Difference between revisions of "Registration and distribution matrix"

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=Introduction=
 
The '''Registration and Distribution Matrix''' module allows e-file users to manage the registration and distribution status of their funds in order to activate and run transmissions of documents to European authorities such as marketing of shares/units of an EU UCITS, cf. Directive 2009/65/EC.
 
The status can be updated <u>manually</u> by the user or <u>automatically</u> through a <u>Notification submission</u> using Fundsquare’s '''UCITS cross-border notifications module'''.
 
 
[[File:Matrix GreyedOut.png|alt=Registration and distribution matrix is greyed out.|thumb|To have access : '''''Distribution matrix ''''' and '''''Registration matrix ''''' groups ]]
 
====== <big>Your module is greyed out? :</big> ======
To get access to this module, please ask your e-file local administrator to [[E-file Administration#Assign groups and profiles to users|make you member]] of the '''''Distribution matrix ''''' and '''''Registration matrix ''''' groups.
 
=Test / Production environment=
 
Production environment : '''https://www.e-file.lu/e-file/'''
 
Homologation environment (Test) : '''https://homologation.e-file.lu/e-file/'''
 
 
 
 
 
=E-file login=
 
Enter your e-file login credentials (user name and password) and click the '''ACCESS''' button
 
[[File:Login.png|250 px]]
 
'''IMPORTANT:''' If you do not have an e-file user account, you must contact your '''e-file administrator''' of your company who manages user accounts and access rights.
 
[[E-file Administration|For more detailed information please click here => '''e-file Administration''']]
 
=Launchpad=
 
 
[[File:2After-Launchpad RegMat.png|border|800 px]]
 
Module icons are ordered by categories (Administration, Funds data, Settings etc.)
 
 
 
 
=Selecting a fund =
 
 
[[File:2CorrectionAfter SelectFund.png|1000 px]]
 
[[File:AfterPoint1.png|30 px]] Click on the '''FILTER''' button [[File:AfterSDMFilter.png|20 px]] on the right side of the screen. The '''DYNAMIC FILTERS''' taskbar (highlighted in yellow) with a '''Status''' area [[File:After-point2a.png|20 px]] opens, where you can filter the funds by their status (Active, inactive, closed).
 
[[File:AfterPoint2.png|30 px]] '''Active''' and '''Inactive''' funds are displayed by default. If you want for example display '''Closed''' funds as well, open the drop-down list by clicking inside the STATUS area [[File:After-point2a.png|20 px]], select '''Closed''' and press the '''Search''' button [[File:After SearchButton.png|20 px]].
 
[[File:AfterPoint3.png|30 px]] You can narrow your search criteria by using '''ISIN''' and '''Fund name''' filters. Click inside the toolbar [[File:After-point3a.png|20 px]] (highlighted in yellow). A drop-down list (highlighted in orange) opens.
 
Select the '''ISIN''' and /or '''Fund name''' filter that will then be added to the '''DYNAMIC FILTERS''' taskbar (highlighted in yellow), see figure below.
 
[[File:After DynamicFiltersISINName.png|500 px]]
 
These two filter options will allow you to search for example for a specific share class of a fund by its '''ISIN''' or '''Fund name''' (The '''Containing''' and '''Begin''' functions are included as well).
 
[[File:AfterPoint4.png|30 px]] Press the SEARCH button [[File:After SearchButton.png|20 px]] to initiate the search process.
 
[[File:AfterPoint5.png|30 px]] Press the '''RESET''' button [[File:AfterSDMResetButton.png|20 px]] to clear all filters and start a new search.
 
[[File:AfterPoint6.png|30 px]] Press the Expand '''DATA FILTER'''S icon to hide/display the '''DATA FILTERS''' taskbar.
 
[[File:AfterPoint7.png|30 px]] Move your mouse pointer over the fund area and click to open the '''Matrix''' screen.
 
