Difference between revisions of "ProductCoverage"

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||Long Form Report
||Long Form Report
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf10_457eng.pdf (-) CSSF - Circular 10/457] <br /> [http://www.cssf.lu/fileadmin/files/Reporting_legal/transport_securisation_reporting/Convention_de_nom.pdf (-) Naming convention for CSSF reportings]
||[https://www.cssf.lu/fr/Document/circulaire-cssf-19-731/ (-) CSSF - Circular 19/731] <br /> [http://www.cssf.lu/fileadmin/files/Reporting_legal/transport_securisation_reporting/Convention_de_nom.pdf (-) Naming convention for CSSF reportings]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
Line 402: Line 402:
||Management Letter
||Management Letter
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf10_457eng.pdf (-) CSSF - Circular 10/457] <br /> [http://www.cssf.lu/fileadmin/files/Reporting_legal/transport_securisation_reporting/Convention_de_nom.pdf (-) Naming convention for CSSF reportings]
||[https://www.cssf.lu/fr/Document/circulaire-cssf-19-731/ (-) CSSF - Circular 19/731] <br /> [http://www.cssf.lu/fileadmin/files/Reporting_legal/transport_securisation_reporting/Convention_de_nom.pdf (-) Naming convention for CSSF reportings]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]

Revision as of 10:54, 25 March 2021

Home page Return homepage

Through its dedicated electronic platform, e-file.lu, the Luxembourg Stock Exchange and Fundsquare are able to provide an ideal solution for filing entities for all reporting requirements.

  • e-file is a communication platform for transmission and exchange of financial reports to National Competent Authorities (NCA) such as:
 - Commission de Surveillance du Secteur Financier (CSSF)



 - Banque Centrale du Luxembourg (BCL)



 - Administration des contributions directes (ACD)



 - Commissariat aux Assurances (CAA)


  • It is an easy-to-implement platform for communication and exchange of documents in a real time secure environment (HTTPS).


  • e-file has been operational for a number of years and is now well established as the communication solution for financial reporting in Luxembourg.


List of all Reporting types that can be used with e-file


MiFID II / MiFIR

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
 		Internal
Technical
Business ID
TAFREP TAF Article 26 of Regulation
No 600/2014:
Obligation to report transactions
(Markets in financial instruments => MiFIR) 		CSSF (-) CSSF - Press release 16/43

(-) CSSF - Circular 17/674

(-) CSSF - TAF Handbook

(-) Manual file transmission
(-) Sending types - Examples
(-) FAQ MiFIR 		Sending Service TAF reportingTAF.state=up Report TAF-MIFID 2.1.23 71


Institutions for Occupational Retirement Provision

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
 		Internal
Technical
Business ID
SUFREP IORP Annual and quarterly reporting according to Circular CSSF 19/726 of 26 July 2019 CSSF (-) CSSF - Circular 19/726

(-) Naming convention
(-) Technical note
(-) XBRL taxonomies to be used>


 (-) Manual file transmission
(-) Sending types - Examples
Sending Service IORP reportingIORP.state=up Reporting IORP 80


Money Market Funds (MMF)

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
 		Internal
Technical
Business ID
MMFREP MMF

• According to Article 37 of Regulation (EU) 2017/1131, the manager of a MMF must report information to the competent authority (CSSF) of the MMF, at least on a quarterly basis or - for MMF with assets under management of less than Eur 100 million - on at least an annual basis.
• The first quarterly report should be sent to the competent authority of the MMF no later than 30 days after the end of Q1 2020.

CSSF (-) CSSF - Legal reporting

(-) CSSF Informations
(-) Fundsquare Solution


 (-) Manual file transmission
(-) Sending types - Examples
Sending Service MMF reportingMMF.state=up Reporting MMF 83


Credit Institutions

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
ANTREF
ANTT1M
ANTT2M
ANTT2Q 		ANTREF
ANTT1M
ANTT2M
ANTT2Q 		AnaCredit:
Collection of granular credit and credit risk data 		BCL BCL - Reporting instructions (-) Manual file transmission
(-) Sending types - Examples 		Sending Service Anacredit reportingAnacredit.state=up Rapport Anacredit 2.1.24 74
CSDREP CSDR Reporting CSDR:
Introduction of quarterly internalised settlement reporting requirements

pursuant to Article 9(1) of EU Regulation No 909/2014 (CSDR)

