E-file – Disclosure management to investors

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Introduction

The “Disclosure management to investors” module is a new application available to you through e-File, which will eventually replace the existing “Dissemination set up” module that you are already familiar with.

This short guide aims at presenting you with the basic functions of the module -even though, as you will soon realize, it is designed with simplicity and intuitiveness in mind.

We hope you enjoy the new application as much as we do. For any feedback or inquiries, please do not hesitate to contact us at:

• dissemination@fundsquare.net
• funddatasupport@fundsquare.net

Accessing the module module

Log in to e-File: https://www.e-file.lu/e-file/

Once connected, scroll down to the “Settings” section and select “Disclosure management to Investors”:

Presentation of the interface

Dissemination Contracts level (Actor main view) – Overview

Once connected to the module:

a) Provided that your account is linked to several Actors, you will be prompted to select one through the dropdown list at the top left (highlighted) part of the screen, as shown below:

Once you select the appropriate actor, the dissemination contracts linked to the corresponding Actor will appear:

b) If your account is linked only to one Actor, the application will immediately start loading the data relevant to your portfolio. Please wait until the loading symbol is no longer visible:

Once the data is loaded, you will be presented with your (actor level) account overview. All dissemination contracts associated with it should appear:

In either case, the associated contracts are visible on the left side of the screen:

The overview also includes some basic information (Type of data, ID, Status, etc.):

In order to see the dissemination lists that are linked to a contract, click the corresponding “+” button:

You can also expand all contracts to view all the associated dissemination lists:

Note how the field “ID” now refers to both contracts and lists:

You can sort the displayed contracts by:

• name of Contract-Subscription
• ID (based on contract ID)
• Recipient list
• Recipient list ID
• Last dissemination date

Simply hover over the corresponding field (it will highlighted in blue) and click repeatedly for increasing/decreasing/initial order according to your liking:

By clicking on the button, you can open a panel with indications/hints on the data shown:

The indications “DISSEMINATION CONTRACTS” and “SUBSCRIPTION MATRIX” at the top right corner state whether you are currently at actor level (“DISSEMINATION CONTRACTS”) or at contract level (“SUBSCRIPTION MATRIX”). Once on contract level, you can go back to the actor level by clicking on “DISSEMINATION CONTRACTS”:

Dissemination Contracts level (Actor main view) - Filters

In order to filter the data displayed, you can click on the button. This will allow you to select several filters:

You can then:

• apply the filters by clicking (alternatively pressing enter after input)
• reset them by clicking

Dissemination Contracts level (Actor main view) – Actions

In order to show the list of actions applicable to a contract, click the action button on the right. The following buttons will appear, which correspond to:

• “Export reports” - This allows you to download report files for the contract (more details below)
• “Open dissemination matrix” - This allows you to see all the dissemination lists that are linked to the contract in detail

If you have expanded a contract and the dissemination lists are now visible, click the action button of a list. The following buttons will appear, which correspond to:

• “Export reports” - This allows you to extract the reports available for the dissemination list
• “Set status as active”/ “Set status to temporary suspension” - This activates/deactivates the list
• “Open matrix for this subscription” - This opens the subscription matrix (more details below)
• “Consult subscription details” - This shows various information related to the dissemination list

Dissemination Contracts level (Actor main view) – Contract reports

Under your (actor level) account overview, you can extract reports on a contract level. Simply click the action button and then the button. A panel will appear showing you the reports that are available, depending on the data type of the contract:

• Documentary data :

 o Export (extracts the subscription matrix)
 o Audit (tracks the instruments disseminated)
 o Country-Language Matrix (shows the countries and languages that are associated with the dissemination)

• Dynamic Data :

 o Export (extracts the subscription matrix)

• Standard Static Data :

 o Export (extracts the subscription matrix)
 o Dissemination Audit (tracks the instruments disseminated)
 o Scope evolution report (tracks the scope updates)

• MIFID Data :

 o Data recipient report (tracks the recipient updates on the dissemination lists)
 o Dissemination Audit (tracks the instruments disseminated)
 o Scope evolution report (tracks the scope updates)