= Matrix =
 
 
[[File:2After Matrix.png|1200 px]]
 
[[File:AfterPoint1.png|30 px]] Click on the '''FILTER''' button [[File:AfterSDMFilter.png|30 px]] on the right side of the screen. The '''DYNAMIC FILTERS''' taskbar (highlighted in yellow) with a '''Status''' area [[File:AfterPoint2.png|25 px]]  opens. Here you can filter the funds by their status (Active, inactive, closed).
 
[[File:AfterPoint2.png|30 px]] '''Active''' and '''Inactive''' funds are displayed by default. If you want to view '''Closed''' funds as well, open the drop-down list by clicking inside the STATUS area [[File:After-point2a.png|25 px]] , select '''Closed''' and press the '''Search''' button.
 
[[File:AfterPoint3.png|30 px]] Various filters are available to narrow further your search criteria. Click inside the toolbar [[File:After-point3a.png|25 px]]  (highlighted in yellow). A drop-down list (highlighted in orange) containing the following filter options, opens:
 
'''Matrix type''' - '''Distribution matrix status''' - '''Registration matrix status''' – '''Country''' – '''ISIN''' - '''Share class name''' - '''Sub fund name''' - '''Effective date''' – '''Error'''
 
Click on the filter options you need. They will be automatically added to '''DYNAMIC FILTERS''' taskbar [[File:After-point3a.png|25 px]] highlighted in yellow.
 
[[File:AfterPoint4.png|30 px]] Press the '''SEARCH''' button to initiate the search process once you have entered your filter options.
 
[[File:AfterPoint5.png|30 px]] Press the '''RESET''' button to clear all filters and start a new search.
 
[[File:AfterPoint6.png|30 px]] When a status box is selected, it is highlighted in green and the '''CANCEL''', '''REMOVE STATUS''' and '''CHANGE STATUS'''  buttons are activated [[File:AfterPoint7.png|25 px]].
 
To select all share classes of a fund, click the box [[File:After-point6a.png|25 px]] at fund level. To select all share classes of a sub-fund, click the box [[File:After-point6b.png|25 px]] at sub-fund level.
 
These functions allow you to add / update several share class simultaneously, provided the same status is required for each share class. All historical changes are registered and you can view them by clicking on the small clock icon [[File:After-point6c.png|30 px]]. The '''HISTORY''' drawer opens on the right side of the screen,see figure below.
 
[[File:After DetailHistory.png|border|500 px]]
 
 
[[File:AfterPoint7.png|30 px]] '''CANCEL''', '''REMOVE STATUS''' and '''CHANGE STATUS''' buttons
 
<u> '''CANCEL''' </u> : to cancel your previous selection press the '''CANCEL''' button.
 
 
 
<u> '''REMOVE STATUS''' </u>: to delete a status press the '''DELETE STATUS''' button. A small window pops up, where you have to confirm your deletion, see figure below.
 
[[File:After Remove status.png|300 px]]
 
 
 
<u> '''CHANGE REGISTRATION STATUS''' </u>: If you want to add /change a <u>registration status</u> press the '''CHANGE STATUS''' button. A drawer opens on the right side of the screen. In our case, the <u>registration status</u> has to be changed from '''R''' to '''RX'''.
 
Click on the new '''RX''' status. The old '''R''' status becomes grey and the new status '''RX''' becomes green, see figure below. Finally, press the '''CHANGE STATUS''' button.
 
[[File:After Change status.png|500 px]]
 
 
 
<u> '''CHANGE DISTRIBUTION STATUS''' </u>: If you want to add /change a <u>distribution status</u> press the '''CHANGE STATUS''' button. A drawer opens on the right side of the screen. In our case, the <u>distribution status</u> has to be changed from '''D''' to '''DX'''.
 
Click on the '''DX''' status. The old '''D''' status becomes grey and the new status '''DX''' becomes green, see figure below. Finally, press the '''CHANGE STATUS''' button.
 