CSSF CSSF - Circular 19/709 (-) Manual file transmission
(-) Sending types - Examples 		Sending Service CSDR reportingCSDR.state=up Reporting CSDR-9 2.1.26 78
SHSGRP SHSGRP «SHS-Group» report:
Statistics on holdings of securities by reporting banking groups 		BCL BCL - Reporting instructions (-) Manual file transmission
(-) Sending types - Examples 		Sending Service GRP_BNK GRP_BNK.state=up BCL SHS report 75
FRCREP B2.4 Information on participating interest
and subordinated loans 		CSSF (-) CSSF - Circular CSSF 18/686
(-) CSSF - Reporting instructions B2.4
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service FINREP reportingFINREP.state=up Rapport FINREP 2.1.3 73
FRCREP B2.5 Information on staff costs and taxes
and subordinated loans 		CSSF (-) CSSF - Circular 17/664
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service FINREP reportingFINREP.state=up Rapport FINREP 2.1.3 73
BNNNN B4.4 List of head offices, agencies,
branches and representative offices 		CSSF (-) CSSF - Reporting instructions Edifact B4.4
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service FINREP\EDIFACT reportingFINREP.EDIFACT.state=up Reporting EDIFACT 2.1.3 16
COFREP SCOREP
SLAREX
SLCRXX
SNSFRX
SALMXX
CCOREP
CLAREX
CLCRXX
CNSFRX
CALMXX
CFINRP
SFINRP
CAEXXX
SAEXXX
CFPXXX
SFPXXX
CSBPXX
SSBPXX
CSBPIM
SSBPIM
CLCRDA
SLCRDA
NEW: SRESOL


(-) SCOREP: SSOLV, SIPLO, SLEVR
(-) SLAREX: SLAREX
(-) SLCRXX: SLCR
(-) SNSFRX: SNSFR
(-) SALMXX: SALM
(-) CCOREP: CSOLV, IPLO, CLEVR
(-) CLAREX: CLAREX
(-) CLCRXX: CLCR
(-) CNSFRX: CNSFR
(-) CALMXX: CALMM
(-) CFINRP: CFINRP
(-) SFINRP: SFINRP
(-) CAEXXX: CAE
(-) SAEXXX: SAE
(-) CFPXXX: CFP
(-) SFPXXX: SFP
(-) CSBPXX: CSBP
(-) SSBPXX: SSBP
(-) CSBPIM: CSBPIM
(-) SSBPIM: SSBPIM
(-) CLCRDA: CLCRDA
(-) SLCRDA: SLCRDA
(-) SRESOL: SRESOL 		CSSF (-) Regulation (EU) No 680/2014
(-) CSSF - Reporting requirements for credit institutions

(-) Naming convention for CSSF reporting
 (-) Manual file transmission
(-) Sending types - Examples 		Sending Service COREP reportingCOREP.state=up Rapport COREP 2.1.4 72
DOCREP AR Annual Report CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP AS NEW:

Annual report consolidated

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP CO Compliance Report CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP GR Governance Report CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP IA Internal Audit Report CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP IC ICAAP CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP ID NEW:

ICAAP Consolidated

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP LF Long Form Report CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP LC NEW:

Long Form Consolidated

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP LD NEW:

Long Form Branch or Specific Participation

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP ML Management Letter CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP MC NEW:

Management Letter Consolidated

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP RC Risk Control Report CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP RP Recovery Plan CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP SC Single Customer View CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP LG NEW:

Reconciliation LuxGAAP FINREP

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP RR NEW:

Results Distribution

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP BD NEW:

AC Member List

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP IL NEW:

ILAAP

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP IM NEW:

ILAAP Consolidated

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP AC NEW:

Audit Report on AML/CTF

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP MF NEW:

Audit report on rules of conduct

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP MM NEW:

Head quarter annual report

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP RE NEW:

Report on out-of-court complaint resolution

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP TR NEW:

Table on out-of-court complaint resolution

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP AD NEW:

