Difference between revisions of "ProductCoverage"

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[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf17_674_eng.pdf (-) CSSF - Circular 17/674]
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf17_674_eng.pdf (-) CSSF - Circular 17/674]


[http://www.cssf.lu/fileadmin/files/MAF/MIFID/TAF_Handbook.pdf (-) CSSF - TAF Handbook]
[http://www.cssf.lu/en/supervision/banks/legal-reporting/transaction-reporting/taf-handbook/ (-) CSSF - TAF Handbook]


||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]] <br />  <span style="color: #868686">[[MIFIR|(-) FAQ MiFIR]]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]] <br />  <span style="color: #868686">[[MIFIR|(-) FAQ MiFIR]]
Line 59: Line 59:
||2.1.23
||2.1.23
||<span style="color: #868686"> <small>''71''</small/> </span>
||<span style="color: #868686"> <small>''71''</small/> </span>
|-
|-  
|}
|}




==Institutions for Occupational Retirement Provision==
<div style="text-align: left;">
{| border="1" cellspacing="2" cellpadding="10"
|-
! scope="col" | '''Report <br /> naming convention'''
! scope="col" | '''Table'''
! scope="col" | '''Details'''
! scope="col" | '''NCA'''
! scope="col" | '''NCA <br /> (-) Circulars <br /> (-) Reporting instructions'''
! scope="col" | '''e-file - <br /> Manual file transmission <br />  (-) User guides <br /> (-) FAQ '''
! scope="col" | '''e-file -  <br /> Automatic file transmission <br />  (-) User guides'''
! scope="col" | '''Sending Service folder: <br /> ReportingDiffusion\'''
! scope="col" | '''Sending Service <br /> listener'''
! scope="col" | '''e-file user account: <br /> "groupe" <br /> "context"'''
! scope="col" | '''Appendix 1 Services selection sheet REF<br />'''
||<span style="color: #868686"> <small>''Internal <br /> Technical <br /> Business ID''</small/> </span>
|-
||SUFREP
||IORP
||Annual and quarterly reporting according to Circular CSSF 19/726 of 26 July 2019''
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_726eng.pdf (-) CSSF - Circular 19/726]<br />
[http://www.cssf.lu/fileadmin/files/Reporting_legal/transport_securisation_reporting/Convention_de_nom.pdf (-) Naming convention]<br />
[http://www.cssf.lu/fileadmin/files/Metier_OPC/Technical_Note_for_IORPs.pdf (-) Technical note]<br />
[https://eiopa.europa.eu/regulation-supervision/insurance/reporting-format/data-point-model-and-xbrl (-) XBRL taxonomies to be used>]<br />




||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]] <br />  <span style="color: #868686">
||[[Sending_Service|Sending Service]]
||IORP
||reportingIORP.state=up
||Reporting IORP
||
||<span style="color: #868686"> <small>''80''</small/> </span>
|-
|}


