SOFIE sort - Reporting covered

1 SOFIE sort - Reporting coveredContact : corporationsReportFull nameRelated informationPackageS LQuaterly statistical balance for insurance corporationsBCLINSTS LInformation on valuation effect on the balance sheet of insurance corporationsBCLINSTS LAnnual premiums, claims and commissions of insurance corporationsBCLINSTTPTASSS ecurity by security Reporting of insurance corporationsBCLINSTCPRP rogress reportCAACAATRACA ctuarial reportCAACAATRDIA uditor's reportCAACAATRGOG overnance reportCAACAATRLBLBCFT reportCAACAATRRER eports on complaints handlingCAACAATESPS pecific inquiriesCAACAATSIIS olvency IICAACAATETRQ uaterly statementCAACAATI nvestment fundsReportFull nameRelated informationPackageS & Statistical balance sheet for investment fundsBCLOPCTS Information on valuation effects on the balance sheet for non monetary investment fundsBCLOPCTTPTOBSS

2 Ecurity by security Reporting for investment fundsBCLOPCTO financial information for guaranteed fundsCSSFOPCTU financial informationCSSFFDPSAIFM - Alternative investment fundsReportFull nameRelated informationPackageAIFMAIFM Reporting fileCSSFAIFTAIFAIF Reporting fileCSSFAIFTF inancial companiesReportFull nameRelated informationPackageS statistical balance sheet of financial companiesBCLISRT/IBSTS of financial companiesBCLISRT/IBSTTPTIBSM onthly security by security Reporting of financial companiesBCLISRT/IBSTC redit institutionsReportFull nameRelated informationPackageS deposit reportBCLRPQTS statistical balance sheetBCLFINTS due to valuation effectsBCLFINTS on interest rates in EURBCLFINTS Information on securitisation transactions launched by credit institutionsBCLFINTS on CNY (renmibi)

3 OperationsBCLFINTS statistical balance sheetBCLFINTS estate loans for Luxembourg buildingsBCLFINTS balance sheet informationBCLFINTS balance sheet informationBCLFINTTPTBBLB alance sheet data Luxembourg entityBCLTPTTTPTBBNB alance sheet data Luxembourg entity and its branchesBCLTPTTTPTBHROff-balance sheet data resident customers BCLTPTTTPTBHNOff-balance sheet data non resident customers BCLTPTTBOPC ross-border payments executed for the account of the resident counterpartsBCLFINTV101 Customer transfersBCLVIRTV102 Interbank transfersBCLVIRTV103 DomiciliationsBCLVIRTV104 Inventory cards / terminalsBCLVIRTV105 Card transactions (Issuing part)BCLVIRTV106 Card transactions (Acquiring part)

4 BCLVIRTV107 Cheques and money ordersBCLVIRTV108 Electronic money schemeBCLVIRTV109 Card based e-money schemesBCLVIRTV110 Stock taking of payment accounts in bank moneyBCLVIRTV111 OTC cash transactionsBCLVIRTV112 Transactions via telecommunication, digital or IT deviceBCLVIRTV113 Credits to the accounts by simple book entryBCLVIRTV114 Debits from the account by simple book entryBCLVIRTB - Balance sheet statementCSSFFINT2014/23515/102011/92011 /92011/92011/92011/92011/915/62715/1015/ 1015/102014/2352014/2352014/2352014/2352 014/2352014/2352014/2352014/2352014/2352 014/2352014/2352014/235 Circular2015/2392015/2392015/2392015/239 2014/23597/13614/581 Circular2014/237 Circular2014/23714/5812014/237 Circular2014/172014/172014/17 Circular15/1015/1015/1015/1015/102014/23 52007/2162011/92011/92011/92011/92011/92 011/92011/92011/907/279 Informations.

5 In order to determine the exact type(s) of report(s) your company has to send to the regulations authorities, we advise to contact them first. Based on their answers you ll be able to determine which package you need to apply for your SOFIE Sort contract. A package, also called a module, is a right permission for a family of reports granted as a yearly licence for 1 entity. SOFIE Sort packages were organised and compiled in order to respond exactly to the various regulators demands and circulars in regard to the Legal Reporting at Luxembourg. Packages can be added or removed on demand Licences costs are divided as follows.

