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| <small>''Page's last update : {{REVISIONDAY2}} {{CURRENTMONTHABBREV}} {{REVISIONYEAR}}''</small>
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| __TOC__
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| = FAQ =
| | <imagemap> |
| | | File:FAQ home.png|500px|border|alt=clickable image : form description| titre |
| <span class="mw-customtoggle-q0" style="font-weight:bold;line-height:2.5;">Your module is greyed out?</span>
| | circle 250 150 50 [[#here| user button ]] |
| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q0">
| | desc none |
| ::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 Doc OPC et FIS (circ. CSSF) and Doc OPC non luxembourgeois groups.
| | </imagemap> |
| ::[[File:CrossBorder GreyedOut.png|alt=UCITS Cross-Border Notifications is greyed out.|To have access : '''''DOC OPC et FIS''''' group ]]
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| </div>
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| <span class="mw-customtoggle-q1" style="font-weight:bold;line-height:2.5;">When will the 'Host authority compliance' confirmation appear for my registration in the UCITS Cross-border notifications module?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q1">
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| ::The 'Host authority compliance' confirmation will appear either when the Host Authority has provided feedback on the registration or automatically after 10 business days (which ever is sooner).
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| </div>
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| <span class="mw-customtoggle-q2" style="font-weight:bold;line-height:2.5;">Why has my registration request in the UCITS Cross-border notifications module been rejected?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q2">
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| ::The reason for a registration request being rejected can be identified by using the 'Download Associated Feedback' button next to the rejected notification. This will generate a pdf with the details of the rejection.
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| </div>
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| <span class="mw-customtoggle-q3" style="font-weight:bold;line-height:2.5;"> The ISIN for a shareclass in my 'Notification Process' module is missing. What do I do?</br>
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| -or- Why is their no ISIN details in the 'Marketing of Shares' section in the notification process?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q3">
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| ::The problem is either:
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| 1. The shareclass does not exist in our database yet- please provide us with the share class details via your usual data ingestion method or complete and submit our FDF to provide these details.
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| 2. The shareclass is not mapped to the correct CSSF code. Please check the share class details included in your static data detail the CSSF code.
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| </div>
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| <span class="mw-customtoggle-q4" style="font-weight:bold;line-height:2.5;"> How can I add a new country to the table in the 'Marketing of Shares' secession?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q4">
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| ::To add or remove countries from the 'Marketing of Shares' table, click on the 'Manage Country' button available on the top of the page. This will allow you to select the countries you want to appear in the table and those you wish to hide.
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| </div>
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| <span class="mw-customtoggle-q5" style="font-weight:bold;line-height:2.5;">What countries can I see on the marketing of shares section?</br>
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| -or- Why are not all registerd shareclasses visible in the marketing of shares section?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q5">
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| ::The marketing of shares section only shows those registered shareclasses, that have had their passporting done through the efile UCITs crossborder notification. The complete registration matrix is visible in the efile registration and distribution matrix.
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| </div>
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| <span class="mw-customtoggle-q6" style="font-weight:bold;line-height:2.5;">Why is the ISIN code wrong or missing in the marketing of shares section?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q6">
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| ::The static data in the notification tool is sourced from the CSSF database. Only ISIN codes are sourced from the FSQ database. Static data changes have to be requested the CSSF.
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| </div>
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| <span class="mw-customtoggle-q7" style="font-weight:bold;line-height:2.5;">Why is the shareclass/subfund/fund name different to the one provided to FSQ (in the FDF static data information)?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q7">
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| ::The static data in the notification tool is sourced from the CSSF database. Only ISIN codes are sourced from the FSQ database. Pleae provide the correct ISIN to CSSF code mapping in the FDF file.
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| </div>
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| <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>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q8">
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| ::Yes, please click on the consolidated view tab in the registration and distribution matrix module
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| </div>
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| <span class="mw-customtoggle-q9" style="font-weight:bold;line-height:2.5;">What does this button mean?</span>
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| <div class="mw-collapsible mw-collapsed" id="mw-customcollapsible-q9">
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| ::This button allows to select all statuses at fund or umbrella level
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| </div>
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| <div style="text-align: center; width:100%;border-style: double none none none;"> </div>
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| =Description=
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| ==Selecting a fund ==
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| [[File:2CorrectionAfter SelectFund.png|1000 px]]
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| [[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).
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| [[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]].
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| [[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.
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| Select the '''ISIN''' and /or '''Fund name''' filter that will then be added to the '''DYNAMIC FILTERS''' taskbar (highlighted in yellow), see figure below.
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| [[File:After DynamicFiltersISINName.png|500 px]]
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| 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).
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| [[File:AfterPoint4.png|30 px]] Press the SEARCH button [[File:After SearchButton.png|20 px]] to initiate the search process.
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| [[File:AfterPoint5.png|30 px]] Press the '''RESET''' button [[File:AfterSDMResetButton.png|20 px]] to clear all filters and start a new search.
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| [[File:AfterPoint6.png|30 px]] Press the Expand '''DATA FILTER'''S icon to hide/display the '''DATA FILTERS''' taskbar.
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| [[File:AfterPoint7.png|30 px]] Move your mouse pointer over the fund area and click to open the '''Matrix''' screen.
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| == Matrix == | |
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| [[File:2After Matrix.png|1200 px]]
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| [[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). | |
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| [[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.
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| [[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:
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| '''Matrix type''' - '''Distribution matrix status''' - '''Registration matrix status''' – '''Country''' – '''ISIN''' - '''Share class name''' - '''Sub fund name''' - '''Effective date''' – '''Error'''
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| 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.
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| [[File:AfterPoint4.png|30 px]] Press the '''SEARCH''' button to initiate the search process once you have entered your filter options.
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| [[File:AfterPoint5.png|30 px]] Press the '''RESET''' button to clear all filters and start a new search.
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| [[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]].
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| 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.
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| 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.
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| [[File:After DetailHistory.png|border|500 px]]
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| [[File:AfterPoint7.png|30 px]] '''CANCEL''', '''REMOVE STATUS''' and '''CHANGE STATUS''' buttons
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| <u> '''CANCEL''' </u> : to cancel your previous selection press the '''CANCEL''' button.
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| <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.
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| [[File:After Remove status.png|300 px]]
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| <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.
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| [[File:ChangeStatusRX.jpg|500 px]]
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| [[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.
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| [[File:After ManageCountry.png|border|500 px]]
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| [[File:After-point9.png|30 px]] Open Full screen mode. Filter taskbars will be hidden.
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| [[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.
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| == Registration statuses ==
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| Please be informed that no changes have been made to the registration statuses rules.
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| The Registration status informs you whether your fund is registered with the European authorities or not.
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| [[File:After-Befor-Registration statuses.png|border|600 px]]
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| [[File:Blue-RegStatus.png|25 px]] Status manually set through the '''Registration and distribution matrix module'''
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| [[File:Orange-RegStatus.png|25 px]] Status set through the '''Notification module''' (automatically) or manually (cannot be deleted if set through the Notification module)
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| [[File:Yellow-RegStatus.png|25 px]] Status automatically set through the '''Notification module''' (cannot be deleted through the Registration and distribtuion matrix module)
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| X - Not registered
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| E - To be registered
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| A - Registration in progress (selection of an instrument at step 2 of the '''Notification''')
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| : AT - Registration in progress - Transmitted to the authority
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| : AR - Registration in progress - Rejected by the authority
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| N - Notified
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| : NT - Notified - Transmitted to the HOST authority
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| : NR - Notified - Rejected by the HOST authority
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| : NA - Notified - Accepted by the HOST authority
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| R - Registered
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| : RI - Registered - Institutional
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| : RP - Registered - Private placement
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| XR - No more registered but with remaining investors
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| RX - No more registered
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| <u>Important information</u>:
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| When a Luxembourg fund is notified through the e-file notification module, the matrix is automatically updated.
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| '''Authorization table for Registration statuses'''
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| <u>Example</u>:: It is not allowed to replace a current status R by a status A.
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| [[File:RegStat-AuthorizedChanges.png|350 px]]
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| Some controls have been added to assist you in maintaining consistency between the registration and distribution.
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| * To insert a DI, you must have a RI (except for Switzerland).
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| * To insert a D, you must have a R.
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| * To insert a XR, you must have a DX.
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| == Distribution statuses ==
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| Please be informed that no changes have been made to the registration statuses rules.
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| The Distribution informs you whether your fund is distributed or not.
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| [[File:After-Before-Distribution statuses.png|300 px]]
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| X - Not distributed
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| D - Distributed<br/>
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| DI – Distributed - Institutional
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| DX - No more distributed<br/>
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| <br/>
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| <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.
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| '''Authorization table for Distribution statuses'''
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| <u>Example</u>:: It is not allowed to replace a current status D by a status X.
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| [[File:DisStat-AuthorizedChanges.png|350 px]]
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| Some controls have been added to assist you in maintaining consistency between the registration and distribution.
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| * To insert a DI, you must have a RI (except for Switzerland).
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| * To insert a D, you must have a R.
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| * To insert a XR, you must have a DX.
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| == Consolidated view ==
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| [[File:After dashboard.png|border|1400 px]]
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| == Error messages ==
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| 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>
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| [[File:After-Status blocked Error message.png|border|400 px]]
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