The Luxembourg financial information exchange portal

3. offer a new electronic solution for the registration and reporting procedures to the local authorities

4. The Luxembourg financial information exchange portal

5. Lawyers Central Admin. Transfert agents Listing agents The participants Filing entities Authorities CSSF CCLux Bourse de Luxembourg Numbering Agency

6. Prospectus draft 1 Prospectus draft 2 FinalProspectus Prospectus reading Comments are sent Update of progress report Principle File File Approval of a new UCI Approval of a new UCI Close + publication of prospectus

7. Coverage and adaptability • Reactivity and transparency • Security and confidentiality Advantages

8. Coverage and adaptability • e-file.lusupports all registration and regulatory reporting procedures of the funds industry. • e-file.luwill be the major channel to communicate with the Luxembourg financial authorities. • e-file.luis an adjustable platform which can at any time accommodate new procedures.

9. Reactivity and transparency • A standard prospectus is communicated to the authoritiesin a few seconds. • e-file.lucollects all data and provides a full history which ensures a traceability of all exchanged data. • a progress report enables to carry out a step-by-step follow-up of the procedure.

10. Reactivityandtransparency(cont’d) • An automatic alert is createdfor each event, thereby ensuring high reactivity. • A multicriterion search, adjustable views and sorts provide direct and rapid access to searched information.

11. Safety and confidentiality • Confidentiality of communications is ensured by the encryption of all exchanged data. • The authentication of the entities which access e-file.luis made by means of an electronic certificate. • Correct and proper transmission of data sent to e-file.luis guaranteed by the Luxembourg Stock Exchange.

12. Functionalities - CSSF • Approval of a new UCI • Changes to an existing UCI • Changes to a number of existing UCIs • Approval of or changes to a management company • Approval of or changes to a number of management companies • Delivery of annual report • Delivery of annual report of a management company • Delivery of management letters • Reporting under circular 02/77 • Comments on reporting • General requests • General information

13. Functionalities – Luxembourg Stock Exchange • Prospectus approval • Admission to trading • Financial statements – Other documents

14. General monitoring … from the home page onwards

15. General monitoring … from the home page onwards by means of • the list of most recent alerts

16. General monitoring … from the home page onwards by means of • the list of most recent alerts • the list of new envelopes

17. General monitoring … from the home page onwards by means of • the list of most recent alerts • the list of new envelopes • a link to the list of current files

18. General monitoring … from the home page onwards by means of • the list of most recent alerts • the list of new envelopes • a link to the list of current files • a link to the list ofnon- assigned procedures

19. General monitoring … from the home page onwards by means of • the list of most recent alerts • the list of new envelopes • a link to the list of current files • a link to the list ofnon- assigned procedures • a link to the multicriterion search page

20. Specific monitoring of a procedure … through a progress report

21. Specific monitoring of a procedure … through a progress report • a step-by-step dashboard

22. Specific monitoring of a procedure … through a progress report • a step-by-step dashboard • alert received whenever an update is made by the Authority

23. Specific monitoring of a procedure … through a progress report • a step-by-step dashboard • alert received whenever an update is made by the Authority • specific alert when the procedure is closed

24. Mail traceability … through the procedure sheet

25. Mail traceability … through the procedure sheet with • a view by received and sent envelopes

26. Mail traceability … through the procedure sheet with • a view by received and sent envelopes • a view by documents

27. Mail traceability … through the procedure sheet with • view by received and sent envelopes • view by documents • sort by dates, sender, name or type of document

28. Multicriterion search … extended and combinable

29. Multicriterion search … extended and combinable • search by codes

30. Multicriterion search … extended and combinable • search by codes • search by files

31. Multicriterion search … extended and combinable • search by codes • search by files • search by procedures

32. Multicriterion search … extended and combinable • search by codes • search by files • search by procedures • search by dates

33. Multicriterion search … extended and combinable • search by codes • search by files • search by procedures • search by dates • search by instruments

34. History … of files and procedures

35. Filing entity Authority Files Procedures Documents History … of files and procedures • All files and procedures are centrally stored and saved

36. History … of files and procedures • All files and procedures are centrally stored and saved • Lists of files and documents can be sorted by authority, date, name, manager etc…

37. History … of files and procedures • All files and procedures are centrally stored and saved • Lists of files and documents can be sorted by authority, date, name, manager etc… • Direct access to each file and procedure through hyperlinks

38. Multi-user platform … users are identified by all and classified by roles

39. Multi-user platform … users are identified by all and classified by roles • an administrator role for user and access management

40. Multi-user platform … users are identified by all and classified by roles • an administrator role for user and access management • a supervisor role with high-visibility file supervision

41. Multi-user platform … users are identified by all and classified by roles • an administrator role for user and access management • a supervisor role with high-visibility file supervision • a manager role to manage the procedures assigned to him

42. Multi-user platform … users are identified by all and classified by roles • an administrator role for user and access management • a supervisor role with high- visibility file supervision • a manager role to manage the procedures assigned to him • The particulars of each system user are available to the user’s counterparts

43. Documents automatically published … on the portal www.finesti.com

44. Documents automatically published … on the portal www.finesti.com • Automatic publication after validation by the authority and close of the procedure

45. Documents automatically published … on the portal www.finesti.com • Automatic publication after validation by the authority and close of the procedure • Publication depends on the launch date or the desired publication date

46. Documents automatically published … on the portal www.finesti.com • Automatic publication after validation by the authority and close of the procedure • Publication depends on the launch date or the desired publication date • Publication of prospectuses, semi-annual and annual reports