ISIN Issuance & Acceptance in Clearstream Banking

ISIN Issuance

Clearstream Banking, as National Numbering Agency for Luxembourg, issues ISIN and CFI codes for any Luxembourg domiciled securities according to the Association of National Numbering Agencies’ (“ANNA”) guidelines, and more specifically for Luxembourg incorporated investment funds and companies.

Any appointed Fund Agent (as documented in the relevant prospectus), typically the Transfer Agent, Registrar, Fund Manager or Administrator can request the issuance of an ISIN code from Clearstream.

Such a request should be send by e-mail to fundacceptance@clearstream.com accompanied by the following documentation:

• Final prospectus visa stamped by the CSSF or with confirmation that the CSSF has verbally approved it (the verbal agreement is evidenced by the publication on the CSSF web-site)
• Draft prospectus if the ISIN is included in the prospectus for the CSSF approval
• Launch price
• Confirmation for which specific sub-funds/classes an ISIN code is requested
• Related Fund Processing Passport (recommended)

Fund agents registered at fundlook.kneip.com or at e-file.lu may also send their request via the related ISIN issuance request page. Such a request needs to be accompanied by the CBL extended FPP file.

At the same time, the Fund Agent may request eligibility in Clearstream for settlement and custody and/or order routing via Clearstream’s Vestima+.

Acceptance in Clearstream

Eligibility of investment fund shares for settlement and custody in Clearstream is independent of the type (open ended or closed-ended), legal or asset structure of the fund. Main criteria are that investment fund shares held in Clearstream are freely transferable and fully fungible, unless special conditions apply.

The eligibility assessment is performed by the Investment Fund Services - New Issues acceptance team.

Further detailed information about eligibility for acceptance can be found in ' Guidelines for Acceptance of Investment Funds Shares' and ' Operational Guidelines for Investment Funds Shares'.