
| yes
| BCL report for  insurances
| S0403-L_L0_aaaamm_Rrrrrrrrrr_Dddddddd_aaaammjj_nnn
|- style="vertical-align:bottom;"
| Insurance  Corporations
| TPTASS
| n/a
| Monthly  Security by security reporting of insurance corporations
| BCL
| KS
| yes
| BCL report for insurances
| TPTASS_L0_aaaamm_Rrrrrrrrrr_Dddddddd_aaaammjj_nnn
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| SHSGRP
| SHSGRP
| «SHS-Group» report:<br />    Statistics on holdings of securities by reporting banking groups
| BCL
| KS
| no
| BCL SHS
| SHSGRP_201709_LUB00999_20171206_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| S0001
| S0.1
| Daily  deposit
| BCL
| KS
| no
| BCL statistics
| S0001_L2_20130616_B000000999_B000000999_20130617_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| S0101
| S1.1
| Monthly statistical balance  sheet
| BCL
| KS
| no
| BCL statistics
| S0101_L6_202407_B000000999_B000000999_20240812_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| S0104
| S1.4
| Adjustments  due to valuation effects|
| BCL
| KS
| yes
| BCL statistics
| S0104_L3_202407_B000000999_B000000999_20240812_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| S0105
| S1.5
| Information on interest rates in  EUR
| BCL
| KS
| yes
| BCL statistics
| S0105_L4_202407_B000000999_B000000999_20240808_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| S0108
| S1.8
| Information  on securititation<br />    transactions launched<br />    by credit institutions
| BCL
| KS
| yes
| BCL statistics
| S0108_L2_202407_B000000999_B000000999_20240812_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| S0109
| S1.9
| Information on CNY (renmibi)  operations
| BCL
| KS
| yes
| BCL statistics
| S0109_L0_202407_B000000999_B000000999_20240808_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| S0205-L
| S2.5-L
| Quarterly  statistical balance sheet
| BCL
| KS
| no
| BCL statistics
| S0205-L_L0_202403_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| S0205-N
| S2.5-N
| Quarterly statistical balance  sheet<br />    of credit institutions -<br />    Luxembourg entity and its branches
| BCL
| KS
| no
| BCL statistics
| S0205-N_L0_202403_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| S0208
| S2.8
| Real  estate loans for<br />    Lxuembourg buildings
| BCL
| KS
| no
| BCL statistics
| S0208_L0_202407_B000000999_B000000999_20240808_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| S0209-L
| S2.9-L
| Staff report -<br />    Luxembourg entity
| BCL
| KS
| no
| BCL statistics
| S0209-L_L0_202403_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| S0209-N
| S2.9-N
| Staff  report -<br />    Luxembourg entity and its branches
| BCL
| KS
| no
| BCL statistics
| S0209-N_L0_202403_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| S0302
| S3.2
| Non balance sheet information
| BCL
| KS
| no
| BCL statistics
| S0302_L0_202407_B000000999_B000000999_20240808_001.xml
|- style="vertical-align:bottom;"
| Professionals  of the Financial Sector (PFS)
| COFREP
| SCOREP<br />    SLAREX<br />    SLCRXX<br />    SNSFRX<br />    CCOREP<br />    CLAREX<br />    CLCRXX<br />    CNSFRS<br />    CAEXXX<br />    SAEXXX<br />    CALMXX<br />    SALMXX<br />    SRESOL
| (-)  SCOREP: SSOLV, SIPLO, SLEVDA<br />    (-) SLAREX: SLAREX<br />    (-) SLCRXX: SLCR<br />    (-) SNSFRX: SNSFR<br />    (-) CCOREP: CSOLV, CIPLO, CLEVDA<br />    (-) CLAREX: CLAREX<br />    (-) CLCRXX: CLCR<br />    (-) CNSFRS: CNSFR<br />    (-) CAEXXX: tbd<br />    (-) SAEXXX: tbd<br />    (-) CALMXX: CALMM<br />    (-) SALMXX: SALMM<br />    (-) SRESOL: SRESOL
| CSSF
| KS
| no
| COREP report
| COFREP-B00000999-2014-03-CCOREP-00-L-N-S-CCOREP.xbrl<br />    COFREP-B00000999-2014-03-CCOREP-00-L-N-S.zip<br />    COFREP-B00000999-2019-12-SRESOL-00-L-N--.zip<br />      CFEREP-B00000999-2024-08-ALMXXX-N-N_a6fca981-2f2c-2a98-ddba-b241c2366a1a.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| COFREP
| SCOREP<br />    SLAREX<br />    SLCRXX<br />    SNSFRX<br />    SALMXX<br />    CCOREP<br />    CLAREX<br />    CLCRXX<br />    CNSFRX<br />    CALMXX<br />    CFINRP<br />    SFINRP<br />    CAEXXX<br />    SAEXXX<br />    CFPXXX<br />    SFPXXX<br />    CSBPXX<br />    SSBPXX<br />    CSBPIM<br />    SSBPIM<br />    CLCRDA<br />    SLCRDA<br />    SRESOL<br />    SFRTBX<br />    CFRTBX<br />    CGSIIX<br />    MRDECI<br />    SMRTLA<br />    CMRTLA<br />
| (-) SCOREP: SSOLV, SIPLO,  SLEVR<br />    (-) SLAREX: SLAREX<br />    (-) SLCRXX: SLCR<br />    (-) SNSFRX: SNSFR<br />    (-) SALMXX: SALM<br />    (-) CCOREP: CSOLV, IPLO, CLEVR<br />    (-) CLAREX: CLAREX<br />    (-) CLCRXX: CLCR<br />    (-) CNSFRX: CNSFR<br />    (-) CALMXX: CALMM<br />    (-) CFINRP: CFINRP<br />    (-) SFINRP: SFINRP<br />    (-) CAEXXX: CAE<br />    (-) SAEXXX: SAE<br />    (-) CFPXXX: CFP<br />    (-) SFPXXX: SFP<br />    (-) CSBPXX: CSBP<br />    (-) SSBPXX: SSBP<br />    (-) CSBPIM: CSBPIM<br />    (-) SSBPIM: SSBPIM<br />    (-) CLCRDA: CLCRDA<br />    (-) SLCRDA: SLCRDA<br />    (-) SRESOL: SRESOL
| CSSF
| KS
| no
| COREP report
| COFREP-B00000999-2014-03-CCOREP-00-L-N-S-CCOREP.xbrl<br />    COFREP-B00000999-2014-03-CCOREP-00-L-N-S.zip<br />    COFREP-B00000999-2019-12-SRESOL-00-L-N--.zip<br />      CFEREP-B00000999-2024-08-ALMXXX-N-N_a6fca981-2f2c-2a98-ddba-b241c2366a1a.zip
|-
| style="vertical-align:bottom;" | Credit  Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | AC
| Audit Report on AML/CTF
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-AC-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | AD
| Circ. 18/697 annexe1
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-AD-EN-0000.pdf
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| AR
| Annual  Report
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-AR-EN-0000.pdf
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | AS
| Annual report consolidated
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-AS-EN-0000.pdf
|-
| style="vertical-align:bottom;" | Credit  Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | BD
| AC Member List
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-BD-EN-0000.pdf
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| DOCREP
| CO
| Compliance Report
| CSSF
| KS
| no
| Credit  institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-CO-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| GR
| Governance  Report
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-GR-EN-0000.pdf<br />
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| DOCREP
| IA
| Internal Audit Report
| CSSF
| KS
| no
| Credit  institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-IA-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| IC
| ICAAP
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-IC-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | ID
| ICAAP Consolidated
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-ID-EN-0000.pdf
|-
| style="vertical-align:bottom;" | Credit  Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | IL
| ILAAP
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-IL-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | IM
| ILAAP Consolidated
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-IM-EN-0000.pdf<br />
|-
| style="vertical-align:bottom;" | Credit  Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | LC
| Long Form Consolidated
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-LC-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | LD
| Long Form Branch or Specific Participation
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-LD-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| LF
| Long  Form Report
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-LF-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | LG
| Reconciliation LuxGAAP FINREP
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-LG-EN-0000.pdf<br />
|-
| style="vertical-align:bottom;" | Credit  Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | MC
| Management Letter Consolidated
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-MC-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | MF
| Audit report on rules of conduct
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-MF-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| ML
| Management  Letter
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-ML-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | MM
| Head quarter annual report
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-MM-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| RC
| Risk  Control Report
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-RC-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | RE
| Report on out-of-court complaint resolution
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-RE-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| RP
| Recovery  Plan
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-RP-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | RR
| Results Distribution
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-RR-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Credit  Institutions
| DOCREP
| SC
| Single  Customer View
| CSSF
| KS
| no
| Credit institution reporting
| DOCREP-B00000998-00000000-0000-2009-12-31-SC-EN-0000.pdf<br />
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Credit Institutions
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | TR
| Table on out-of-court complaint resolution
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Credit  institution reporting
| style="vertical-align:bottom;" | DOCREP-B00000998-00000000-0000-2009-12-31-TR-EN-0000.pdf<br />
|- style="vertical-align:bottom;"
| Financial  Institutions - Common Reporting Standard (CRS)
| CRS
| CRS
| Automatic  exchange of<br />    financial account information<br />    on a global level
| ACD
| KS
| yes
| CRS report
| CRS_20170615114523_CRS701_2016_B_19751234567_01234567890M00000000_P.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| ESPREP
| BRA
| Quarterly reporting on the<br />    financial health of the branches<br />    parent entities
| CSSF
| KS
| no
| CSSF enquiry
| ESPREP-B0999-2024-06-BRA.xlsx
|- style="vertical-align:bottom;"
| Credit  Institutions
| ESPREP
| DEP
| Residential  credit deposits
| CSSF
| KS
| no
| CSSF enquiry
| ESPREP-B0999-2024-06-DEP.xlsx
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| DCOR
| n/a
| Reporting Entity<br />    B: Credit institution
| CSSF
| S3
| no
| CSSF enquiry
| DCOR-ENNNNNNNN-YYYY-MM-DD_UUID.json
|- style="vertical-align:bottom;"
| Professionals  of the Financial Sector (PFS)
| DCOR
| n/a
| Reporting  Entity<br />    P: PFS
| CSSF
| S3
| no
| CSSF enquiry
| DCOR-ENNNNNNNN-YYYY-MM-DD_UUID.json
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| ESPREP
| RES
| Residential real estate market
| CSSF
| KS
| no
| CSSF enquiry
| ESPREP-B0999-2024-06-RES.xlsx
|- style="vertical-align:bottom;"
| Credit  Institutions
| ESPREP
| STT
| Stress  test in order to assess<br />    the interest rate risk<br />    arising from non-trading<br />    book activities
| CSSF
| KS
| no
| CSSF enquiry
| ESPREP-B0999-2008-06-STT.xls
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0101
| V1.1
| Customer transfers
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0101_L2_201601_W000000003_B000000999_20160201_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0110
| V1.10
| Stock  taking of payment accounts in bank money
| BCL
| KS
| no
| Data payment collection (CDP)
| V0110_L0_202407_Z000000999_Z000000999_20240808_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V01100
| V1.100
| Payment services provided by  e-money institutions and payment institutions without the provision of  payment accounts
| BCL
| KS
| no
| Data payment  collection (CDP)
| V01100_L0_202407_Z000000999_Z000000999_20240808_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0111
| V1.11
| OTC cash  transactions
| BCL
| KS
| no
| Data payment collection (CDP)
| V0111_L0_202407_Z000000999_Z000000999_20240808_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V01110
| V1.110
| Payment initiation services  (payments)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V01110_L0_202407_Z000000999_Z000000999_20240808_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V01110-F
| V1.110-F
| Payment  initiation services (Fraud)
| BCL
| KS
| no
| Data payment collection (CDP)
| V01110-F_L0_202405_B000000999_B000000999_20240812_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0112
| V1.12
| Transactions via  telecommunication, digital or IT device
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0112_L0_202309_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0113
| V1.13
| Credits  to the accounts by simple book entry
| BCL
| KS
| no
| Data payment collection (CDP)
