User Manual – SICAR Reporting Transmission - e
Contents
1. Ke file lu Regulatory reporting User Manual SICAR Reporting Transmission SICAR reporting CSSF Version 1 2 Not to be communicated or re transmitted to third parties without permission of Bourse de Luxembourg Reference ManuUtil_EFile_Transmission_SICAR_EN doc User Manual SICAR Reporting Transmission 1 Introduction SICAR reporting transmission 3 1 1 CSSF circularS 4 4 3 1 2 Focus on the naming convention 3 2 Manual transmission from www e file lu 5 2 1 Accessing e file lu 4 5 2 2 Creating a sending structure File Procedure Envelope 5 3 Automatic transmission via the Sending Service 11 3 1 Accessing and understanding the Sending Service tree structure 11 3 1 1 Default tree structure or single entity case 11 Sleds MUPPEN Case Aeiiaan a 12 3 2 Triggering transmissions mnnnennannnnnennnnnnennnnnennnnns 12 J l le Starting RE aE 12 3 2 2 DEU TT QHENEN Sainta e 12 3 2 3 YOURCONTISUIAUION lt H2s 2x recsenesne sere orersenestersesmereeseemstesseneersesenesences 12 3 3 Making transmissions mnmnmnnmmnnnsnsss 13 3 4 Initial results and interpretation2. 2 Manual transmission from www e file lu Manual transfers can be done from the portal at www e file lu This part of the manual provides an overview of these functionalities However if you require more details on the use of e file lu you are advised to read the User Manual of e file available online The instructions in this part also imply an understanding of the base concepts of e file lu such as me procedures envelopes and documents These are explained in the e file s User Manual 2 1 Accessing e file lu Users should have a login password to access to www e file lu For more details please contact our Client Relationship Management Client Relationship Management T l 352 28 370 330 clientservice fundsquare net If you already have a login please launch your navigator Internet Explorer Netscape go to www e file lu The login page will be displayed 2 2 Creating a sending structure File Procedure Envelope Once you are connected to www e file lu the homepage appears Station CCLux CCLux Station Manager First you must choose the correct context by DSF f e e e Upervisor selecting the appropriate item in the drop Reporting EDIFACT Supervisor down list located in the top right of the Reportine TAF Sup homepage E a RSS 7 Manager x For example Choose SICAR if you want to Titre par titre Bancaire Supervisor send a SICAR report Please
3. New procedure oF Select SICAR Reporting in the list of type of procedures click on the Create button You can also fill in the other fields but they are not mandatory New procedure File test sicar 1 Initiator asset Associated Company Lux Procedure info Procedure SICAR Reportint See internal procedures M Recipient entity Group Select a group Initiator description Initiator Agent Proprietary service Publication info Launch date Desired publication date Previous page The creation is successful click the Previous page button to see the Procedure sheet New procedure Creation successful Previous page You then have access to the Procedure sheet Note that the new procedure s status is Created User Manual SICAR Reporting Transmission Procedure SICAR Reporting File test sicar 1 Initiator sset Associated Company Lux Addressee CSSF Unread envelopes 0 Procedure Information Envelopes amp documents Publications Progress report Procedure info Identifier 695852 Status Created Procedure code Creation date 01 12 2008 Procedure SICAR Reporting Start date Addressee CSSF Closing date Initiator Agent EE Initiator Group SICAR Recipient Agent Recipient Group Reporting SICAR CSSF Initiator description Back to file sheet Select the tab called Envelopes amp Documents Procedure SICAR Reporting
4. Procedure Use file and procedure search My current procedures Current procedures of the group SICAR See all non assigned procedures Envelope Envelopes to validate 0 New file gt a Alerts Configure my alerts Delete al Filter alerts by Event fall events Filename All files v List of latest alerts Event File name Concerned entity Procedure Procedure EEr Event date Subject Alert list is empty a Envelopes List of unread envelopes Attached Sender documen Envelope list is empty Item Id Date of receipt File name Procedure Subject Sender entity Copyright Luxembourg Stock Exchange CC All rights reserved The search screen appears File and procedure search You can use several cumulative search criteria to access your data By identifier name procedure description file status or dates of the file by identifier by date comparison Portal identifier of the file File creation date File identifier A os File close date Portal identifier of the procedure Procedure identifier Procedure start date by file information Owner entity all owner entities z File name OO File status in progress by security description File type falfiletypes x CSSF code ISIN code Procedure end date by procedure information Security name Procedure all procedure types Initiator Agent all agents oo Recipient Agent fallagents sl Procedure status Fall statuses CD CU trp
