← Luxembourg

UCITS and AIFs cross-border marketing notifications

Published on 11 September 2024 Email this Share this on LinkedIn Share this on Facebook Communiqué UCITS and AIFs cross-border marketing notifications In order to meet its obligations in relation to the reporting of cross-border marketing of AIFs and UCITS in accordance with Article 13 of Regulation (EU) 2019/1156 on facilitating cross-border distribution of collective investment undertakings, the CSSF would like to inform the supervised entities of the following: New information (predominant AIF type and contact point(

  1. s)concerning the notification letter, invoices and facilities for investors) will be collected through marketing notification and de-notification requests from 11 November 2024. Consequently, eDesk CBDF module and S3 API channel will be adapted. All the modifications, in particular concerning the JSON schema used for transmissions through the API channel, are listed in the new version of the user guide dedicated to the cross-border marketing 22 June 2022 - Updated on 11 September 2024 Guidelines on cross-border marketing notification and de-notification procedures Version 2.2 Technical document PDF (1.56Mb) Relevant for Management companies - Chapter 15 Guidelines on notification and denotification procedures TO BE FOLLOWED BY LUXEMBOURG UNDERTAKINGS FOR COLLECTIVE INVESTMENT AND INVESTMENT FUND MANAGERS , FOR PRE-MARKETING AND CROSS-BORDER MARKETING GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 1/65 Guidelines on notification and de-notification procedures CONTENTS 1. 2. 3. Purpose Scope Documentation of the notification or de-notification submission 3.1 The AIF notification file submitted to the CSSF shall contain the following documents: 3.2 The UCITS notification file submitted to the CSSF shall contain the following documents: 3.3 CSSF attestation document 4. Submission of the application to the CSSF 4.1 eDesk portal transmission 4.2 Application Programming Interface (API) transmission 5. Contact information Annex 1: Notification letter and de-notification letter formatting and mapping Annex 2: File naming convention description to be observed when transmitting documentation Annex 3: File naming convention description to be observed when transmitting ZIP package Annex 4: File naming convention description for CSSF feedback files Annex 5: CSSF formal verification rules 5 6 7 7 9 11 11 11 35 41 43 44 48 50 52 GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 2/65 Update information Date Version Changes 20/06/2022 1.0 Publication of the document 15/09/2022 1.1 Addition of pre-marketing notifications in scope 13/12/2023 2.0 Addition of UCITS notifications in scope Transmission through API channel (S3 technology) 02/01/2024 2.1 Update of Annex 5 concerning the rules implemented Addition of UCITS notification letter templates in Annex 1 27/02/2024 2.2 Update of Annex 5 concerning the rules implemented (activation of the rules concerning the documents signed by the CSSF) Addition of a chapter (4.2.4) concerning the monitoring of API transmissions GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 3/65 Addition of a chapter (4.2.5) concerning the cleaning of the API bucket folders 14/07/2024 2.3 Update due to AIFMD and UCITS ITS of 15 December 2023: - New notification letter templates (Annex 1) - Changes concerning the document attestation CSSF that is no longer requested (chapter 3) 11/11/2024 2.4 Update due to the addition of new fields in the notifications (Predominant AIF type, Contact point(
  2. s)and Facilities to investors) GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 4/65 Guidelines on notification and de-notification procedures 1. Purpose This document gives further guidance on Circular CSSF 22/810 and contains detailed information on the relevant procedures, the expected documentation, and information regarding the submission of marketing notifications and de-notifications via eDesk or an API solution. For any questions regarding these guidelines please contact edesk_opc@cssf.lu. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 5/65 2. Scope The following supervised entities must comply with the marketing notification, de-notification and pre-marketing procedures, including any updates for: a. Luxembourg domiciled UCITS wishing to: - notify and de-notify arrangements made for marketing their shares in another Member State in accordance with Chapter 6 of the UCITS Law b. Luxembourg AIFMs wishing to: - notify arrangements or de-notify arrangements made for marketing in Luxembourg of units or shares of an EU AIF that they manage in accordance with Article 29, respectively Article 29

(1)of the AIFM Law; c. Luxembourg AIFMs wishing to: - notify arrangements or de-notify arrangements made for marketing in another Member State of units or shares of an EU AIF that they manage in accordance with Article 30, respectively Article 30
(1)of the AIFM Law; d. Managers of Luxembourg EuVECAs or EuSEFs wishing to market funds in Luxembourg or another Member State in accordance with Article 16
(1)of Regulation (EU) No 345/2013 or Article 17
(1)of Regulation (EU) No 346/2013 respectively; e. Luxembourg AIFMs engaging in pre-marketing in Luxembourg or another Member State in accordance with Article 28
(1)of the AIFM Law; f. Managers of Luxembourg EuVECAs and EuSEFs engaging in pre-marketing in Luxembourg or another Member State in accordance with Article 4a of Regulation (EU) No 345/2013 or Article 4a of Regulation (EU) No 346/2013 respectively. To avoid doubt, the AIFMs mentioned under point b. and c. also include Luxembourg AIFMs of European Long-Term Investment Funds (“ELTIFs”) that wish to (de-) notify arrangements for marketing of units or shares of ELTIFs in accordance with Article 29, Article 29
(1), Article 30 and Article 30
(1)of the AIFM Law respectively. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 6/65
  1. Documentation of the notification or de-notification submission 3.1 Type of document Notification letter The AIF notification file submitted to the CSSF shall1 contain the following documents: Abbreviation LN Specifications The notification letter includes a program of operations identifying the investment vehicles the fund manager intends to market and information on where the investment vehicles are established. Specifications on the formatting and mapping of the notification letter are provided in Annex
  2. Management MR The latest version of the Management Regulations of the common funds or the latest consolidated Regulations AI version of the Articles of Incorporation of investment companies must be annexed to the file as a single document. or Articles of incorporation Confirmation of payment 1 CP This document should only be annexed to the file for marketing applications in host Member States that require confirmation of the payment of additional fees which are levied by the host Member State. Annex 5 provides the detailed list of documents to be submitted depending on the chosen options as well as the expected indexation GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 7/65 Mandate MT This document should only be annexed to the file for marketing applications in host Member States requiring a mandate. Disclosure to investors DI Art. 23
(1)Disclosure to investors as defined in Article 23
