offer a new electronic solution for the registration and reporting procedures to the local authorities

The Luxembourg financial information exchange portal

The participants Numbering Agency CCLux CSSF Bourse de Luxembourg Central Admin. Lawyers Listing agents Transfert agents Filing entitiesAuthorities

Principle Filing entity CSSF File Approval of a new UCI Prospectus draft 1Prospectus draft 2Final Prospectus File Approval of a new UCI Prospectus reading Comments are sent Update of progress report Close + publication of prospectus

Advantages  Coverage and adaptability  Security and confidentiality  Reactivity and transparency

 e-file.lu supports all registration and regulatory reporting procedures of the funds industry.  e-file.lu will be the major channel to communicate with the Luxembourg financial authorities.  e-file.lu is an adjustable platform which can at any time accommodate new procedures. Coverage and adaptability

Reactivity and transparency  A standard prospectus is communicated to the authorities in a few seconds.  e-file.lu collects all data and provides a full history which ensures a traceability of all exchanged data.  a progress report enables to carry out a step-by-step follow-up of the procedure.

Reactivity and transparency (cont’d)  An automatic alert is created for each event, thereby ensuring high reactivity.  A multicriterion search, adjustable views and sorts provide direct and rapid access to searched information.

Safety and confidentiality  Confidentiality of communications is ensured by the encryption of all exchanged data.  The authentication of the entities which access e-file.lu is made by means of an electronic certificate.  Correct and proper transmission of data sent to e-file.lu is guaranteed by the Luxembourg Stock Exchange.

Functionalities - CSSF  Approval of a new UCI  Changes to an existing UCI  Changes to a number of existing UCIs  Approval of or changes to a management company  Approval of or changes to a number of management companies  Delivery of annual report  Delivery of annual report of a management company  Delivery of management letters  Reporting under circular 02/77  Comments on reporting  General requests  General information

Functionalities – Luxembourg Stock Exchange  Prospectus approval  Admission to trading  Financial statements – Other documents

General monitoring … from the home page onwards

General monitoring … from the home page onwards by means of the list of most recent alerts

General monitoring … from the home page onwards by means of the list of most recent alerts the list of new envelopes

General monitoring … from the home page onwards by means of the list of most recent alerts the list of new envelopes a link to the list of current files

General monitoring … from the home page onwards by means of the list of most recent alerts the list of new envelopes a link to the list of current files a link to the list of non- assigned procedures

the list of most recent alerts the list of new envelopes a link to the list of current files a link to the list of non- assigned procedures a link to the multicriterion search page General monitoring … from the home page onwards by means of

Specific monitoring of a procedure … through a progress report

a step-by-step dashboard Specific monitoring of a procedure … through a progress report

a step-by-step dashboard alert received whenever an update is made by the Authority Specific monitoring of a procedure … through a progress report

a step-by-step dashboard alert received whenever an update is made by the Authority specific alert when the procedure is closed Specific monitoring of a procedure … through a progress report

Mail traceability … through the procedure sheet

Mail traceability … through the procedure sheet with a view by received and sent envelopes

a view by documents Mail traceability … through the procedure sheet with

view by received and sent envelopes view by documents sort by dates, sender, name or type of document Mail traceability … through the procedure sheet with

Multicriterion search … extended and combinable

search by codes Multicriterion search … extended and combinable

search by codes search by files Multicriterion search … extended and combinable

search by codes search by files search by procedures Multicriterion search … extended and combinable

search by codes search by files search by procedures search by dates Multicriterion search … extended and combinable

search by codes search by files search by procedures search by dates search by instruments Multicriterion search … extended and combinable

History … of files and procedures

All files and procedures are centrally stored and saved Authority Filing entity Files Procedures Documents History … of files and procedures

All files and procedures are centrally stored and saved Lists of files and documents can be sorted by authority, date, name, manager etc… History … of files and procedures

All files and procedures are centrally stored and saved Lists of files and documents can be sorted by authority, date, name, manager etc… Direct access to each file and procedure through hyperlinks History … of files and procedures

Multi-user platform … users are identified by all and classified by roles

an administrator role for user and access management Multi-user platform … users are identified by all and classified by roles

an administrator role for user and access management a supervisor role with high-visibility file supervision Multi-user platform … users are identified by all and classified by roles

an administrator role for user and access management a supervisor role with high-visibility file supervision a manager role to manage the procedures assigned to him Multi-user platform … users are identified by all and classified by roles

an administrator role for user and access management a supervisor role with high- visibility file supervision a manager role to manage the procedures assigned to him The particulars of each system user are available to the user’s counterparts Multi-user platform … users are identified by all and classified by roles

Documents automatically published … on the portal

Automatic publication after validation by the authority and close of the procedure Documents automatically published … on the portal

Automatic publication after validation by the authority and close of the procedure Publication depends on the launch date or the desired publication date Documents automatically published … on the portal

Automatic publication after validation by the authority and close of the procedure Publication depends on the launch date or the desired publication date Publication of prospectuses, semi-annual and annual reports Documents automatically published … on the portal