Circ. 18/697 annexe1

CSSF (-) CSSF - Circular 19/731
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Reporting des établissements de crédit (-) 1.1
(-) 2.1.17 		27
S0001 S0.1 Daily deposit BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0101 S1.1 Monthly statistical balance sheet BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0104 S1.4 Adjustments due to valuation effects| BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0105 S1.5 Information on interest rates in EUR BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0108 S1.8 Information on securititation
transactions launched
by credit institutions 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0109 S1.9 Information on CNY (renmibi) operations BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0112-L S1.12-L Indirect withdrawal and remittance of banknotes denominated in EUR through an intermediary BCL (-) BCL - Report S 1.12-L
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Reporting S1.12 2.1.25 76
S0205-L S2.5-L Quarterly statistical balance sheet BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0205-N S2.5-N Quarterly statistical balance sheet
of credit institutions -
Luxembourg entity and its branches 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up| Statistiques BCL 2.1.5 13
S0208 S2.8 Real estate loans for
Lxuembourg buildings 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0209-L S2.9-L Staff report -
Luxembourg entity 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0209-N S2.9-N Staff report -
Luxembourg entity and its branches 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
S0302 S3.2 Non balance sheet information BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BCL_Statistics reportingBCLStat.state=up Statistiques BCL 2.1.5 13
TPTBBL TPTBBL Security by security report–
Balance sheet data–
Luxembourg 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		Report generation
with e-form 		Sending Service TPT reportingTPTB.state=up Titre par Titre Bancaire 2.1.6 20
TPTBBN TPTBBN Security by security report–
Balance sheet data–
Luxembourg 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		Report generation
with e-form 		Sending Service TPT reportingTPTB.state=up Titre par Titre Bancaire 2.1.6 20
TPTBHR TPTBHR Security by security report–
Off-balance sheet data–
Resident customers 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		Report generation
with e-form 		Sending Service TPT reportingTPTB.state=up Titre par Titre Bancaire 2.1.6 20
TPTBHN TPTBHN Security by security report–
Off-balance sheet data–
Non-resident 		BCL (-) BCL - Circular 2014/235
(-) BCL - Manual of electronic transmission for statistical reports of banks 		Report generation
with e-form 		Sending Service TPT reportingTPTB.state=up Titre par Titre Bancaire 2.1.6 20
BOP101 BOP1.1 Balance of payments reporting BCL (-) BCL - Circular 2007/216
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BOP reportingBOP.state=up Balance des Paiements 2.1.7 12
BOP102 BOP1.2 Cross-border payments
executed for the account
of the resident counterparts 		BCL (-) BCL - Circular 2007/216
(-) BCL - Manual of electronic transmission for statistical reports of banks 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service BOP reportingBOP.state=up Balance des Paiements 2.1.7 12
SPJ 646REP
663REP
664REP 		Notification and execution of court orders CSSF CSSF - Circular 13/566 (-) SPJ Manual
(-) Sending types - Examples 		n/a n/a n/a Perquisitions électroniques 2.1.14 48
ESPREP STT Stress test in order to assess
the interest rate risk
arising from non-trading
book activities 		CSSF (-) Ad hoc reports
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service ESP reportingESP.state=up Rapport Enquête 2.1.18 15
ESPREP DCO Fonds de garantie
des dépôts Luxembourg
(FGDL) 		CSSF (-) Ad hoc reports
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service ESP reportingESP.state=up Rapport Enquête 2.1.18 15
ESPREP BRA Quarterly reporting on the
financial health of the branches
parent entities 		CSSF (-) Ad hoc reports
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service ESP reportingESP.state=up Rapport Enquête 2.1.18 15
ESPREP DEP Residential credit deposits CSSF (-) Ad hoc reports
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service ESP reportingESP.state=up Rapport Enquête 2.1.18 15

Payment Institutions

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
EDPREP Z1.1 Balance sheet CSSF (-) CSSF - Circular 11/511
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EDP reportingEDP.state=up Reporting EDP 2.1.10 29
EDPREP Z1.2 Identification of third-party
funds held and incorporated in the balance sheet 		CSSF (-) CSSF - Circular 11/511
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EDP reportingEDP.state=up Reporting EDP 2.1.10 29
EDPREP Z1.4 Capital adequacy of
payment institutions 		CSSF (-) CSSF - Circular 11/511
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EDP reportingEDP.state=up Reporting EDP 2.1.10 29
EDPREP Z2.1 Profit and loss accoount CSSF (-) CSSF - Circular 11/511
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EDP reportingEDP.state=up Reporting EDP 2.1.10 29