==Credit Institutions==
==Credit Institutions==
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! scope="col" | '''Sending Service <br /> listener'''
! scope="col" | '''Sending Service <br /> listener'''
! scope="col" | '''e-file user account: <br /> "groupe" <br /> "context"'''
! scope="col" | '''e-file user account: <br /> "groupe" <br /> "context"'''
! scope="col" | ''' Appendix 1<br /> Services selection sheet REF <br />'''
! scope="col" | ''' Appendix 1 Services selection sheet REF <br />'''
||<span style="color: #868686"> <small>''Internal <br /> Technical <br /> Business ID''</small/> </span>
||<span style="color: #868686"> <small>''Internal <br /> Technical <br /> Business ID''</small/> </span>
|-
|-
Line 98: Line 135:
||<span style="color: #868686"> <small>''74''</small/> </span>
||<span style="color: #868686"> <small>''74''</small/> </span>
|-
|-
||SHSGRP
||CSDREP
||CSDR
||Reporting CSDR:<br />  Introduction of quarterly internalised settlement reporting requirements
pursuant to Article 9(1) of EU Regulation No 909/2014 (CSDR)
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_709eng.pdf CSSF - Circular 19/709]
||[[Transmission_Module#Manual_file_transmission |(-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]
||[[Sending_Service|Sending Service]]
||CSDR
||reportingCSDR.state=up
||Reporting CSDR-9
||2.1.26
||<span style="color: #868686"> <small>''78''</small/> </span>
|-
||SHSGRP
||SHSGRP  
||SHSGRP  
||«SHS-Group» report:<br /> Statistics on holdings of securities by reporting banking groups  
||«SHS-Group» report:<br /> Statistics on holdings of securities by reporting banking groups  
Line 364: Line 415:
|-
|-
||S0112-L
||S0112-L
||<span style="background:yellow"> '''NEW:'''</span> S1.12-L
||S1.12-L
||Indirect withdrawal and remittance of banknotes denominated in EUR through an intermediary
||Indirect withdrawal and remittance of banknotes denominated in EUR through an intermediary
||BCL
||BCL
Line 372: Line 423:
||BCL_Statistics
||BCL_Statistics
||reportingBCLStat.state=up
||reportingBCLStat.state=up
||Statistiques BCL
||Reporting S1.12
||2.1.25
||2.1.25
||<span style="color: #868686"> <small>''76''</small/> </span>
||<span style="color: #868686"> <small>''76''</small/> </span>
Line 1,044: Line 1,095:
||Monthly statistical balance sheet for money market funds (MMF)
||Monthly statistical balance sheet for money market funds (MMF)
||BCL
||BCL
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
Line 1,057: Line 1,108:
||Monthly statistical balance sheet for money market funds (MMF)
||Monthly statistical balance sheet for money market funds (MMF)
||BCL
||BCL
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
Line 1,070: Line 1,121:
||Quarterly statistical balance sheet for non-MMF investment funds
||Quarterly statistical balance sheet for non-MMF investment funds
||BCL
||BCL
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
Line 1,083: Line 1,134:
||Monthly Security by security reporting for investment funds
||Monthly Security by security reporting for investment funds
||BCL
||BCL
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) <span style="background:yellow"> '''NEW:'''</span> Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[http://www.bcl.lu/fr/cadre_juridique/documents_nationaux/circulaires_bcl/_circulaires/2018/2018_241/BCL-2018-241_EN.pdf (-) BCL - Circular 2018/241] <br /> [http://www.bcl.lu/en/Regulatory-reporting/Fonds_Investissement/Instructions/Electronic_transmission_IF_EN.pdf (-) Manual of electronic transmission for statistical reports of investment funds - Oct 2018]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[ReportGeneration|Report generation <br /> with e-form]]
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
Line 1,105: Line 1,156:
||<span style="color: #868686"> <small>''17''</small/> </span>  
||<span style="color: #868686"> <small>''17''</small/> </span>  
|-  
|-  
|PDRREP <br /> DOCREP
|DOCREP
||LF <br /> RR
||LF
||Long Form reports (LF) <br /> Other auditor report (RR)
||<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />  
Long Form reports (UCI Law 2010)  
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf09_423eng.pdf (-) CSSF 09/423] <br />[http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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 1,116: Line 1,169:
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-  
|-  
|PDRREP <br /> DOCREP
||DOCREP
||ML <br /> RR
||ML
||Management Letters (ML) <br /> Other auditor report (RR)
||<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />  
Management letters  <br />
(-) O: OPC Law 2010<br />
(-) O: Law 2007 <br />  
(-) K: SICAR<br />
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf09_423eng.pdf (-) CSSF 09/423] <br />[http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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 1,130: Line 1,188:
|-
|-
|DOCREP
|DOCREP
||<small>(-) PC <br /> (-) PS <br /> (-) DE <br /> (-) LE</small/>
||ML
||<small>SIF: <br /> (-) Prospectus (PC) <br /> (-) Simplified prospectus (PS) <br /> (-) Offering document (DE) <br /> (-) Letter of explanation (LE)</small/>
||<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />  
Management letters of Investment fund managers (IFM) ('''EN''') <br />  
Gestionnaires des fonds d'investissement (GFI) ('''FR''')
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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]]
||DOC_FIS_OPC\PROSP_FIS
||DOC_FIS_OPC\MGMT_GFI
||reportingPFIS.state=up
||reportingMLGFI.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||(-) 1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-
|-
|DOCREP
|DOCREP
||<small>(-) PC <br /> (-) PS <br /> (-) LE</small/>
||RR<br />
||<small>UCI: <br /> (-) Prospectus (PC) <br /> (-) Simplified prospectus (PS) <br /> (-) Letter of explanation (LE)</small/>
HK
||<small><span style="background:yellow"> '''NEW:'''</span></small/>
Auditor report<br />  
(-) O: UCI Law 2010<br />  
(-) O: UCI Law 2007<br />  
(-) K: SICAR<br />
(-) S: Investment fund manager (IFM) <br />  
(-) A: Investment fund manager (IFM) <br />  
<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />
Report Hong Kong Securities and Futures (HK) <br />  
 
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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]]
||DOC_FIS_OPC\PROSP_OPC
||DOC_FIS_OPC/OTHER
||reportingPOPC.state=up
||reportingDOC_OTH.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-  
|-
|DOCREP
|DOCREP<br />
||(-) <small>AR <br />  (-) SR <br /> (-) LE <br /> (-) RO <br /> (-) PM <br /></small/>  
||
||<small>SIF:  <br /> (-) Annual Report (AR) <br /> (-) Semi-annual report (SR) <br /> (-) Letter of explanation (LE) <br /> (-) Other periodic report (RO) <br /> (-) Movements in the securities portfolios (PM)</small/>  
<small>
 
 
 
(-) GR <br />
(-) ID <br />
(-) FC <br />
(-) IA <br />
(-) BC <br /> 
(-) TP <br />
(-) LP <br />
(-) PG <br /> 
(-) OG <br />  
(-) TM <br />   
(-) RD <br />
(-) AS <br />  
(-) FP <br />  
(-) PN <br />  
(-) BD <br />  
(-) CO <br />
(-) ET <br />
</small/>  
||
<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />
'''Investment fund managers (IFM)''': <br />
<small>
(-) Risk management function(GR) <br />
(-) OPCVM instruments information (ID) <br />
(-) Compliance Function (FC)<br />
(-) Internal audit function report (IA)<br />
(-) LBC/FT Obligation (BC) <br /> 
(-) Complaints handling (TP) <br />
(-) Authorized third party complaints (LP) <br />
(-) Risk Management Procedure (PG)<br />  
(-) Organization chart (OG) <br />  
(-) Mandates table (TM) <br />
(-) Delegates of RFI (RD) <br />
(-) Branch activity (AS) <br />
(-) Own funds ratio (FP) <br />
(-) Risk management procedure AIFM (PN) <br />  
(-) Minutes of meetings of the governing body (Board of directors or management board) (BD) <br />  
(-) Minutes of the conducting officers' meeting during the year 2018, during which LBC / FT topics were discussed (CO) <br />  
(-) Evidence that all of the manager's employees have completed AML / CFT training (ET) <br />
</small/>
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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]]
||DOC_FIS_OPC\Report_FIS
||DOC_FIS_OPC\DOC_GFI
||reportingRAFIS.state=up
||reportingGFI.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-
|-
|DOCREP
|DOCREP
||<small>(-) AR <br /> (-) SR <br /> (-) LE <br /> (-) RO <br /> (-) PM</small/>
||(-) PC <br /> (-) DE <br /> (-) LE
||<small>UCI: <br /> (-) Annual Report (AR) <br /> (-) Semi-annual report (SR) <br /> (-) Letter of explanation (LE) <br /> (-) Other periodic report(RO) <br /> (-) Movements in the securities portfolios (MP)</small/>
||SIF: <br /> (-) Prospectus (PC) <br /> (-) Offering document (DE) <br /> (-) Letter of explanation (LE)
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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]]
||DOC_FIS_OPC\Report_OPC
||DOC_FIS_OPC\PROSP_FIS
||reportingRFOPC.state=up
||reportingPFIS.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||(-) 1.1 <br /> (-) 1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-  
|-
|DOCREP
|DOCREP
||KI
||(-) PC <br /> (-) PS <br /> (-) LE
||Key Investor Information Document
||UCI: <br /> (-) Prospectus (PC) <br /> (-) Simplified prospectus (PS) <br /> (-) Letter of explanation (LE)
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf11_509eng.pdf (-) CSSF 11/509] <br /> [http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf CSSF - Circulars 19/708]<br />
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  <br /> [[PRIIPS|(-) PRIIPs KID]]  
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
||DOC_FIS_OPC\KID_OPC
||DOC_FIS_OPC\PROSP_OPC
||reportingKID.state=up
||reportingPOPC.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||(-) 1.1 <br /> (-) 1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-  
|-  
|DOCREP
|DOCREP
||MR
||(-) AR <br /> (-) SR <br /> (-) LE <br /> (-) RO <br /> (-) PM
||Management Regulations of UCITS
||SIF Law 2007:  <br /> (-) Annual Report (AR) <br /> (-) Semi-annual report SIF (SR) <br /> (-) Letter of explanation (LE) <br /> (-) Other periodic report (RO) <br /> (-) Movements in the securities portfolios (PM) <br />
<small><span style="background:yellow"> '''NEW'''</span></small/> SICAR: <br />
(-) Annual Report (AR) <br />
(-) Other periodic report (RO)
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf11_509eng.pdf (-) CSSF 11/509] <br /> [http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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]]
||DOC_FIS_OPC\MGMT_REGUL
||DOC_FIS_OPC\Report_FIS
||reportingMR.state=up
||reportingRAFIS.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||(-) 1.1 <br /> (-) 1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-  
 
