Difference between revisions of "Test1"

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<!-- <div class="noprint" style="background-color:#FAFAFA; position:fixed; top:20%; right:10%; padding:0; margin:0;" >
<small>''Page's last update : {{REVISIONDAY2}} {{CURRENTMONTHABBREV}} {{REVISIONYEAR}}''</small>
<div class="noautonum">__TOC__</div>
 
__TOC__
 
= FAQ =
 
<span class="mw-customtoggle-q0" style="font-weight:bold;line-height:2.5;">Your module is greyed out?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q0">
::To get access to this module, please ask your e-file local administrator to [[E-file Administration#How_do_I_assign_groups_and_profiles_to_users|make you member]] of the '''''Distribution matrix ''''' and '''''Registration matrix ''''' groups.
::[[File:Matrix GreyedOut.png|alt=Registration and distribution matrix is greyed out.|To have access : '''''Distribution matrix ''''' and '''''Registration matrix ''''' groups ]]
</div>
</div>
-->
__NOTOC__


<inputbox>
<span class="mw-customtoggle-q1" style="font-weight:bold;line-height:2.5;">How can I batch upload registration or distribution statuses?
type=search
Can I bulk upload multiple registration/distribution statuses in one go?</span>
width=30
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q1">
break=no
::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).
placeholder=Do you have a question ?
::Example:
</inputbox>


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


</div>
<span class="mw-customtoggle-q2" style="font-weight:bold;line-height:2.5;">Why has the Distribution Status not been updated to Registered ('R') despite the R to D automation?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q2">
::If the current distribution status is DX, it will not be updated by an automation and has to be updated manually. Please also note that the automation only works for countries with a filing setup.
</div>
<span class="mw-customtoggle-q3" style="font-weight:bold;line-height:2.5;"> I can not find a closed share-class in the registration matrix</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q3">
::Please make sure filter status "closed" is selected
</div>
<span class="mw-customtoggle-q4" style="font-weight:bold;line-height:2.5;"> Why does the registration or the distribution  matrix appear to be empty?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q4">
::This is due to missing access rights. The latter have to be requested by email to rs.clientsupportoperations@fundsquare.net
</div>


==Test==
<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" >
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q5">
<div class="mw-collapsible-toggle" style="float:left; margin-left:0; margin-right:1em;">Expand for more details|collapse</div>
::New countries can be added by clicking on the Manage Country button available on the top of the page
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-q6" style="font-weight:bold;line-height:2.5;">How can I see the audit trail of a registration or distribution status?</span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q6">
::Please click on the "clock" symbol 
</div>
</div>


<div style="height:200px;   width:auto; overflow-y:scroll">
<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>


{| class="wikitable table-filterable mw-collapsible mw-collapsed sortable"
<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>
|+ <span style="white-space:nowrap"> Table test </span>
<div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q8">
|- <div style="position:sticky;top:-1px;z-index:10">
::Yes, please click on the consolidated view tab in the registration and distribution matrix module
!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>
</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 ||
|}


<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>
---------------------------------


<small>''Page's last update : 14 September 2023''</small>
<div style="text-align: center; width:100%;border-style: double none none none;"> </div>
 
 


__TOC__
=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]]


<div style="text-align: right; direction: ltr; margin-left: 1em;">[[Welcome_to_e-file_and_Fundsquare_FAQ|Home page ]][[File:Home.png|Return homepage|link=Welcome_to_e-file_and_Fundsquare_FAQ]]</div>


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


[[File:Report_generation.png]]
<u> '''CANCEL''' </u> : to cancel your previous selection press the '''CANCEL''' button.


=Select your report type=


Once you have clicked on the '''Report Generation''' icon, the  window '''OPEN A SUB-MODULE''' pops-up.
* Click on '''PICK A SUB-MODULE'''.
* Select your reporting type.
* Click on the '''LAUNCH REPORT''' button. The form opens.