Electronic Money Institutions

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
EMEREP W1.1 Balance sheet CSSF (-) CSSF Circular 11/522
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EME reportingEME.state=up Reporting EME 2.1.11 34
EMEREP W1.2 Identification of third-party
funds held and incorporated
in the balance sheet 		CSSF (-) CSSF Circular 11/522
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EME reportingEME.state=up Reporting EME 2.1.11 34
EMEREP W1.3 Statement of
authorised reinvestments 		CSSF (-) CSSF Circular 11/522
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EME reportingEME.state=up Reporting EME 2.1.11 34
EMEREP W1.4 Capital adequacy of
electronic money institutions 		CSSF (-) CSSF Circular 11/522
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EME reportingEME.state=up Reporting EME 2.1.11 34
EMEREP W2.1 Profit and loss account CSSF (-) CSSF Circular 11/522
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EME reportingEME.state=up Reporting EME 2.1.11 34
EMEREP W4.5 Analysis of shareholdings CSSF (-) CSSF Circular 11/522
(-) CSSF - Reporting instructions
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service EME reportingEME.state=up Reporting EME 2.1.11 34



Payment Institutions/Electronic Money Institutions

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
V0101 V1.1 Customer transfers BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0102 V1.2 Interbank transfers BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0103 V1.3 Domiciliations BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0104 V1.4 Inventory cards / terminals BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0105 V1.5 Card transactiosn (Issuing part) BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0106 V1.6 Card transactiosn (Acquiring part) BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0107 V1.7 Cheques and money orders BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0108 V1.8 Electronic money scheme BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0109 V1.9 Card based e-money schemes BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0110 V1.10 Stock taking of payment accounts in bank money BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0111 V1.11 OTC cash transactions BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0112 V1.12 Transactions via telecommunication, digital or IT device BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0113 V1.13 Credits to the accounts by simple book entry BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36
V0114 V1.14 Debits from the account by simple book entry BCL (-) BCL - Regulation 2011/9
(-) BCL - File name convention 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service CDP reportingDP.state=up Collecte des données de paiement (CDP) 2.1.13 36



Investment Funds

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
- O4.1 Yearly financial information CSSF (-) CSSF - Circular IML 97/136
(-) Naming convention for CSSF reportings 		Report generation
with e-form 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
- O4.2 Interventions on the futures and options markets CSSF (-) CSSF - Circular IML 97/136
(-) Naming convention for CSSF reportings 		Report generation
with e-form 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
- O1.2 Monthly financial information for guaranteed funds CSSF (-) CSSF - Circular IML 97/136
(-) Naming convention for CSSF reportings 		Report generation
with e-form 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
U11 U1.1 Monthly financial information UCITS and UCI CSSF (-) CSSF - Circular 15/627
(-) CSSF - Circular 12/540
(-) CSSF - File naming convention U1.1 reporting 		(-) Report Generation
with e-form
(-) Sending types - Examples
(-) How to reply to Global Feedback 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
S0103 S1.3 Monthly statistical balance sheet for money market funds (MMF) BCL (-) BCL - Circular 2018/241
(-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018 		Report generation
with e-form 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
S0106 S1.6 Monthly statistical balance sheet for non-money market funds (non-MMF) BCL (-) BCL - Circular 2018/241
(-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018 		Report generation
with e-form 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
S02013 S2.13 Quarterly statistical balance sheet for non-MMF investment funds BCL (-) BCL - Circular 2018/241
(-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018 		Report generation
with e-form 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
TPTOBS TPTOBS Monthly Security by security reporting for investment funds BCL (-) BCL - Circular 2018/241
(-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018 		Report generation
with e-form 		Sending Service OPC\envoi_Automatique\fichiersCCLUX reportingOPC.automatique.state=up Station Finesti 1.1 8
SIC K3.1 Financial information to be submitted by investment companies in risk capital (SICARs) CSSF (-) CSSF - Circular 08/376
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service SICAR reportingSICAR.state=up Reporting SICAR 1.1 17
DOCREP LF NEW:

Long Form reports (UCI Law 2010)

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\Long_Form reportingLF.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
DOCREP ML NEW:

Management letters
(-) O: OPC Law 2010
(-) O: Law 2007
(-) K: SICAR

 CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\MGMT_Letter reportingML.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
DOCREP ML NEW:

Management letters of Investment fund managers (IFM) (EN)
Gestionnaires des fonds d'investissement (GFI) (FR)

