Regulatory Services

Fund registration and notification

A proven product for the constitution and transmission of notification packages

The notification procedure introduced by the UCITS IV directive covers the authorisation for marketing UCITS funds in other EU countries. This procedure involves the sending of a package of documents to the home country regulator.

Fundsquare offers a service for the notification procedure that is based on our existing and proven e-file.lu platform.

Also, as Fundsquare is already mandated to collect some of  the documents in the package, we can provide an efficient solution to meet these requirements.

Step 1: Fundsquare assists the filing entity to transmit the notification package, by fund and by country of commercialisation, by carrying out the constitution, validation and control of the notification package.

Step 2: Fundsquare transmits a ZIP file to the home authority (CSSF).

Step 3: the home authority transmits to the host authority, in case of cross-border commercialisation, and confirms to the filing entity.

The e-file.lu notifications module facilitates requests for marketing to European countries from funds domiciled in Luxembourg, offering a tool that will assist throughout the creation phase of the notification package.

Principal features include:

  • Maintenance of a registration matrix
  • Creation of mandatory document packages by country
  • Assistance with file naming and guided steps for notification letters
  • Data acquisition via Fundsquare’s database
  • Complete monitoring of all processes
  • Efficient follow up through dashboards
  • Archiving and recording of documents, data, time, date and dissemination.

 

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