(1)of the Alternative Investment Fund Managers Directive (“AIFMD”) should be annexed to the file. The following documents are optional: Type of document Prospectus Abbreviation PC Specifications The prospectus to be annexed to the file must be the latest visa-stamped prospectus by the CSSF or the latest version of the prospectus, if available. Key Information KI Document According to Regulation (EU) No 1286/2014 of the European Parliament and the Council of 26 November 2014 on key information documents for packaged retail and insurance-based investment products (PRIIPs), the KI is to be provided in a language or translation accepted by the host Member State. Latest Reports Marketing AR The audited annual report (AR) or unaudited semi-annual report, if available. The most recent published SR reports must be attached. MP This document is optional and provides additional information on the arrangements made for marketing in arrangements the case where the structure of the notification letter would not permit the internal methods of marketing to be reproduced exactly. Others OT Any other additional document To be noted that for de-notifications, the file should include the de-notification letter. Additional documents are optional for de-notifications but have to adhere to the file naming convention mentioned above. The specifications on the format of the de-notification letter are presented in Annex
  1. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 8/65 3.2 Type of document Notification letter The UCITS notification file submitted to the CSSF shall1 contain the following documents: Abbreviation LN Specifications The notification letter must follow the model defined in the Commission UE Regulation 584/2010 of 2010 July 1st, implementing the 2009/65/CE directive. Specifications on the formatting and mapping of the notification letter are provided in Annex
  2. Management MR The latest version of the Management Regulations of the common funds or the latest consolidated Regulations AI version of the Articles of Incorporation of investment companies must be annexed to the file as a single document. or Articles of incorporation Confirmation of CP payment This document should only be annexed to the file for marketing applications in host Member States that require confirmation of the payment of additional fees which are levied by the host Member State. Prospectus PC The prospectus to be annexed to the file must be the latest visa-stamped prospectus by the CSSF. Key Information KI According to Regulation (EU) No 1286/2014 of the European Parliament and the Council of 26 Document 1 November 2014 on key information documents for packaged retail and insurance-based investment Annex 5 provides the detailed list of documents to be submitted depending on the chosen options as well as the expected indexation GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 9/65 products (PRIIPs), the KI is to be provided in a language or translation accepted by the host Member State. Latest Reports AR The audited annual report (AR) or unaudited semi-annual report, if available. The most recent SR published reports must be attached. The following documents are optional: Type of document Mandate Abbreviation MT Specifications This document should only be annexed to the file for marketing applications in host Member States requiring a mandate. Marketing MP arrangements This document is optional and provides additional information on the arrangements made for marketing in the case where the structure of the notification letter would not permit the internal methods of marketing to be reproduced exactly. Others OT Any other additional document To be noted that for de-notifications, the file should include the de-notification letter. The specifications on the format of the denotification letter are presented in Annex
  3. Additional documents are optional for de-notifications but have to adhere to the file naming convention mentioned above. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 10/65 3.3 CSSF attestation document From 14 July 2024, the CSSF attestation is no longer required to be submitted for a cross-border notification request. As a consequence: - it is no longer possible to upload the “CSSF attestation” document type on the eDesk transmission portal (error d of part 1 of Annex 5 will be raised); the “CSSF attestation” is no longer available in the “Attached documents” section of the eDesk transmission portal. This rule applies to all requests, including those created or submitted before 14 July 2024; it is no longer possible to include the “CSSF attestation” document in a package submitted through the S3 API channel (error CBDF032 of part 3 of Annex 5 will be raised).
  4. Submission of the application to the CSSF The procedures falling within scope (see point
  5. above) are all available through the eDesk portal: https://edesk.apps.cssf.lu/edesk-dashboard/dashboard/getstarted. The procedures of notification or de-notification for UCITS can also be transmitted through the CSSF API solution (S3 technology). 4.1 eDesk portal transmission 4.1.1 Connection to the tool The tool can be accessed through a secured connection module after being authenticated with a Luxtrust certificate. PLEASE NOTE THAT: The prerequisites enabling a connection to eDesk are detailed in the ‘Authentication and user account management’ user guide in the eDesk portal home page (https://edesk.apps.cssf.lu/edesk-dashboard/dashboard/getstarted). GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 11/65 4.1.2 Home view When connecting to the application, the home view is split into two parts, as shown in the picture below: 4.1.2.1 Top banner The top banner contains the following elements (from left to right): GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 12/65 - a link to the global eDesk Dashboard (click on “CSSF”), a link to the CBDF Notification Dashboard (click on “CBDF Dashboard”); - a link to the CSSF website; - the name and entity of the person connected; - the “User profile”, “Entity management” (if advanced user), “Entity choice” (in case of multiple active entity links) and “Log out” menus. 4.1.2.2 Notification dashboard The main part of the screen is a dashboard providing a general view of all notifications requested by the entity, with filtering and sorting functionalities. The following columns are provided: - Identifier - Notification type (Marketing – Initial, Marketing – Update, De-notification) - Marketing target (AIF, AIF + ELTIF, ELTIF, EuVECA, EuSEF, UCITS) - Fund ID, - Fund name, - Host country, - Status (Cancelled, Initialisation, Submitted, Accepted by CSSF – Sent to host, Rejected by CSSF, Rejected by host, Accepted by host, Under analysis - CSSF, Under analysis - host), - Creation date, - Created by, - Submission date, - IFM ID, - Comments, - Actions (click on the magnifying glass icon or double-click on a given line). GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 13/65 The filter at the top right of the dashboard allows to display only unprocessed requests; requests already processed are shaded in grey. 4.1.3 Creation of a notification request Press the “Add” button on top of the dashboard -a pop-up window is created. Proceed with the following steps: ➢ Specify if the fund is known by the CSSF o “Yes” if the fund is known by the CSSF o “No” if the fund is not known by the CSSF or the fund has not yet been established (applicable only for premarketing notifications) o “Other” if only a certain strategy is pre-marketed (applicable only for pre-marketing) ➢ If the fund is known by the CSSF, select the fund category (AIF, AIF/ELTIF, AIF/EuSEF, AIF EuVECA, UCITS) ➢ Select the entity (IFM and/or fund): o If the fund is known by the CSSF (option “Yes”), select the fund (search by filtering the list and double-click on the relevant line) o If the fund is not known by the CSSF or the fund has not yet been established (option “No”), select an IFM (search by filtering the list and double-click on the relevant line) and fill in the fund name o If only a certain strategy is pre-marketed (option “Other”), select an IFM (search by filtering the list and double-click on the relevant line) ➢ Select the notification type (Pre-Marketing, Marketing – Initial, Marketing – Update, De-notification) ➢ Depending on the notification type, optionally select the respective marketing options (AIF-Article 32 AIFMD, EuSEFArticle 17
