E-file Static Data Management

Introduction

Please be informed that we are working on a new e-file version of the Static Data Management (SDM) application that will be delivered in the first quarter of 2020.

This modernized e-file version will introduce a new design and improve ergonomics for a better user experience.

Please find below our Before - After User Guide where all changes will be explained.

Select Test or 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 might contact the e-file administrator of your company.

=>for more detailed information please click the link e-file Administration

Launchpad

Once logged in, the e-file launchpad opens.

Click on the Static Data Management icon to access the module.

Select template - Before

The Export screen opens.

Open the drop-down list to select the SERVICE

Select template - After

Click on the arrow highlighted in yellow in the top left hand corner of the page to open the drop-down list to select the TEMPLATE

Filter functions - Before

Click on the FILTER button on the left side of the screen. A window opens where you can specify your search criteria.

Narrow your search criteria by selecting the PROMOTER/LIBRARY OWNER, FUNDS, SUB-FUND, SHARE CLASS.

Narrow your search criteria by selecting the STATUS of your instrument (e.g. active and public).

RESET button to clear all fields and start a new search.

SEARCH button to start the search.

EXPAND/COLLAPSE button to display the whole fund tree (fund, sub-funds and share classes) (EXPAND) or to display only the fund level (COLLAPSE).

Narrow your search criteria by entering the ISIN, CSSF CODE or INTERNAL CODE in the appropriate search field.

REFRESH button to make available the most updated version of the page you are viewing.

Specify your display options: SHOW SELECTED instruments, SELECT ALL instruments, UNCHECK ALL boxes.

Specify your SELECTION option. STANDARD: each box of the fund tree has to be selected either manually or through the SELECT ALL button. SPREAD: the checked box of the fund will be automatically spread to the whole fund tree.

EXPORT button: all selected instruments (with checked boxes) will be exported in the file.

Filter functions - After

Click on the FILTER button on the right side of the screen. A toolbar (highlighted in yellow) opens where you can narrow your search options by specifying the STATUS of the instrument (e.g. active and public).

Click inside the toolbar highlighted in yellow. A drop-down list DATA FILTERS pops up where you can narrow your search criteria by selecting e.g. ISIN, CSSF CODE. Enter your ISIN, CSSF CODE in the dedicated search field (3a, 3b) and

Press the SEARCH button or press ENTER.

Press the RESET button to clear all fields and reset filters.

If the SELECT ALL box is checked, all instruments of all management companies that are linked in our database to the ACTOR are selected.

Display options

If the SHOW ONLY SELECTED button is green, only the selected instruments are displayed on the screen.

If the EXPAND ALL button is green, the whole tree structure (fund, sub-fund, share class) of the instrument is displayed.

If the SPREAD SELECTION TO RELATED INSTRUMENTS button is green and you select an instrument at fund level, the whole tree structure of the fund will be automatically selected.

If you press the EXPORT button, all selected instruments with checked boxes will be exported in the file.

Export a file - Before

Press the EXPORT button.

A message on the top of the screen informs you that Currently 1 report(s) is generated.

Once the file is generated, a window pops up indicating The following report was generated. Press the OK button to open the file.

Export a file - After

Press the EXPORT button

The red notification indicates that one file is being generated or has been generated.

Once that file is generated, a window pops up indicating The following report has been generated.

Open the file that is available at the bottom of the page.

Import a file - Before

Open the IMPORT tab on the top of the screen.

Select the SERVICE.

Press the button ADD a FILE and select the file you want to import.

Press the IMPORT button.

A window REQUEST FOR UPDATE WITHIN THE FUNDSQUARE STATIC DATA REFERENTIAL pops up. Complete the fields and press the VALIDATE button.

A window opens indicating that Your document has been successfully uploaded. Within 72 hours you will receive a confirmation on its processing.

Import a file - After

Press the FLOW-CHART button . A small window pops up with two options: EXPORT and IMPORT. Select IMPORT.

You have two options to upload your file:

- either you BROWSE your file system and select the file you want to upload

- or you DRAG & DROP your file directly onto the appropriate area

NEW: Please be informed that new features have been added to the new e-file version of the Static Data Management application. You have now the possibility to upload several files at the same time.

In our example we uploaded two files:

ABC_2019_12_17_FDF.xlsx (cf. 2b)

XYZ_2019_12_17_FDF.xlsx (cf. 2a)

You have two options to add the mandatory parameters TEMPLATE, ACTION, COMMENT

- either you select each parameter for each single file

- or you set all parameters via the SET BULK PARAMETERS funcionality cf. screen below

VERY IMPORTANT INFORMATION

Please ensure that you always follow the Fundsquare naming convention of the templates. The respective acronyms at the end of the file name are mandatory and they have to be preceded by an underscore. Please note that only .xlsx files are allowed to be imported.