| V0113_L0_202309_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0114
| V1.14
| Debits from the account by  simple book entry
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0114_L0_202309_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0102
| V1.2
| Interbank  transfers
| BCL
| KS
| no
| Data payment collection (CDP)
| V0102_L0_202309_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0120
| V1.20
| Customer Credit transfers sent  (payments)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0120_L0_202309_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0120-F
| V120-F
| Customer  Credit transfers sent (Fraud)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0120-F_L0_202405_B000000999_B000000999_20240806_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V01200
| V1.200
| Stock of issued payment cards
| BCL
| KS
| no
| Data payment  collection (CDP)
| V01200_L0_202407_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V01201
| V1.201
| Stock of  distributed payment cards
| BCL
| KS
| no
| Data payment collection (CDP)
| V01201_L0_202407_B000000099_B000000099_20240820_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0121
| V1.21
| Customer credit transfers  received
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0121_L0_202201_B000000999_B000000999_20230421_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V01210
| V1.210
| Stock of  terminals by terminal type
| BCL
| KS
| no
| Data payment collection (CDP)
| V01210_L0_202407_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V01220
| V1.220
| Stock of accounts (except  e-money accounts)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V01220_L0_202206_W000000099_W000000099_20240613_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V01221
| V1.221
| Stock of  e-money accounts
| BCL
| KS
| no
| Data payment collection (CDP)
| V01221_L0_202407_B000000999_B000000999_20240806_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V01222
| V1.222
| Stock of accessed accounts -  account information services (AIS)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V01222_L0_202407_B000000999_B000000999_20240814_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V01230
| V1.230
| Number  of customers
| BCL
| KS
| no
| Data payment collection (CDP)
| V01230_L0_202407_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0103
| V1.3
| Domiciliations
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0130_L0_202407_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0130
| V1.30
| Direct  debits - reporting as creditor's PSP (payments)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0103_L0_202407_B000000099_B000000099_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V01300-F
| V1.300-F
| Losses due to fraud per  liability bearer
| BCL
| KS
| no
| Data payment  collection (CDP)
| V01300-F_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0130-F
| V1.30-F
| Direct  debits - reporting as creditor's PSP (fraud)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0130-F_L0_202403_B000000999_B000000999_20240412_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0131
| V1.31
| Direct debits - reporting as  debtor's PSP
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0131_L0_202407_B000000099_B000000099_20240820_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0104
| V1.4
| Inventory  cards / terminals
| BCL
| KS
| no
| Data payment collection (CDP)
| V0104_L0_202407_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0140
| V1.40
| SEPA R-transactions
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0140_L0_202407_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0141
| V1.41
| Interbank  payment transactions
| BCL
| KS
| no
| Data payment collection (CDP)
| V0141_L0_202407_B000000999_B000000999_20240731_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0142
| V1.42
| Intermediated payment  transactions
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0142_L0_202407_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0105
| V1.5
| Card  transactiosn (Issuing part)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0105_L0_202405_B000000099_B000000099_20240820_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0150
| V1.50
| Card transactions with cards  issued by resident PSPs (payments)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0150_L0_202405_B000000099_B000000099_20240820_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0150-F
| V1.50-F
| Card  transactions with cards issued by resident PSPs (fraud)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0150-F_L0_202405_B000000099_B000000099_20240820_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0151
| V1.51
| Electronic card transactions  with cards issued by resident PSPs, split by Merchant Category Codes (MCC)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0151_L0_202407_B000000999_B000000999_20240813_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0152
| V1.52
| Card  transactions acquired by resident PSPs (payments)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0152_L0_202405_B000000999_B000000999_20240802_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0152F
| V1.52F
| Card transactions acquired by  resident PSPs (Fraud)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0152-F_L0_202405_B000000999_B000000999_20240802_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0153
| V1.53
| Fundings  and withdrawals related to prepaid cards
| BCL
| KS
| no
| Data payment collection (CDP)
| V0153_L0_202407_B000000999_B000000999_20240812_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0106
| V1.6
| Card transactiosn (Acquiring  part)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0106_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0160
| V1.60
| Cheques  and money remittances (payments)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0160_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0160-F
| V1.60-F
| Cheques and money remittances  (Fraud)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0160-F_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0107
| V1.7
| Cheques  and money orders
| BCL
| KS
| no
| Data payment collection (CDP)
| V0107_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0170
| V1.70
| Over-the-counter (OTC) cash  transactions
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0170_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0108
| V1.8
| Electronic  money scheme
| BCL
| KS
| no
| Data payment collection (CDP)
| V0108_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0180
| V1.80
| Book entries
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0180_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0109
| V1.9
| Card  based e-money schemes
| BCL
| KS
| no
| Data payment collection (CDP)
| V0109_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0190
| V1.90
| Fundings and withdrawals in  e-money (except prepaid cards)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0190_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom;"
| Payment  Institutions/Electronic Money Institutions
| V0191
| V1.91
| E-money  transfers (payments)
| BCL
| KS
| no
| Data payment collection (CDP)
| V0191_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions/Electronic  Money Institutions
| V0191-F
| V1.91-F
| E-money transfers (Fraud)
| BCL
| KS
| no
| Data payment  collection (CDP)
| V0191-F_L0_202405_B000000999_B000000999_20240809_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| ESPREP
| DCO
| Fonds de  garantie<br />    des dépôts Luxembourg<br />    (FGDL)
| CSSF
| KS
| no
| DCOR reporting
| DCOR-ENNNNNNNN-YYYY-MM-DD_UUID.json<br />    DCOR-B00057255-2024-02-23_c15473ff-53c7-d38c-5219-3bdf950121f1.json
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions
| EDPREP
| Z1.1
| Balance sheet
| CSSF
| KS
| no
| EDP report
| EDPREP-Z9999-2011-03-Z11-L0-L-N--.xls
|- style="vertical-align:bottom;"
| Payment  Institutions
| EDPREP
| Z1.2
| Identification  of third-party<br />    funds held and incorporated in the balance sheet
| CSSF
| KS
| no
| EDP report
| EDPREP-Z9999-2011-03-Z12-L0-L-N--.xls
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Payment Institutions
| EDPREP
| Z1.4
| Capital adequacy of<br />    payment institutions
| CSSF
| KS
| no
| EDP report
| EDPREP-Z9999-2011-03-Z14-L0-L-N--.xls
|- style="vertical-align:bottom;"
| Payment  Institutions
| EDPREP
| Z2.1
| Profit  and loss accoount
| CSSF
| KS
| no
| EDP report
| EDPREP-Z9999-2011-03-Z21-L0-L-N--.xls
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Electronic Money Institutions
| EMEREP
| W1.1
| Balance sheet
| CSSF
| KS
| no
| EME report
| EMEREP-W9999-2011-03-W11-L0-L-N--.xls
|- style="vertical-align:bottom;"
| Electronic  Money Institutions
| EMEREP
| W1.2
| Identification  of third-party<br />    funds held and incorporated<br />    in the balance sheet
| CSSF
| KS
| no
| EME report
| EMEREP-W9999-2011-03-W12-L0-L-N--.xls
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Electronic Money Institutions
| EMEREP
| W1.3
| Statement of<br />    authorised reinvestments
| CSSF
| KS
| no
| EME report
| EMEREP-W9999-2011-03-W13-L0-L-N--.xls
|- style="vertical-align:bottom;"
| Electronic  Money Institutions
| EMEREP
| W1.4
| Capital  adequacy of<br />    electronic money institutions
| CSSF
| KS
| no
| EME report
| EMEREP-W9999-2011-03-W14-L0-L-N--.xls
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Electronic Money Institutions
| EMEREP
| W2.1
| Profit and loss account
| CSSF
| KS
| no
| EME report
| EMEREP-W9999-2011-03-W21-L0-L-N--.xls
|- style="vertical-align:bottom;"
| Electronic  Money Institutions
| EMEREP
| W4.5
| Analysis  of shareholdings
| CSSF
| KS
| no
| EME report
| EMEREP-W9999-2011-03-W45-L0-L-N--.xls
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Financial Institutions - Foreign  Account Tax Compliance Act (FATCA)
| FATCA
| FATCA
| Foreign Account Tax Compliance  Act Reporting
| ACD
| KS
| yes
| FATCA sending
| FATCA_20150520080022_F0_2016_B_1970010112345_006M8M.00000.LE.442_P.xml
|-
| style="vertical-align:bottom;" | Management  Companies
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | (-) LE
| (-) Letter of explanation (LE)<br />
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Fin. Rep. of GFI
| style="vertical-align:bottom;" | DOCREP-S00001234-00000000-0000-2018-01-15-AR-EN-0000.pdf<br />    DOCREP-S00001234-00000000-0000-2018-01-15-LE-EN-0000.pdf<br />    DOCREP-S00001234-00000000-0000-2018-01-15-RO-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-AR-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-LE-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-RO-EN-0000.pdf<br />    no naming convention<br />    no naming convention<br />    no naming convention
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Management Companies
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | AR
| Annual report of Investment fund managers (IFM) (EN)<br />    Gestionnaires des fonds d'investissement (GFI) (FR)
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Fin. Rep. of  GFI
| style="vertical-align:bottom;" | DOCREP-S00001234-00000000-0000-2018-01-15-AR-EN-0000.pdf<br />    DOCREP-S00001234-00000000-0000-2018-01-15-LE-EN-0000.pdf<br />    DOCREP-S00001234-00000000-0000-2018-01-15-RO-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-AR-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-LE-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-RO-EN-0000.pdf<br />    no naming convention<br />    no naming convention<br />    no naming convention
|- style="vertical-align:bottom;"
| Credit  Institutions
| FRCREP
| B2.4
| Information  on participating interest<br />    and subordinated loans
| CSSF
| KS
| no
| FINREP report
| FRCREP-B9999-2007-12-B24-L2-L-N--B24.XML<br />    FRCREP-B9999-2007-12-B24-L2-L-N--.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| FRCREP
| B2.5
| Information on staff costs and  taxes<br />    and subordinated loans
| CSSF
| KS
| no
| FINREP report
|
|- style="vertical-align:bottom;"
| Credit  Institutions
| CFEREP
| LCRDA
| LCRDAX
| CSSF
| S3
| no
| FINREP report
| CFEREP-B00000999-2024-08-LCRDAX-N-N_a6fca981-2f2c-2a98-ddba-b241c2366a1a.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Financial Companies
| S0216
| S2.16
| Quarterly statistical balance of  Financial Companies
| BCL
| KS
| yes
| Issuing  companies reporting
| S0216_L1_201406_DSE0003524_DSE0003524_20140720_001.xml<br />
|- style="vertical-align:bottom;"
| Financial  Companies
| S0217
| S2.17
| Transactions  of Financial Companies
| BCL
| KS
| yes
| Issuing companies reporting
| S0217_L1_201406_DSE0003524_DSE0003524_20140720_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| DOCREP
| KI
| Key Investor Information  Document<br />    (-) O: OPC Law 2010 and Loi 2007<br />    (-) K: SICAR<br />    (-) V: non-reglem.