(1)of the Regulation on European social entrepreneurship funds (No. 346/2013), EUVECA- Article 16
(1)of Regulation on European Venture Capital Funds (No. 345/2013)). GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 14/65 ➢ Select the relevant Member states (multiples choices allowed in the list of countries, excepted for UCITS) ➢ Click on the “Create” button 4.1.4 Detailed view By double-clicking on a specific line of the dashboard, the detailed view appears in the main screen. The screen is split into 4 parts: top banner, navigation menu, section content and request summary. The top banner is the same as the one on the home screen of the application (see point 4.1.2.1 above). GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 15/65 4.1.4.1 Navigation Menu The left part of the screen is dedicated to the navigation through the following tabs: Description, Sub-fund(
  1. s)selection and Attached documents, which will be described below. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 16/65 The section coloured in light brown indicates the section you are currently in. 4.1.4.1.1 Description This section enables you to edit the purpose of the notification and, in case of an amendment, to give more information about this amendment. 4.1.4.1.2 Sub-fund(
  2. s)selection This section enables you to select the sub-fund(
  3. s)concerned by the notification. This section is available if the fund is known by the CSSF or if the fund exists but is not already known by the CSSF. The section is structured in different ways depending on the case: • If the fund is known by the CSSF: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 17/65 For known sub-funds, checking a tick box will add the intended fund/sub-fund to the selection. In case of sub-fund(
  4. s)not known by the CSSF, specify the name of the sub-fund(
  5. s)in the textbox provided for this purpose. • If the fund is not known by the CSSF or the fund has not yet been established (applicable only for pre-marketing notifications): GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 18/65 For UCITS initial notifications, it is mandatory to select at least one share class by known sub-funds concerned. The share class selection is accessible by clicking on the magnifying glass icon. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 19/65 Checking a tick box will add the intended share class to the selection. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 20/65 4.1.4.1.3 Contact point(
  6. s)(as of 11 November 2024) This section enables you to define the contact point concerning the notification letter and, when applicable, the contact point concerning invoices. The data must comply with the information defined in the notification letter document. This section is not available for pre-marketing request. 4.1.4.1.4 Facilities to investors (as of 11 November 2024) This section enables you to define the contact(
  7. s)information concerning the facilities for investors. The data must comply with the information defined in the notification letter document. This section is available only for UCITS initial notification. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 21/65 4.1.4.1.5 Attached documents This section enables you to attach all the necessary documents to the notification file. Description of the file naming convention to be respected when uploading the documents can be found in Annex 2. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 22/65 The following columns are available: - Document type - Document name - Upload date - Transmission date - Request version - Status - Actions o Delete: To delete a provided document. o Details: To view more information regarding the document (document name, document type, entity/instrument, reference date, language, annex number and file extension) or select another document in replacement of an existing one. o Download: To download the document to your device. To add a document, simply press the “Add” button. A pop-up window opens as indicated in the picture below: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 23/65 Selecting a document in your file browser triggers the auto-completion of the form fields: Document name, Document type, Entity/Instrument, Reference date, Language, Annex number, File extension. Please note that the file naming convention must be respected when naming the documents. In case of a naming error, the following error message will appear: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 24/65 Depending on the size of the file, the upload and feedback of the documents may take additional time. 4.1.4.1.6 Comment CSSF exchanges comments with the applicant on its own initiative (if necessary) via a list of topics. ✓ A topic is composed of an identifier (Id), a short but concise description of the subject and the comment itself (“Content”) ✓ The light blue box on the top of this screen provides more details on the exchange of comments/information with the CSSF GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 25/65 To reply to the comments, the request must be in draft mode (see point 4.1.4.4 below): ➢ To reply to a CSSF Comment: Access the detailed view of the respective topic and click on “Add a response”: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 26/65 GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 27/65 ➢ Then press “Save”: The selected answers will be sent to the CSSF when you submit the new version of the request. ✓ When submitting the request, a blocking message will inform you if not all comments have been replied. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 28/65 Things to know regarding the topic statuses: A single topic can have the following statuses: - “To be replied”: CSSF is awaiting a response - “Replied and to be sent”: the reply is added but not yet transmitted (the name of the person having responded is displayed). As long as the topic hasn’t been transmitted, it is not visible to the CSSF - “Replied and sent”: after the transmission of the comments, apart from the name, the date and time of transmission are also displayed in the details of the comment. In addition, the “Transmission date” and “Reception date” of a topic are updated in the Comments table after every transmission of the comments 4.1.4.1.7 Host follow-up Once the CSSF has accepted the notification request, the notification is transmitted to the host Member state via email. The follow-up on transmissions is accessible through the "Host follow-up" section: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 29/65 The following columns are provided: - Country - Status (Under analysis CSSF (Not transmitted), Accepted by CSSF (Transmitted to HOST), Under analysis HOST, Accepted by HOST, Rejected by HOST) - Last modification date - Request version GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 30/65 4.1.4.1.8 Submission result See point 4.1.5. 4.1.4.2 Section Content The main part of the screen on the right displays the fields to be filled in related to the section selected on the left. The form can be filled in by pressing the “Edit” button. Then select “Save” or “Cancel” for the applicable data entry action. Please note that: (