FDF template: nnnnnnn_FDF.xlsx

MIFID template: nnnnnnn_MIFID.xlsx

PRIIPS template: nnnnnnn_PRIIPS.xlsx

Set bulk parameters

If you check the SELECT ALL box and complete all mandatory fields in this sections, all mandatory fields of the two files we imported, will be populated automatically with the same parameters.

Press the VALIDATE IMPORT PARAMETERS button.

Import confirmation

Press the IMPORT DATA button.

A window pops up indicating Your documents were received

At the top of the screen a toast notification shows up confirming that the import was successful.

The red notification with number 2 inside, shows you that 2 files have been imported.

If you click on the exclamation mark, a drop down list with all imported files opens.

Furthermore, please be informed, that you will receive a notification by email with detailed information on your files you imported.

How to use FSQ IDs in the Fundamental Data Form (FDF)

In the following, we would like to explain you, how to use Fundsquare's internal identification numbers of instruments which are available in column 45, 46, 47 of the Fundamental Data Form (Id Fund, Id Sub-Fund, Id Share-Class).

(1) Modification of an instrument

If you modify an instrument the three FSQ Id must not be changed under no circomstances.

For example, if you want to change a sub-fund name, the new name must be reported in the appropriate cell. DO NOT CHANGE the FSQ IDs.

(2) Closure of an instrument

If you want to close an instrument, the appropriate cells in column 13, 24, 34 have to be completed with the closure date. DO NOT CHANGE the FSQ IDs.

Please note, that if you close a fund, the whole fund tree structure will be closed in our database.

If you close a single sub-fund, all share classes belonging to this sub-fund will be closed in our database.

(3) Creation of a new fund

To create a new fund, select a standard FDF extraction with the same fund structure (SICAV i.e..) and the same Law directive (P110 i.e..) as the new one you will have to create.

IMPORTANT: you must REMOVE all ID instruments from the cells in columns 45, 46 and 47 as they refer to a already existing instrument', and the risk is you replace the existing instrument.

(4) Creation of a new sub-fund

For example, if you want to add 3 sub-funds to an existing fund, you have to add 3 lines below the fund in the extraction template and complete the appropriate cells.

REMOVE Id Sub-Fund and Id Share-Class, but DO NOT CHANGE the Id Fund.

(5) Creation of a new share-classes

For example, if you want to add 5 share-classes to an existing sub-fund, you have to add 5 lines to the existing sub-fund structure in the extraction template. Complete all cells accordingly.

REMOVE Id Share-Class, but DO NOT CHANGE the Id Fund and Id Sub-Fund.

(6) Exception in column 28

In the case of share class creations, we would like to ask you, for internal processing reasons only, to delete all "Capitalisation" and "Distribution" words that appear in column 28.

How to complete the FDF

In due course, we will provide further information on this section.