| CSSF
| KS
| no
| Key investor  document
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-KI-LL-0000.pdf  (OPC Loi 2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-KI-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-KI-LL-0000.pdf<br />    DOCREP-VNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-KI-LL-0000.pdf
|-
| style="vertical-align:bottom;" | Investment  Funds
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | LF
| Long Form reports (UCI Law 2010)
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Long forms CSSF 09/423
| style="vertical-align:bottom;" | DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LF-LL-0000.pdf
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Management Companies
| SGOREP
| G21
| (-) SG 1A: Financial  situation<br />    (-) SG 1B: Profit and loss account<br />    (-) SG 1C: Table relating to other activities<br />    (-) SG 2: Other activities<br />    (-) SG: Personnel Table relating to staff
| CSSF
| KS
| no
| Management  company report
| SGOREP-S9999-2009-03-G21-L2-S-N--.xls
|-
| style="vertical-align:bottom;" | Investment  Funds
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | ML
| Management letters<br />    (-) O: OPC Law 2010<br />    (-) O: Law 2007<br />    (-) K: SICAR
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Management letters CSSF 09/423
| style="vertical-align:bottom;" | DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ML-LL-0000.pdf (OPC Loi  2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ML-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ML-LL-0000.pdf (SICAR)
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Investment Funds
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | ML
| Management letters of Investment fund managers (IFM) (EN)<br />    Gestionnaires des fonds d'investissement (GFI) (FR)
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Management  letters of GFI
| style="vertical-align:bottom;" | DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ML-LL-0000.pdf<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LE-LL-0000.pdf<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ML-LL-0000.pdf<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LE-LL-0000.pdf
|- style="vertical-align:bottom;"
| Investment  Funds
| DOCREP
| AI
| Articles  of Incorporation of UCITS<br />    (-) O: UCI Law 2010<br />    (-) O: UCI Law 2007<br />    (-) K: SICAR
| CSSF
| KS
| no
| Management regulation/status
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-MR-LL-0000.pdf (OPC Loi  2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-MR-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AI-LL-0000.pdf (OPC Loi  2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AI-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AI-LL-0000.pdf (SICAR)
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| DOCREP
| MR
| Management Regulations of  UCITS<br />    (-) O: OPC Law 2010<br />    (-) O: Law 2007
| CSSF
| KS
| no
| Management  regulation/status
| DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-MR-LL-0000.pdf  (OPC Loi 2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-MR-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AI-LL-0000.pdf (OPC Loi  2010)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AI-LL-0000.pdf (OPC Loi  2007)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AI-LL-0000.pdf (SICAR)
|- style="vertical-align:bottom;"
| MiFID  II / MiFIR
| TAFREP
| TAF
| Article  26 of Regulation<br />    No 600/2014:<br />    Obligation to report transactions<br />    (Markets in financial instruments => MiFIR)
| CSSF
| KS
| no
| Mifir reporting
| TAFREP-B00000001-2017-04-15-123456.xml
|- style="background-color:#CAEDFB;"
| style="vertical-align:bottom;" | Management Companies
| style="vertical-align:bottom;" | DOCREP
| (-) GR<br />    (-) ID<br />    (-) FC<br />    (-) IA<br />    (-) TP<br />    (-) LP<br />    (-) PG<br />    (-) OG<br />    (-) TM<br />    (-) RD<br />    (-) AS<br />    (-) FP<br />    (-) PN
| Investment fund managers (IFM):<br />    (-) Risk management function(GR)<br />    (-) OPCVM instruments information (ID)<br />    (-) Compliance Function (FC)<br />    (-) Internal audit function report (IA)<br />    (-) Complaints handling (TP)<br />    (-) Authorized third party complaints (LP)<br />    (-) Risk Management Procedure (PG)<br />    (-) Organization chart (OG)<br />    (-) Mandates table (TM)<br />    (-) Delegates of RFI (RD)<br />    (-) Branch activity (AS)<br />    (-) Own funds ratio (FP)<br />    (-) Risk management procedure AIFM (PN)<br />
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Other closing  documents of GFI
| style="vertical-align:bottom;" | DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf  (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf (FIAAG)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ID-LL-0000.pdf (SIAG Partie I Loi  2010)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ID-LL-0000.pdf (GFI chapitre 15  Loi 2010)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf FIAAG<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf (FIAAG<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf (FIAAG<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls (IFMs)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls  (SIAG/FIAAG)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls (FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf (IFMs)  (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf (IFMs)  (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf (FIAAG)<br />
