The Luxembourg financial information exchange portal

offer a new electronic solution for the registration and reporting procedures

to the local authorities

The participants

Numbering Agency

CCLux

CSSF

Bourse de Luxembourg

Central Admin.

Lawyers

Listing agents

Transfert agents

Filing entities Authorities

Principle

Filing entity CSSFFile

Approval of a new UCI

Prospectus draft 1

Prospectus draft 2

Final Prospectus

FileApproval of a new UCIProspectus

readingComments are sentUpdate of progress reportClose + publication of prospectus

Advantages

Coverage and adaptability

Security and confidentiality

Reactivity and transparency

e-file.lu supports all registration and regulatory reporting procedures of the funds industry.

e-file.lu will be the major channel to communicate with the Luxembourg financial authorities.

e-file.lu is an adjustable platform which can at any time accommodate new procedures.

Coverage and adaptability

Reactivity and transparencyA standard prospectus is communicated to the

authoritiesin a few seconds.

e-file.lu collects all data and provides a full history which ensures a traceability of all exchanged data.

a progress report enables to carry out a step-by-step follow-up of the procedure.

Reactivity and transparency (cont’d)An automatic alert is created for each event, thereby

ensuring high reactivity.

A multicriterion search, adjustable views and sorts provide direct and rapid access to searched information.

Safety and confidentiality

Confidentiality of communications is ensured by the encryption of all exchanged data.

The authentication of the entities which access e-file.lu is made by means of an electronic certificate.

Correct and proper transmission of data sent to e-file.lu is guaranteed by the Luxembourg Stock Exchange.

Functionalities - CSSFApproval of a new UCIChanges to an existing UCIChanges to a number of existing UCIsApproval of or changes to a management companyApproval of or changes to a number of management companiesDelivery of annual reportDelivery of annual report of a management companyDelivery of management lettersReporting under circular 02/77Comments on reportingGeneral requestsGeneral information

Functionalities – Luxembourg Stock Exchange

Prospectus approvalAdmission to tradingFinancial statements – Other documents

General monitoring… from the home page onwards

General monitoring… from the home page onwards by means of

the list of most recent alerts


the list of most recent alerts the list of new envelopes


the list of most recent alerts the list of new envelopes a link to the list of current

files


the list of most recent alerts the list of new envelopes a link to the list of current files a link to the list of non-

assigned procedures

the list of most recent alerts the list of new envelopes a link to the list of current files a link to the list of non-

assigned procedures a link to the multicriterion search page


Specific monitoring of a procedure… through a progress report

a step-by-step dashboard


a step-by-step dashboard alert received whenever an update is made by the Authority


a step-by-step dashboard alert received whenever an update is made by the Authority specific alert when the procedure is closed


Mail traceability … through the procedure sheet

Mail traceability … through the procedure sheet with

a view by received and sent envelopes

a view by received and sent envelopes a view by documents


view by received and sent envelopes view by documents sort by dates, sender, name or type of document


Multicriterion search… extended and combinable

search by codes


search by codes search by files


search by codes search by files search by procedures


search by codes search by files search by procedures search by dates


search by codes search by files search by procedures search by dates search by instruments


History… of files and procedures

All files and procedures are centrally stored and saved

Authority

Filing entity

FilesProceduresDocuments


All files and procedures are centrally stored and saved Lists of files and documents can be sorted by authority, date, name, manager etc…


All files and procedures are centrally stored and saved Lists of files and documents can be sorted by authority, date, name, manager etc… Direct access to each file and procedure through hyperlinks


Multi-user platform… users are identified by all and classified by roles

an administrator role for user and access management


an administrator role for user and access management a supervisor role with high-visibility file supervision


an administrator role for user and access management a supervisor role with high-visibility file supervision a manager role to manage the

procedures assigned to him


an administrator role for user and access management a supervisor role with high-

visibility file supervision a manager role to manage the procedures assigned to him The particulars of each system user are available to the user’s counterparts


Documents automatically published… on the portal www.finesti.com

Automatic publication after validation by the authority and close of the procedure


Automatic publication after validation by the authority and close of the procedure Publication depends on the launch date or the desired publication date


Automatic publication after validation by the authority and close of the procedure Publication depends on the launch date or the desired publication date Publication of prospectuses, semi-annual and annual reports


The Luxembourg financial information exchange portal

Documents

Transcript of The Luxembourg financial information exchange portal