  8. i)it is not possible to save a form until all the mandatory fields are filled in. (
  9. ii)you have to exit the “Edit” mode to fill in the table. Additional information: Some guidelines are available in the form of blue Information Boxes (see below) In some cases, a click is required to expand the guideline information. 4.1.4.3 Request summary The right part of the screen presents a “Request summary” with the following information: - Statement summary: notification type, marketing target, selected fund, IFM, host country, identifier, version, creation date, submission date, status, agent in charge, validation status Information on the applicant: applicant, phone number, email, position, company GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 31/65 GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 32/65 4.1.4.4 Action buttons on the request The last part of the screen (top right) contains the action buttons of the request: ➢ The “Submit” button is always visible when the request is in draft mode. ➢ The “Draft” button is always visible after submission of the first version of the request to the CSSF. The button is no longer visible once the CSSF has accepted the request but it is always possible to prepare and submit new versions of the request. ➢ The “Cancel” button replaces the “Draft” button when the latter is selected. The button remains visible once the CSSF has accepted the request to ensure that, if there is a draft in progress, it remains possible to revert to the version already accepted o In case of a draft cancellation, all modifications of the forms and the attached documents will be lost, whereas the possible responses already given to comments received by the CSSF will be kept ➢ 4.1.5 The classic “Refresh” button is always available except for closed requests Notification file processing The CSSF will proceed to evaluate the submitted notification which entails a series of formal verifications in order to ensure that the notification documentation is complete and compliant. An indicative table of the rules to which a notification request submitted via eDesk may be subject to is available in Annex 5. If any errors are detected when submitting the notification, the "Submission result" section allows you to consult them: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 33/65 If the CSSF notices during the formal checks upon receipt that the file is incomplete or does not comply with the specified technical requirements, it will inform the applicant through the eDesk channel. The CSSF will inform the applicant why the file cannot be transmitted to the corresponding competent authorities. In this case, the applicant will need to transmit an amended version of the notification request taking into account the CSSF feedback. If an authority of a host Member State does not accept a notification file sent by the CSSF, the applicant will be informed of the reason(
  10. s)for the rejection through the eDesk channel. In this case, the applicant has to transmit an amended version of the notification request. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 34/65 4.2 Application Programming Interface (API) transmission Method of transmitting reports via Application Programming Interface can be found on our website following the link https://www.cssf.lu/en/Document/methods-of-transmitting-reports-via-s3-application-programming-interface-technical-guidance/ On the edesk IT management console, the “IT Expert” must create a bucket “Cross-border marketing notifications”. As already said above, this channel is at this time only available for UCITS cross-border marketing notifications and de-notifications. 4.2.1 General principles The API channel can be used only to do the first filing of a notification request. A package transmitted through the API channel will be subject to a list of controls (see Annex 5 below). If at least one error is raised, the package cannot be integrated in the eDesk platform and must be send again with the necessary modifications. If no error is raised, the package is integrated in the eDesk platform and the request will be processed by the CSSF. All the following modifications, either on the initiative of the intermediary or in response to CSSF comments, can exclusively be done on eDesk and not through the API channel. The entity authorised to do these modifications is the one indicated as contact entity in the JSON (JavaScript Object Notation) file added to the notification package. In case of double licence (S and A, O and A or K and A), the CSSF code of the entity defined in eDesk (i.e. S, K or O) must be used. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 35/65 4.2.2 Notification package format The notification package has to be transmitted in a ZIP file. This package is composed of: - all the documents necessary to the notifications in a PDF format. The file naming convention to respect can be found in Annex 2. - a JSON file containing data concerning the notification such as the concerned sub-funds/share classes, information on the remaining investors for de-notifications or the entity and user of contact for eDesk. It corresponds to the data available on the eDesk online forms 4.2.2.1 ZIP technical specifications Reporting file must be transmitted via a compressed .zip format. Here are the specifications for zip archive: Compression algorithm RFC 1951 (DEFLATE Compressed Data Format Specification version 1.3) Multi-volume archives (multi-part zipfile) No Maximum size of a file in the archive 2 Gigabytes Codepage UTF-8 GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 36/65 4.2.2.2 ZIP naming conventions The mandatory file naming convention for .zip files is specified in Annex 3. 4.2.2.3 JSON file specifications The data concerning the cross-border marketing notification for a fund shall be reported in the JSON format. The schema concerning the data of the cross-border marketing notification for the funds is available at: Reception date JSON schema link From 01/07/2022 to 01/01/2024 S3 system reporting is not available for this version From 02/01/2024 to 10/11/2024 JSON schema (applicable only for UCITS) From 11/11/2024 JSON schema (applicable only for UCITS) No specific naming convention will apply for the JSON report included in the zip file, but it is recommended to use report.json. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 37/65 4.2.3 CSSF feedback files It is up to the submitter to monitor transmission correctness. The CSSF will generate a feedback in a JSON format at three different steps of the process: - the first feedback is generated as a result of the validation done after the submission of a package through the API channel - the second feedback is generated as a result of the CSSF decision concerning the notification request generated from the package received through the API channel - the third feedback is generated as a result of the HOST country decision concerning the notification request generated from the package received through the API channel Each feedback will respect the following JSON schema and will be made available in the “feedback” folder. Feedback JSON schema Please ensure that you have received a feedback file for the last file sent before submitting a new file. Feedback generation could take some time. If you do not receive a response within one working day, please contact our dedicated support team at edesk_opc@cssf.lu. 4.2.3.1 Naming convention The feedback file naming convention is described in Annex 4. 4.2.3.2 File content A feedback file contains several information: • A status at the report level; • ReportUids recently processed; • Feedback messages; GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 38/65 • Host(
  11. s)feedback 4.2.3.2.1 Report status The report status can have five different values: • SUBMITTED when the package is technically compliant, and data have been correctly loaded and submitted. The reported data can then be consulted from the corresponding eDesk module. Authorised users can thus modify the request or answer to the CSSF comments through this eDesk module. • REJECTED_CSSF when the package is rejected. That is the case, either when the archive is not technically compliant, or when there is a problem with the reported data. • ACCEPTED_CSSF when the package is accepted by the CSSF and transmitted to the corresponding HOST country. • ACCEPTED_HOST when the package is accepted by the corresponding HOST country • REJECTED_HOST when the package is rejected by the corresponding HOST country 4.2.3.2.2 ReportUids recently processed This part is not applicable to the Cross-border marketing notifications process as only the request’s initialisation can be done through the API channel. 4.2.3.2.3 Feedback messages A list of the controls done following a submission through the API channel is given in Annex 5. 4.2.3.2.4 Host(
  12. s)feedback GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 39/65 The Host feedback status can have three different values: • PENDING when the package has been sent to the HOST country and its feedback is expected. • ACCEPTED_HOST when the HOST country has accepted the package. • REJECTED_HOST when the HOST country has rejected the package. 4.2.4 Monitoring of API transmissions A specific dashboard is available in the dedicated module on eDesk to monitor the transmissions done through the API channel. This dashboard is accessible by clicking on the “Request submitted by S3” button on the module homepage. The packages available in this dashboard are: - the packages rejected due to, either an archive not technically compliant, or a problem with the reported data. In this case, it is possible to download the package and the corresponding feedback - the packages accepted. In this case, it is only possible to download the corresponding package. The request created following the processing of this package is available in the principal dashboard In case the entity linked to the bucket used for the transmission is different from the contact entity defined in the JSON file included in the archive, the rejected packages are listed in the dashboard of the entity linked to the bucket whereas the accepted packages are listed in the dashboard of the contact entity. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 40/65 4.2.5 Cleaning of API bucket folders The document Method of transmitting reports via Application Programming Interface (https://www.cssf.lu/en/Document/methodsof-transmitting-reports-via-s3-application-programming-interface-technical-guidance/) defined a retention period of the files in the “submission” and “feedback” folders of 20 days (cf. question 5.11). As the package transmitted for cross-border marketing of funds can be particularly large, a specific mechanism has been put in place to purge the “submission” folder of the dedicated bucket. As soon as a feedback file is available in the “feedback” folder of the bucket, the corresponding package of the “submission” folder is deleted. The monitoring of the transmissions can be done thanks to the dashboard described in the chapter 4.2.4. The retention of the files in the “feedback” folder stays at 20 days. 5. Contact information In case of questions, please contact edesk_opc@cssf.lu GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 41/65 Annexes: 5 GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 42/65 Annex 1: Notification letter and de-notification letter formatting and mapping Language Context Link EN Notification letter for pre-marketing by https://www.cssf.lu/en/Document/notification-letter-for-pre-marketing-by-aifms- AIFMs established in Luxembourg established-in-luxembourg/ EN EN EN Notification letter for marketing by https://www.cssf.lu/en/Document/notification-letter-for-marketing-by-euveca- EuVECA Managers managers/ Notification letter for marketing by EuSEF https://www.cssf.lu/en/Document/notification-letter-for-marketing-by-eusef- Managers managers/ Notification letter for the marketing of Notification letter for the marketing of units or shares of EU AIFs/ELTIFs in Member units or shares of EU AIFs in Member States and/or home Member State of the AIFM (Article 31
(2)/32
(2)of Directive States and/or home Member State of the 2011/61/EU (AIFMD) and Article 31 of Regulation (EU) 2015/760 on ELTIFs) – CSSF AIFM (Article 31/32 of the AIFMD) EN Notification letter for the marketing of Notification letter for the marketing of units or shares of EU AIFs/ELTIFs in Member units or shares of EU AIFs/ELTIFs in States and/or home Member State of the AIFM (Article 31
(2)/32
(2)of Directive Member States and/or home Member 2011/61/EU (AIFMD) and Article 31 of Regulation (EU) 2015/760 on ELTIFs) – CSSF State of the AIFM (Article 31/32 of the AIFMD and Article 31 of Regulation (EU) 2015/760 on ELTIFs) EN Any additional information referred to in Any additional information referred to in Article 23
(1)for each AIF the AIFM intends Article 23
(1)for each AIF the AIFM intends to market (Paragraph (
  1. f)of annex IV of AIFMD) – CSSF to market (Paragraph (
  2. f)of Annex IV of AIFMD) GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 43/65 EN De-notification letter AIF compartment https://www.cssf.lu/en/Document/aif-de-notification-letter-aif-compartment/ EN Initial notification letter UCITS https://www.cssf.lu/en/Document/initial-notification-letter-ucits/ EN De-notification letter UCITS (compartments and share classes) https://www.cssf.lu/en/Document/de-notification-letter-ucits-compartments-andshare-classes/ A notification package must contain the PDF notification letter or alternatively a de-notification letter reproducing the template published by the CSSF. Annex 2: File naming convention description to be observed when transmitting documentation All documents added to a notification request must reserve the following file naming convention: Format: TYRDIR-ENNNNNNNN-CCCCCCCC-PPPP-YYYY-MM-DD-DO-LL-IIII.ext Signification: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 44/65 Code Signification Structure Authorised values TYR Reporting type Char
(3)• DOC for « Unstructured documents » DIR Direction Char
(3)• REP for Report: file sent to the CSSF This applies to all document types except the CSSF certificate (document code AT). • FDB for Feedback: file generated by the CSSF This applies only to prospectus (document code PC) and CSSF attestation (document code AT). E NNNNNNNN Entity type Char
(1)Identifier of the entity Number
(8)• A for a document regarding an AIFM • O, K or V for a document regarding an investment fund • 00000001…99999999 (Enter the CSSF entity identifier and fill out the remaining character spaces with “0”) CCCCCCCC Identifier of the sub- Number
(8)• 00000001…99999999 for an entity with multiple compartments fund • 00000000 for an entity without compartment • 00000000 is also to be used where the document covers more than one sub-fund PPPP Share type Number
(4)• 0001…9999 for an entity with multiple compartments and shares • 0000 is to be used where the document covers more than one share YYYY Year Number
(4)• Year MM Month Number
(2)• Month DD Day Number
(2)• Day (YYYYMMDD: this refers to the reference date of the document and not the sending date) GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 45/65 DO Document type Char
(2)• • • • • • • • • • • • • LL Document language Char
(2)Language code ISO 639-1 IIII Annex number Number
(4)• LN - Notification letter PC - Prospectus AT - CSSF attestation letter MR - Management regulations AI - Articles of incorporation AR – Annual report SR – Semi-annual report CP - Confirmation of payment MP - Marketing arrangements KI – Key information document DI - Disclosure to investors Art. 23
(1)MT - Mandate OT – Others • FR (French) • DE (German) • EN (English) • NL (Dutch) • BG (Bulgarian) • HR (Croatian) • EL (Greek) • CS (Czech) • DA (Danish) • ET (Estonian) • FI (Finnish) • HU (Hungarian) • IS (Icelandic) • GA (Irish) • IT (Italian) • LV (Latvian) • LT (Lithuanian) • MT (Maltese) • NB (Norwegian Bokmål) • PL (Polish) • PT (Portuguese) • RO (Romanian) • SK (Slovak) • SL (Slovenian) • ES (Spanish) • SV (Swedish) 0000 for the main document GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 46/65 • 0001 and following: for annexes to the main document and track changes versions of documents .ext Extension Char
(5)• .pdf (PDF) Example : • DOCREP-O00000001-00000000-0000-2022-12-31-AR-DE-0000.pdf Annual report in German for UCI No. 1 with the reference date “31 December 2022” • DOCFDB-O00000001-00000000-0000-2022-12-31-PC-FR-0000.pdf Prospectus in French for UCI No. 1 with the reference date “31 December 2022”, signed and stamped (thus sent to the UCI) by the CSSF. GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 47/65 Annex 3: File naming convention description to be observed when transmitting ZIP package Format: NOTREP-ENNNNNNNN-LU-HH-TYP-UUID.ext Code Meaning Structure Authorised value NOTREP Reporting type Char
(4)‘NOTREP’ (constant) - Separator Char
(1)‘-’ (constant) E Reporting entity Char
(1)‘O’ (as only UCITS is possible at this time) NNNNNNN Identification number Number
(8)00000001…99999999 (CSSF code of the fund) - Separator Char
(1)‘-’ (constant) LU HOME country Char
(2)‘LU’ (constant) - Separator Char
(1)‘-’ (constant) HH HOST country Char
(2)ISO 3166-1-alpha-2 code • AT – Austria • BE – Belgium • BG – Bulgaria • CY – Cyprus • CZ – Czech Republic N • • • • • • IE – Ireland IS – Iceland IT – Italy LI – Liechtenstein LT – Lithuania LV – Latvia GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 48/65 • • • • • • • • • DE – Germany DK – Denmark EE – Estonia GR – Greece ES – Spain FI – Finland FR – France HR – Croatia HU – Hungary - Separator Char
(1)‘-’ (constant) TYP Notification type Char
(3)INI – Initial notification • • • • • • • • • MT – Malta NL – Netherlands NO – Norway PL – Poland PT – Portugal RO – Romania SE – Sweden SI – Slovenia SK – Slovak Republic DEN – De-notification - Separator Char
(1)‘-’ (constant) UUID Unique identifier UUID format Unique identifier following the rfc 4122 norm Char
(5).zip (constant) (ReportUid) .ext Extension UUID specifications The UUID is necessary to uniquely identified a package concerning a fund. It is also used to prevent a file to be processed several times and to allow the CSSF to share a processing order of files concerning a same fund (if applicable). A ZIP file with the same UUID of another ZIP file concerning the same fund will be rejected with the error CBDF006 (cf. Annex 54.2.3.2.3). GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 49/65 The expected format of an UUID is: XXXXXXXX-XXXX-XXXX-XXXX-XXXXXXXXXXXX where each X data can have a value from 0 to 9 or from a to f (hexadecimal authorised characters). You can find more information about the UUID on: Universally Unique IDentifier (UUID) Annex 4: File naming convention description for CSSF feedback files Format: SourceFileName_FEEDBACK_TrackingCode.json Code Meaning Structure Authorised value SourceFileName Reporting Char(N) Submitted file name - Refer to entity the ZIP File name structure in Annex 3 _ Separator Char
(1)‘_’ (constant) FEEDBACK File type Char
(8)FEEDBACK (constant) TrackingCode Unique Char
(16)Unique identifier created by the identifier CSSF system after file submission CBDFYYYYMMDDXXXXX where: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 50/65 YYYYMMDD: year, month and day of submission XXXXX: daily increment _ Separator Char
(1)‘_’ (constant) .ext Extension Char
(5).json (constant) GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 51/65 Annex 5: CSSF formal verification rules Tables of CSSF formal verification rules applied to initial notification, updates and de-notifications.
  1. Rules when uploading a document on eDesk Controls at document uploading prevent undesirable documents from being attached within the "Attached documents" table for various reasons: a. The global file naming convention of the uploaded document is not respected (see Annex 2). b. The size of the uploaded document exceeds 30MB. c. The uploaded document does not match the fund/AIFM selected when the request was initiated. d. The document type in the file naming convention does not match one of the expected values (see Annex 2). e. The document is loaded as a CSSF generated document (DOCFDB) and is not a prospectus (document code PC) or a CSSF attestation (document code AT). f. The CSSF attestation document type (document code AT) is used for a document using the DOCREP code which is intended for documents generated by intermediaries only. g. The language of the document does not match one of the expected ISO codes (see Annex 2). h. The indexation level and the type of document are not compatible (see part 4 hereafter). i. The document is not permitted for the type and object of the notification (see part 4 hereafter).
  2. Rules on submission on eDesk (by error code) The submission checks are performed as soon as the user presses the 'Submit' button. For each error, the user will find a technical code and a label explaining the reason: GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 52/65 Error Code Explanation CBDF001 The section Description is required, please complete this section. CBDF002 The document is linked to a sub-fund not selected in the Sub-fund(s) selection section. CBDF003 The main document does not exist when adding an annex other than '0000' (not applicable for update notification type) CBDF004 Two documents have identical file names CBDF005 Two documents only differ by their reference date (not applicable for update notification type) CBDF006 At least one sub-fund should be filled in or selected in the Sub-fund(s) selection section CBDF007 Specific questions on de-notification and investors (only concerns de-notifications) have not been filled in the detailed view of a sub-fund, for each relevant country CBDF008 CBDF009 Where applicable, the indexation of a document does not match one of the sub-funds selectable in the Subfund(s) selection tab An invalid document has been uploaded CBDF010 The document Notification letter (code LN) is missing if mandatory (see part 4 hereafter) CBDF011 The document Attestation CSSF (code AT) is missing if mandatory (see part 4 hereafter) CBDF012 At least one of the two constituent documents Articles of incorporation (code AI) or Management regulations (code MR) is missing if mandatory (see part 4 hereafter) CBDF013 The document Disclosure to investors Art. 23
