[Regulatory Report] Statement of Eligible Funds

Introduction

Luna Wealth Platforms provides automatically calculated Statment of Eligible Funds report.

Statment of Eligible Funds report includes information about AUM of Retail Clients summed up in each month of the requested period.

Where is a Statement of Eligible Funds report in the system?

Statement of Eligible Funds report is available to authorized users in Reports → Company Reports

Please contact Support, if you do not have access to Reports or cannot request Reports according to the instruction below.

Statement of Eligible Funds report is available to users with permissions to view Reports and permission create to request Statement of Eligible Funds report.

Click here to view more about profile configurationHow Structured notes are stored in LWP?

How to use Statement of Eligible Funds?

1. Start with making settings in “Generate Report”.

• Report Type= Statement of Eligible Funds

• Company

• Start Date

• End Date

2. Press button “Generate Report” to request a report.

How LWP makes calculations for the report?

1. The Report is based on AUM calculations for Retail Clients that have Active Mandate = Internal Agreement in the requested period.

2. As the report is produced in EUR, the system calculates AUM on the basis of the foreign exchange reference rate published by the European Central Bank.

3. AUM is calculated by the end of each month.

• If the Client Portfolio AUM is more or equals 20'000 EUR, the system will indicate Client Portfolio   AUM=20'000 EUR in the report

• If the Client Portfolio AUM is less than 20'000 EUR, the system will calculated exact Client Portfolio AUM for the month and indicate it in the report.

If a Client has 2 (two) or more portfolios in LWP there is a specific logic:

Use case# 1 If one or several Client Portfolios have AUM >=20'000 EUR, the system includes one Client Portfolio with AUM=20'000 EUR in the report.

Use case# 2 Non of the Client Portfolios has AUM >=20'000 EUR. The System will automatically sum up all Client portfolios' AUM. If sum of AUMs is >=20'000 EUR, the system includes one Client Portfolio with AUM=20'000 EUR in the report.

Use case# 3  Non of the Client portfolios has AUM >=20'000 EUR. The System will automatically sum up all Client portfolios' AUM. If sum of AUMs is <20'000 EUR, the system will indicate in report exact calculated AUM of all Client Portfolios for the month.

What is the format of the report?

The report is generated by the system in Excel format with the opportunity to download the report file.

What information is included in the report?

The report consists of the main page “Report” which contains all report calculations and 3(three) technical pages that help to analyse calculations if necessary.

Page “Report”

The main page gives information about:

• The largest amount of the moth

• CIF License Number (if it was indicated in the system)

• Year

A separate table shows sum of the Client Portfolios AUMs' in every month included in the requested period.

Page “FX Rate”

All FX rates that were used for AUM calculations will be included to page “FX Rates”

As calculations are made by the end of each month, the system provides FX Rates of ECB by the end of each month.

Page “AUM per Portfolio”

Page “AUM per Portfolio” shows which Client Portfolio was used for calculations and its AUM

Page “AUM Per Client”

Page “AUM Per Client” provides information on AUM calculations with the reference to a particular Client.