6 1 crypt licence by entities From 1 to X transport licences by type of ratioCSSFFINTB - Additional information relating to the balance sheet statementCSSFFINTB - Income statementCSSFFINTB on participating interests and subordinated loansCSSFFINTB - Additional information relating to the income statementCSSFFINTB of head offices, agencies, branches and representative offices CSSFFINTCOFREPCSSFFINTTAFREPT ransaction in financial instruments Reporting (TAF) / MiFID (encoding interface available)CSSFTAFT/TAFGARA nnual reportCSSFDOCRCOC ompliance ReportCSSFDOCRGRG overnance RespectCSSFDOCRIAI nternal Audit ReportCSSFDOCRICICAAPCSSFDOCRLFLong Form ReportCSSFLFMLMLM anagement LetterCSSFLFMLRCRisk Control ReportCSSFDOCRRPR ecovery PlanCSSFDOCRSCS ingle Customer ViewCSSFDOCRS ecuritisation vehiclesReportFull nameRelated informationPackageS Quarterly statistical balance sheet of securitisation vehiclesBCLTTRTS on transactions made by securitisation vehiclesBCLTTRTTPTTBSS ecurity by security Reporting of securitisation vehiclesBCLTTRTP rofessionals of the financial sector (PFS)

7 ReportFull nameRelated informationPackagePSFREPB asic Reporting - TAB I BILAN, TAB HORS BILAN, TAB PP , TAB EFFECTIFCSSFPSFTPSFREPAd hoc Reporting - Tables to Form ReportCSSFLFMLMLM anagement LetterCSSFLFMLSICARR eportFull nameRelated informationPackageSICREPT able K & Statistical balance sheet for investment fundsBCLOPCTS Information on valuation effects on the balance sheet for non monetary investment fundsBCLOPCTTPTOBSS ecurity by security Reporting for investment fundsBCLOPCTU financial informationCSSFFDPSM anagement companies (Chapter 15 & 16)ReportFull nameRelated informationPackageSGOREPCSSFSGOTP ayment institutionsReportFull nameRelated informationPackageZ sheetCSSFEDPTZ of third-party funds held and incorporated in the balance sheetCSSFEDPTZ adequacy of payment institutionsCSSFEDPTZ and loss accountCSSFEDPTE lectronic money institutionsReportFull nameRelated informationPackageW sheet CSSFEMETW of third-party funds held and incorporated in the balance sheetCSSFEMETW of authorised reinvestmentsCSSFEMETW adequacy of electronic money institutionsCSSFEMETW and loss accountCSSFEMETW of shareholdingsCSSFEMETO ther

8 Reporting - Specific enquiriesReportFull nameRelated informationPackageOTHREPCSSF - Others - specific inquiriesESPTOTXREPBCL - Others - specific inquiriesESPT extended COREP : SCOREP / SLAREX / SLCRXX / SNSFRX / SALMXX CCOREP / CLAREX / CLCRXX / CNSFRX / CALMXX CFINRP / CAEXXX / SAEXXX / CFPXXX / SFPXXX CSBPXX / SSBPXX / CSBPIM / SSBPIM / SFINRP SLCRDA / CLCRDA Circular07/31607/27907/27915/62415/62415 /62415/62415/62415/62415/62415/62415/624 15/624 Circular2014/237 CircularQuarterly Reporting / annual information [financial situation (table SG 1A), profit and loss account (table SG 1B)]

9 , table regarding the management of UCIs (table SG 1C), table regarding other activities (table SG 2) and quarterly staff figures (table SG Personnel)]Circular11/51105/1872014/2362 014/2362014/23607/31607/279680/201407/30 205/18715/62708/34407/31611/52211/52211/ 52210/467 Circular08/34411/51111/511 Circular11/52211/52211/52215/62415/62411 /511extended COREP : SCOREP / SLAREX / SLCRXX / SNSFRX / SALMXX CCOREP / CLAREX / CLCRXX / CNSFRX / CALMXX CFINRP / CAEXXX / SAEXXX / CFPXXX / SFPXXX CSBPXX / SSBPXX / CSBPIM / SSBPIM / SFINRP SLCRDA / CLCRDA 680/2014 Circular08/3762014/2372014/237