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\MGMT_GFI reportingMLGFI.state=up Doc OPC et FIS (circ. CSSF) (-) 1.5 21
DOCREP RR

HK

NEW:

Auditor report
(-) O: UCI Law 2010
(-) O: UCI Law 2007
(-) K: SICAR
(-) S: Investment fund manager (IFM)
(-) A: Investment fund manager (IFM)
NEW:
Report Hong Kong Securities and Futures (HK)

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC/OTHER reportingDOC_OTH.state=up Doc OPC et FIS (circ. CSSF) 1.5 21
DOCREP


(-) GR
(-) ID
(-) FC
(-) IA
(-) BC
(-) TP
(-) LP
(-) PG
(-) OG
(-) TM
(-) RD
(-) AS
(-) FP
(-) PN
(-) BD
(-) CO
(-) ET

NEW:
Investment fund managers (IFM):
(-) Risk management function(GR)
(-) OPCVM instruments information (ID)
(-) Compliance Function (FC)
(-) Internal audit function report (IA)
(-) LBC/FT Obligation (BC)
(-) Complaints handling (TP)
(-) Authorized third party complaints (LP)
(-) Risk Management Procedure (PG)
(-) Organization chart (OG)
(-) Mandates table (TM)
(-) Delegates of RFI (RD)
(-) Branch activity (AS)
(-) Own funds ratio (FP)
(-) Risk management procedure AIFM (PN)
(-) Minutes of meetings of the governing body (Board of directors or management board) (BD)
(-) Minutes of the conducting officers' meeting during the year 2018, during which LBC / FT topics were discussed (CO)
(-) Evidence that all of the manager's employees have completed AML / CFT training (ET)

CSSF CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\DOC_GFI reportingGFI.state=up Doc OPC et FIS (circ. CSSF) 1.5 21
DOCREP (-) PC
(-) DE
(-) LE 		SIF:
(-) Prospectus (PC)
(-) Offering document (DE)
(-) Letter of explanation (LE) 		CSSF CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\PROSP_FIS reportingPFIS.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
DOCREP (-) PC
(-) PS
(-) LE 		UCI:
(-) Prospectus (PC)
(-) Simplified prospectus (PS)
(-) Letter of explanation (LE) 		CSSF CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\PROSP_OPC reportingPOPC.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21


DOCREP (-) AR
(-) SR
(-) LE
(-) RO
(-) PM 		SIF Law 2007:
(-) Annual Report (AR)
(-) Semi-annual report SIF (SR)
(-) Letter of explanation (LE)
(-) Other periodic report (RO)
(-) Movements in the securities portfolios (PM)

NEW SICAR:
(-) Annual Report (AR)
(-) Other periodic report (RO)

CSSF CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\Report_FIS reportingRAFIS.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21



DOCREP (-) AR
(-) SR
(-) LE
(-) RO
(-) PM 		UCI Law 2010:
(-) Annual Report (AR)
(-) Semi-annual report (SR)
(-) Letter of explanation (LE)
(-) Other periodic report (RO)
(-) Movements in the securities portfolios (MP) 		CSSF CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\Report_OPC reportingRFOPC.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
DOCREP AR
RO 		NEW:

Investment fund managers (IFM) (EN)
Gestionnaires des fonds d'investissement (GFI)(FR)
(-) Annual Report (AR)
(-) Other periodic report (RO)

CSSF CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC/REPORT_GFI reportingRGFI.state=up Doc OPC et FIS (circ. CSSF) 1.5 21


DOCREP KI Key Investor Information Document

(-) O: OPC Law 2010 and Loi 2007
(-) K: SICAR
(-) V: non-reglem.

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples
(-) PRIIPs KID 		Sending Service DOC_FIS_OPC\KID_OPC reportingKID.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
DOCREP MR Management Regulations of UCITS

(-) O: OPC Law 2010
(-) O: Law 2007

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\MGMT_REGUL reportingMR.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
DOCREP AI Articles of Incorporation of UCITS

(-) O: UCI Law 2010
(-) O: UCI Law 2007
(-) NEW K: SICAR

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\ART_INCORP reportingAI.state=up Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
n/a n/a Request for delivery of attestations CSSF (-) CSSF - Circulars 19/708

