Introduction

The Registration and Distribution Matrix module allows e-file users to manage the registration and distribution status of their funds in order to activate and run transmissions of documents to European authorities such as marketing of shares/units of an EU UCITS, cf. Directive 2009/65/EC.

The status can be updated manually by the user or automatically through a Notification submission using Fundsquare’s UCITS cross-border notifications module.

Test / Production environment

Production environment : https://www.e-file.lu/e-file/

Homologation environment (Test) : https://homologation.e-file.lu/e-file/

E-file login

Enter your e-file login credentials (user name and password) and click the ACCESS button

IMPORTANT: If you do not have an e-file user account, you must contact your e-file administrator of your company who manages user accounts and access rights.

For more detailed information please click here => e-file Administration

Launchpad

Module icons are ordered by categories (Administration, Funds data, Settings etc.)

Selecting a fund

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

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 , select Closed and press the Search button .

You can narrow your search criteria by using ISIN and Fund name filters. Click inside the toolbar (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.

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).

Press the SEARCH button to initiate the search process.

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

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

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

Matrix

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

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 , select Closed and press the Search button.

Various filters are available to narrow further your search criteria. Click inside the toolbar (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 highlighted in yellow.

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

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

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

To select all share classes of a fund, click the box at fund level. To select all share classes of a sub-fund, click the box 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 . The HISTORY drawer opens on the right side of the screen,see figure below.

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.

CHANGE REGISTRATION STATUS : If you want to add /change a registration status press the CHANGE STATUS button. A drawer opens on the right side of the screen. In our case, the registration status has to be changed from R to RX.

Click on the new RX status. The old R status becomes grey and the new status RX becomes green, see figure below. Finally, press the CHANGE STATUS button.

CHANGE DISTRIBUTION STATUS : If you want to add /change a distribution status press the CHANGE STATUS button. A drawer opens on the right side of the screen. In our case, the distribution status has to be changed from D to DX.

Click on the DX status. The old D status becomes grey and the new status DX becomes green, see figure below. Finally, press the CHANGE STATUS button.

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.

Open Full screen mode. Filter taskbars will be hidden.

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.

Status manually set through the Registration and distribution matrix module

Status set through the Notification module (automatically) or manually (cannot be deleted if set through the Notification module)

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

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.

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.

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.

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.

Registration and distribution matrix

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