|- style="vertical-align:bottom;"
| Other  reporting CSSF BCL
| OTHREP
| OTH
| Other  reporting
| CSSF
| KS
| no
| OTHER reporting<br />    (=> CSSF)
| OTHREP-B9999-HELLO_WORLD.xlsx
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| BOP101
| BOP1.1
| Balance of payments reporting
| BCL
| KS
| no
| Payments  balance
| BOP101_20130616_B000000999_B000000999_20130617_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| BOP102
| BOP1.2
| Cross-border  payments<br />    executed for the account<br />    of the resident counterparts
| BCL
| KS
| no
| Payments balance
| BOP102_20240731_B000000999_B000000999_20240801_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Professionals of the Financial  Sector (PFS)
| PSFREP
| (-) Basic reporting<br />    (-) Ad hoc reporting<br />    (-) Annual information
| Reporting population:<br />    (-) Investment firms<br />    (-) Specialised PFS<br />    (-) Support PFS
| CSSF
| KS
| no
| PSF report
| PSFREP-P9999-2008-03-P11-L1-L-N--.xlsx
|- style="vertical-align:bottom;"
| Insurance  Corporations
| N01  (Comp); N02 (Comp); N03 (Comp);<br />    N04 (Comp); N05 (Réviseur); N06( Réviseur);<br />    N07 (Comp); N08 (Comp); N09 (Comp); N10 (Comp); N11 (Comp); N12 (Réviseur)
| n/a
| Rapports  narratifs
| CAA
| KS
| no
| Rapport narratif (CAA) (Companie) -<br />    Governance Re<br />    <br />    Rapport narratif (CAA) (Réviseur) -<br />    Governance Rep
| N01V-LU-01-20181231-CAA-LEIDéclarant-LEIDéposant.pdf
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| CSDREP
| CSDR
| Reporting CSDR:<br />    Introduction of quarterly internalised settlement reporting  requirements<br />    pursuant to Article 9(1) of EU Regulation No 909/2014 (CSDR)
| CSSF
| KS
| no
| Reporting CSDR
| CSDREP-B00000001-B00000001-2018-Q4-20190101-1.zip
|- style="vertical-align:bottom;"
| Credit  Institutions
| BNNNN
| B4.4
| List of  head offices, agencies,<br />    branches and representative offices
| CSSF
| KS
| no
| Reporting EDIFACT
| B0001809.T01
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Institutions for Occupational  Retirement Provision
| SUFREP
| IORP
| Annual and quarterly reporting  according to Circular CSSF 19/726 of 26 July 2019
| CSSF
| KS
| no
| Reporting IORP
| SUFREP-ENNNNNNNN-TJJJJJJJJ-SSSSSSSS-YYYY-MM-R-TTTTTT-LL-C-D-S.zip
|- style="vertical-align:bottom;"
| Money  Market Funds (MMF)
| MMFREP
| MMF
| •  According to Article 37 of Regulation (EU) 2017/1131, the manager of a MMF  must report information to the competent authority (CSSF) of the MMF, at  least on a quarterly basis or - for MMF with assets under management of less  than Eur 100 million - on at least an annual basis.<br />    • The first quarterly report should be sent to the competent authority of  the MMF no later than 30 days after the end of Q1 2020.
| CSSF
| KS
| no
| Reporting Money Market Fund
| MMFREP-P00000789-O00000654-00000123-2020-Q1-0001.zip<br />    MMFREP-P00000789-O00000654-00000123-2020-Y1-0001.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| S0112-L
| S1.12-L
| Indirect withdrawal and  remittance of banknotes denominated in EUR through an intermediary
| BCL
| KS
| no
| Reporting  S1.12-L
| S0112-L_L0_201905_B000000999_B000000999_20130605_001.xml
|- style="vertical-align:bottom;"
| Financial  Companies
| TPTIBS
| TPTIBS
| Monthly  security by security reporting of Financial Companies
| BCL
| KS
| yes
| Reporting securities by securities of issuing companies
| TPTIBS_L1_201406_DSE0003524_DSE0003524_20140720_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| U11
| U1.1
| Monthly financial information  UCITS and UCI
| CSSF
| KS
| yes
| Reporting U
| U11REP-B00000012-O00008450-00000002-201512-RAP-1421893257541.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| TPTBBL
| TPTBBL
| Security  by security report–<br />    Balance sheet data–<br />    Luxembourg
| BCL
| KS
| no
| Security by security Banks
| TPTBBL_L5_201804_B000000999_B000000999_20180617_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| TPTBBN
| TPTBBN
| Security by security  report–<br />    Balance sheet data–<br />    Luxembourg
| BCL
| KS
| no
| Security by  security Banks
| TPTBBN_L5_201804_B000000999_B000000999_20180617_001.xml
|- style="vertical-align:bottom;"
| Credit  Institutions
| TPTBHN
| TPTBHN
| Security  by security report–<br />    Off-balance sheet data–<br />    Non-resident
| BCL
| KS
| no
| Security by security Banks
| TPTBHN_L2_201804_B000000999_B000000999_20180617_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| TPTBHR
| TPTBHR
| Security by security  report–<br />    Off-balance sheet data–<br />    Resident customers
| BCL
| KS
| no
| Security by  security Banks
| TPTBHR_L2_201804_B000000999_B000000999_20180617_001.xml
|- style="vertical-align:bottom;"
| Investment  Funds
| SFDR
| Periodical  disclosures
| Reporting  Entity<br />    (-) O: UCI Law 2010<br />    (-) O: UCI Law 2007<br />    (-) K: SICAR<br />    (-) F: Pension Fund
| CSSF
| KS
| no
| SFDR Reporting
| SFDR-ENNNNNNNN-TTTTT-YYYY-MM-DD-UUID.zip<br />    SFDR-O00000406-PERIO-2023-03-31-41c13c08-ef59-4183-870f-80d7a00c54e8
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| SFDR
| Precontractual disclosures
| Reporting Entity<br />    (-) O: UCI Law 2010<br />    (-) O: UCI Law 2007<br />    (-) K: SICAR<br />    (-) F: Pension Fund