(1)(code DI) is missing if mandatory (see part 4 hereafter) CBDF014 The document Confirmation payment (code CP) is missing if mandatory (see part 4 hereafter) CBDF015 At least one document is still uploading GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 53/65 CBDF016 All topic in the CSSF comments tab must be replied CBDF017 The document Key information document (code KI) is missing for a selected share class if mandatory (see part 4 hereafter) CBDF018 The document Prospectus signed by the CSSF (code PC) in English, French or German is missing if mandatory (see part 4 hereafter) CBDF019 The document Annual report (code AR) is missing whereas the fund is older than 22 months if mandatory (see part 4 hereafter) CBDF020 At least one of the two documents Annual report (code AR) or Semi-annual report (code SR) is missing whereas the fund is older than 14 months if mandatory (see part 4 hereafter) CBDF021 The document Semi-annual report (code SR) is missing whereas the annual report is older than 8 months if mandatory (see part 4 hereafter) CBDF022 For UCITS notification, the document Key information document (code KI) cannot be older than 12 months CBDF023 For UCITS notification, the document Annual report (code AR) cannot be older than 16 months CBDF024 The document Notification letter (code LN) must be unique CBDF025 The document is linked to a share class not selected in the Sub-fund(
  1. s)selection section. CBDF026 For an UCITS initial notification, at least one share class should be selected for each sub-fund selected in the Sub-fund(
  2. s)selection section CBDF027 For an UCITS initial notification, the reference date of the document does not match the date of the last document registered to the CSSF (applicable to KI, AI, MR, AR and SR) CBDF028 Where applicable, the indexation of a document does not match one of the share classes selectable in the Subfund(
  3. s)selection tab GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 54/65 CBDF029 For an UCITS initial notification, the documents Attestation CSSF (code AT) and Prospectus signed by the CSSF (code PC) in English, French or German must be signed by the CSSF. CBDF030 For an UCITS initial notification, the document Prospectus signed by the CSSF (code PC) in English, French or German must be the last version signed by the CSSF CBDF031 (as The section Contact point(
  4. s)is required, please complete this section. of 11 November 2024) CBDF032 (as The section Facilities to investors is required, please complete this section. of 11 November 2024) GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 55/65 3. Rules on submission on CSSF API channel (by error code) The submission checks are performed as soon as a package is received in a S3 bucket. The list of errors raised will be made available in the feedback file with a technical code, a label and context information when applicable. Error Code Label Context CBDF001 The archive is corrupted CSSF code of the fund CBDF002 The archive name is invalid CBDF003 The archive size cannot exceed 80MB CSSF code of the fund CBDF004 The host country defined in the archive name is not CSSF code of the fund authorized for a marketing notification CBDF005 The fund defined in the archive name is not in scope CSSF code of the fund for the type of notification CBDF006 The archive with the reportUID defined in the filename CSSF code of the fund has already been received for this entity CBDF007 The archive must contain a single JSON file CSSF code of the fund CBDF008 JSON file does not respect JSON schema CSSF code of the fund CBDF009 The unique identifier in the JSON is different from the CSSF code of the fund unique identifier used in the archive name CBDF010 The CSSF code of the entity in the JSON file is different CSSF code of the fund from the CSSF code of the entity used in the archive name CBDF011 The marketing target defined in the JSON file is not CSSF code of the fund coherent with the specified fund GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 56/65 CBDF012 The selection of multiple countries is not possible for CSSF code of the fund UCITS notification CBDF013 The host country defined in the archive name is not CSSF code of the fund consistent with the country defined in the JSON file CBDF014 The notification type ‘Update’ is not possible for UCITS CSSF code of the fund notification CBDF015 The notification type in the JSON file is different from CSSF code of the fund the notification type used in the archive name CBDF016 Luxembourg cannot be notified for UCITS CSSF code of the fund CBDF017 The field “fieldname” is required due to field value CSSF code of the fund [field:value] CBDF018 In case of UCITS initial notification, at least one share class must be selected for the subfund CSSF code of the fund CSSF code of the subfund CBDF019 At least one subfund must be selected CSSF code of the fund CBDF020 The subfund is referenced multiple times CSSF code of the fund CSSF code of the subfund CBDF021 The subfund is not in the scope for this type of notification CBDF022 The share class is referenced multiple times CSSF code of the fund CSSF code of the subfund CSSF code of the fund CSSF code of the subfund CSSF code of the share class GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 57/65 CBDF023 The share class is not in the scope for this type of notification CSSF code of the fund CSSF code of the subfund CSSF code of the share class CBDF024 The question concerning the remaining investors is referenced multiple times for the pair subfund/country CSSF code of the fund CSSF code of the subfund Host country CBDF025 The question concerning the remaining investors must be answered for the pair subfund/country CSSF code of the fund CSSF code of the subfund Host country CBDF026 The question concerning the remaining investors is answered for an incorrect HOST for the subfund CSSF code of the fund CSSF code of the subfund Host country CBDF027 The CSSF code of the contact entity doesn’t CSSF code of the fund The contact person email address doesn’t correspond CSSF code of the fund correspond to an existing eDesk entity CBDF028 to an user of the eDesk entity corresponding to the contact entity defined CBDF029 The document does not respect the naming convention CBDF030 The size of the document cannot exceed 30MB CSSF code of the fund Document name CSSF code of the fund Document name GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 58/65 CBDF031 The document does not match the fund defined in the archive name and the JSON file CBDF032 Document name The document type does not match one of the expected value CBDF033 (DOCFDB) CSSF code of the fund Document name The document is specified as a CSSF generated document CSSF code of the fund but is not defined as a prospectus (document code PC) or a CSSF attestation CSSF code of the fund Document name (document code AT) CBDF034 The document is not specified as a CSSF generated document (DOCREP) but is defined as a CSSF attestation (document code AT) CBDF035 The document language does not match one of the expected ISO codes CBDF036 The indexation level and the type of document are not compatible CBDF037 The document is not permitted for the specified fund and the specified notification type CBDF038 The indexation of the document does not match one of the selected subfunds CBDF039 The indexation of the document does not match one of the selected share classes CSSF code of the fund Document name CSSF code of the fund Document name CSSF code of the fund Document name CSSF code of the fund Document name CSSF code of the fund Document name CSSF code of the fund Document name GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 59/65 CBDF040 The main document (annex number 0000) does not exist for the document CBDF041 At least two documents differ only by their reference CSSF code of the fund Document name CSSF code of the fund date CBDF042 The document is invalid CSSF code of the fund Document