(-) Annexe

(-) UCI attestation request
(-) Sending types - Examples 		n/a n/a n/a Doc OPC et FIS (circ. CSSF) (-) 1.1
(-) 1.5 		21
NOTREP INI or
UPD 		Notification procedures to be followed by a UCITS governed by Luxembourg law wishing to market its units in another Member State of the European Union CSSF (-) CSSF 11/509
(-) CSSF - Circulars 08/371, 09/423, 11/509 		e-file Notification Tool Sending Service DOC_FIS_OPC\NOTIFICATIONS_UCITSIV reportingNotifUcitsIV.state=up (-) Gestion documentaire
(-) Dashboard
(-) Matrice d'enregistrement et de distribution 		1.2 28

Alternative Investment Fund Managers (AIFM)

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
AIF MAN Alternative Investment Fund reporting (AIF Manager) CSSF CSSF - Circular 14/581 (-) Manual file transmission
(-) Sending types - Examples

(-) AIFMD reporting with Fundsquare and AMfine - Handbook 4.0

Sending Service AIF reportingAIF.state=up (-) AIF
(-) AMfine 		1.1 (filing)
1.3 (if not 1.1)
1.4 (AMFine) 		54
AIF AIF Alternative Investment Fund reporting CSSF CSSF - Circular 14/581 (-) Manual file transmission
(-) Sending types - Examples

(-) AIFMD reporting with Fundsquare and AMfine - Handbook 4.0

Sending Service AIF reportingAIF.state=up (-) AIF
(-) AMfine 		1.1 (filing)
1.3 (if not 1.1)
1.4 (AMFine) 		54



Management Companies

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
SGOREP G21 (-) SG 1A: Financial situation
(-) SG 1B: Profit and loss account
(-) SG 1C: Table relating to other activities
(-) SG 2: Other activities
(-) SG: Personnel Table relating to staff 		CSSF (-) CSSF - Circular 10/467
(-) CSSF - Circular 15/633
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Wiki Sending Service SGO reportingSGO.state=up Rapport Société de Gestion (-) 1.1
(-) 2.1.16 		26
DOCREP ML NEW:

Management letters of Investment fund managers (IFM) (EN)
Gestionnaires des fonds d'investissement (GFI) (FR)

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\MGMT_GFI reportingMLGFI.state=up Doc OPC et FIS (circ. CSSF) (-) 1.5 21
DOCREP AR NEW:

Annual report of Investment fund managers (IFM) (EN)
Gestionnaires des fonds d'investissement (GFI) (FR)

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC/REPORT_GFI reportingRGFI.state=up Doc OPC et FIS (circ. CSSF) (-) 1.5 21
DOCREP RR

HK

NEW:

Auditor report
(-) S: Investment fund manager (IFM)
(-) A: Investment fund manager (IFM)
NEW:
Report Hong Kong Securities and Futures (HK)

CSSF (-) CSSF - Circulars 19/708

(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC/OTHER reportingDOC_OTH.state=up Doc OPC et FIS (circ. CSSF) 1.5 21
DOCREP


(-) GR
(-) ID
(-) FC
(-) IA
(-) BC
(-) TP
(-) LP
(-) PG
(-) OG
(-) TM
(-) RD
(-) AS
(-) FP
(-) PN
(-) BD
(-) CO
(-) ET

NEW:
Investment fund managers (IFM):
(-) Risk management function(GR)
(-) OPCVM instruments information (ID)
(-) Compliance Function (FC)
(-) Internal audit function report (IA)
(-) LBC/FT Obligation (BC)
(-) Complaints handling (TP)
(-) Authorized third party complaints (LP)
(-) Risk Management Procedure (PG)
(-) Organization chart (OG)
(-) Mandates table (TM)
(-) Delegates of RFI (RD)
(-) Branch activity (AS)
(-) Own funds ratio (FP)
(-) Risk management procedure AIFM (PN)
(-) Minutes of meetings of the governing body (Board of directors or management board) (BD)
(-) Minutes of the conducting officers' meeting during the year 2018, during which LBC / FT topics were discussed (CO)
(-) Evidence that all of the manager's employees have completed AML / CFT training (ET)

CSSF (-) CSSF - Circulars 18/698

(-) CSSF - Circulars 19/708
(-) Annexe cssf 19/708

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_FIS_OPC\DOC_GFI reportingGFI.state=up Doc OPC et FIS (circ. CSSF) 1.5 21

Professionals of the Financial Sector (PFS)

