E-file – Disclosure management to investors

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Introduction

The “Disclosure management to investors” module is a new application available to you through e-File, which will eventually replace the existing “Dissemination set up” module that you are already familiar with.

This short guide aims at presenting you with the basic functions of the module -even though, as you will soon realize, it is designed with simplicity and intuitiveness in mind.

We hope you enjoy the new application as much as we do. For any feedback or inquiries, please do not hesitate to contact us at:

  • dissemination@fundsquare.net
  • funddatasupport@fundsquare.net



Accessing the module module

Log in to e-File: https://www.e-file.lu/e-file/


Access E-file.PNG


Once connected, scroll down to the “Settings” section and select “Disclosure management to Investors”:


Setting.PNG



Presentation of the interface

Dissemination Contracts level (Actor main view) – Overview

Once connected to the module:

a) Provided that your account is linked to several Actors, you will be prompted to select one through the dropdown list at the top left (highlighted) part of the screen, as shown below:

Once connected to the module.PNG


Once you select the appropriate actor, the dissemination contracts linked to the corresponding Actor will appear:

Once you select the appropriate actor.PNG


b) If your account is linked only to one Actor, the application will immediately start loading the data relevant to your portfolio. Please wait until the loading symbol is no longer visible:

If your account is linked only to one Actor.PNG


Once the data is loaded, you will be presented with your (actor level) account overview. All dissemination contracts associated with it should appear:

Once the data is loaded.PNG


In either case, the associated contracts are visible on the left side of the screen:

In either case.PNG


The overview also includes some basic information (Type of data, ID, Status, etc.):

The overview also.PNG


In order to see the dissemination lists that are linked to a contract, click the corresponding “+” button:

In order to see the dissemination.PNG


You can also expand all contracts to view all the associated dissemination lists:

You can also expand.PNG


Note how the field “ID” now refers to both contracts and lists:

Note how the field “ID”.PNG


You can sort the displayed contracts by:

  • name of Contract-Subscription
  • ID (based on contract ID)
  • Recipient list
  • Recipient list ID
  • Last dissemination date

Simply hover over the corresponding field (it will highlighted in blue) and click repeatedly for increasing/decreasing/initial order according to your liking:

Recipient list.PNG


By clicking on the Legend.PNG button, you can open a panel with indications/hints on the data shown:

Contract List Legend.PNG

The indications “DISSEMINATION CONTRACTS” and “SUBSCRIPTION MATRIX” at the top right corner state whether you are currently at actor level (“DISSEMINATION CONTRACTS”) or at contract level (“SUBSCRIPTION MATRIX”). Once on contract level, you can go back to the actor level by clicking on “DISSEMINATION CONTRACTS”:

Dissemination Contracts.PNG

Dissemination Contracts level (Actor main view) - Filters

In order to filter the data displayed, you can click on the Filter Button.PNG button. This will allow you to select several filters:

Several filter.PNG

You can then:

  • apply the filters by clicking Apply filter.PNG (alternatively pressing enter after input)
  • reset them by clicking Reset filter.PNG

Dissemination Contracts level (Actor main view) – Actions

In order to show the list of actions applicable to a contract, click the action button Trois points button.PNG on the right. The following buttons will appear, Open Matrix Diss.PNG which correspond to:

  • “Export reports” - This allows you to download report files for the contract (more details below)
  • “Open dissemination matrix” - This allows you to see all the dissemination lists that are linked to the contract in detail

If you have expanded a contract and the dissemination lists are now visible, click the action button Trois points button.PNG of a list. The following buttons will appear, which Open Matrix Sub.PNG correspond to:

  • “Export reports” - This allows you to extract the reports available for the dissemination list
  • “Set status as active”/ “Set status to temporary suspension” - This activates/deactivates the list
  • “Open matrix for this subscription” - This opens the subscription matrix (more details below)
  • “Consult subscription details” - This shows various information related to the dissemination list

Dissemination Contracts level (Actor main view) – Contract reports

Under your (actor level) account overview, you can extract reports on a contract level. Simply click the action button Trois points button.PNG and then the Extract Button.PNG button. A panel will appear showing you the reports that are available, depending on the data type of the contract:

  • Documentary data :
 o Export (extracts the subscription matrix)
 o Audit (tracks the instruments disseminated)
 o Country-Language Matrix (shows the countries and languages that are associated with the dissemination)
  • Dynamic Data :
 o Export (extracts the subscription matrix)
  • Standard Static Data :
 o Export (extracts the subscription matrix)
 o Dissemination Audit (tracks the instruments disseminated)
 o Scope evolution report (tracks the scope updates)
  • MIFID Data :
 o Data recipient report (tracks the recipient updates on the dissemination lists)
 o Dissemination Audit (tracks the instruments disseminated)
 o Scope evolution report (tracks the scope updates)
  • PRIIPS Data :
 o Data recipient report (tracks the recipient updates on the dissemination lists)
 o Dissemination Audit (tracks the instruments disseminated)
 o Scope evolution report (tracks the scope updates)

Subscription matrix level (Dissemination lists per contract) - Overview

As mentioned above, once you click on the “Open subscription matrix” button Matrix Boutton.PNG of a contract, all dissemination lists linked to the contract will appear. The list of instruments in your dissemination universe will also show:

Push Documentary.PNG

The main information of the contract appears on top:

Push Doc FSQ.PNG

The dissemination universe is the range (i.e. scope) of instruments that can be included in your dissemination lists. This will eventually have an impact on the amount of instruments included in the dissemination files:

Universe.PNG


Each dissemination list has its main information displayed as a header:

Standard Client.PNG


Analyzing the header:

  • Standard Client List.PNG: Shows the name of the dissemination list
  • Temporary suspension.PNG:Shows the current status of the dissemination list (whether it is active or suspended)
  • Capture0-0.PNG: Shows the number of included instruments in a dissemination list before and after a change (NB: if both numbers are the same then it means no change has been done)
  • Trois points button.PNG:Pressing the action button will cause the following buttons Export Report.PNG to appear, allowing you to proceed with the actions below:
  o “Export reports”, to extract reports related to a dissemination list
  o “Set status as active”/ “Set status to temporary suspension”, to activate/deactivate the dissemination list
  o “Consult subscription details”, to show various details related to the dissemination list

Subscription matrix level (Dissemination lists per contract) – Buttons

Under the Subscription matrix view, certain buttons appear on the right part of the screen. Example:

Creation New Sub.PNG

You can:

  • (Available only for Documentary data) Create a new dissemination list by selecting the button Creation New sub Button.PNG and following the subsequent steps (for more details please refer to “2.3 Subscription matrix level (Dissemination lists per contract) Creating a new Doc list list” below)
  • Show the legend relevant to the view by clicking the button Legend.PNG

Suscription Matrix Legend.PNG

  • Show more of the dissemination universe by clicking the Enter-exit Button.PNG button (Enter/Exit full screen mode)
  • Navigate through the dissemination lists using the button Fleche-fleche.PNG

In order to show all the instruments of your universe (portfolio), click the button Expand all instrument.PNG.

The Isin-Instrument ID.PNG button changes the view of the instruments between ISINs and internal Fundsquare IDs (for easier reference):

Push Doc-Morningstar.PNG

Finally, the “SUBSCRIPTIONS” button will bring out a dropdown menu with numerous options to change the way the dissemination lists of the contract are displayed:

Subscription.PNG

In order to change the view settings, click accordingly to pick your selections and finally click “APPLY” so that your changes are saved. Feel free to experiment with the options available and find out what facilitates your workflow in the best possible way.


Subscription matrix level (Dissemination lists per contract) – Creating a new Doc list

Provided that you are on a Documentary data contract, you can create a new subscription list for Documentary data dissemination. To create a new Document (Doc) list, go to the subscription matrix of the contract you want the addition to take place and select: Creation New sub Button.PNG

In the platform examples list that appears*, select the one you wish to create a dissemination list for:

List client.PNG

Then choose a name for the dissemination list:

Name of recipient.PNG

  • If your platform of input does not appear as an option, select the standard client list Client list button.PNG and proceed with choosing a name.

