Difference between revisions of "Registration and distribution matrix"

From E-fileWiki
Jump to navigation Jump to search
 
(60 intermediate revisions by 2 users not shown)
Line 4: Line 4:


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'''.
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'''.
<span style="color:white; background:DarkTurquoise"> '''Please be informed that we are working on a new e-file version of the '''Registration and Distribution matrix''' application that will be delivered in the first quarter of 2020.''' </span>
This modernized e-file version will introduce a <u>new design</u> and <u>improve ergonomics</u> for a better user experience.
Please find below our <span style="color:Grey">'''BEFORE'''</span>  <span style="color:DarkTurquoise">'''AFTER'''</span> User Guide where we explain all major changes.




[[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=
=Test / Production environment=
Line 29: Line 25:
Enter your e-file login credentials (user name and password) and click the '''ACCESS''' button
Enter your e-file login credentials (user name and password) and click the '''ACCESS''' button


[[File:2BeforeAfter Logins.png|500 px]]
[[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.
'''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.
Line 35: Line 31:
[[E-file Administration|For more detailed information please click here => '''e-file Administration''']]
[[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.)


=Launchpad=


<span style="color:Grey">'''<u>BEFORE</u> Launchpad'''</span>


Once logged in, the e-file launchpad opens.


Click on the '''Registration and distribtuion matrix''' icon to access the module.
=Selecting a fund =




[[File:2CorrectionAfter SelectFund.png|1000 px]]


[[File:2Before-Launchpad RegMat.png|800 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).


Module icons are displayed randomly.
[[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.


<span style="color:DarkTurquoise">'''<u>AFTER</u> Launchpad'''</span>
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:2After-Launchpad RegMat.png|border|800 px]]
[[File:After DynamicFiltersISINName.png|500 px]]


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


=Selecting a fund =
[[File:AfterPoint4.png|30 px]] Press the SEARCH button [[File:After SearchButton.png|20 px]] to initiate the search process.


<span style="color:Grey">'''<u>BEFORE</u> Selecting a fund'''</span>
[[File:AfterPoint5.png|30 px]] Press the '''RESET''' button [[File:AfterSDMResetButton.png|20 px]] to clear all filters and start a new search.


[[File:2Before SelectFund.png|1000 px]]
[[File:AfterPoint6.png|30 px]] Press the Expand '''DATA FILTER'''S icon to hide/display the '''DATA FILTERS''' taskbar.


[[File:BeforePoint1.png|30 px]] The '''01 Funds Selection''' screen allows you to search and select your instrument. Various search criteria are available.  
[[File:AfterPoint7.png|30 px]] Move your mouse pointer over the fund area and click to open the '''Matrix''' screen.


[[File:BeforePoint2.png|30 px]] Search by '''Fundname''': open the drop-down list and select either '''Containing''' or '''Begin.''' This filter function allows you to enter only a part of the fund's name and to retrieve the fund you are lookging for.
= Matrix =


[[File:BeforePrint3.png|30 px]] Search by '''ISIN''': Insert your ISIN code to display only one specific share class of a fund.


[[File:BeforePrint4.png|30 px]] '''Active''' and '''Inactive''' funds are displayed by default. If you want to display closed funds as well, select '''Closed''' from the drop-down list and press the '''Search''' button.
[[File:2After Matrix.png|1200 px]]


[[File:BeforePrint5.png|30 px]] You can further narrow your search criteria by selecting a specific '''Jurisdiction Country''' and '''Distribution Country'''.  
[[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:BeforePrint6.png|30 px]] Press the '''Search''' button to initiate the search process, once you have entered your filter options.
[[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:BeforePrint7.png|30 px]] Press the '''Reset''' button to clear all filters and to start a new search.
[[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:


[[File:BeforePrint8.png|30 px]] Press the '''Edit''' button of the fund for which you want to manage the different statuses. The '''02 Registration/Distribution matrix''' opens.
'''Matrix type''' - '''Distribution matrix status''' - '''Registration matrix status''' – '''Country''' – '''ISIN''' - '''Share class name''' - '''Sub fund name''' - '''Effective date''' – '''Error'''


[[File:Before-point9.png|30 px]] Open Full screen mode. Filters will be hidden.
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.


<span style="color:DarkTurquoise">'''<u>AFTER</u> Selecting a fund'''</span>
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:2CorrectionAfter SelectFund.png|1000 px]]
[[File:After DetailHistory.png|border|500 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:AfterPoint7.png|30 px]] '''CANCEL''', '''REMOVE STATUS''' and '''CHANGE STATUS''' buttons


[[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.
<u> '''CANCEL''' </u> : to cancel your previous selection press the '''CANCEL''' button.
 
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.
<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:AfterPoint5.png|30 px]] Press the '''RESET''' button [[File:AfterSDMResetButton.png|20 px]] to clear all filters and start a new search.
[[File:After Remove status.png|300 px]]


[[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.