 
 
 
|-
|DOCREP
|DOCREP
||AI
||(-) AR <br /> (-) SR <br /> (-) LE <br /> (-) RO <br /> (-) PM
||Articles of Incorporation of UCITS
||UCI Law 2010: <br /> (-) Annual Report (AR)  <br /> (-) Semi-annual report SIF (SR) <br /> (-) Letter of explanation (LE) <br /> (-) Other periodic report (RO) <br /> (-) Movements in the securities portfolios (MP)
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf11_509eng.pdf (-) CSSF 11/509] <br /> [http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[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]]
||DOC_FIS_OPC\ART_INCORP||reportingAI.state=up
||DOC_FIS_OPC\Report_OPC
||reportingRFOPC.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||(-) 1.1 <br /> (-) 1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-
|-
||n/a
|DOCREP
||n/a
||AR <br /> RO
||Request for delivery of attestations
||<small><span style="background:yellow"> '''NEW:'''</span></small/><br />
Investment fund managers (IFM) ('''EN''') <br />
Gestionnaires des fonds d'investissement (GFI)('''FR''')<br />
(-) Annual Report (AR) <br />
(-) Other periodic report (RO) <br />
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf11_509eng.pdf (-) CSSF 11/509] <br /> [http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf CSSF - Circulars 19/708]<br />
||[[Transmission_Module#Special_case:_UCI_attestation_request | (-) UCI attestation request]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||n/a
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||n/a
||[[Sending_Service|Sending Service]]
||n/a
||DOC_FIS_OPC/REPORT_GFI
||reportingRGFI.state=up
||Doc OPC et FIS (circ. CSSF)
||Doc OPC et FIS (circ. CSSF)
||(-) 1.1 <br /> (-) 1.5
||1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-
 
|NOTREP
 
||INI ''or'' <br /> 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
|DOCREP
||KI
||Key Investor Information Document <br />  
(-) O: OPC Law 2010 and Loi 2007 <br />
(-) K: SICAR<br />
(-) V: non-reglem.
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf11_509eng.pdf (-) CSSF 11/509] <br /> [http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Document transmission <br /> Circulars 08/371, 09/423, 11/509]
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
||[[E-file_Light_EN#Notification_Tool|e-file Notification Tool]]
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  <br /> [[PRIIPS|(-) PRIIPs KID]]  
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
||DOC_FIS_OPC\NOTIFICATIONS_UCITSIV
||DOC_FIS_OPC\KID_OPC
||reportingNotifUcitsIV.state=up
||reportingKID.state=up
||(-) Gestion documentaire <br /> (-) Dashboard <br /> (-) Matrice d'enregistrement et de distribution
||Doc OPC et FIS (circ. CSSF)
||1.2
||(-) 1.1 <br /> (-) 1.5
||<span style="color: #868686"> <small>''28''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-  
|-  
|}
|DOCREP
</div>
||MR
 
||Management Regulations of UCITS
 
(-) O: OPC Law 2010<br />  
 
(-) O: Law 2007 <br />  
 
||CSSF
 
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf  (-) CSSF - Circulars 19/708]<br />
==Alternative Investment Fund Managers (AIFM)==
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
 
