On January 28th 2019 the CSSF published Circular 19/708 concerning electronic transmission of documents (“Circular”). The Circular provides that, as of February 1st 2019 the following entities are obliged to submit documents only via electronic means to the CSSF:
- alternative investment fund managers and alternative investment funds managed internally within the meaning of the Law of 12 July 2013 on Alternative Investment Fund Managers;
- management companies within the meaning of the Law of 17 December 2010 on undertakings for collective investment;
- undertakings for collective investment within the meaning of the Law of 17 December 2010 on undertakings for collective investment;
- specialized investment funds that fall under the law of 13 February 2007 on specialized investment funds;
(v) investment companies in risk capital within the meaning of the Law of 15 June 2004 relating to the investment company in risk capital;
- securitisation entities regulated by the Law of 22 March 2004 on securitisation;
- pension funds regulated by the Law of 13 July 2005 on institutions for occupational retirement provision in the form of pension savings companies with variable capital and pension savings associations.
Annex I to the Circular which is published on the CSSF website provides a regularly updated and detailed list of the documents which, as of February 1st 2019, cannot be provided to the CSSF via means other than the e-file or SOFiE communication platforms. The list of the documents (in definitive form) includes inter alia: prospectus, management regulations, annual report, risk management report or compliance report and contains a specific nomenclature to be used for each type of document.