<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]]




= Matrix =


<span style="color:Grey">'''<u>BEFORE</u> Matrix'''</span>
<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'''.


[[File:3Before Matrix.png|1100 px]]
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:BeforePoint1.png|30 px]] [[File:BeforePoint2.png|30 px]] The '''Registration/Distribution matrix''' screen is devided into two tabs  the '''Registration''' tab and the '''Distribution'''  tab. All filter and selection options are identical in each tab, registration and distribution statuses excepted.
[[File:After Change distribution status.png|500 px]]


[[File:BeforePrint3.png|30 px]] Available filter functions: '''Sub-Fund''' - '''ISIN''' - '''Share class status''' - '''Matrix status''' - '''Effective Date''' - '''Country'''


[[File:BeforePrint4.png|30 px]] Press the '''Search''' button to initiate the search process once you have entered your filter options.
[[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:BeforePrint5.png|30 px]] Press the '''Reset''' button to clear all filters to start a new search.
[[File:After ManageCountry.png|border|500 px]]


[[File:BeforePrint6.png|30 px]] When a status box is selected, it is highlighted in orange and the '''Cancel''', '''Delete''' and '''Add status''' [[File:Before-point7.png|25 px]] buttons are activated. To select all share classes of a fund, click the box [[File:Before-point6a.png|25 px]] at fund level.To select all share classes of a sub-fund, click the box [[File:Before-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 status changes are registered and you can view them by clicking on the small clock icon
[[File:Before-point6c.png|25 px]]. A small window opens, see figure below.


[[File:Before DetailedView.png|700 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.


[[File:BeforePrint7.png|30 px]] '''Cancel''', '''Delete''', '''Add status''' buttons
= Registration statuses =


<u>Cancel</u> : to cancel your previous selection press the '''Cancel''' button.  
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.


<u>Delete</u>: to delete a status press the '''Delete''' button. A small window pops up where you have to confirm your deletion, see figure below.
[[File:After-Befor-Registration statuses.png|border|600 px]]


[[File:Before RemovingStatus.png|300 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)


<u>Add status</u>: To add a status press the '''Add status''' button. A small window pops up. Select the status from the '''Status''' drop-down list, select the '''Effective date''' and enter a comment (not mandatory). Finally, press the '''Add status''' button, see figure below.
[[File:Yellow-RegStatus.png|25 px]] Status automatically set through the '''Notification module''' (cannot be deleted through the Registration and distribtuion matrix module)


[[File:Before AddingStatus.png|300 px]]
X - Not registered


E - To be registered


[[File:BeforePrint8.png|30 px]] Press the '''Manage country''' button to add or remove a country. The '''Country selection''' window pops up, 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.
A - Registration in progress (selection of an instrument at step 2 of the '''Notification''')


[[File:Before CountrySelection.png|500 px]]
: AT - Registration in progress - Transmitted to the authority


[[File:Before-point9.png|30 px]] Open '''Full screen mode'''. Filter taskbars will be hidden.
: AR - Registration in progress - Rejected by the authority


[[File:Before-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 Excel''' button.
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


<span style="color:DarkTurquoise">'''<u>AFTER</u> Matrix'''</span>
: RP - Registered - Private placement


In the new e-file version the Registration and Distribution tabs have been combined on one unique page, the '''Matrix''' screen.
XR - No more registered but with remaining investors


[[File:2After Matrix.png|1200 px]]
RX - No more registered


[[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'''
<u>Important information</u>:


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


[[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.
'''Authorization table for Registration statuses'''


[[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]].  
<u>Example</u>:: It is not allowed to replace a current status R by a status A.


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.
[[File:RegStat-AuthorizedChanges.png|350 px]]


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]]
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.


[[File:AfterPoint7.png|30 px]] '''CANCEL''', '''REMOVE STATUS''' and '''CHANGE STATUS''' buttons
= Distribution statuses =


<u> '''CANCEL''' </u> : to cancel your previous selection press the '''CANCEL''' button.
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.


<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-Before-Distribution statuses.png|300 px]]


[[File:After Remove status.png|300 px]]
X - Not distributed


D - Distributed<br/>
DI – Distributed - Institutional


<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'''.  
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.


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]]
'''Authorization table for Distribution statuses'''


<u>Example</u>:: It is not allowed to replace a current status D by a status X.


<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'''.  
[[File:DisStat-AuthorizedChanges.png|350 px]]


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]]
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.


[[File:After-point8.png|border|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.
= Consolidated view =


[[File:After ManageCountry.png|border|500 px]]
[[File:After dashboard.png|border|1000 px]]


= Error messages =


[[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.
[[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

Retrieved from "http://www.e-file.lu/wiki/index.php?title=Registration_and_distribution_matrix&oldid=7085"