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]
<div style="text-align: left;">
||[[Sending_Service|Sending Service]]
 
||DOC_FIS_OPC\MGMT_REGUL
{| border="1" cellspacing="2" cellpadding="10"
||reportingMR.state=up
|-
||Doc OPC et FIS (circ. CSSF)
! scope="col" | '''Report <br /> naming convention'''
||(-) 1.1 <br /> (-) 1.5
! scope="col" | '''Table'''
||<span style="color: #868686"> <small>''21''</small/> </span>  
! scope="col" | '''Details'''
|-  
! scope="col" | '''NCA'''
|DOCREP
! scope="col" | '''NCA <br /> (-) Circulars <br /> (-) Reporting instructions'''
||AI
! scope="col" | '''e-file - <br /> Manual file transmission <br /(-) User guides <br /> (-) FAQ '''
||Articles of Incorporation of UCITS
! scope="col" | '''e-file -  <br /> Automatic file transmission <br /> (-) User guides'''
(-) O: UCI Law 2010 <br />
! scope="col" | '''Sending Service folder: <br /> ReportingDiffusion\'''
(-) O: UCI Law 2007 <br />
! scope="col" | '''Sending Service <br /> listener'''
(-) <small><span style="background:yellow"> '''NEW'''</span></small/> K: SICAR <br />
! scope="col" | '''e-file user account: <br /> "groupe" <br /> "context"'''
! scope="col" | ''' Appendix 1 Services selection sheet REF <br />'''
||<span style="color: #868686"> <small>''Internal <br /> Technical <br /> Business ID''</small/> </span>
|-
|AIF
||MAN
||Alternative Investment Fund reporting (AIF Manager)
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf14_581.pdf CSSF - Circular 14/581]  
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  <br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
[[Media:AIFMD reporting with Fundsquare and AMfine - Handbook 4.0 web.pdf|(-) AIFMD reporting with Fundsquare and AMfine - Handbook 4.0]]  
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
||AIF||reportingAIF.state=up
||DOC_FIS_OPC\ART_INCORP||reportingAI.state=up
||(-) AIF <br /> (-) AMfine
||Doc OPC et FIS (circ. CSSF)
||1.1 (filing) <br /> 1.3 (if not 1.1) <br /> 1.4 (AMFine)
||(-) 1.1 <br /> (-) 1.5
||<span style="color: #868686"> <small>''54''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-  
|-
|AIF
||n/a
||AIF
||n/a
||Alternative Investment Fund reporting
||Request for delivery of attestations
||CSSF
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf14_581.pdf CSSF - Circular 14/581]  
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]] <br />  
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe]
[[Media:AIFMD reporting with Fundsquare and AMfine - Handbook 4.0 web.pdf|(-) AIFMD reporting with Fundsquare and AMfine - Handbook 4.0]]  
||[[Transmission_Module#Special_case:_UCI_attestation_request | (-) UCI attestation request]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  
||[[Sending_Service|Sending Service]]
||n/a
||AIF
||n/a
||reportingAIF.state=up
||n/a
||(-) AIF <br /> (-) AMfine
||Doc OPC et FIS (circ. CSSF)
||1.1 (filing) <br /> 1.3 (if not 1.1) <br /> 1.4 (AMFine)
||(-) 1.1 <br /> (-) 1.5
||<span style="color: #868686"> <small>''54''</small/> </span>  
||<span style="color: #868686"> <small>''21''</small/> </span>
|-
|NOTREP
||INI ''or'' <br /> 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
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf11_509eng.pdf (-) CSSF 11/509] <br /> [http://www.cssf.lu/fileadmin/files/Metier_OPC/Transmission_electronique_des_documents__PRIIPs_KID_.pdf (-) CSSF - Circulars 08/371, 09/423, 11/509]
||[[E-file_Light_EN#Notification_Tool|e-file Notification Tool]]
||[[Sending_Service|Sending Service]]
||DOC_FIS_OPC\NOTIFICATIONS_UCITSIV
||reportingNotifUcitsIV.state=up
||(-) Gestion documentaire <br /> (-) Dashboard <br /> (-) Matrice d'enregistrement et de distribution
||1.2
||<span style="color: #868686"> <small>''28''</small/> </span>  
|-  
|-  
|}
|}
</div>
</div>


