Circular CSSF 19/708 - Annex (Updated)
Executive Summary
Circular CSSF 19/708 mandates the electronic transmission of specified documents to the CSSF via secure platforms like e-file or SOFiE, effective from February 1, 2019, replacing prior paper or other methods. This updated annex (as amended by Circular CSSF 21/790 and further revisions up to April 1, 2025) standardizes submissions for investment funds and related entities, reducing administrative burdens while ensuring document integrity and CSSF accessibility. Compliance professionals must monitor the dynamic annex list on the CSSF website to avoid nullified submissions. #
What Changed
- Mandatory Electronic-Only Submission: Documents listed in Annex I must be transmitted exclusively via e-file (http://www.e-file.lu) or SOFiE (http://www.cetrel-securities.lu/wp_static/what-do-we-offer/secured-reporting-channel-sofie-sort/), in PDF format supporting read access, printing, copy/paste, and word search; other methods post-February 1, 2019, are null and void. - Dynamic Annex Updates: The annex, published on the CSSF website, is regularly updated (e.g., latest noted April 1, 2025) and includes prospectuses, management regulations, annual reports, risk management reports, compliance reports, and more, with specific nomenclatures required for each. - Scope Expansion: Extends beyond UCIs to securitisation undertakings (2004 Law), pension funds (2005 Law), SICARs, and Luxembourg I
What You Need To Do
- Register/access e-file or SOFiE platforms if not already (test/production environments available since February 2019)
- Consult and adhere to the latest Annex I for document list, nomenclatures, and formats (PDF with full functionality)
- Ensure submissions are final/official versions matching hard copies; use specified identifiers for UCIs/SIFs/SICARs
- Implement processes for automatic/manual transmission (e
- Train staff on responsibilities and integrate into reporting workflows; reference CSSF FAQs for closing documents
Key Dates
Compliance Impact
Urgency: Low (for new implementations post-2019; medium for ongoing monitoring). This matters for operational efficiency and CSSF relations, as non-compliance risks rejected filings, delays (e.g., approvals under SFDR processes), or supervisory scrutiny, but long-standing rule (since 2019) with established platforms reduces immediate pressure. Firms must prioritize annex vigilance to avoid disrupt
Who is Affected
Summary
Electronic transmission of documents to the CSSF