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offer a new electronic solution for the registration and reporting procedures
to the local authorities
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The Luxembourg financial information exchange portal
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The participants
Numbering Agency
CCLux
CSSF
Bourse de Luxembourg
Central Admin.
Lawyers
Listing agents
Transfert agents
Filing entities Authorities
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Principle
Filing entity CSSF
File
Approval of a new UCI
Prospectus draft 1
Prospectus draft 2
Final Prospectus
File
Approval of a new UCI
Prospectus readingComments are sentUpdate of progress report
Close + publication of prospectus
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Advantages
Coverage and adaptability
Security and confidentiality
Reactivity and transparency
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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
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Reactivity and transparencyA standard prospectus is communicated to the
authorities
in 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.
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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.
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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.
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Functionalities - CSSF
Approval 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
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Functionalities – Luxembourg Stock Exchange
Prospectus approvalAdmission to tradingFinancial statements – Other documents
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General monitoring… from the home page onwards
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General monitoring… from the home page onwards by means of
the list of most recent alerts
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General monitoring… from the home page onwards by means of
the list of most recent alerts
the list of new envelopes
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General monitoring… from the home page onwards by means of
the list of most recent alerts
the list of new envelopes
a link to the list of currentfiles
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General monitoring… from the home page onwards by means of
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
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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
General monitoring… from the home page onwards by means of
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Specific monitoring of a procedure… through a progress report
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a step-by-step dashboard
Specific monitoring of a procedure… through a progress report
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a step-by-step dashboard
alert received whenever an update is made by the Authority
Specific monitoring of a procedure… through a progress report
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a step-by-step dashboard
alert received whenever an update is made by the Authority
specific alert when the procedure is closed
Specific monitoring of a procedure… through a progress report
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Mail traceability … through the procedure sheet
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Mail traceability … through the procedure sheet with
a view by received and sent envelopes
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a view by received and sent envelopes
a view by documents
Mail traceability … through the procedure sheet with
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view by received and sent envelopes
view by documents
sort by dates, sender, name or type of document
Mail traceability … through the procedure sheet with
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Multicriterion search… extended and combinable
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search by codes
Multicriterion search… extended and combinable
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search by codes
search by files
Multicriterion search… extended and combinable
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search by codes
search by files
search by procedures
Multicriterion search… extended and combinable
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search by codes
search by files
search by procedures
search by dates
Multicriterion search… extended and combinable
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search by codes
search by files
search by procedures
search by dates
search by instruments
Multicriterion search… extended and combinable
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History… of files and procedures
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All files and procedures are centrally stored and saved
Authority
Filing entity
FilesProceduresDocuments
History… of files and procedures
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All files and procedures are centrally stored and saved
Lists of files and documents can be sorted by authority, date, name, manager etc…
History… of files and procedures
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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
History… of files and procedures
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Multi-user platform… users are identified by all and classified by roles
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an administrator role for user and access management
Multi-user platform… users are identified by all and classified by roles
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an administrator role for user and access management
a supervisor role with high-visibility file supervision
Multi-user platform… users are identified by all and classified by roles
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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
Multi-user platform… users are identified by all and classified by roles
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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
Multi-user platform… users are identified by all and classified by roles
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Documents automatically published… on the portal www.finesti.com
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Automatic publication after validation by the authority and close of the procedure
Documents automatically published… on the portal www.finesti.com
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Automatic publication after validation by the authority and close of the procedure
Publication depends on the launch date or the desired publication date
Documents automatically published… on the portal www.finesti.com
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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
Documents automatically published… on the portal www.finesti.com