==Alternative Investment Fund Managers (AIFM)==


==Management Companies==
Management companies (Chapter 15 (UCITS), Chapter 16 (SIF), AIFM)
<div style="text-align: left;">
<div style="text-align: left;">


Line 1,316: Line 1,460:
! scope="col" | '''NCA'''
! scope="col" | '''NCA'''
! scope="col" | '''NCA <br /> (-) Circulars <br /> (-) Reporting instructions'''
! scope="col" | '''NCA <br /> (-) Circulars <br /> (-) Reporting instructions'''
! scope="col" | '''e-file - <br /> Manual file transmission <br />  (-) User guides <br /> (-) FAQ '''
! scope="col" | '''e-file - <br /> Manual file transmission <br />  (-) User guides <br /> (-) FAQ '''
! scope="col" | '''e-file -  <br /> Automatic file transmission <br />  (-) User guides'''
! scope="col" | '''e-file -  <br /> Automatic file transmission <br />  (-) User guides'''
! scope="col" | '''Sending Service folder: <br /> ReportingDiffusion\'''
! scope="col" | '''Sending Service folder: <br /> ReportingDiffusion\'''
! scope="col" | '''Sending Service <br /> listener'''
! scope="col" | '''Sending Service <br /> listener'''
! scope="col" | '''e-file user account: <br /> "groupe" <br /> "context"'''
! scope="col" | '''e-file user account: <br /> "groupe" <br /> "context"'''
! scope="col" | ''' Appendix 1 Services selection sheet REF <br />'''
! scope="col" | ''' Appendix 1 Services selection sheet REF <br />'''
||<span style="color: #868686"> <small>''Internal <br /> Technical <br /> Business ID''</small/> </span>
||<span style="color: #868686"> <small>''Internal <br /> Technical <br /> Business ID''</small/> </span>
|-
|AIF
||MAN
||Alternative Investment Fund reporting (AIF Manager)
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf14_581.pdf CSSF - Circular 14/581]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  <br />
[[Media:AIFMD reporting with Fundsquare and AMfine - Handbook 4.0 web.pdf|(-) AIFMD reporting with Fundsquare and AMfine - Handbook 4.0]]
||[[Sending_Service|Sending Service]]
||AIF||reportingAIF.state=up
||(-) AIF <br /> (-) AMfine
||1.1 (filing) <br /> 1.3 (if not 1.1) <br /> 1.4 (AMFine)
||<span style="color: #868686"> <small>''54''</small/> </span>
|-
|AIF
||AIF
||Alternative Investment Fund reporting
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf14_581.pdf CSSF - Circular 14/581]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]  <br />
[[Media:AIFMD reporting with Fundsquare and AMfine - Handbook 4.0 web.pdf|(-) AIFMD reporting with Fundsquare and AMfine - Handbook 4.0]]
||[[Sending_Service|Sending Service]]
||AIF
||reportingAIF.state=up
||(-) AIF <br /> (-) AMfine
||1.1 (filing) <br /> 1.3 (if not 1.1) <br /> 1.4 (AMFine)
||<span style="color: #868686"> <small>''54''</small/> </span>
|-
|}
</div>
 
 
 
 
 