5. Specify at least one of the above criteria and click Validate button to obtain the result Generic characters and can be used Case specifications are maintained Fill in your criteria and click on Validate to launch the request Note concerning File status the default value of this field is In progress If you are looking for an old transfer change this criterion to all statuses The search result is a list of files and procedures corresponding to your previous criteria You can then open a procedure by clicking on the links Procedure status A procedure always has a status as described below created started closed or cancelled O Created status The procedure is created but no envelope has yet been sent x e file lu User Manual SICAR Reporting Transmission O Started status At least one envelope was sent by the filing entity or by the authority The sending date of the first envelope becomes the starting date of the procedure The transfer to the authority is not confirmed O Closed status The procedure was closed by the authority This is the normal end of a procedure Please refer to paragraphs 3 3 Answers from the CSSF Envelopes amp Documents tab From the Procedure sheet you can find the transmitted files by selecting the Envelopes amp Documents tab Two lists are available the Sent Items and the Received Items which are the sen
6. note that the drop down list contains your authorised contexts For manual transmission follow these four rules See the e file s user guide M https www e file lu docs FR Manuel e file EN pdf e file lu User Manual SICAR Reporting Transmission Rule 1 Choose the right type of file procedure and document depending on the type of reporting you want to transfer Rule 2 Respect the naming convention of the file by referring to the authorities instructions Rule 3 Respect the file format and its extension Rule 4 Only upload unencrypted files the encryption module will encrypt your file with the correct keys Rule 5 Attach only one document by envelope and only one envelope by procedure Legal Disclai Help Glossary Contact Links Logout l Navigation menu E aJ Welcome SICAR Supervisor Configure my workstation securit Quick links Advanced search Procedure My current procedures Current procedures of the group SICAR See all non assigned procedures Use file and procedure search Envelope Envelopes to validate 0 New file gt a Alerts Configure my alerts f Delete al Filter alerts by Event all events File name all files x List of latest alerts Event File name Concerned entity Procedure po Event date Subject 4lert list is empty a Envelopes List of unread envelopes Item Id Date of receipt File name Procedure Subject Sender entity Sender Att
7. 13 4 Follow up and authorities answers 15 4 1 Accessing e file lu 444 4 474 474 4 474747 15 4 2 Follow up and search of transmitted reports 15 4 3 Answers from the CSSF nmnnnnannnmnnnannnnnnnannses 17 x e file lu User Manual SICAR Reporting Transmission 1 Introduction SICAR reporting transmission The Luxembourg Stock Exchange makes available for your entity a complete and secure solution to transfer your PSF reporting to the CSSF via its website portal at www e file lu Document and reporting files exchange can be carried out in two ways Automatic transmission or Straight Through Processing by using e file lu and its Sending Service module Manual transmission by uploading the documents on e file lu The CSSF sends back structured responses to the entities called feedback The Luxembourg Stock Exchange makes also available these feedback files to the entities from the e file lu portal 1 1 CSSF circulars SICAR reporting CSSF Circular 08 376 23 10 2008 Financial information to be submitted to the CSSF by investment companies in risk capital SICARs File transfer and data protection rules CSSF Circular 08 334 04 01 2008 Encryption specifications for reporting firms CSSF Circular 08 344 12 03 2008 Provisions relating to the transmission of reporting files to the CSSF 1 2
