Difference between revisions of "Onboarding"

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<small>''Page's last update : 12 January 2024''</small>
=Introduction=
=Introduction=



Latest revision as of 14:18, 29 August 2024

Page's last update : 12 January 2024

Introduction

The aim of this page is to described the different onboarding and when should it be used

You can also retrieve some guidance from our dedicated Webinar hosted on 5th December 2023 and the related presentation


Note: The onboarding is only required for new declarant/funds (i.e. recently created in the CSSF database).
In case of a transfer (from a former reporter/declarer) we only need :

  • The Transfer date
  • The name of the former sender

Onboarding listing

Please find below the description of the reporting type related onboarding

Type of Entity and Reports Onboarding required Onboarding type
Regulated UCIs and SICARs
Reports required are TPTOBS (monthly), S 2.13 balance sheet quarterly and S 1.6 (monthly if applicable), as per Circular BCL 2014/237 and CSSF 14/588 and U1.1 as per CSSF 15/627.

Note: In case of a transfer please provide us only with the CSSF code of the fund, the transfer date and the name of the former sender

YES FDF form via Static Data Management
Non-regulated AIFs (NAFs) Reports required to be filed with BCL but not with CSSF
BCL Reports for NAFs: TPTOBS (monthly), S 1.6 if applicable, S 2.13 balance sheet quarterly. These are required as per Circular BCL 2018/241.

Note: In case of a transfer please provide us only with the NAF code of the fund, the transfer date and the name of the former sender

YES FDF form via Static Data Management
Securitisation Vehicles (reports required to be filed with BCL but not with CSSF)
BCL Reports for securitisation vehicles: TPTTBS (monthly), S 2.14 balance sheet quarterly and S 2.15 quarterly on transactions and write-offs/write-downs on securitised loans. These are required as per Circular BCL 2014/236.
NO N/A
Financial Companies (reports required to be filed with BCL but not with CSSF)
BCL Reports for financial companies: TPTIBS (monthly), S 2.16 balance sheet quarterly and S 2.17 quarterly information on transactions of financial companies. These are required as per BCL 2014/No 17 and BCL 2011/No8.
NO N/A
Financial Institutions - Foreign Account Tax Compliance Act (FATCA)
Foreign Account Tax Compliance Act Reporting to be filed with ACD - ECHA 3 ciruclar
YES Fatca-CRS onboarding form
Financial Institutions - Common Reporting Standard (CRS)
Automatic exchange of financial account information on a global level to be filed with ACD - ECHA 4 circular
YES Fatca-CRS onboarding form
Regulated AIFs (AIFMD - Annex IV) Reports required to be filed with with CSSF
These are required as per CSSF Circular 14/581.
YES FDF form via Static Data Management
Management company
Quaterly G2.1 Excel report as per CSSF 15/633.
YES Contact form for each declarant code
Management company
Non-structured electronic documents DOCREP as per CSSF 19/708.
YES Contact form to get the code of the technical sender
Sicar
Half-yearly K3.1 Excel report as per CSSF 08/376.
YES Contact form for each declarant code
Sicar
Non-structured electronic documents DOCREP as per CSSF 19/708.
YES Contact form to get the code of the technical sender