==Management Companies==
 
<div style="text-align: left;">
 
{| border="1" cellspacing="2" cellpadding="10"
|-
! scope="col" | '''Report <br /> naming convention'''
! scope="col" | '''Table'''
! scope="col" | '''Details'''
! scope="col" | '''NCA'''
! scope="col" | '''NCA <br /> (-) Circulars <br /> (-) Reporting instructions'''
! scope="col" | '''e-file - <br /> Manual file transmission <br />  (-) User guides <br /> (-) FAQ '''
! scope="col" | '''e-file -  <br /> Automatic file transmission <br />  (-) User guides'''
! scope="col" | '''Sending Service folder: <br /> ReportingDiffusion\'''
! scope="col" | '''Sending Service <br /> listener'''
! scope="col" | '''e-file user account: <br /> "groupe" <br /> "context"'''
! scope="col" | ''' Appendix 1 Services selection sheet REF <br />'''
||<span style="color: #868686"> <small>''Internal <br /> Technical <br /> Business ID''</small/> </span>
|-
|SGOREP
||G21
||<small>(-) SG 1A: Financial situation <br /> (-) SG 1B: Profit and loss account <br /> (-) SG 1C: Table relating to other activities <br /> (-) SG 2: Other activities <br /> (-) SG: Personnel Table relating to staff</small/>
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf10_467eng.pdf (-) CSSF - Circular 10/467] <br /> [http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf15_633eng.pdf (-) CSSF - Circular 15/633] <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]]
||[[Sending_Service|Wiki Sending Service]]
||SGO
||reportingSGO.state=up
||Rapport Société de Gestion
||(-) 1.1 <br /> (-) 2.1.16
||<span style="color: #868686"> <small>''26''</small/> </span>
|-
|DOCREP
||ML
||<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />
Management letters of Investment fund managers (IFM) ('''EN''') <br />
Gestionnaires des fonds d'investissement (GFI) ('''FR''')
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]
||[[Sending_Service|Sending Service]]
||DOC_FIS_OPC\MGMT_GFI
||reportingMLGFI.state=up
||Doc OPC et FIS (circ. CSSF)
||(-) 1.5
||<span style="color: #868686"> <small>''21''</small/> </span>
|-
|DOCREP
||AR
||<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />
Annual report of Investment fund managers (IFM) ('''EN''') <br />
Gestionnaires des fonds d'investissement (GFI) ('''FR''')
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]
||[[Sending_Service|Sending Service]]
||DOC_FIS_OPC/REPORT_GFI
||reportingRGFI.state=up
||Doc OPC et FIS (circ. CSSF)
||(-) 1.5
||<span style="color: #868686"> <small>''21''</small/> </span>
|-
|DOCREP
||RR<br />
HK
||<small><span style="background:yellow"> '''NEW:'''</span></small/>
Auditor report<br />
(-) S: Investment fund manager (IFM) <br />
(-) A: Investment fund manager (IFM) <br />
<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />
Report Hong Kong Securities and Futures (HK) <br />
 
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]
||[[Sending_Service|Sending Service]]
||DOC_FIS_OPC/OTHER
||reportingDOC_OTH.state=up
||Doc OPC et FIS (circ. CSSF)
||1.5
||<span style="color: #868686"> <small>''21''</small/> </span>
|-
|DOCREP<br />
||
<small>
 
 
 
(-) GR <br />
(-) ID <br />
(-) FC <br />
(-) IA <br />
(-) BC <br /> 
(-) TP <br />
(-) LP <br />
(-) PG <br /> 
(-) OG <br />
(-) TM <br /> 
(-) RD <br />
(-) AS <br />
(-) FP <br />
(-) PN <br />
(-) BD <br />
(-) CO <br />
(-) ET <br />
</small/>   
||
<small><span style="background:yellow"> '''NEW:'''</span></small/> <br />
'''Investment fund managers (IFM)''': <br />
<small>
(-) Risk management function(GR) <br />
(-) OPCVM instruments information (ID) <br />
(-) Compliance Function (FC)<br />
(-) Internal audit function report (IA)<br />
(-) LBC/FT Obligation (BC) <br /> 
(-) Complaints handling (TP) <br />
(-) Authorized third party complaints (LP) <br />
(-) Risk Management Procedure (PG)<br /> 
(-) Organization chart (OG) <br />
(-) Mandates table (TM) <br /> 
(-) Delegates of RFI (RD) <br />
(-) Branch activity (AS) <br />
(-) Own funds ratio (FP) <br />
(-) Risk management procedure AIFM (PN)<br />
(-) Minutes of meetings of the governing body (Board of directors or management board) (BD)<br />
(-) Minutes of the conducting officers' meeting during the year 2018, during which LBC / FT topics were discussed (CO)<br />
(-) Evidence that all of the manager's employees have completed AML / CFT training (ET) <br />
</small/>
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf18_698.pdf (-) CSSF - Circulars 18/698]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708.pdf (-) CSSF - Circulars 19/708]<br />
[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf19_708_annexe.pdf (-) Annexe cssf 19/708]
 