• PRIIPS Data :

 o Data recipient report (tracks the recipient updates on the dissemination lists)
 o Dissemination Audit (tracks the instruments disseminated)
 o Scope evolution report (tracks the scope updates)

Subscription matrix level (Dissemination lists per contract) - Overview

As mentioned above, once you click on the “Open subscription matrix” button of a contract, all dissemination lists linked to the contract will appear. The list of instruments in your dissemination universe will also show:

The main information of the contract appears on top:

The dissemination universe is the range (i.e. scope) of instruments that can be included in your dissemination lists. This will eventually have an impact on the amount of instruments included in the dissemination files:

Each dissemination list has its main information displayed as a header:

Analyzing the header:

• : Shows the name of the dissemination list
• :Shows the current status of the dissemination list (whether it is active or suspended)
• : Shows the number of included instruments in a dissemination list before and after a change (NB: if both numbers are the same then it means no change has been done)
• :Pressing the action button will cause the following buttons to appear, allowing you to proceed with the actions below:

  o “Export reports”, to extract reports related to a dissemination list
  o “Set status as active”/ “Set status to temporary suspension”, to activate/deactivate the dissemination list
  o “Consult subscription details”, to show various details related to the dissemination list

Subscription matrix level (Dissemination lists per contract) – Buttons

Under the Subscription matrix view, certain buttons appear on the right part of the screen. Example:

You can:

• (Available only for Documentary data) Create a new dissemination list by selecting the button and following the subsequent steps (for more details please refer to “2.3 Subscription matrix level (Dissemination lists per contract) Creating a new Doc list list” below)
• Show the legend relevant to the view by clicking the button

• Show more of the dissemination universe by clicking the button (Enter/Exit full screen mode)
• Navigate through the dissemination lists using the button

In order to show all the instruments of your universe (portfolio), click the button .

The button changes the view of the instruments between ISINs and internal Fundsquare IDs (for easier reference):

Finally, the “SUBSCRIPTIONS” button will bring out a dropdown menu with numerous options to change the way the dissemination lists of the contract are displayed:

In order to change the view settings, click accordingly to pick your selections and finally click “APPLY” so that your changes are saved. Feel free to experiment with the options available and find out what facilitates your workflow in the best possible way.

Subscription matrix level (Dissemination lists per contract) – Creating a new Doc list

Provided that you are on a Documentary data contract, you can create a new subscription list for Documentary data dissemination. To create a new Document (Doc) list, go to the subscription matrix of the contract you want the addition to take place and select:

In the platform examples list that appears*, select the one you wish to create a dissemination list for:

Then choose a name for the dissemination list:

• If your platform of input does not appear as an option, select the standard client list and proceed with choosing a name.

To complete the creation, click:

You can then add the scope and the recipients to the new list prior to activating it. For any Country Language Matrix (CLM) requirements (i.e. dissemination to specific countries, etc.), please contact us at funddatasupport@fundsquare.net and/or dissemination@fundsquare.net prior to list activation.

Subscription matrix level (Dissemination lists per contract) - Filters

Similar to the “Dissemination Contracts level (Actor main view)”, a set of filters is available by clicking the button:

The filters are categorized under 3 groups. Multiple filters (from different groups) can be used simultaneously:

You can apply a filter by clicking (or pressing enter while in input) and reset them by clicking

Subscription matrix level (Dissemination lists per contract) – Access/edit the scope of a list

You can access and update the scope of a dissemination list. Click on the “Open subscription matrix” button of a contract. The dissemination scope is the amount of instruments selected in the dissemination universe. In the example below, there are 0 instruments in the scope of the list (no share classes are selected):

You can add all the instruments linked to a fund/sub-fund by clicking the top icon (parent level selection) or individual share classes by clicking on their corresponding boxes. The number of instruments to be added is shown in orange (right indicator). Here, we selected 2 funds (on parent level) having 9 ISINs: