Publié le 4 mars 2022
Communiqué

Communication relative au lancement de eRIIS – une nouvelle plateforme web pour les entités soumises à la Loi Transparence et au Règlement sur l’abus de marché (uniquement en anglais)

The CSSF is pleased to announce the launch of eRIIS1, its new web application for issuers or other persons subject to the Transparency Law2 and the Market Abuse Regulation3. As from 4 March 2022, these persons will be able to fulfil their filing obligations through eRIIS.

The new web application replaces the current CSSF filing process via email for the major legal filing requirements applicable to the following two types of persons: (1) issuers of securities and (2) holders of securities (for notifications of major holdings and for notifications of persons discharging managerial responsibilities within an issuer). It will also serve as a main communication channel between these persons or entities and the CSSF.

eRIIS is designed both as a regulatory filing system and a secure channel of communication with the CSSF. eRIIS will thus not only ensure a state-of-the-art protection of data exchanges with the competent authority, but will also allow to follow-up on regulatory filings, notably by consulting various dashboards and tracking the status of individual filings. In addition, eRIIS offers advanced functionalities for the filing and validation of annual financial reports drawn up under the new ESEF format4. eRIIS will furthermore allow to adequately manage the Reporting Entities’ data while at the same time offering the possibility of delegating administrative tasks to third parties by defining various levels of access rights for different users.

Please also note the following key information:

eRIIS access: The new application can be accessed by clicking on the following link or via a dedicated icon on the CSSF website5.

Security: A LuxTrust certificate is required to access the eRIIS platform (to guarantee a proper and strong authentication) and get an eRIIS user account. As a consequence, persons who do not already possess a LuxTrust certificate, need to order one as soon as possible.

Documentation: A page dedicated to eRIIS has been added on the CSSF website to help to get started. It contains an FAQ document (about LuxTrust certificates and user accounts), several User Guides (to introduce the main concepts and elements of eRIIS) as well as other useful information. The Circulars CSSF 08/337 and CSSF 08/349 have also been updated accordingly.

Transition period: All concerned persons are encouraged to use eRIIS as soon as possible. Note however that filings per email will be tolerated until 30 May 2022 to allow sufficient time to complete all administrative tasks necessary for accessing eRIIS.

 

The CSSF is aware that this represents a major change in the filing process and thanks all concerned persons for promptly adapting to it. For any question, please feel free to send an email to eRIIS.support@cssf.lu.

More detailed information on eRIIS may be found in the dedicated section of the CSSF website.

1 eRIIS stands for electronic Reporting of Information concerning Issuers of Securities.

2 Law of 11 January 2008 on transparency requirements for issuers.

3 Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse.

4 Please refer to Commission Delegated Regulation (EU) 2019/815 of 17 December 2018 supplementing Directive 2004/109/EC of the European Parliament and of the Council with regard to regulatory technical standards on the specification of a single electronic reporting format.

5 It can be found in the “toolbox” section next to the search icon in the top right corner of the screen, then section “Markets”.

Annex

The following types of filings are available in eRIIS:

 

  • Transparency Law – Ongoing information

Major holding notification – Publication by issuer (Article 11(6) of the Transparency Law) [TRA-O1]

Home Member State (Article 1(1)(9) of the Transparency Law) [TRA-O2]

Total number of voting rights and capital (Article 14 of the Transparency Law) [TRA-O3]

Acquisition or disposal of the issuer’s own shares (Article 13 of the Transparency Law) [TRA-O4]

Changes in the rights attached to classes of shares or securities (Article 15 of the Transparency Law) [TRA-O5]

Information for holders of securities admitted to trading on a regulated market (Articles 16 and 17 of the Transparency Law) [TRA-O6]

Information filed on a voluntary basis [TRA-O7]

 

  • Transparency Law – Periodic information

Annual financial and audit reports (Article 3 of the Transparency Law) [TRA-P1]

Half-yearly financial & audit reports / limited reviews (Article 4 of the Transparency Law) [TRA-P2]

Reports on Payments to governments (Article 5 of the Transparency Law) [TRA-P3]

Quarterly financial report [TRA-P4]

 

  • Market abuse

Inside Information / Ad Hoc Information (Article 17(1) of MAR) [MAR-1]

Manager’s transactions notification – Publication by issuer (Article 19(3) of MAR) [MAR-2]

Buy-back programmes (Article 5(1)(a) of MAR / Article 2(1) of Regulation (EU) 2016/1052) [MAR-3]

Buy-back transactions (Article 5(1)(b) of MAR / Article 2(2) of Regulation (EU) 2016/1052) [MAR-4]

Delay of disclosure of inside information (Article 17(4) of MAR) [MAR-5]

Stabilisation measures (Article 5(4) of MAR / Article 6(1) of Regulation (EU) 2016/1052) [MAR-6]

Stabilisation transactions (Article 5(5) of MAR / Article 6(2) of Regulation (EU) 2016/1052) [MAR-7]

Stabilisation outcome (Article 5(4) of MAR / Article 6(3) of Regulation (EU) 2016/1052) [MAR-8]

 

  • Notification for holders of securities

Major holding notification (Articles 11(2) and 18(2) of the Transparency Law) [HOS-1]

Manager’s transactions notification (Articles 19(1) and 19(2) of MAR) [HOS-2]