[[File:BeforeAfterPickSubModule2.png| 300 px]]
<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]]


=Form=
<span id="here"></span>




<imagemap>
<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:ReportGeneration.png|900px|alt=clickable image : form description| titre
rect 746 25 717 0 [[#here|This button allows you to upload an existing XML report from your network or hard-drive into the report generator.]]
rect 839 29 819 5 [[#here|Work in progress on a report has to be saved with this button. Work in progress means that the report is not finalized, because important data are missing. The exported .xml file will be called DRAFT_filename.xml and cannot be uploaded for filing. It can be imported onto the tool for later use. If you save locally a final report, meaning that all relevant data are available inside the report, it will carry the correct naming convention for submission to the Regulator.]]
rect 885 5 910 26 [[#here|If the four buttons of the sidebar are green, the Transmission button will become available and the report can be transmitted to the regulator.]]
rect 950 5 970 25 [[#here|Press this button to export an uncompleted or finalized report in EXCEL format. This file serves for your internal purpose only, however it cannot be imported. ]]
rect 30 299 5 77 [[#here|Vertical navigation bar: pages open vertically. Buttons remain red if data are missing/wrong.]]
rect 227 214 264 244 [[#here|Calendar to pick the reference date.]]
rect 108 269 432 377 [[#here|Icons to select Report status.]]
rect 107 432 297 444 [[#here|If something is wrong, an error message occurs]]
rect 162 566 103 545 [[#here|Add more lines for this section]]
rect 83 55 554 80 [[#here|warning: no auto saving]]
desc none
</imagemap>


[[File:Final U11Form_v2.png|800 px]]
[[File:ChangeStatusRX.jpg|500 px]]


<span style="background:yellow"> '''A'''</span> '''New warning''': no auto saving.


<span style="background:yellow"> '''B'''</span> '''Vertical navigation bar''': pages open vertically. Buttons remain red if data are missing/wrong.
[[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.


<span style="background:yellow"> '''C'''</span> '''Calendar''' to pick the reference date.
[[File:After ManageCountry.png|border|500 px]]


<span style="background:yellow"> '''D'''</span> '''Icons''' to select Report status.


<span style="background:yellow"> '''F'''</span> '''Select an existing report''' button: This button allows you to upload an existing '''XML''' report from your network or hard-drive into the report generator.
[[File:After-point9.png|30 px]] Open Full screen mode. Filter taskbars will be hidden.


<span style="background:yellow"> '''G'''</span> '''Save locally''' button: <u>Work in progress</u> on a report has to be saved with this button. '''Work in progress''' means that the report is not finalized, because important data are missing. The exported '''.xml''' file will be called '''DRAFT_filename.xml''' and cannot be uploaded for filing. It can be imported onto the tool for later use. If you save locally a <u>final report</u>, meaning that all relevant data are available inside the report, it will carry the '''correct naming convention''' for submission to the Regulator.  
[[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.


<span style="background:yellow"> '''H'''</span> '''Transmit''' button: If the four buttons of the sidebar are green, the '''Transmission button''' will become available and the report can be transmitted to the regulator.
== Registration statuses ==


<span style="background:yellow"> '''I'''</span> '''EXCEL''' button: Press this button to export an uncompleted or finalized report in EXCEL format. This file serves for your internal purpose only, however it <u>cannot be imported</u>.
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]]


<u>IMPORTANT INFORMATION on where you can find  the '''item numbers''' of [https://www.cssf.lu/en/Document/circular-cssf-15-627 CIRCULAR CSSF 15/627 U1.1 reporting] in the different sections of the form</u>:
[[File:Blue-RegStatus.png|25 px]] Status manually set through the '''Registration and distribution matrix module'''


[[File:Number1Sidebar.png|30 px]] 1st button of the sidebar: General information on the report and the sender => item number '''1010-1050'''
[[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:Number2Sidebar.png|30 px]] 2nd button of the sidebar: General information on the report and the compartment => item number '''2010-2090'''
[[File:Yellow-RegStatus.png|25 px]] Status automatically set through the '''Notification module''' (cannot be deleted through the Registration and distribtuion matrix module)


[[File:Number3Sidebar.png|30 px]] 3rd button of the sidebar: General information on the compartment => item number '''3010-3050'''
X - Not registered


:: Section 1 <span style="color: #868686"> <small>''(sub-section of section 3)''</small/> </span> General information on the unit/share class => item number '''4010-4100'''
E - To be registered


:: Section 2 <span style="color: #868686"> <small>''(sub-section of section 3)''</small/> </span> Financial information on the unit/share class for the reference month => item number '''5010-5090'''
A - Registration in progress (selection of an instrument at step 2 of the '''Notification''')


[[File:Number4Sidebar.png|30 px]] 4th button of the sidebar. Information on the investment income and expenses of the reference month in the fund’s currency => '''6010-6100'''
: AT - Registration in progress - Transmitted to the authority


= File transmission =
: AR - Registration in progress - Rejected by the authority


Step 1: Once the form is completed, click the '''Transmit''' button.
N - Notified


[[File:AfterU11GreenTicks.png|500 px]]
: NT - Notified - Transmitted to the HOST authority
 
: NR - Notified - Rejected by the HOST authority


'''Result:''' The REPORT TRANSMISSION window opens.
: NA - Notified - Accepted by the HOST authority


R - Registered


: RI - Registered - Institutional


: RP - Registered - Private placement


XR - No more registered but with remaining investors


Step 2: Configure the REPORT TRANSMISSION when it is used for the first time (or after each certificate update).
RX - No more registered






[[File:REPORT TRANSMISSION configure.png | border]]
<u>Important information</u>:
 
<span style="background:yellow"> '''a)'''</span> Under the sub-menu <span style="color: #8fbc8f">'''Configuration'''</span>, the path to the keystore should be selected using the button BROWSE FILES or via Drag&Drop.


<span style="background:yellow"> '''b)'''</span> Make sure to select “Save keystore settings” so that the file is memorized by the application.
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.


Step 3: Fill in the TRANSMISSION SETTINGS and Transmit
[[File:RegStat-AuthorizedChanges.png|350 px]]


[[File:REPORT TRANSMISSION transmission.png | border]]


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


<span style="background:yellow"> '''a)'''</span> Activate the <span style="color: #8fbc8f">'''Transmission'''</span> sub-menu.
* 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.


<span style="background:yellow"> '''b)'''</span> Enter a “Title of the sending”.
== Distribution statuses ==


<span style="background:yellow"> '''c)'''</span> Enter the Keystore password.
Please be informed that no changes have been made to the registration statuses rules.


<span style="background:yellow"> '''d)'''</span> Click “TRANSMIT” to submit your report.
The Distribution informs you whether your fund is distributed or not.


[[File:After-Before-Distribution statuses.png|300 px]]


'''Result:''' A pop-up window will confirm the transmission.
X - Not distributed


D - Distributed<br/>
DI – Distributed - Institutional


[[File:REPORT TRANSMISSION confirm.png | border]]
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.




'''Note:''' The file name is automatically generated and compliant to the supervisory authority's file naming convention.
'''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]]


SHOULD YOU ENCOUNTER PROBLEMS PLEASE CONSULT OUR WIKIPAGE [[Transmission Module#Solving the most common problems|SOLVING THE MOST COMMON PROBLEMS OF THE TRANSMISSION MODULE]] OR CONTACT OUR [[How to contact us|'''Client Support & Operations Desk''']].


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]]


== File transmission follow-up ==
== Error messages ==


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

Latest revision as of 11:55, 30 September 2024

Page's last update : 30 Nov 2024

FAQ

Your module is greyed out?

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

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

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

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

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

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

Please make sure filter status "closed" is selected

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

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

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

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

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

Please click on the "clock" symbol

How can I extract a registration matrix?

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

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

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

What does this button mean?

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


Description

Selecting a fund

2CorrectionAfter SelectFund.png

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

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

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

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

After DynamicFiltersISINName.png

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

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

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

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

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

Matrix

2After Matrix.png

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

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

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

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

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

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

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

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

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

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

After DetailHistory.png


AfterPoint7.png CANCEL, REMOVE STATUS and CHANGE STATUS buttons

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


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

After Remove status.png


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

ChangeStatusRX.jpg


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

After ManageCountry.png


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

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

Registration statuses

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

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

After-Befor-Registration statuses.png

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

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

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

X - Not registered

E - To be registered

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

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

N - Notified

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

R - Registered

RI - Registered - Institutional
RP - Registered - Private placement

XR - No more registered but with remaining investors

RX - No more registered


Important information:

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


Authorization table for Registration statuses

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

RegStat-AuthorizedChanges.png


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

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

Distribution statuses

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

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

After-Before-Distribution statuses.png

X - Not distributed

D - Distributed
DI – Distributed - Institutional

DX - No more distributed

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


Authorization table for Distribution statuses

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

DisStat-AuthorizedChanges.png


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

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

Consolidated view

After dashboard.png

Error messages

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

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