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The Luxembourg financial information exchange portal

offer a new electronic solution for the registration and reporting procedures to the local authorities. The Luxembourg financial information exchange portal. Lawyers. Central Admin. Transfert agents. Listing agents. The participants. Filing entities. Authorities. CSSF. CCLux.

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The Luxembourg financial information exchange portal

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  1. offer a new electronic solution for the registration and reporting procedures to the local authorities

  2. The Luxembourg financial information exchange portal

  3. Lawyers Central Admin. Transfert agents Listing agents The participants Filing entities Authorities CSSF CCLux Bourse de Luxembourg Numbering Agency

  4. Prospectus draft 1 Prospectus draft 2 FinalProspectus Prospectus reading Comments are sent Update of progress report Principle File File Approval of a new UCI Approval of a new UCI Close + publication of prospectus

  5. Coverage and adaptability • Reactivity and transparency • Security and confidentiality Advantages

  6. Coverage and adaptability • e-file.lusupports all registration and regulatory reporting procedures of the funds industry. • e-file.luwill be the major channel to communicate with the Luxembourg financial authorities. • e-file.luis an adjustable platform which can at any time accommodate new procedures.

  7. Reactivity and transparency • A standard prospectus is communicated to the authoritiesin a few seconds. • e-file.lucollects 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.

  8. Reactivityandtransparency(cont’d) • An automatic alert is createdfor each event, thereby ensuring high reactivity. • A multicriterion search, adjustable views and sorts provide direct and rapid access to searched information.

  9. Safety and confidentiality • Confidentiality of communications is ensured by the encryption of all exchanged data. • The authentication of the entities which access e-file.luis made by means of an electronic certificate. • Correct and proper transmission of data sent to e-file.luis guaranteed by the Luxembourg Stock Exchange.

  10. Functionalities - CSSF • Approval of a new UCI • Changes to an existing UCI • Changes to a number of existing UCIs • Approval of or changes to a management company • Approval of or changes to a number of management companies • Delivery of annual report • Delivery of annual report of a management company • Delivery of management letters • Reporting under circular 02/77 • Comments on reporting • General requests • General information

  11. Functionalities – Luxembourg Stock Exchange • Prospectus approval • Admission to trading • Financial statements – Other documents

  12. General monitoring … from the home page onwards

  13. General monitoring … from the home page onwards by means of • the list of most recent alerts

  14. General monitoring … from the home page onwards by means of • the list of most recent alerts • the list of new envelopes

  15. 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

  16. 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 ofnon- assigned procedures

  17. 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 ofnon- assigned procedures • a link to the multicriterion search page

  18. Specific monitoring of a procedure … through a progress report

  19. Specific monitoring of a procedure … through a progress report • a step-by-step dashboard

  20. Specific monitoring of a procedure … through a progress report • a step-by-step dashboard • alert received whenever an update is made by the Authority

  21. Specific monitoring of a procedure … through a progress report • a step-by-step dashboard • alert received whenever an update is made by the Authority • specific alert when the procedure is closed

  22. Mail traceability … through the procedure sheet

  23. Mail traceability … through the procedure sheet with • a view by received and sent envelopes

  24. Mail traceability … through the procedure sheet with • a view by received and sent envelopes • a view by documents

  25. Mail traceability … through the procedure sheet with • view by received and sent envelopes • view by documents • sort by dates, sender, name or type of document

  26. Multicriterion search … extended and combinable

  27. Multicriterion search … extended and combinable • search by codes

  28. Multicriterion search … extended and combinable • search by codes • search by files

  29. Multicriterion search … extended and combinable • search by codes • search by files • search by procedures

  30. Multicriterion search … extended and combinable • search by codes • search by files • search by procedures • search by dates

  31. Multicriterion search … extended and combinable • search by codes • search by files • search by procedures • search by dates • search by instruments

  32. History … of files and procedures

  33. Filing entity Authority Files Procedures Documents History … of files and procedures • All files and procedures are centrally stored and saved

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

  35. History … of files and procedures • 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

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

  37. Multi-user platform … users are identified by all and classified by roles • an administrator role for user and access management

  38. Multi-user platform … users are identified by all and classified by roles • an administrator role for user and access management • a supervisor role with high-visibility file supervision

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

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

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

  42. Documents automatically published … on the portal www.finesti.com • Automatic publication after validation by the authority and close of the procedure

  43. Documents automatically published … on the portal www.finesti.com • Automatic publication after validation by the authority and close of the procedure • Publication depends on the launch date or the desired publication date

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

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