The Fundsquare Document Dissemination Service ( DDS ) How to use the Dissemination set up module to manage your dissemination lists online

Transcription

1 The Fundsquare Document Dissemination Service ( DDS ) How to use the Dissemination set up module to manage your dissemination lists online

2 Table of contents 1 Introduction Purpose of the document Acronyms and abbreviations The Dissemination set up Access Setup of new dissemination lists Dissemination parameters List name Channel Format Comments/Specific parameters Dissemination CLM Frequency and time Dissemination type template text Adding recipients to existing dissemination lists The subscription matrix General The dissemination selection The dissemination triggers Dissemination requirements How to check the dissemination requirements? The dissemination dashboards General Dissemination dashboards available on aggregate level Dissemination dashboards available on dissemination list level

3 1 Introduction 1.1 Purpose of the document The DDS allows to send documents in electronic format to various recipients, according to parameters defined by dissemination lists with the online dissemination module. This note explains how to create, complete and manage the dissemination lists (Chapter 2). It also describes the subscription matrix (Chapter 3), the dissemination triggers (Chapter 4) and the various dissemination dashboards (Chapter 5). This note does not replace other available manuals (e.g. Registration and Distribution Matrix Management, Document Management) that can be found on under the Support section Consult our user manuals. It should be read in conjunction with the Where is the KIID and the Regulator Update and KIID Distribution Guide documents. 1.2 Acronyms and abbreviations Term Description CLM.csv DDS FSQ FTP HTML KIID KIID Factory.xls.xml Country Language Matrix comma separated values: stores tabular data (numbers and text) in plain-text form Document Dissemination Service Fundsquare File Transfer Protocol HyperText Markup Language used to create web pages Key Investor Information Document Service provider that produces KIIDs Microsoft Excel file format Extensible Markup Language (XML): Markup language that defines a set of rules for encoding documents Disclaimer: This document is subject to change and chosen print screens showing fundnames are random and do under no circumstances express recommendations for investments or any preferences of FSQ. 2

4 2 The Dissemination set up 2.1 Initial setup The FSQ Clientservice team will send you the initial setup file in.xls to create your first dissemination list(s). Please return this file to Upon set up you will be granted access to the maintenance screens as outlined below where you have also the possibility to request additional dissemination lists. Please note that the initial setup file cannot be used for additional maintenance. 2.2 Access The dissemination set up module can be accessed through the launchpad in e-file.lu: 2.3 Setup of new dissemination lists The button in the online subscription matrix tab has to be used to create additional dissemination lists in an existing subscription matrix: 3

5 In the following pop up window, various dissemination parameters have to be defined: : After completing your request, the latter is sent to the FSQ dissemination team by clicking be informed by FSQ when the request has been completed.. You will 2.4 Dissemination parameters The dissemination parameters have to be defined for each new dissemination list. However, for datavendors or distribution platforms (e.g. Fundchannel, Seblink, Morningstar, Fundinfo, Fundslibrary ), these parameters are predefined and cannot be changed. In the online tool, these dissemination lists will be marked in red. The FSQ dissemination team will identify recipients with predefined dissemination parameters. The dissemination parameters of a recipient list are visible by clicking on the green magnifying glass : The dissemination parameters can be customized according to your needs but, depending on the level of customization, additional development cost may occur. The standard offer is included in the subscribed services. 4

6 2.4.1 List name The list name can be freely chosen, we suggest to use a name that explains either the recipients and/or the type of documents, e.g. Datastream, Fundslibrary_KIID_EN or ALLFUNDS_Fact_ES Channel The document dissemination can be done either by , ftp (used for the major distribution platforms (e.g. Allfunds, Six Financial ) or HTTP (Fundslibrary). Should the dissemination be done by , the.pdf documents will not be included in the mail; the latter includes the link (url) to each document in an.xls or.csv file Format The format of the file included in the dissemination can be.xls,.csv or.xml Comments/Specific parameters Any other relevant information for the dissemination should be added in this section (e.g. dissemination clm, frequency and time, dissemination type) Dissemination CLM The dissemination CLM defines, by type of document and fund, the language that is sent. For each dissemination list, before or after the initial setup, the languages that shall be sent can be selected, by fund and for each document type. HINT: If no CLM has been defined for a dissemination list, all available language versions for the defined type of document(s) will be sent as soon as the dissemination requirements have been met for at least one country. Please note that for a dissemination of non-specific KIIDs to FUNDINFO, a dissemination CLM is mandatory, as it is the source data to complete the PublicationCountry information (the Publication Country parameter is only requested from FUNDINFO) Frequency and time The frequency and the dissemination time can be configured, e.g. daily at 11pm Dissemination type A document dissemination is either - absolute : the latest version of all available documents (of each document type that has been specified) will be disseminated, newly disseminated documents will bear an update marker, each time a dissemination is triggered; 5

7 - relative : the dissemination will only include newly available documents ( that have never been disseminated) template text The template text can be customized, e.g.: Dear Sir/Madam, The attached file contains hyperlinks to the latest official documents from Company one. Please note that the column Update Indicator (if present in your file) indicates the availability of new documents. To learn how to automatically download documents from Fundsquare, please find a video tutorial under the following link: click here. Should you have any questions, or wish to be removed from the dissemination list, please contact Fundsquare Clientservice (clientservice@fundsquare.net). Kind regards, Company one signature 5, example street L-1234 Luxembourg 2.5 Adding recipients to existing dissemination lists By accessing the dissemination parameters with the dissemination list by using the button:, recipients can be added to an existing Recipients can also be removed from a dissemination list by selecting their address and by using the button. addresses cannot be changed for dissemination lists with predefined dissemination parameters (marked in red). 6

8 3 The subscription matrix 3.1 General The dissemination lists are accessible in the main screen: Dissemination lists that have predefined parameters are red. Inactive lists are marked with a. Various filters can be applied to find the selections for a shareclass or to find a recipient. 3.2 The dissemination selection After the setup of the dissemination list(s), ISINs have to be selected in each recipient list so that the documents that are indexed on the level of these ISINs will be included in the dissemination. This selection can be done on fund, subfund and shareclass level. HINT: If a selection is done on a superior level, newly created instruments on an inferior level are automatically selected, e.g. if the fund has been selected, all the subfunds (and shareclasses) will be selected, those existing (at the time of the selection) and newly created (after the moment of the selection). In order to select all the fund(s) included in a dissemination list, check the tick box in the dissemination list column. Funds can also be selected individually by selecting the tick box in the row of the respective fund. 7

9 - allows to access the selection screen on fund level in order to do a selection on subfund or shareclass level. Shareclasses can be selected on subfund level or individually, multiple selections in different recipient lists at the same time are possible and are visualized with a : Selections marked by a indicate that the selection has been done on a superior level. These selections can only be removed on a higher level, as indicated by the popup: 8

10 4 The dissemination triggers 4.1 Dissemination requirements The following conditions all need to be met (the order by which they are met is not relevant) in order to trigger a dissemination: the status of the share-class at FSQ has to be active; the document has to be published (and the publication date has to be reached or passed); share-class status R (or Ri or Rp) in the Registration matrix ; share-class status D in the Distribution matrix; the share-class has to be selected in the dissemination list. Please note that these conditions need to be met by minimum one shareclass for documents at fund (or subfund level), e.g. prospectus or annual reports. 4.2 How to check the dissemination requirements? Various dashboards are available in the dashboard section of efile. Even if no explicit reference is made in this document to all the dashboards, we suggest that they should be accessed on a regular basis to check the information they are able to provide. In order to check the various conditions, we suggest to use the dashboard 3_24 Follow up: Detailed view on KIID. This dashboard centralizes both the status in the FSQ and the CSSF database and allows you to check the registration and distribution status of each KIID for each Regulator. It also shows the publication and filing status of the KIID: Status in the FSQ database Status in the CSSF database Publication status Filing status Registration status Distribution status 9

11 5 The dissemination dashboards 5.1 General The dissemination dashboards provide information on the documents included in a dissemination, as well as the timing and the trigger of the latter. Dashboards are available on an aggregate level and for each individual dissemination list. 5.2 Dissemination dashboards available on aggregate level Push to access the dashboards : Audit - New documents included in the most recent dissemination across all the dissemination lists, in.pdf format - over the last 12 months; Export - New documents included in the most recent dissemination across all the dissemination lists, in.xls format - over the last 12 months; Country language matrix (in.pdf or.xls) Dissemination CLM per type of document for each dissemination list. 5.3 Dissemination dashboards available on dissemination list level In order to run dissemination dashboards for a specific dissemination list, click on the green magnifying glass to access the dissemination parameters of the dissemination list and push : 10

12 Dissemination audit trail (.xls and.pdf) - Total number of new documents included in the most recent dissemination per recipient - over the last 12 months. HINT: The last dissemination prerequisite that has triggered the dissemination of a document (the dissemination trigger event ) is highlighted in green. Document coverage (.xls and.pdf) - not applicable for DDS clients. Sample status (.xls and.pdf) - not applicable for DDS clients. Country language matrix (.xls and.pdf) - Dissemination CLM per type of document of the selected dissemination list. 11