Legal reporting

Instructions

Please refer to Circular IML 97/136 for instructions relating to information that UCIs must provide.

 

Please refer to Circular CSSF 15/627 for instructions relating to information that UCIs must provide as of 30 June 2016.

 

Schedule of conditions

The document “Schedule of conditions for the technical implementation of the CSSF reporting requirements – SOC/CSSF” contains the technical instructions for the electronic transmission of periodic reporting of banks and UCIs under the supervision of the CSSF.

 

The new version of the CSSF SOC as published is a reviewed and updated version of the SOC published by the former IML, the latest major update dates back to November 1997. As for the CSSF Recueil, the CSSF SOC concerns only technical instructions relating to prudential tables (tables B, E and O). Technical instructions relating to statistical reporting (tables S) are available for download on the BCL Internet website.

 

Table of contents

Introduction

Table O 1.1 Monthly financial information

Table O 4.1 Yearly financial information

Table O 4.2 Interventions on the futures and options markets

Annexe: EDIFACT Compliant Format Specifications

 

The reporting below shall only be submitted by UCIs that offer a formal guarantee to their investors ("Guaranteed Fund"):

 

Table O 1.2 Monthly financial information for guaranteed funds

 

This report shall be submitted in xml format in accordance with the structures of the XML schema cssfreport, an example of it being available here.

 

Rules applicable as of 30 June 2016:   

Guidelines on the U 1.1 reporting (03.06.2016)

Guidelines on the U 1.1 reporting - Final version track changes (03.06.2016)

Schémas XML U 1.1

U1 .1 Rules and Definition 

Examples 

 

Identifiers of UCI/SIF/SICAR

The following file lists the UCI and SICAR identifiers to be used for the periodic reporting:

 OPC_FIS_SICAR_COMP_TP_TOUS_NON_FERMES.zip