eRIIS

eRIIS (electronic Reporting of Information concerning Issuers of Securities) is the web application allowing entities subject to the Transparency Law and the Market Abuse Regulation to fulfil a wide range of filing obligations with the CSSF.

It covers the major legal filing requirements applicable to the issuers of securities as well as holders of securities and serves as a main communication channel between these persons or entities and the CSSF.

eRIIS is designed both as a regulatory filing system and a secure channel of communication with the CSSF. eRIIS will thus not only ensure a state-of-the-art protection of data exchanges with your competent authority, but will also allow you to follow-up on regulatory filings, notably by consulting various dashboards and tracking the status of individual filings. In addition, eRIIS offers advanced functionalities for the filing and processing of annual financial reports drawn up under the new ESEF format. eRIIS will furthermore allow you to adequately manage your data while at the same time offering the possibility of delegating administrative tasks to third parties by defining various levels of access rights for different users.

Transparency Law – Ongoing information

Major holding notification – Publication by issuer (Article 11(6) of the Transparency Law)

Home Member State (Article 1(1)(9) of the Transparency Law)

Total number of voting rights and capital (Article 14 of the Transparency Law)

Acquisition or disposal of the issuer’s own shares (Article 13 of the Transparency Law)

Changes in the rights attached to classes of shares or securities (Article 15 of the Transparency Law)

Information for holders of securities admitted to trading on a regulated market (Articles 16 and 17 of the Transparency Law)

Information filed on a voluntary basis

Transparency Law – Periodic information

Annual financial and audit reports (Article 3 of the Transparency Law)

Half-yearly financial & audit reports / limited reviews (Article 4 of the Transparency Law)

Reports on Payments to governments (Article 5 of the Transparency Law)

Quarterly financial report

Market abuse

Inside Information / Ad Hoc Information (Article 17(1) of MAR)

Manager’s transactions notification – Publication by issuer (Article 19(3) of MAR)

Buy-back programmes (Article 5(1)(a) of MAR / Article 2(1) of Regulation (EU) 2016/1052)

Buy-back transactions (Article 5(1)(b) of MAR / Article 2(2) of Regulation (EU) 2016/1052)

Delay of disclosure of inside information (Article 17(4) of MAR)

Stabilisation measures (Article 5(4) of MAR / Article 6(1) of Regulation (EU) 2016/1052)

Stabilisation transactions (Article 5(5) of MAR / Article 6(2) of Regulation (EU) 2016/1052)

Stabilisation outcome (Article 5(4) of MAR / Article 6(3) of Regulation (EU) 2016/1052)

Notification for holders of securities

Major holding notification (Articles 11(2) and 18(2) of the Transparency Law)

Manager’s transactions notification (Articles 19(1) and 19(2) of MAR)

More information may be found in the relevant user guide.

Access to eRIIS involves two different concepts:

• User account: In order to access eRIIS a user account is required.
• Reporting Entities: All filings are done on behalf of Reporting Entities which are created separately and can be legal or physical persons. A user account must necessarily be assigned to one or more Reporting Entities in order to be able to carry out filings on behalf of these Reporting Entities.

Several user accounts may be assigned to one single Reporting Entity and one user account may be assigned to different Reporting Entities. In order to properly manage the Reporting Entities, various levels of access rights granted to these user accounts may be defined. Please refer to the relevant user guides.

In principle before being able to file information, users need to create a new Reporting Entity in eRIIS, with the exception of issuers subject to the Transparency Law, for which a Reporting Entity will exist in eRIIS as from the moment they fall within the scope of the Transparency Law.  As a consequence, users shall refrain to create such a Reporting Entity themselves in eRIIS. Please also be aware that the assignment of the first and main user account, conferring the so-called Super User rights, to a Reporting Entity will require to be validated by the CSSF.

Please refer to the User Guide “Access and Authentication” for further details.

In order to obtain a user account and thus access eRIIS, you need to possess a LuxTrust certificate (either a product for individuals or a product for professionals). For further information, please refer to the dedicated user guide.

For optimal navigation conditions, we recommend using one of the browsers listed below in a recent version:

• Microsoft Edge
• Google Chrome
• Apple Safari

Should any practical and/or technical problem prevent a Reporting Entity from filing a regulated information on eRIIS, such filing with the CSSF can, on an exceptional basis, still be done per email to the addresses transparency@cssf.lu or managerstransactions@cssf.lu. This backup solution is meant as a temporary remedy for Reporting Entities that may experience difficulties relating to eRIIS. They will nonetheless be required to file again the same regulated information via eRIIS as soon as the issue is resolved.

Should you encounter any problems with eRIIS usage, please contact our helpdesk: eRIIS.support@cssf.lu

Communication on the launch of eRIIS