8. 21110355986 trt Initial directory Name Size Type O Date Modified BP PSFREP POOOO 201 1 04 P11 L1 L N xls 2146KB Microsoft Excel Wor 26 08 2010 09 36 become this Size Type Date Modified PSFREP POOOO 201 1 04 P11 L1 L M xls_ 20110421110355986 acq 2 146 KE ACQ File 26 06 2010 09 36 PSFREP POOOO 201 1 04 P11 L1 L N xls_20110421110355986 trt z 146 KE TRT File 26 08 2010 09 36 Notes concerning files with the extension ERR Result files with the extension err are error files They contain technical messages which assist you in diagnosing the problem File naming errors are stored in this file An empty file size 0 KB means that the transmission has been made without error It is possible to change the configuration to generate no error file if the transmission is correct User Manual SICAR Reporting Transmission 4 Follow up and authorities answers Follow up of transfers and feedback of the authorities can be done from www e file lu portal This part of the manual provides an overview of these functionalities However if you require more details on the use of e file lu you are advised to read the User Manual of e file available online The instructions in this part also imply an understanding of the base concepts of e file lu such as me procedures envelopes and documents These are explained in the e file s User Manual 4 1 Acce
9. AF MIFID 2008 04 29 Send by Assets Associate Company Lux Unread envelopes 0 Envelope info Sender TafMiF Utilisateur API Sent 29 04 2008 15 19 Read 19 05 2008 11 25 Status Validated Validator TafMiF Utilisateur API Subject R ponse technique l envoi du reporting Reporting TAFMFID Text Attached documents Name Date of document Encrypted TAFFBR BOURSEXXXXX 2008 04 ee 29 000025 xml txt BREST Le Source envelope Id Date of receipt Subject Sender Attached documents 26403 29 04 2008 11 44 test caa Marie DUPONT al Copyright Luxembourg Stock Exchange CCLux All rights reserved ha S Trusted sites Enter the decryption password choose the downloading mode and click on the Download button 2 3 0 Downloading a file Downloading the file TAFFER GBOURSEXEXXE 2008 04 29 O00 This document 13 encrypted Password Whak would you like to do with this File J Open it Save it as C Program Filesfe Filefe File cache workdir Browse cos C Program Files e file e file cache workdir 1210231904216 txt File Edit View Favorites Tools Help ak A A Asearch Favorites media GE GSE OA C Program Files e file e file cache workdir 1210231904216 txt lt xml version 1 0 encoding UTF 8 gt lt Fileacknowledge xmlns http www csstf lu ns fa 2008 03 01 xmlns xsi http wuww w3 org 2001 XMLSchema instance Version 1 0 CreationDate 2008 04 30 xs
10. E Statistics or cOREP Dividendes D0C_BNK _ 00c_FIs_opc esp 2 FINREP orc OTH PSF O Securisation sco DTaF TPT various Correspondence Gn File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder 3 1 1 Default tree structure or single entity case 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 27 01 2011 16 45 The standard tree see screenshot above provides a directory SICAR which is our concern By default all folders are present even if your entity is not subject to any of the reports In the case where a directory that does not serve you it is present but inactive that is to say there is no scanning done x e file lu User Manual SICAR Reporting Transmission 3 2 3 1 2 Multiple entity case Some entities need to transfer reports for several branches or subsidiaries In this case we can set up the Sending Service with separate folders to allow you to have a complex security policy In this case please contact your project coordinator T
11. File test sicar 1 Initiator Asset Associated Company Lux Addressee CSSF Unread envelopes 0 RTS LUELLA Envelopes amp documents Publications Progress report Received sent envelopes Sent documents New envelope _ A Back to file sheet Au Received items Item Id Date of receipt Sender Attached documents ve A v ya CA Sent items Item Id Sender Attached documents 9 Back to file sheet To send reports click on the New envelope button x e file lu User Manual SICAR Reporting Transmission https homologation e file lu amp idDosProc 6956578 yue enyveloppes amp trildrecus 1 amp trilddocuments 1 Windows Internet Welcome New envelope Procedure SICAR Reporting File test sicar 1 Send by Asset Associated Company Lux Unread envelopes 0 Envelope info Status Dratt Sender wees Subject Send for validation Attached documents Attach document Name Type patel Encrypted M Browse Select a document type M Select a document typ date has to be specified Copyright GLuxembourg Stock Exchange f CCLusx All rights reserved E LL Fill in the subject and the text of the message required fields and click on the Attach document button Use the Browse functionality to find your report and select the corresponding type of report The date of the report is optional Be careful The file that you
12. Focus on the naming convention This is an extract of technical document relating to the transmission of table K 3 1 3 Please refer to the CSSF website O http www cssf lu index php id 210 amp L 1 http www cssf lu index php id 224 amp L 1 3 http www cssf lu fileadmin files Reporting legal Instructions SOC_ SICAR241008 pdf Xe e file lu User Manual SICAR Reporting Transmission La nomenclature du fichier sera la pr sente SICREP ECCCCCC KNNNNNXKKX YYYY MM TAB LO L N xls Pr cisions quant la nomenclature du fichier Signification Structure Valeurs autoris es Type de reporting Caract re 3 SIC pour Sicar Direction Caract re 3 pour Rep Type dentit Caract re 1 Types d entit s d administrations centrales p ex administration B pour Banque P pour PSF S pour centrale Soci t de gestion K pour Sicar 1 pour personne morale non surveill e par la CSSF CCCCCC Num ro signal tique Nombre 6 000001 999999 administration centrale ype d entit SICAR SICAR XXXX Num ro Nombre 4 0000 pour une sicar classique compartiment 0001 99997 pour les sicar compartiments multiples p ex 0001 pour le compartiment no l Ann e de fin de p riode Mois Nombre 2 06 pour reporting au 30 juin 12 pour reporting au 31 d cembre L L N MM x e file lu User Manual SICAR Reporting Transmission
13. ache Envelope list is empty Copyright Lusembourg Stock Exchange CC All rights reserved Click on the New file button or search for an existing file using the advanced search New file You re about to create a new file in which you ll be able to create one or more procedures Grant of a UCI visa Admission to trading File information Filing Entity identifier File name PE Owner entity Assets Associate Company Lux File type Regulatory reporting Create Back to search Creating procedures will be the next step With each procedure you will be able to exchange documents with the depositor concerned using envelopes Fill in the file name field and choose Regulatory reporting on the File type list in bold and click on the Create button The creation is successful click the Previous page button to see the File sheet User Manual SICAR Reporting Transmission New file Creation successful To create a new procedure from the File sheet click on the New procedure button File sheet File test sicar 1 Filing Entity Asset Associate Company Lux File information Identifier 4965 Status In progress File identifier Creation date 01 12 2008 Owner entity Asset Associated Company Lux Closing date File type Regulatory reporting Procedures Sel Procedure Initiator label Initiator Agent Entity Start date Recipient Agent Entity Procedure code Status
14. en previously encrypted by another system before being transmitted By default choose the ReportingDiffusion SICAR directory 3 4 Initial results and interpretation Once the Sending Service has taken into account the reports placed in the different folder it returns some result files in the original folder Three types of result files are possible Extension TRT indicates that the Sending Service has scanned the folder and started the process of transmission to e file Extension ACQ indicates that the transmission to e file is effective Extension ERR indicates that the transmission has not been possible In that situation just check that all 4 rules indicated previously have been applied first Note concerning files with the extension TRT The result file with extension trt is the original file which has only been renamed It is thus possible to find your original file easily if necessary by renaming it with its original extension If the original file is OriginalFileName xls where OriginalFileName the name of the original file to be transmitted Then the result trt file will be OriginalFileName xls_Timestamp trt with Timestamp a digital counter providing a time stamp Example If the original file is PSFREP POOO0 2011 04 P11 L1 L N xls trt file is Xe e file lu User Manual SICAR Reporting Transmission PSFREP P0000 2011 04 P11 L1 L N xls_201104
15. i schemaLocation http www cssf lu ns fa 2008 03 01 Fileicknowledge v1 0 xsd CreationLocalTime 12 00 01 gt lt SourceFile gt lt FileName gt TAFREP BOURSEXXXXX 2007 10 26 000002 xm1l_0000000000065933 lt FileName gt lt CreationDate gt 2008 04 30 lt CreationDate gt lt CreationTime gt 12 00 01 lt CreationTime gt lt SourceFile gt lt FileReceiveOperations gt lt Filename gt lt Status gt a lt Status gt lt Filename gt lt Authentication gt lt Status gt a lt Status gt lt fiuthentication gt lt Signature gt lt Status gt a lt Status gt lt Signature gt lt Decryption gt lt Status gt a lt Status gt lt Decryption gt lt FileReceiveOperations gt lt Fileacknowledge gt
16. riggering transmissions Each folder is scanned by the Sending Service at a regular frequency That frequency is specific to each folder and is defined when the solution is implemented with your company s project coordinator Sending Service configuration file In order to facilitate configuration the Luxembourg Stock Exchange has set a standard default frequency 30 minutes If the coordinator has given other instructions frequencies may therefore vary 3 2 1 Starting Sending Service Your IT manager can start and stop the sending service for your entity 3 2 2 Default frequency By default each directory is scanned every 30 minutes from the last start of the service 3 2 3 Your configuration It is also possible to customize the frequency depending on the needs of your organization directory by directory Thank you to contact your project manager to determine the frequencies for your configuration x e file lu User Manual SICAR Reporting Transmission 3 3 Making transmissions As explained above the automatic transmission is made simply by filing your files directly in a folder The following four rules must be applied however Rule 1 select the proper folder depending on the document s to be transmitted Rule 2 Observe the naming convention of files to be transmitted by referring to the instructions in the Circular Rule 3 Observe the file format and its extension Rule 4 The file must not have be
17. ssing e file lu Users should have a login password to access to www e file lu For more details please contact our Client Relationship Management Client Relationship Management T l 352 28 370 330 clientservice fundsquare net If you already have a login please launch your navigator Internet Explorer Firefox www e file lu The login page will be displayed 4 2 gO to Follow up and search of transmitted reports Once you are connected to www e file lu the homepage appears _ D te First you must choose the correct context by WAJE CE TOERNEE Station CCLux CCLux Station Manager PSF Supervisor on EDIFACT Supervisor ing TAF SUPER ISO ja selecting the appropriate item in the drop down list located in the top right of the homepage 99 For example Choose SICAR if you want to send a SICAR report Please note that the drop down list contains your authorised contexts Then click on the Use file and procedure search link under Advanced search See the e file s user guide M https www e file lu docs FR Manuel e file EN pdf 3 Supervisor eer Station CCLux CCLux Station Manager Titre par titre Bancaire Supervisor x e file lu User Manual SICAR Reporting Transmission Help Glossary Contact Links Logout Navigation menu EE J Welcome SICAR Supervisor a Configure my workstation securit Quick links Advanced search
18. t reports and the answers of the authorities Note that the received items are also available on the homepage until a user reads them Once it is read you can always find it from the procedure sheet 4 3 Answers from the CSSF All CSSF answers are sent to www e file lu How long do you have to wait before getting an answer The average duration between sending and the answer from the CSSF is less than 45 minutes This duration depends on two main facts the CSSF receipt scanning process is run every 15 minutes the registration of the CSSF answers into the e file database is made every 30 minutes Acknowledgements of receipt The CSSF answers to all received reports This feedback is a technical acknowledgement of receipt called FBR type All FBR files are in XML format They are instances of the same FileAcknowledge v1 0 XSD schema This schema is available from the CSSF website www cssf lu This FBR file generated by the CSSF systems provides a structured answer On e file lu from the list of received items or from the homepage open the envelope detail and click on the attached file the encryption module is automatically launched and proposes two options for downloading x e file lu User Manual SICAR Reporting Transmission e file lu Envelope sheet Microsoft Internet Explorer Welcome Nathalie SMITH Envelope sheet Procedure Reporting r glementaire TAF MIFID File Reporting T
19. want to send must be well named following the CSSF naming convention For SICAR reporting transmission you must keep the Encrypted option checked Click on the Send button to launch the transmission The encryption module is automatically launched 3 0 Creation of the envelope and g tt Password for documents encryption Password cos User Manual SICAR Reporting Transmission 3 0 Creation of the envelope and attached documents Transfer of envelope 12 Recovery public key of sender Once the transfer is finished this box appears x e file lu User Manual SICAR Reporting Transmission 3 Automatic transmission via the Sending Service 3 1 Accessing and understanding the Sending Service tree structure Physically the Sending Service is represented as a traditional tree structure ServiceDeposant ReportingDiffusion File Edit View Favorites Tools Help Q Back A a Search a Folders Folders 3 ServiceDeposant amp batch CO builtJars amp config O dist keystores lib D log 8 PDF S ReportingDiffusion C2 BCL_ Statistics C3 Bop CD COREP Dividendes C3 DOC_BNK amp DOC_FIS_OPC ESP D FINREP CD opc C3 OTH PSF C2 Securisation sco CD sicar TAF TPT Various_Correspondence G M 8 O Templates tmp CO webservices gt v My Computer 1 objects selected Eii ES e hoabe Mon Name A Q
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