| CSSF
| KS
| no
| SFDR Reporting
| SFDR-ENNNNNNNN-PRECO-UUID.zip<br />    SFDR-O00000406-PRECO-41c13c08-ef59-4183-870f-80d7a00c54e8.zip
|- style="vertical-align:bottom;"
| Investment  Funds
| SIC
| K3.1
| Financial  information to be submitted by investment companies in risk capital (SICARs)
| CSSF
| KS
| no
| Sicar reporting
| SICREP-B999999-K999990000-2008-06-K31-L0-L-N.xls
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| DOCREP
| (-) AR<br />    (-) SR<br />    (-) LE<br />    (-) RO<br />    (-) PM
| UCI Law 2010:<br />    (-) Annual Report (AR)<br />    (-) Semi-annual report (SR)<br />    (-) Letter of explanation (LE)<br />    (-) Other periodic report (RO)<br />    (-) Movements in the securities portfolios (MP)
| CSSF
| KS
| no
| SIF or SICAR :  08/371 FIS report<br />    UCI : 08/371 report
| SIF:<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AR-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LE-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RO-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PM-LL-0000.pdf<br />    SICAR:<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AR-LL-0000.pdf<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RO-LL-0000.pdf<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PM-LL-0000.pdf<br />    UCI:<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-AR-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-SR-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-LE-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-RO-LL-0000.pdf<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-PM-LL-0000.pdf
|- style="vertical-align:bottom;"
| Insurance  Corporations
| S01;  S02; S03; S04; S05;<br />    S06 (Réviseur); S07; S08;<br />    S09; S10; S11; S12; S13;<br />    S14; S15; S16; S17; S18;<br />    S19; S20; S23
| n/a
| XBRL  reports Solvency II
| CAA
| KS
| no
| Solvency II Reporting
| S01V-LU-01-20181231-CAA-LEIDéclarant-LEIDéposant.pdf
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Securitisation Vehicles
| S0214
| S2.14
| Quarterly statistical balance
| BCL
| KS
| yes
| Titrisation  vehicles
| S0214_L1_201412_T000000999_T000123001_20150120_001.xml<br />
|- style="vertical-align:bottom;"
| Securitisation  Vehicles
| S0215
| S2.15
| Transactions  and write-offs/write-downs on securitised loans
| BCL
| KS
| yes
| Titrisation vehicles
| S0215_L1_201412_T000000999_T000123001_20150120_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Securitisation Vehicles
| TPTTBS
| TPTTBS
| Security by security reporting
| BCL
| KS
| no
| Titrisation  vehicles
| TPTTBS_L1_201412_T000000999_T000123001_20150120_001.xml
|- style="vertical-align:bottom;"
| Alternative  Investment Fund Managers (AIFM)
| UCIAR
| n/a
| Reporting  Entity<br />    A: Alternative Investment fund manager (AIFM)
| CSSF
| KS
| no
| UCIAR Reporting
| UCIAR-ENNNNNNNN-YYYY-MM-DD-UUID.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| UCIAR
| n/a
| Reporting Entity<br />    B: Credit institution
| CSSF
| KS
| no
| UCIAR  Reporting
| UCIAR-ENNNNNNNN-YYYY-MM-DD-UUID.zip
|- style="vertical-align:bottom;"
| Investment  Funds
| UCIAR
| n/a
| Reporting  Entity<br />    (-) O: UCI Law 2010<br />    (-) O: UCI Law 2007<br />    (-) K: SICAR
| CSSF
| KS
| no
| UCIAR Reporting
| UCIAR-ENNNNNNNN-YYYY-MM-DD-UUID.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Management Companies
| UCIAR
| n/a
| Reporting Entity<br />    S: Management company
| CSSF
| KS
| no
| UCIAR  Reporting
| UCIAR-ENNNNNNNN-YYYY-MM-DD-UUID.zip
|- style="vertical-align:bottom;"
| Professionals  of the Financial Sector (PFS)
| UCIAR
| n/a
| Reporting  Entity<br />     (-) P: PFS<br />    (-) I: Support PFS
| CSSF
| S3
| no
| UCIAR Reporting
| UCIAR-ENNNNNNNN-YYYY-MM-DD-UUID.zip
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Other reporting CSSF BCL
| OTXREP
| OTX
| Various correspondence
| BCL
| KS
| no
| Various  correspondence (OTH)<br />    (=> BCL -OTHER reporting)
| OTXREP-B0nnn-BOP_IDE_2015_B0nnn_20160615_001.xls
|-
| style="vertical-align:bottom;" | Investment  Funds
| style="vertical-align:bottom;" | DOCREP
| (-) GR<br />    (-) ID<br />    (-) FC<br />    (-) IA<br />    (-) TP<br />    (-) LP<br />    (-) PG<br />    (-) OG<br />    (-) TM<br />    (-) RD<br />    (-) AS<br />    (-) FP<br />    (-) PN
| Investment fund managers (IFM):<br />    (-) Risk management function(GR)<br />    (-) OPCVM instruments information (ID)<br />    (-) Compliance Function (FC)<br />    (-) Internal audit function report (IA)<br />    (-) Complaints handling (TP)<br />    (-) Authorized third party complaints (LP)<br />    (-) Risk Management Procedure (PG)<br />    (-) Organization chart (OG)<br />    (-) Mandates table (TM)<br />    (-) Delegates of RFI (RD)<br />    (-) Branch activity (AS)<br />    (-) Own funds ratio (FP)<br />    (-) Risk management procedure AIFM (PN)
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Other closing documents of GFI
