STEP 2: Marketing of shares

VIEW

There are 4 ways to access this screen:

• After selecting a fund in step 1 01/ Fund Selection, by clicking the "Continue notification " or "New notification" button
• When consulting a follow up of a notification, in the Dashboard, menu by clicking the "Continue notification" or "New notification" button
• By clicking on the progress line, in the banner at the top of the screen when you are in steps 03 and 04
• By clicking on the "Previous step" button of step 3.

VIEW

In case of an initialization through an Excel sheet, marketing countries and share's marketing status per country are immediatly available.

For more details about the initialization of the step 2, please contact our technical support (SDI).

To add a country, click on the "Add marketing country" link that is displayed at the top right of the fund tree. A secondary window opens showing a list of all host Member States of the European Union.

Then click on the flag(s) of the countries in which you want to market this fund. The selected countries are highlighted in yellow.

You can deselect a country by clicking on it. It no longer appears on a yellow background.

To validate your selection, click the "Add" button at the bottom of the screen. You then return to the main window, the selected countries are shown on the right. Each column contains check boxes to configure the marketing of shares by country.

NOTE : The display is limited to 7 flags, use the navigation arrows to complete your configuration.

Click "Save" to save your changes and then "Next step" to continue the notification.

As long as a notification is not already sent for a country, you can delete it. A small cross appears when moving the mouse over the flag of the country to remove:

Example :

the removal of a country leads to:

• deletion of the configuration for the marketing of shares for this country (selected check boxes in step 02)
• deletion of notification letters for this country, even if these letters did not change during this work session.

NOTE : Documents that have been indexed and added to your workspace are always retained.

To indicate that a share is marketed in a country, check the appropriate box if the share in the marketing country column.

Key:

Not marketed	To notify	Partial (but not total) selection of a sub-instrument	Already notified

For efficiency, you can select the fund or sub-fund: all shares are automatically selected.

The configuration that you choose is only valid for the current notification. Once this current notification has been sent, all checked boxes will be unchecked.
To assist you in the configuration, all previously notified shares are marked with N.

Inactive (closed) instruments : inactive instruments are displayed in the fund tree if their closure occurs during a notification in progress for the UCITS concerned. In this case, when the notification has been submitted and accepted by the CSSF and the destination country, the closed instrument will no longer appear for subsequent notifications.

They are also displayed when the closure occurs after the transmission of a notification. It is therefore not possible to check or notify these instruments and they remain visible only for information. Once the notification has been sent to the CSSF, they will not be displayed for the subsequent notifications.