[[File:After Change distribution status.png|500 px]]
 
 
[[File:After-point8.png|30 px]] Press the '''MANAGE COUNTRY''' button to add or remove countries. A drawer ''' MANAGE COUNTRY'''  opens on the right side of the screen, where you have to check / uncheck boxes in order to add / remove countries. Filter country and Filter continent are available to ease the search, see figure below.
 
[[File:After ManageCountry.png|border|500 px]]
 
 
[[File:After-point9.png|30 px]] Open Full screen mode. Filter taskbars will be hidden.
 
[[File:After-point10.png|30 px]] You can also export the complete matrix to Excel and view the status details, ISIN by ISIN, country by country. Press the '''Export''' button.
 
= Registration statuses =
 
Please be informed that no changes have been made to the registration statuses rules.
 
The Registration status informs you whether your fund is registered with the European authorities or not.
 
[[File:After-Befor-Registration statuses.png|border|600 px]]
 
[[File:Blue-RegStatus.png|25 px]] Status manually set through the '''Registration and distribution matrix module'''
 
[[File:Orange-RegStatus.png|25 px]] Status set through the '''Notification module''' (automatically) or manually (cannot be deleted if set through the Notification module)
 
[[File:Yellow-RegStatus.png|25 px]] Status automatically set through the '''Notification module''' (cannot be deleted through the Registration and distribtuion matrix module)
 
X - Not registered
 
E - To be registered
 
A - Registration in progress (selection of an instrument at step 2 of the '''Notification''')
 
: AT - Registration in progress - Transmitted to the authority
 
: AR - Registration in progress - Rejected by the authority
 
N - Notified
 
: NT - Notified - Transmitted to the HOST authority
 
: NR - Notified - Rejected by the HOST authority
 
: NA - Notified - Accepted by the HOST authority
 
R - Registered
 
: RI - Registered - Institutional
 
: RP - Registered - Private placement
 
XR - No more registered but with remaining investors
 
RX - No more registered
 
 
 
<u>Important information</u>:
 
When a Luxembourg fund is notified through the e-file notification module, the matrix is automatically updated.
 
 
'''Authorization table for Registration statuses'''
 
<u>Example</u>:: It is not allowed to replace a current status R by a status A.
 
[[File:RegStat-AuthorizedChanges.png|350 px]]
 
 
Some controls have been added to assist you in maintaining consistency between the registration and distribution.
 
* To insert a DI, you must have a RI (except for Switzerland).
* To insert a D, you must have a R.
* To insert a XR, you must have a DX.
 
= Distribution statuses =
 
Please be informed that no changes have been made to the registration statuses rules.
 
The Distribution informs you whether your fund is distributed or not.
 
[[File:After-Before-Distribution statuses.png|300 px]]
 
X - Not distributed
 
D - Distributed<br/>
DI – Distributed - Institutional
 
DX - No more distributed<br/>
<br/>
<u>Exception</u>: For <span style="color: red">Switzerland only</span>, dissemination of documents will be possible with a status DI even if the share class is not registered (Registration Status X). For the other countries, the dissemination will work <span style="color: red">ONLY</span> if there is a Registration Status R or RI inserted.
 
 
'''Authorization table for Distribution statuses'''
 
<u>Example</u>:: It is not allowed to replace a current status D by a status X.
 
[[File:DisStat-AuthorizedChanges.png|350 px]]
 
 
Some controls have been added to assist you in maintaining consistency between the registration and distribution.
 
* To insert a DI, you must have a RI (except for Switzerland).
* To insert a D, you must have a R.
* To insert a XR, you must have a DX.
 
= Consolidated view =
 
[[File:After dashboard.png|border|1000 px]]
 
= Error messages =
 
 
[[File:After-Status blocked Error message.png|border|500 px]]

Latest revision as of 14:51, 12 March 2024

Introduction

The Registration and Distribution Matrix module allows e-file users to manage the registration and distribution status of their funds in order to activate and run transmissions of documents to European authorities such as marketing of shares/units of an EU UCITS, cf. Directive 2009/65/EC.