Main Category	Column Number	Field Label	Mandatory Field	Definition	Type of Data	Field Format	Format Constraints	Business Rule
Third-Party Information	1	Promoter	No	Indicates the name of the Initiator/Sponsor of the fund including the country	Company Name	String char (100)	N/A	N/A
Third-Party Information	2	Management Company	Yes	Indicates the name of the Management Company of the fund including the country	Company Name	String char (100)	N/A	N/A
Third-Party Information	3	Investment Company	Conditional cf Definition	Indicates the name of the Investment Company of the fund including the country. This field is mandatory if the fund is self-managed and no management company has been provided	Company Name	String char (100)	N/A	N/A
Third-Party Information	4	Fund Administration	Yes	Indicates the name of the Administrator of the fund including the country.	Company Name	String char (100)	N/A	N/A
Third-Party Information	5	Transfer Agent	Conditional cf Definition	Indicates the name of the Transfer Agent of the fund including the country. This field is mandatory for the Order Routing Data	Company Name	String char (100)	N/A	N/A
Fund Information	6	Fund Name	Yes	Indicates the legal name of the fund	Label	String char (100)	Is unique in Fundsquare's database (upper/lower case letters)	N/A
Fund Information	7	Fund National Competent Authority Code	No	Indicates the codification used by the fund's domicile authority on fund level	Codification	String char (20)	Is unique in Fundsquare's database	N/A
Fund Information	8	Fund Administration Code	No	Indicates the central administration's instrument code at the fund level (AC internal code)	Codification	String char (20)	Is unique at this level	N/A
Fund Information	9	Fund GIIN Code	Conditional cf Definition	Indicates the Global Intermediary Identification Number of the instrument at the fund level This field is mandatory for FATCA reporting	Codification	String char (20)	Alphanumerical: Char(6).Char(5).Char(2).Number(3). Is unique in Fundsquare's database.	Has to be unique if not SP (Sponsor). 7th char = "." 13th char = "." 16th char = "." & Last 3 char = 442 or 14th&15th = SP
Fund Information	10	Fund RFI ID (CRS)	Conditional cf Definition	Indicates the Social Security Identification number at the fund level. Mandatory for CRS reporting	Codification	String char (20 or 22)	Number(11) - Number(13)	9th char is a letter followed by 8 "0"
Fund Information	11	Type of EU Directive	Yes	Indicates whether the fund is an UCITS-fund or an AIF-fund according to european directives	Indicator	String char (6)	List of values: UCITS AIF OTHER	N/A
Fund Information	12	Umbrella Fund	No	Indicates whether the fund is an umbrella or not	Indicator	String char (3)	Boolean: YES/NO	N/A
Fund Information	13	Fund Creation Date	Yes	Indicates the date on which the fund is created/activated	Date	Date char (10)	Date format: dd/MM/yyyy	If date > current date OR If no date = inactivated = anticipated creation (AC). If date ≤ current date = activated = available for documents notification and dissemination (ACT).
Fund Information	14	Fund End Date	No	Indicates the ending date of the fund's activity (closing/liquidation date)	Date	Date char (10)	Date format: dd/MM/yyyy	If Date ≤ current date = inactivated = not available for documents notification and dissemination. available 1 year for reporting.
Fund Information	15	Fund Jurisdiction Country	Yes	Indicates the country where the fund is domiciled	Legal	String char (2)	Code ISO2	The two first characters must be the same as the two first letters included in ISIN code. For example: LU, GB, IE, etc.
Fund Information	16	Fund Legal Form	Yes	Indicates the legal form of the fund	Legal	String char (4)	List of values: "FCP" = FCP: Common fund "SICV" = SICAV: Investment company with variable capital "SICF" = SICAF: Investment company with fixed capital "SICR" = SICAR: Investment company in risk capital "OT" = OT: Securitisation entities "SCA" = SCA: Partnership limited by shares "SCS" = SCS: Limited partnership "SCSp" = SCSp: Special partnership "SA" = SA: public limited liability company "OTH" = OTHER: Other fund	Linked/compatible with "Fund Legal Status"
Fund Information	17	Fund Legal Status	Yes	Indicates the legal status of the fund	Legal	String char (4)	List of values: "SIF" = SIF "NLUX" = Non-LU-domiciled "PA04" = Law 14 june 2004 "PA05" = Law 22 march 2004 "P110" = Part I 2010 law "P210" = Part II 2010 law "RAIF" = RAIF	Linked/compatible with "Fund Legal Form"
Sub-fund Information	18	Sub-Fund Name	Yes	Indicates the legal name of the sub-fund	Label	String char (100)	Is unique in Fundsquare's database at this level (upper/lower case letters)	N/A
Sub-fund Information	19	Sub-Fund National Competent Authority Code	No	Indicates the codification used by the fund's domicile authority at the sub-fund level	Codification	String char (20)	Is unique in Fundsquare's database	N/A
Sub-fund Information	20	Sub-Fund Administration Code	No	Indicates the central administration's instrument code at the sub-fund level (AC internal code)	Codification	String char (20)	Is unique at this level	N/A
Sub-fund Information	21	Sub-Fund GIIN Code	Conditional cf Definition	Indicates the Global Intermediary Identification Number for the instrument at the fund level. This field is mandatory for FATCA Reporting.	Codification	String char (20)	AlphaNumerical:Char(6).Char(5).Char(2).Number(3). Is unique in Fundsquare Database.	Has to be unique 7th char = ""."" 13th char = ""."" 16th char = ""."" & Last 3 char = 442 OR 14th&15th=SP
Sub-fund Information	22	Sub-Fund RFI ID (CRS)	Conditional cf Definition	Indicates the Social Securities Identification number at the sub-fund level. This field is mandatory for CRS reporting.	Codification	String char (20or22)	Number(11)-Number(13)	The 9th character is a letter followed by 8 numbers. The CSSF code should be retrieved in the last part of the ID (Ex: MATRICULE+F00000145). With a maximum of 8 characters after the letter.
Sub-fund Information	23	Sub-Fund Creation Date	No	Indicates the date on which the sub-fund is created/activated	Date	Date char (10)	Date format: dd/MM/yyyy	If date > current date OR If no date = inactivated = anticipated creation (AC). If date ≤ current date = activated = available for documents notification and dissemination (ACT). Ensure that the date is not greater then creation date of the fund.
Sub-fund Information	24	Sub-Fund End Date	No	Indicates the ending date of the sub-fund's activity (closing/liquidation date)	Date	Date char (10)	Date format: dd/MM/yyyy	If Date ≤ current date = inactivated = not available for documents notification and dissemination. available 1 year for reporting.
Sub-fund Information	25	Sub-Fund Base Currency	Yes	Indicates the ISO3-currency code for the base accounting currency of the sub-fund	Currency	String char (3)	Currency ISO-3	RMB should be CNH or CNY
Sub-fund Information	26	NAV per Share Frequency	Yes	Notifies the frequency of the net asset per share calculation. It must be the same for all the share classes that are included in one sub-fund.	Frequency	String char (4)	List of values: YEAR = Annual TWYR = Twice a year TOWK = Twice a week TOMN = Every two months TWMN = Twice a month WEEK = Weekly DAIL = Daily MNTH = Monthly TRIE = Every four months SEMI = Every six months QURT = Every three months MLTD = Multi-daily NIMN = Every nine months	N/A
Sub-fund Information	27	Sub-Fund Sleeping Indicator	No	Indicates whether the sub-fund is sleeping or not	Indicator	String char (3)	Boolean:YES/NO	N/A
Share-class Information	28	Share Class Name	Yes	Indicates the legal name of the share class	Label	String char (100)	Is unique at this level (upper/lower case letters)	N/A
Share-class Information	29	Client Share Class Name	No	Indicates a client's name of the share class	Label	String char (100)	Is unique in Fundsquare's database (upper/lower case letters. Combined with fund & sub-fund labels.	Name available on Fundsquare website and client whitelabelling
Share-class Information	30	Share Class National Competent Authority Code	No	Indicates the codification used by the fund's domicile authority on share class level	Codification	String char (20)	Is unique in Fundsquare's database	The CSSF codes from 1 to 9 have to be written with two characters (01-02-03...)
Share-class Information	31	Share Class Administration Code	No	Indicates the central administration's instrument code at the share class level (AC internal code). Share class ID used in the client's proprietary system (for NAV).	Codification	String char (20)	Is unique at this level	N/A
Share-class Information	32	Share Class ISIN Code	Conditional cf Definition	Indicates the ISIN code of the share class. This field is mandatory for Ucits-funds if the share class is activated (creation date)	Codification	String char (12)	Is unique in Fundsquare's database	Ensure that the first two letters match to the fund juridiction country. For Ucits Funds:If empty the share class status is inactivated (INA)
Share-class Information	33	Share-Class Ticker Bloomberg Code	No	Indicates the Instrument’s Bloomberg Ticker (code)	Codification	String char (20)	Is unique in Fundsquare's database	N/A
Share-class Information	34	Share Class Creation Date	No	Indicates the date on which the share class is created/activated	Date	Date char (10)	Date format: dd/MM/yyyy	If date > current date OR If no date = inactivated & anticipated creation (AC). If date ≤ current date = activated = available for documents notification and dissemination (ACT). If UCITS and NO ISIN CODE then no creation date should be available. Ensure that the date is not greater than creation date of the sub-fund
Share-class Information	35	Share Class End Date	No	Indicates the ending date of the share class activity (closing/liquidation date)	Date	Date char (10)	Date format: dd/MM/yyyy	If Date ≤ current date = inactivated = not available for documents notification and dissemination. Available 1 year for reporting.
Share-class Information	36	Share Class Reference Currency	Yes	Indicates the ISO3-currency code for the reference currency of the share class	Currency	String char (3)	Currency ISO-3	N/A
Share-class Information	37	Share Class Dividend Payment Frequency	No	Indicates the frequency at which the dividends are paid	Frequency	String char (4)	List of values: YEAR = Annual TWYR = Twice a year TOWK = Twice a week TOMN = Every two months TWMN = Twice a month WEEK = Weekly DAIL = Daily MNTH = Monthly TRIE = Every four months SEMI = Every six months QURT = Every three months MLTD = Multi-daily NIMN = Every nine months	Yearly by default
Share-class Information	38	Share Class Result Allocation	Yes	Indicates whether income payment is distributed or capitalized or other	Indicator	String char (3)	List of values: ACC INC CAD=Acc&Inc OTH	N/A
Share-class Information	39	Share Class Sleeping Indicator	No	Indicates whether the share is sleeping or not	Indicator	String char (3)	Boolean:YES/NO	If blank, then N by default
Share-class Information	40	Institutional Investor Type	No	Indicates whether the instrument is reserved for institutional investors or not	Indicator	String char (3)	Boolean:YES/NO	If blank, then N by default
Share-class Information	41	Initial Launch Price	No	Indicates the initial launch price of the instrument	Number	Numeric char (20)	Separator: "." => "0.0000"	N/A
Share-class Information	42	Initial Launch Price Currency	No	Indicates the ISO-3 currency code of the initial launch price of the instrument	Currency	String char (3)	Currency ISO-3	The initial launch price currency has to be the same as the share class reference currency
Share-class Information	43	Initial Launch Price Date	No	Indicates the date of the initial launch price	Date	Date char (10)	Date format: dd/MM/yyyy	Should not be greater then the creation date of the share class