To complete the creation, click: Creation New sub Button.PNG

You can then add the scope and the recipients to the new list prior to activating it. For any Country Language Matrix (CLM) requirements (i.e. dissemination to specific countries, etc.), please contact us at funddatasupport@fundsquare.net and/or dissemination@fundsquare.net prior to list activation.


Subscription matrix level (Dissemination lists per contract) - Filters

Similar to the “Dissemination Contracts level (Actor main view)”, a set of filters is available by clicking the Filter Button.PNG button:

Data filter.PNG

The filters are categorized under 3 groups. Multiple filters (from different groups) can be used simultaneously:

Data filter-Instrument-Sub.PNG

You can apply a filter by clicking Apply filter.PNG (or pressing enter while in input) and reset them by clicking Reset filter.PNG


Subscription matrix level (Dissemination lists per contract) – Access/edit the scope of a list

You can access and update the scope of a dissemination list. Click on the Matrix Boutton.PNG “Open subscription matrix” button of a contract. The dissemination scope is the amount of instruments selected in the dissemination universe. In the example below, there are 0 instruments in the scope of the list (no share classes are selected):

Doc client allfund.PNG

You can add all the instruments linked to a fund/sub-fund by clicking the top Top button.PNG icon (parent level selection) or individual share classes by clicking on their corresponding boxes. The number of instruments to be added is shown in orange (right indicator). Here, we selected 2 funds (on parent level) having 9 ISINs:


Doc client allfund=Temporary suspension.PNG


A footer pop-up appears when you select instruments to be added or removed; it indicates how many changes are about to be made and provide you with the option to either save or cancel the changes:

9 changes identifed.PNG

After the changes are saved, you will see that the instruments are now included in the dissemination scope:

Doc client allfund=Temporary suspension=9.PNG

Note how the number of share classes in the existing scope (left indicator) is now different reflecting the changes: 9=9 bouton.PNG

Subscription matrix level (Dissemination lists per contract) – Access/edit list details

It is possible to access the basic information of a list and edit some of its attributes. Click on the Matrix Boutton.PNG “Open subscription matrix” button of a contract to access the list. Then click the action button Trois points button.PNG of the dissemination list you wish to see more information for or edit. Finally, select the “Consult subscription details” Oeil Button.PNG button.

The panel that appears will include a top information part similar to the one below:

General Subscription.PNG

The Trois points button.PNG button of the panel will enable you again to:

  • extract the reports available for the list
  • set the dissemination list as active/suspended

The panel has also three (3) distinct tabs: 1. The first tab Recipients.PNG contains the list of email addresses or FTP folders that the dissemination files will be sent to. You can add recipients by clicking the Add Recipients.PNG button. You can remove recipients by clicking on the tick box on the left and then selecting the Delete.PNG button that appears on the bottom-right of the screen. Alternatively, you can click the action button and then the Poubelle.PNG button that appears.

2. The second tab Timing.PNG will show you date and time related information relevant to the dissemination list:

Frequency.PNG

3. The third tab Scope.PNG will show you information regarding the dissemination scope in place for the list, as well as giving you the possibility to update it (“Edit scope” section).

  • The first way to alter the scope at this level is by adding ISINs to the existing scope. This can be achieved by listing them one by one without spaces, separated with a comma, in the text box provided. (Example: “LU1237426698,LU1238983620,LU1239859509”). Click Add Isins.PNG to confirm your addition.

A warning pop-up will appear if the instruments you are trying to add are not included in the dissemination universe. Please double check your entry.

Modification Scope.PNG

If the data is valid but you still cannot proceed with the addition, please contact funddatasupport@fundsquare.net and/or dissemination@fundsquare.com.

  • The second way of updating the scope of a dissemination list is by overwriting the existing scope and replacing it with a new one. This can be accomplished by uploading a .csv file with the new scope. The file should contain all ISINs vertically in the first column without any form of separation:

Excel.PNG

To upload your .csv file, drag and drop it on the designated Sortie.PNG area or click Browse File.PNG and locate the file via the directory that appears. Once the new instruments are added, you can save your changes by clicking Save Scope.PNG Note: This process does not add ISINS to the existing the scope but replaces it with the scope indicated in the .csv file uploaded.