The status can be updated manually by the user or automatically through a Notification submission using Fundsquare’s UCITS cross-border notifications module.


Registration and distribution matrix is greyed out.
To have access : Distribution matrix and Registration matrix groups
Your module is greyed out? :

To get access to this module, please ask your e-file local administrator to make you member of the Distribution matrix and Registration matrix groups.

Test / Production environment

Production environment : https://www.e-file.lu/e-file/

Homologation environment (Test) : https://homologation.e-file.lu/e-file/



E-file login

Enter your e-file login credentials (user name and password) and click the ACCESS button

Login.png

IMPORTANT: If you do not have an e-file user account, you must contact your e-file administrator of your company who manages user accounts and access rights.

For more detailed information please click here => e-file Administration

Launchpad

2After-Launchpad RegMat.png

Module icons are ordered by categories (Administration, Funds data, Settings etc.)



Selecting a fund

2CorrectionAfter SelectFund.png

AfterPoint1.png Click on the FILTER button AfterSDMFilter.png on the right side of the screen. The DYNAMIC FILTERS taskbar (highlighted in yellow) with a Status area After-point2a.png opens, where you can filter the funds by their status (Active, inactive, closed).

AfterPoint2.png Active and Inactive funds are displayed by default. If you want for example display Closed funds as well, open the drop-down list by clicking inside the STATUS area After-point2a.png, select Closed and press the Search button After SearchButton.png.

AfterPoint3.png You can narrow your search criteria by using ISIN and Fund name filters. Click inside the toolbar After-point3a.png (highlighted in yellow). A drop-down list (highlighted in orange) opens.

Select the ISIN and /or Fund name filter that will then be added to the DYNAMIC FILTERS taskbar (highlighted in yellow), see figure below.

After DynamicFiltersISINName.png

These two filter options will allow you to search for example for a specific share class of a fund by its ISIN or Fund name (The Containing and Begin functions are included as well).

AfterPoint4.png Press the SEARCH button After SearchButton.png to initiate the search process.

AfterPoint5.png Press the RESET button AfterSDMResetButton.png to clear all filters and start a new search.

AfterPoint6.png Press the Expand DATA FILTERS icon to hide/display the DATA FILTERS taskbar.

AfterPoint7.png Move your mouse pointer over the fund area and click to open the Matrix screen.

Matrix

2After Matrix.png

AfterPoint1.png Click on the FILTER button AfterSDMFilter.png on the right side of the screen. The DYNAMIC FILTERS taskbar (highlighted in yellow) with a Status area AfterPoint2.png opens. Here you can filter the funds by their status (Active, inactive, closed).

AfterPoint2.png Active and Inactive funds are displayed by default. If you want to view Closed funds as well, open the drop-down list by clicking inside the STATUS area After-point2a.png , select Closed and press the Search button.

AfterPoint3.png Various filters are available to narrow further your search criteria. Click inside the toolbar After-point3a.png (highlighted in yellow). A drop-down list (highlighted in orange) containing the following filter options, opens:

Matrix type - Distribution matrix status - Registration matrix status – Country – ISIN - Share class name - Sub fund name - Effective date – Error

Click on the filter options you need. They will be automatically added to DYNAMIC FILTERS taskbar After-point3a.png highlighted in yellow.

AfterPoint4.png Press the SEARCH button to initiate the search process once you have entered your filter options.

AfterPoint5.png Press the RESET button to clear all filters and start a new search.

AfterPoint6.png When a status box is selected, it is highlighted in green and the CANCEL, REMOVE STATUS and CHANGE STATUS buttons are activated AfterPoint7.png.

To select all share classes of a fund, click the box After-point6a.png at fund level. To select all share classes of a sub-fund, click the box After-point6b.png at sub-fund level.

These functions allow you to add / update several share class simultaneously, provided the same status is required for each share class. All historical changes are registered and you can view them by clicking on the small clock icon After-point6c.png. The HISTORY drawer opens on the right side of the screen,see figure below.