||[[Transmission_Module#Manual_file_transmission | (-) Manual file transmission]] <br /> [[Transmission_Module#Sending types | (-) Sending types - Examples]]
||[[Sending_Service|Sending Service]]
||DOC_FIS_OPC\DOC_GFI
||reportingGFI.state=up
||Doc OPC et FIS (circ. CSSF)
||1.5
||<span style="color: #868686"> <small>''21''</small/> </span>  
|-
|-
|SGOREP
||G21
||<small>(-) SG 1A: Financial situation <br /> (-) SG 1B: Profit and loss account <br /> (-) SG 1C: Table relating to other activities <br /> (-) SG 2: Other activities <br /> (-) SG: Personnel Table relating to staff</small/>
||CSSF
||[http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf10_467eng.pdf (-) CSSF - Circular 10/467] <br /> [http://www.cssf.lu/fileadmin/files/Lois_reglements/Circulaires/Hors_blanchiment_terrorisme/cssf15_633eng.pdf (-) CSSF - Circular 15/633] <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]]
||[[Sending_Service|Wiki Sending Service]]
||SGO
||reportingSGO.state=up
||Rapport Société de Gestion
||(-) 1.1 <br /> (-) 2.1.16
||<span style="color: #868686"> <small>''26''</small/> </span>
|-
|}
|}
</div>
</div>


==Professionals of the Financial Sector (PFS)==
==Professionals of the Financial Sector (PFS)==
Line 1,597: Line 1,902:
||Compte rendu
||Compte rendu
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,610: Line 1,915:
||Rapport actuariel
||Rapport actuariel
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,623: Line 1,928:
||Rapport distinct du réviseur
||Rapport distinct du réviseur
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,635: Line 1,940:
||Source file reception from CAA||Rapport de gouvernance
||Source file reception from CAA||Rapport de gouvernance
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,648: Line 1,953:
||Rapport LBCFT
||Rapport LBCFT
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,660: Line 1,965:
||Source file reception from CAA||Rapports sur le traitement des réclamations
||Source file reception from CAA||Rapports sur le traitement des réclamations
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,672: Line 1,977:
||Source file reception from CAA||Enquête spécifique
||Source file reception from CAA||Enquête spécifique
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,685: Line 1,990:
||Etat trimestriel
||Etat trimestriel
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,698: Line 2,003:
||Rapport distinct Solvabilité 2 du réviseur
||Rapport distinct Solvabilité 2 du réviseur
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,711: Line 2,016:
||Fiche de renseignement
||Fiche de renseignement
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||n/a
||n/a
Line 1,724: Line 2,029:
||Rapports narratifs
||Rapports narratifs
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[Sending_Service|Wiki Sending Service]]
||[[Sending_Service|Wiki Sending Service]]
Line 1,736: Line 2,041:
||XBRL reports Solvency II
||XBRL reports Solvency II
||CAA
||CAA
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v103-2.pdf (-) File naming convention]
||[http://www.caa.lu/uploads/documents/files/Circ15_10.pdf  (-) Circulaire 15/10] <br /> [http://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf (-) File naming convention]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[CAA_Manual|Wiki-CAA Manual]]
||[[Sending_Service|Sending Service]]
||[[Sending_Service|Sending Service]]
Line 1,797: Line 2,102:
|}
|}
</div>
</div>


==Financial Institutions - Foreign Account Tax Compliance Act (FATCA)==
==Financial Institutions - Foreign Account Tax Compliance Act (FATCA)==

Revision as of 11:40, 6 November 2019

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

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


(-) 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
CSSF (-) Regulation (EU) No 680/2014
(-) CSSF - Reporting requirements for credit institutions
(-) Naming convention for CSSF reportings
(-) 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 15/624
(-) 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 15/624
(-) 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 15/624
(-) 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 15/624
(-) 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 15/624
(-) 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 10/457
(-) 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 10/457
(-) 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 15/624
(-) 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 15/624
(-) 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 15/624
(-) 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 - 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 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 (-) Manual file transmission
(-) 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 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
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 SIF (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

(-) 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

CSSF (-) CSSF - Reporting requirements for investment firms
(-) Naming convention for CSSF reportings
(-) 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, S2.19, 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, S2.19, 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, S2.19, 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