| style="vertical-align:bottom;" | DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-GR-LL-0000.pdf (FIAAG)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ID-LL-0000.pdf (SIAG Partie I Loi  2010)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-ID-LL-0000.pdf (GFI chapitre 15  Loi 2010)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-FC-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-IA-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-TP-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-LP-LL-0000.pdf FIAAG<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PG-LL-0000.pdf (FIAAG<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-PN-LL-0000.pdf FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-OG-LL-0000.pdf (FIAAG<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls (IFMs)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls  (SIAG/FIAAG)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xls (FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-TM-LL-0000.xlsx (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-RD-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf (IFMs)  (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf (IFMs)  (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-AS-LL-0000.pdf (FIAAG)<br />    DOCREP-SNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf (IFMs)<br />    DOCREP-ANNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf (IFMs)<br />    DOCREP-ONNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf  (SIAG/FIAAG)<br />    DOCREP-KNNNNNNNN-CCCCCCCC-PPPP -YYYY-MM-DD-FP-LL-0000.pdf (FIAAG)
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| SPJ
| 646REP<br />    663REP<br />    664REP
| Notification and execution of  court orders
| SPJ
| KS
| no
| -
|
|-
| style="vertical-align:bottom;" | Investment  Funds
| style="vertical-align:bottom;" | DOCREP
| style="vertical-align:bottom;" | AR<br />    RO
| Investment fund managers (IFM) (EN)<br />    Gestionnaires des fonds d'investissement (GFI)(FR)<br />    (-) Annual Report (AR)<br />    (-) Other periodic report (RO)
| style="vertical-align:bottom;" | CSSF
| style="vertical-align:bottom;" | KS
| style="vertical-align:bottom;" | no
| style="vertical-align:bottom;" | Fin. Rep. of GFI
| style="vertical-align:bottom;" | DOCREP-S00001234-00000000-0000-2018-01-15-AR-EN-0000.pdf<br />    DOCREP-S00001234-00000000-0000-2018-01-15-RO-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-AR-EN-0000.pdf<br />    DOCREP-A00001234-00000000-0000-2018-01-15-RO-EN-0000.pdf
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Credit Institutions
| CFEREP
| ALM
| ALMXXX
| CSSF
| S3
| no
| -
|
|- style="vertical-align:bottom;"
| Professionals  of the Financial Sector (PFS)
| DOCREP
| LF
| Long  Form Report
| CSSF
| KS
| no
|
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Management Companies
| DOCREP
| ML
| Management letters of Investment  fund managers (IFM) (EN)<br />    Gestionnaires des fonds d'investissement (GFI) (FR)
| CSSF
| KS
| no
|
|
|- style="vertical-align:bottom;"
| Professionals  of the Financial Sector (PFS)
| DOCREP
| ML
| Management  Letter
| CSSF
| KS
| no
|
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Investment Funds
| S0106
| S1.6
| Monthly statistical balance  sheet for non-money market funds (non-MMF)
| BCL
| KS
| yes
| -
| S0106_L1_202402_B000000999_NAF00000000000000_20240625_001.xml<br />    S0106_L1_202402_P000000999_O999990009_20240605_001.xml
|- style="vertical-align:bottom;"
| Investment  Funds
| S0213
| S2.13
| Quarterly  statistical balance sheet for non-MMF investment funds
| BCL
| KS
| yes
| -
| S0213_L1_202103_P000000999_O009990009_20240731_001.xml<br />    S0213_L1_202103_S000000999_O099990009_20240606_001.xml
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| CED
| Source file reception from CAA
| Etat de situation relatif aux  contrats en déshérence
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom;"
| Insurance  Corporations
| CPR
| Source  file reception from CAA
| Compte  rendu
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| ESP
| Source file reception from CAA
| Enquête spécifique
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom;"
| Insurance  Corporations
| ETR
| Source  file reception from CAA
| Etat  trimestriel
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| FIR
| Source file reception from CAA
| Fiche de renseignement
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom;"
| Insurance  Corporations
| PDA
| Source  file reception from CAA
| Rapport  PDAL (Procédure de Dissolution Administrative sans Liquidation)
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| RAC
| Source file reception from CAA
| Rapport actuariel
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom;"
| Insurance  Corporations
| RDC
| Source  file reception from CAA
| Rapport  distinct complémentaire du réviseur
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| RDI
| Source file reception from CAA
| Rapport distinct du réviseur
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom;"
| Insurance  Corporations
| RGO
| Source  file reception from CAA
| Rapport  de gouvernance
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| RLB
| Source file reception from CAA
| Rapport LBCFT
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom;"
| Insurance  Corporations
| RRE
| Source  file reception from CAA
| Rapports  sur le traitement des réclamations
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom; background-color:#CAEDFB;"
| Insurance Corporations
| RSE
| Source file reception from CAA
| Rapport distinct Solvabilité 2  de l'entreprise
| CAA
| KS
| no
| -
|
|- style="vertical-align:bottom;"
| Insurance  Corporations
| RSO
| Source  file reception from CAA
| Rapport  distinct Solvabilité 2 du réviseur
| CAA
| KS
| no
| -
|
|}

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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