After DetailHistory.png


AfterPoint7.png CANCEL, REMOVE STATUS and CHANGE STATUS buttons

CANCEL  : to cancel your previous selection press the CANCEL button.


REMOVE STATUS : to delete a status press the DELETE STATUS button. A small window pops up, where you have to confirm your deletion, see figure below.

After Remove status.png


CHANGE REGISTRATION STATUS : If you want to add /change a registration status press the CHANGE STATUS button. A drawer opens on the right side of the screen. In our case, the registration status has to be changed from R to RX.

Click on the new RX status. The old R status becomes grey and the new status RX becomes green, see figure below. Finally, press the CHANGE STATUS button.

After Change status.png


CHANGE DISTRIBUTION STATUS : If you want to add /change a distribution status press the CHANGE STATUS button. A drawer opens on the right side of the screen. In our case, the distribution status has to be changed from D to DX.

Click on the DX status. The old D status becomes grey and the new status DX becomes green, see figure below. Finally, press the CHANGE STATUS button.

After Change distribution status.png


After-point8.png Press the MANAGE COUNTRY button to add or remove countries. A drawer MANAGE COUNTRY opens on the right side of the screen, where you have to check / uncheck boxes in order to add / remove countries. Filter country and Filter continent are available to ease the search, see figure below.

After ManageCountry.png


After-point9.png Open Full screen mode. Filter taskbars will be hidden.

After-point10.png You can also export the complete matrix to Excel and view the status details, ISIN by ISIN, country by country. Press the Export button.

Registration statuses

Please be informed that no changes have been made to the registration statuses rules.

The Registration status informs you whether your fund is registered with the European authorities or not.

After-Befor-Registration statuses.png

Blue-RegStatus.png Status manually set through the Registration and distribution matrix module

Orange-RegStatus.png Status set through the Notification module (automatically) or manually (cannot be deleted if set through the Notification module)

Yellow-RegStatus.png Status automatically set through the Notification module (cannot be deleted through the Registration and distribtuion matrix module)

X - Not registered

E - To be registered

A - Registration in progress (selection of an instrument at step 2 of the Notification)

AT - Registration in progress - Transmitted to the authority
AR - Registration in progress - Rejected by the authority

N - Notified

NT - Notified - Transmitted to the HOST authority
NR - Notified - Rejected by the HOST authority
NA - Notified - Accepted by the HOST authority

R - Registered

RI - Registered - Institutional
RP - Registered - Private placement

XR - No more registered but with remaining investors

RX - No more registered


Important information:

When a Luxembourg fund is notified through the e-file notification module, the matrix is automatically updated.


Authorization table for Registration statuses

Example:: It is not allowed to replace a current status R by a status A.

RegStat-AuthorizedChanges.png


Some controls have been added to assist you in maintaining consistency between the registration and distribution.

  • To insert a DI, you must have a RI (except for Switzerland).
  • To insert a D, you must have a R.
  • To insert a XR, you must have a DX.

Distribution statuses

Please be informed that no changes have been made to the registration statuses rules.

The Distribution informs you whether your fund is distributed or not.

After-Before-Distribution statuses.png

X - Not distributed

D - Distributed
DI – Distributed - Institutional

DX - No more distributed

Exception: For Switzerland only, dissemination of documents will be possible with a status DI even if the share class is not registered (Registration Status X). For the other countries, the dissemination will work ONLY if there is a Registration Status R or RI inserted.


Authorization table for Distribution statuses

Example:: It is not allowed to replace a current status D by a status X.

DisStat-AuthorizedChanges.png


Some controls have been added to assist you in maintaining consistency between the registration and distribution.

  • To insert a DI, you must have a RI (except for Switzerland).
  • To insert a D, you must have a R.
  • To insert a XR, you must have a DX.

Consolidated view

After dashboard.png

Error messages

After-Status blocked Error message.png

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