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
PSFREP (-) Basic reporting
(-) Ad hoc reporting
(-) Annual information 		Reporting population:
(-) Investment firms
(-) Specialised PFS
(-) Support PFS 		CSSF (-) CSSF - PFS
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service PSF reportingPSF.state=up Rapport PSF 2.1.8 18
DOCREP LF Long Form Report CSSF (-) CSSF - Circular 10/457
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Rapport des établissements de crédit (-) 1.1
(-) 2.1.17 		27
DOCREP ML Management Letter CSSF (-) CSSF - Circular 10/457
(-) Naming convention for CSSF reportings 		(-) Manual file transmission
(-) Sending types - Examples 		Sending Service DOC_BNK reportingDOCBNK.state=up Rapport des établissements de crédit (-) 1.1
(-) 2.1.17 		27
COFREP

SCOREP
SLAREX
SLCRXX
SNSFRX
CCOREP
CLAREX
CLCRXX
CNSFRS
CAEXXX
SAEXXX
CALMXX
SALMXX
NEW: SRESOL

(-) SCOREP: SSOLV, SIPLO, SLEVDA
(-) SLAREX: SLAREX
(-) SLCRXX: SLCR
(-) SNSFRX: SNSFR
(-) CCOREP: CSOLV, CIPLO, CLEVDA
(-) CLAREX: CLAREX
(-) CLCRXX: CLCR
(-) CNSFRS: CNSFR
(-) CAEXXX: tbd
(-) SAEXXX: tbd
(-) CALMXX: CALMM
(-) SALMXX: SALMM
(-) SRESOL: SRESOL

 CSSF (-) CSSF - Reporting requirements for investment firms
(-) Naming convention for CSSF reportings

(-) CIR Reporting

(-) Manual file transmission
(-) Sending types - Examples 		Sending Service COREP reportingCOREP.state=up Rapport COREP 2.1.4 72

Securitisation Vehicles

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
S0214 S2.14 Quarterly statistical balance BCL (-) Circular 2014/236
(-) BCL - Reporting instructions S2.14, S2.15, TPTTBS 		Report generation
with e-form 		Sending Service Securisation reportingSecurisation.state=up Véhicule titrisation 2.1.9 23
S0215 S2.15 Transactions and write-offs/write-downs on securitised loans BCL (-) Circular 2014/236
(-) BCL - Reporting instructions S2.14, S2.15, TPTTBS 		Report generation
with e-form 		Sending Service Securisation reportingSecurisation.state=up Véhicule titrisation 2.1.9 23
TPTTBS TPTTBS Security by security reporting BCL (-) Circular 2014/236
(-) BCL - Reporting instructions S2.14, S2.15, TPTTBS 		Report generation
with e-form 		Sending Service Securisation reportingSecurisation.state=up Véhicule titrisation 2.1.9 23

Financial Companies

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
S0216 S2.16 Quarterly statistical balance of Financial Companies BCL (-) Regulation 2014/17
(-) BCL - Reporting instructions S2.16, S2.17, TPTIBS 		Report generation
with e-form 		Sending Service SE reportingSE.state=up Reporting des sociétés émettrices 2.1.12 35
S0217 S2.17 Transactions of Financial Companies BCL (-) Regulation 2014/17
(-) BCL - Reporting instructions S2.16, S2.17, TPTIBS 		Report generation
with e-form 		Sending Service SE reportingSE.state=up Reporting des sociétés émettrices 2.1.12 35
TPTIBS TPTIBS Monthly security by security reporting of Financial Companies BCL (-) Regulation 2014/17
(-) BCL - Reporting instructions S2.16, S2.17, TPTIBS 		Report generation
with e-form 		Sending Service SE reportingSE.state=up Reporting des sociétés émettrices 2.1.12 35



