How to File Regulated Information

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Registration to the OAM service and access to our systems in order to file regulated information requires the signing of a contract with the LuxSE

Filing Entity Contract

Registration to the OAM service and access to our systems in order to file regulated information requires the prior signing of a contract with the Luxembourg Stock Exchange. An issuer may act on its own behalf as a filing entity or opt to have its regulated information filed through a mandated third party. 

The following documents are required to be sent by regular mail to the Luxembourg Stock Exchange:

  • An issuer acting on its own behalf, is considered a filing entity. This requires a contract as well as Appendix B to the contract.

  • A mandated third party acting as filing entity on behalf of one or more issuers, will need to complete also Appendix C, in addition to the contract and Appendix B.

  • A mandated third party acting as filing entity, and wishing to add or delete one or more issuers for an existing contract, simply needs to fill in an additional copy of Appendix C.

The filing entity must send two signed copies of the contract and one signed copy of Appendix B and, if necessary, Appendix C (if acting for other issuers) by regular mail to the Luxembourg Stock Exchange prior to receiving the elements enabling it to make a first filing.

Please anticipate a period of two weeks for the exchange of letters between the filing entity and the Luxembourg Stock Exchange.

Filing

Once the contract established, the contact person of the filing entity will receive an email enabling him/her to create their own login and password. For security reasons, a PIN code (Personal Identification Number) will be sent by regular mail, allowing the filing entity to obtain a list of TAN codes (Transaction Authentication Number). Each filing requires a TAN code valid for a period of one hour following the entry. During that lapse of time, the same TAN code allows you to make an unlimited number of filings without having to re-enter a new code each time.

TAN codes may be ordered by the filing entity when connecting to the OAM service in the tab ‘Account Management’. Codes are send by email to the address specified in Appendix B to the contract.

When filing, the filing entity must select the type of filing (e.g. periodic information, ongoing information, ...). Depending upon the type of filing, the filing entity must list the documents it wishes to file. The different types of documents which may be filed are suggested in a scrolling list (e.g. semi-annual financial report, information concerning major holdings,...).

Please note that the documents submitted must be in PDF format.

The OAM service records electronic filings automatically. Documents may thus be filed at any time (except during technical or maintenance operations). Confirmation of acceptance or failure of the filing is sent as PDF document to the email address mentioned on Appendix B.

A time-recording system enables electronic filings to be marked with the exact date and time of the recording into our systems.

Detailed information about the filing process can be found in the User Guide [pdf - 1311kb].

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Contact

Officially Appointed Mechanism (OAM) in Luxembourg

Société de la Bourse de Luxembourg S.A.

  • Jerry Hoffmann

Tel: +352 47 79 36 338

  • Tom Schmit

Tel: +352 47 79 36 223

oam@bourse.lu

Documents