{"id":"circulars/faq-faq-eriis","title":"FAQ eRIIS","type":"circular","date":"2022-03-04","kind":"faq","html":"

FAQ eRIIS is a CSSF FAQ, published 4 March 2022.

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Legal basis: Law of 11 January 2008 on transparency requirements for issuers.

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Main topic: Information requirements for issuers of securities. Keywords: Issuer, Transparency.

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FAQ eRIIS

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FAQ ERIIS Unrestricted Version: Version 2.0

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FAQ eRIIS CONTENTS PART I – Accounts and Certificates What is a LuxTrust certificate? Do I need a LuxTrust certificate for eRIIS? Can I also use certificates from other certification authorities? 1.4. Which LuxTrust product can I choose? 1.5. Do I choose a LuxTrust product for individuals or for professionals? 1.6. How can I order a LuxTrust certificate? 1.7. I already possess a LuxTrust certificate. Can I use it with eRIIS or do I need a new one? 1.8. Can Luxembourg non-residents also apply for a LuxTrust certificate? 1.9. What is the difference between a LuxTrust certificate and a user account? 1.10. Can several employees share a single LuxTrust “company certificate”? 1.11. Does the LuxTrust certificate have a limited validity period? 1.12. I already have an e-Prospectus user account. Do I need to create a new user account for eRIIS? 1.1. 1.2. 1.3.

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4 4 4 4 4 5 5 5 5 6 6 6

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PART II – User Accounts (establishment and organisation) 2.1. 2.2. 2.3. 2.4. 2.5. 2.6. 2.7. 2.8.

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I transmit information to eRIIS through the OAM. Can I dispense with eRIIS? 7 How do I become SuperUser of a Reporting Entity? 7 Which filings can I do through eRIIS? 8 Can I provide eRIIS services to various Reporting Entities? 9 Can a third-party file a notification of major holdings in eRIIS on behalf of a holder? 9 Can a third-party file a notification of transactions on behalf of a person discharging managerial responsibilities (PDMR) in eRIIS? 10 Is the Reporting Entity of an issuer allowed to file both the PDMR notification by the holder (HOS-2) and the PDMR notification by the issuer (MAR-2)? 10 Which email address do I need to provide to create an eRIIS User Account? 10

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PART III – Information filing 3.1. 3.2.

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I filed the wrong document with eRIIS. How can I correct my filing? 11 The status of my eRIIS filing is now “completed”. Can I modify my filing? 11

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FAQ ERIIS

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3.3.

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Can I file different parts of a financial report on a separate basis in eRIIS? 11 3.4. When can I add a document to an eRIIS filing? 12 3.5. What does the “Reference date” metadata refer to? 12 3.6. I filed an annual financial report and received an ESEF error message. What does it mean? 12 3.7. Is it required to provide Metadata? 13 3.8. What information am I expected to provide in Metadata fields concerning the disclosure of information? 13 3.9. I have submitted a message through eRIIS but I have not received any reply. 14 3.10. I am an issuer of securities and Article 7 of the Transparency Law applies to me. Do I need to use eRIIS? 14

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FAQ ERIIS

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FAQ eRIIS PART I – Accounts and Certificates 1.1. What is a LuxTrust certificate? LuxTrust is a certification authority. The digital certificates from LuxTrust guarantee the identity and authenticity of the person connecting to an online application, among other usage options.

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1.2. Do I need a LuxTrust certificate for eRIIS? Every eRIIS user needs a LuxTrust certificate to access the CSSF portal to guarantee proper identification (“who are you?”) and authentication (“how do you prove who you are?”).

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1.3. Can I also use certificates from other certification authorities? For eRIIS, only LuxTrust certificates are accepted to access the application and create user accounts.

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1.4. Which LuxTrust product can I choose? You are free to choose any LuxTrust device (e.g. Token, SmartCard, Scan or LuxTrust App). They all provide an appropriate level of security for identification and authentication purposes. For your evaluation however, you may wish to take the identification process (online or face-to-face) and the delivery time of the different products into consideration. These can be found on the LuxTrust webpages mentioned in the following FAQ.

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1.5. Do I choose a LuxTrust product for individuals or for professionals? Both product types can be used to access the eRIIS portal.

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The text above is the opening of the document; the PDF carries the whole.

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Document page, PDF. Source: Commission de Surveillance du Secteur Financier (CSSF), reproduced with the CSSF's consent. The French text prevails.

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