Insurance Corporations

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
CPR Source file reception from CAA Compte rendu CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 35)
RAC Source file reception from CAA Rapport actuariel CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 36)
RDI Source file reception from CAA Rapport distinct du réviseur CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 37)
RGO Source file reception from CAA Rapport de gouvernance CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 38)
RLB Source file reception from CAA Rapport LBCFT CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 39)
RRE Source file reception from CAA Rapports sur le traitement des réclamations CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 40)
ESP Source file reception from CAA Enquête spécifique CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 41)
ETR Source file reception from CAA Etat trimestriel CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 45)
RSO Source file reception from CAA Rapport distinct Solvabilité 2 du réviseur CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 62)
FIR Source file reception from CAA Fiche de renseignement CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual n/a n/a n/a Reporting CAA 2.1.20 62
(wkf 65)
N01 (Comp); N02 (Comp); N03 (Comp);
N04 (Comp); N05 (Réviseur); N06( Réviseur);
N07 (Comp); N08 (Comp); N09 (Comp); N10 (Comp) 		n/a Rapports narratifs CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual Wiki Sending Service CAA reportingCAA.state=up Reporting CAA 2.1.20 62
(wkf 63 (Réviseur)/
wkf 64 (Compagnie)
S01; S02; S03; S04; S05;
S06 (Réviseur); S07; S08;
S09; S10; S11; S12; S13;
S14; S15; S16; S17; S18;
S19; S20; S23 		n/a XBRL reports Solvency II CAA (-) Circulaire 15/10
(-) File naming convention 		Wiki-CAA Manual Sending Service CAA reportingCAA.state=up Reporting CAA 2.1.20 62
(wkf 44)
S0218-L n/a Quarterly statistical balance sheet of insurance corporations – Luxembourg entity BCL (-) Circular 2015/239
(-) BCL - Reporting instructions S2.18, 2.19, S4.3, TPTASS 		Report generation
with e-form 		Sending Service ASS reportingASS.state=up Reporting BCL pour les assurances 2.1.21 63
(wkf42)
S0219-L n/a Information on valuation effects on the balance sheet of insurance corporations BCL (-) Circular 2015/239
(-) BCL - Reporting instructions S2.18, 2.19, S4.3, TPTASS 		Report generation
with e-form 		Sending Service ASS reportingASS.state=up Reporting BCL pour les assurances 2.1.21 63
(wkf 42)
S0403-L n/a Annual Premiums, claims and commissions of insurance corporations – Luxembourg entity BCL (-) Circular 2015/239
(-) BCL - Reporting instructions S2.18, 2.19, S4.3, TPTASS 		Report generation
with e-form 		Sending Service ASS reportingASS.state=up Reporting BCL pour les assurances 2.1.21 63
(wkf 42)
TPTASS n/a Monthly Security by security reporting of insurance corporations BCL (-) Circular 2015/239
(-) BCL - Reporting instructions S2.18, 2.19, S4.3, TPTASS 		Report generation
with e-form 		Wiki Sending Service ASS reportingASS.state=up Reporting BCL pour les assurances 2.1.21 63
(wkf 42)

Financial Institutions - Foreign Account Tax Compliance Act (FATCA)

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
FATCA FATCA Foreign Account Tax Compliance Act Reporting ACD (-) Circulaire ECHA - n° 3 du 19 janvier 2017
(-) ACD-FATCA 		(-) FATCA - User Guide of e-form
(-) FATCA - Onboarding & FAQ 		Sending Service FATCA reportingFATCA.state=up Rapport FATCA 2.1.19; 2.2 60



Financial Institutions - Common Reporting Standard (CRS)

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
CRS CRS Automatic exchange of
financial account information
on a global level 		ACD (-) ACD-CRS
(-) Newsletter 06/02/2017
(-) ECHA-n°4 06/02/2017 		(-) CRS - User Guide of e-form
(-) CRS - Onboarding & FAQ 		Sending Service CRS reportingCRS.state=up Reporting CRS (-) 2.1.22
(-) 2.3 		68



Other reporting CSSF BCL

Report
naming convention 		Table Details NCA NCA
(-) Circulars
(-) Reporting instructions 		e-file -
Manual file transmission
(-) User guides
(-) FAQ 		e-file -
Automatic file transmission
(-) User guides 		Sending Service folder:
ReportingDiffusion\ 		Sending Service
listener 		e-file user account:
"groupe"
"context" 		Appendix 1 Services selection sheet REF
Internal
Technical
Business ID
OTHREP OTH Other reporting CSSF Naming convention for CSSF reportings (-) Manual file transmission
(-) Sending types - Examples 		Sending Service OTH reportingOTH.state=up Reporting OTHER (CSSF) - 19
OTXREP OTX Various correspondence BCL BCL Reporting Instructions OTXREP (-) Manual file transmission
(-) Sending types - Examples 		Sending Service Various_Correspondence reportingCD.state=up Reporting OTHER (BCL) - 22
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