Legal reporting

Instructions - UCITS

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

 

Please refer to Circular CSSF 15/627 for instructions relating to information that UCITS 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

U 1.1 Rules and Definition 

Examples

U 1.1 reporting life cycle

U 1.1 reporting naming convention

 

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

 

 

Instructions - Self-managed investment firms

In accordance with circular CSSF 03/108  of 30 July 2003, self-managed investment firms incorporated under Luxembourg law subject to article 27 or 40 of the law of 20 December 2002 must report specific information on a quarterly basis to the CSSF.

 

In order to organise and facilitate the delivery of these tables, self-managed investment firms are invited to download the Excel template below.

 

Quarterly information (only in French)

 

UCITS risk reporting

This half-yearly reporting, introduced by way of a circular letter to the management companies/self-managed investment companies that manage UCITS subject to Luxembourg law, aims to collect data on the various risks in order to strenghten the prudential supervision of the CSSF.

 

For the reference date 30 June 2017, the documents below are applicable:

 

Guidelines on the UCITS risk report 

Excel reporting file - Template 

Excel reporting file - Example 

UCITS identifiers

ManCo identifiers 

For the sake of completeness, a final version of the guidelines highlighting the amendments made to the guidelines of the preceding reporting of 31 December 2016 is available below: