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Page 1: offer a new electronic solution for the registration and reporting procedures to the local authorities
Page 2: offer a new electronic solution for the registration and reporting procedures to the local authorities
Page 3: offer a new electronic solution for the registration and reporting procedures to the local authorities

offer a new electronic solution for the registration and reporting procedures

to the local authorities

Page 4: offer a new electronic solution for the registration and reporting procedures to the local authorities

The Luxembourg financial information exchange portal

Page 5: 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

Page 6: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 7: offer a new electronic solution for the registration and reporting procedures to the local authorities

Advantages

Coverage and adaptability

Security and confidentiality

Reactivity and transparency

Page 8: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 9: offer a new electronic solution for the registration and reporting procedures to the local authorities

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.

Page 10: offer a new electronic solution for the registration and reporting procedures to the local authorities

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.

Page 11: offer a new electronic solution for the registration and reporting procedures to the local authorities

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.

Page 12: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 13: offer a new electronic solution for the registration and reporting procedures to the local authorities

Functionalities – Luxembourg Stock Exchange

Prospectus approvalAdmission to tradingFinancial statements – Other documents

Page 14: offer a new electronic solution for the registration and reporting procedures to the local authorities

General monitoring… from the home page onwards

Page 15: offer a new electronic solution for the registration and reporting procedures to the local authorities

General monitoring… from the home page onwards by means of

the list of most recent alerts

Page 16: offer a new electronic solution for the registration and reporting procedures to the local authorities

General monitoring… from the home page onwards by means of

the list of most recent alerts

the list of new envelopes

Page 17: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 18: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 19: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 20: offer a new electronic solution for the registration and reporting procedures to the local authorities

Specific monitoring of a procedure… through a progress report

Page 21: offer a new electronic solution for the registration and reporting procedures to the local authorities

a step-by-step dashboard

Specific monitoring of a procedure… through a progress report

Page 22: offer a new electronic solution for the registration and reporting procedures to the local authorities

a step-by-step dashboard

alert received whenever an update is made by the Authority

Specific monitoring of a procedure… through a progress report

Page 23: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 24: offer a new electronic solution for the registration and reporting procedures to the local authorities

Mail traceability … through the procedure sheet

Page 25: offer a new electronic solution for the registration and reporting procedures to the local authorities

Mail traceability … through the procedure sheet with

a view by received and sent envelopes

Page 26: offer a new electronic solution for the registration and reporting procedures to the local authorities

a view by received and sent envelopes

a view by documents

Mail traceability … through the procedure sheet with

Page 27: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 28: offer a new electronic solution for the registration and reporting procedures to the local authorities

Multicriterion search… extended and combinable

Page 29: offer a new electronic solution for the registration and reporting procedures to the local authorities

search by codes

Multicriterion search… extended and combinable

Page 30: offer a new electronic solution for the registration and reporting procedures to the local authorities

search by codes

search by files

Multicriterion search… extended and combinable

Page 31: offer a new electronic solution for the registration and reporting procedures to the local authorities

search by codes

search by files

search by procedures

Multicriterion search… extended and combinable

Page 32: offer a new electronic solution for the registration and reporting procedures to the local authorities

search by codes

search by files

search by procedures

search by dates

Multicriterion search… extended and combinable

Page 33: offer a new electronic solution for the registration and reporting procedures to the local authorities

search by codes

search by files

search by procedures

search by dates

search by instruments

Multicriterion search… extended and combinable

Page 34: offer a new electronic solution for the registration and reporting procedures to the local authorities

History… of files and procedures

Page 35: offer a new electronic solution for the registration and reporting procedures to the local authorities

All files and procedures are centrally stored and saved

Authority

Filing entity

FilesProceduresDocuments

History… of files and procedures

Page 36: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 37: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 38: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 39: offer a new electronic solution for the registration and reporting procedures to the local authorities

an administrator role for user and access management

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

Page 40: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 41: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 42: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 43: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 44: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

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

Page 45: offer a new electronic solution for the registration and reporting procedures to the local authorities

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

Page 46: offer a new electronic solution for the registration and reporting procedures to the local authorities

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