name CBDF043 Document notification letter is mandatory (see part 4 CSSF code of the fund hereafter) CBDF044 Document CSSF attestation in EN, FR or DE is CSSF code of the fund mandatory (see part 4 hereafter) CBDF045 Articles of incorporation or management regulations CSSF code of the fund document is mandatory (see part 4 hereafter) CBDF046 Confirmation of payment document is mandatory (see CSSF code of the fund part 4 hereafter) CBDF047 Key Investor Document is mandatory for the share class (see part 4 hereafter) CSSF code of the fund CSSF code of the subfund CSSF code of the share class CBDF048 Prospectus document signed by the CSSF in EN, FR or CSSF code of the fund DE is mandatory (see part 4 hereafter) CBDF049 Annual report is mandatory as the specified fund is CSSF code of the fund older than 22 months (see part 4 hereafter) GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 60/65 CBDF050 Annual report or semi-annual report is mandatory as CSSF code of the fund the specified fund is older than 14 months (see part 4 hereafter) CBDF051 A semi-annual report is mandatory as the annual CSSF code of the fund report is older than 8 months (see part 4 hereafter) CBDF052 Key Investor Document cannot be older than 12 months CBDF053 The annual report cannot be older than 16 months CSSF code of the fund Document name CSSF code of the fund Document name CBDF054 Only one notification letter can be present in the CSSF code of the fund archive CBDF055 The date of the document does not match the date of the last document registered at the CSSF (<Reference date>) CBDF056 The document has to be signed by the CSSF CSSF code of the fund Document name CSSF code of the fund Document name CBDF057 The Prospectus is not the last version signed by the CSSF CBDF058 Due to the condition <fieldname:value>, the field <fieldname> must not be provided CSSF code of the fund Document name CSSF code of the fund CSSF code of the subfund (if applicable) GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 61/65 CBDF000 The notification has been successfully processed and CSSF code of the fund is available on eDesk for CSSF validation (specific to SUBMITTED status) CBDF100 The notification has been accepted by the CSSF and CSSF code of the fund transmitted to the corresponding HOST(
  5. s)(specific to ACCEPTED status) CBDF101 The notification has been rejected by the CSSF for the reason specified above CBDF102 The notification has been accepted by the HOST (specific to ACCEPTED_HOST status) CBDF103 The notification has been rejected by the HOST for the reason specified above (specific to REJECT_HOST status) CSSF code of the fund Rejection reason CSSF code of the fund Host country CSSF code of the fund Host country Rejection reason GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 62/65 4. Required documents The following table provides the list of documents to be submitted depending on the chosen options as well as the expected indexation for AIF notifications and de-notifications: LN PC MR AI AR SR CP MP KI DI Notification letter Prospectus Management Regulations Articles of incorporation Annual report Semi-annual report Confirmation of payment Marketing arrangements Key Investor Information Document Disclosure to investors Art. 23
(1)Indexation level To be sent Indexation level To be sent Indexation level To be sent Indexation level To be sent Indexation level To be sent Indexation level To be sent Indexation level To be sent Indexation level Notification Type To be sent Indexation level To be sent To be sent MT Indexation level OT Mandate Others To be sent Indexation level To be sent Indexation level O AIFM O Fund (if existing) or AIFM AIF Pre-Marketing M Fund (if existing) or AIFM F - F - F - F - F - F - F - F - AIF Marketing - Initial M Funds O Funds or sub-funds M Funds M Funds O Funds O Funds Note 1 Funds or sub-funds O Funds or sub-funds O Funds or subfunds or share class M Funds O AIFM O Funds or sub-funds AIF Marketing - Update O Funds O Funds or sub-funds O Funds O Funds O Funds O Funds O Funds or sub-funds O Funds or sub-funds O Funds or subfunds or share class O Funds O AIFM O Funds or sub-funds AIF De-notification M Funds O Funds or sub-funds O Funds O Funds O Funds O Funds O Funds or sub-funds O Funds or sub-funds O Funds or subfunds or share class O Funds O AIFM O Funds or sub-funds ELTIF Marketing - Initial M Funds O Funds or sub-funds M Funds M Funds O Funds O Funds Note 1 Funds or sub-funds O Funds or sub-funds O Funds or subfunds or share class M Funds O AIFM O Funds or sub-funds ELTIF Marketing - Update O Funds O Funds or sub-funds O Funds O Funds O Funds O Funds O Funds or sub-funds O Funds or sub-funds O Funds or subfunds or share class O Funds O AIFM O Funds or sub-funds ELTIF De-notification M Funds O Funds or sub-funds O Funds O Funds O Funds O Funds O Funds or sub-funds O Funds or sub-funds O Funds or subfunds or share class O Funds O AIFM O Funds or sub-funds EUSEF Pre-Marketing M Fund (if existing) or AIFM F - F - F - F - F - F - F - F - F - F - O EUSEF Marketing - Initial M Funds F - F - F - F - F - F - F - F - F - F - O EUSEF Marketing - Update M Funds F - F - F - F - F - F - F - F - F - F - O EUSEF De-notification M Funds F - F - F - F - F - F - F - F - F - F - O EUVECA Pre-Marketing M Fund (if existing) or AIFM F - F - F - F - F - F - F - F - F - F - O EUVECA Marketing - Initial M Funds F - F - F - F - F - F - F - F - F - F - O EUVECA Marketing - Update M Funds F - F - F - F - F - F - F - F - F - F - O EUVECA De-notification M Funds F - F - F - F - F - F - F - F - F - F - O Fund (if existing) or AIFM Funds or sub-funds Funds or sub-funds Funds or sub-funds Fund (if existing) or AIFM Funds or sub-funds Funds or sub-funds Funds or sub-funds M : Mandatory F : Forbidden O : Optionnal Note 1 The document type is only mandatory for some countries (Germany, France, Austria, Liechtenstein, Malta, Slovenia). GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 63/65 The following table provides the list of documents to be submitted depending on the chosen options as well as the expected indexation for UCITS notifications and de-notifications: LN PC MR AI AR SR CP MP KI DI Key Investor Information Document Disclosure to investors Art. 23
(1)Notification Type Notification letter To be sent Prospectus Indexation level To be sent Management Regulations Articles of incorporation Confirmation of payment Marketing arrangements Indexation level To be sent Indexation level To be sent Indexation level To be sent Indexation level To be sent Indexation level To be sent To be sent Annual report Semi-annual report UCITS Marketing - Initial M Funds M Funds M Funds M Funds M Funds M Funds Note 1 UCITS De-notification M Funds O Funds O Funds O Funds O Funds O Funds O Indexation level Funds or sub-funds Funds or sub-funds O O Indexation level Funds or sub-funds Funds or sub-funds To be sent Indexation level To be sent M Share classes F O Share classes F MT Indexation level - OT Mandate Others To be sent Indexation level To be sent Indexation level O Funds O Funds O Funds O Funds M : Mandatory F : Forbidden O : Optionnal Note 1 The document type is only mandatory for some countries (Germany, France, Austria, Liechtenstein, Malta, Slovenia, Greece, Cyprus). GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 64/65 Commission de Surveillance du Secteur Financier 283, route d’Arlon L-2991 Luxembourg (+352) 26 25 1-1 direction@cssf.lu www.cssf.lu GUIDELINES ON NOTIFICATION AND DE-NOTIFICATION PROCEDURES 65/65

🔗 Vers la source officielle

AI explanation based on the official legal text. Indicative, not a substitute for legal advice.