Difference between revisions of "CAA Manual"

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Homologation environment (Test) : '''https://homologation.e-file.lu/e-file/'''
 
Homologation environment (Test) : '''https://homologation.e-file.lu/e-file/'''
 
<br><br>
 
<br><br>
 +
 
==Login==
 
==Login==
 
*Enter your e-file login credentials (user name and password) and click on the Access button.<br/>
 
*Enter your e-file login credentials (user name and password) and click on the Access button.<br/>
 
[[File:Identification.jpg]]<br>
 
[[File:Identification.jpg]]<br>
'''IMPORTANT:''' If you do not have an e-file user account or if you do not remember your password, you might contact your e-file administrator of your company. <br/><br/>
+
'''IMPORTANT:''' If you do not have an e-file user account or if you do not remember your password, you might contact your '''e-file administrator''' of your company.  
<br>
+
<br/><br/>
  
 
==Filing of reports initiated by CAA source files==
 
==Filing of reports initiated by CAA source files==
Line 24: Line 25:
 
  RSO - Rapport distinct Solvabilité 2 du réviseur
 
  RSO - Rapport distinct Solvabilité 2 du réviseur
 
  FIR - Fiche de renseignement
 
  FIR - Fiche de renseignement
<br>
+
<br><br/>
  
 
===Retrieve source files ===
 
===Retrieve source files ===
Line 31: Line 32:
 
[[File:DocMmgt icon.png]]<br>
 
[[File:DocMmgt icon.png]]<br>
 
'''Result:''' the Transmission follow-up screen of the Document management opens<br>
 
'''Result:''' the Transmission follow-up screen of the Document management opens<br>
'''IMPORTANT:''' if the Document management icon is not available on your screen, you might contact your e-file administrator of your company, who will add the "CAA - group" to your e-file account.<br><br><br><br>
+
'''IMPORTANT:''' if the Document management icon is not available on your screen, you might contact your '''e-file administrator''' of your company, who will add the '''CAA - group''' to your e-file account.<br><br><br><br>
 
  Step 2: Select the Transmission period (From...To) and click on the Search button<br>
 
  Step 2: Select the Transmission period (From...To) and click on the Search button<br>
[[File:Transmission follow-up.png]]
+
[[File:Transmission follow-up.png]]<br>
 
'''Result:''' all files are displayed<br><br><br><br>
 
'''Result:''' all files are displayed<br><br><br><br>
 
  Step 3: Click on the Plus icon [[File:Plus icon.png]] at the right end of the row<br>
 
  Step 3: Click on the Plus icon [[File:Plus icon.png]] at the right end of the row<br>
 
[[File:Transmission follow-up.png]]<br>
 
[[File:Transmission follow-up.png]]<br>
'''Result:''' a pop-up windows opens displaying the Detail of sending:<br>
+
'''Result:''' a pop-up window opens displaying the Detail of sending:<br>
 
[[File:Detail of sending.png]]<br><br><br><br>
 
[[File:Detail of sending.png]]<br><br><br><br>
 
  Step 4: Click on the View icon [[File:Loupe.png]] at the right end of the row <br>
 
  Step 4: Click on the View icon [[File:Loupe.png]] at the right end of the row <br>
Line 47: Line 48:
 
[[File:Jplg.jpg]]<br>
 
[[File:Jplg.jpg]]<br>
 
'''Result:''' the Encryption module opens<br><br><br><br>
 
'''Result:''' the Encryption module opens<br><br><br><br>
  Step 6: Enter your keystore password and click on the download button<br>
+
  Step 6: Select the General tab of the Encryption module, enter your keystore password and click on the download button<br>
 
[[File:Encryption module.png]]<br>
 
[[File:Encryption module.png]]<br>
'''Result:''' the source file will be downloaded<br>
+
'''Result:''' the source file will be downloaded.<br>  
 
'''IMPORTANT:''' if the encryption module takes too much time to be opened or if the file EfileCrpyto has not been executed, the following message will pop up and you will have to click one more time on the View button.<br/>
 
'''IMPORTANT:''' if the encryption module takes too much time to be opened or if the file EfileCrpyto has not been executed, the following message will pop up and you will have to click one more time on the View button.<br/>
 
[[File:Error.png]]<br/>
 
[[File:Error.png]]<br/>
 
'''IMPORTANT:''' If it is the first time you are using the encryption module, you may be asked for the '''keystore location''' in the Configuration tab.<br/>
 
'''IMPORTANT:''' If it is the first time you are using the encryption module, you may be asked for the '''keystore location''' in the Configuration tab.<br/>
 
The '''keystore file''' (file with the extension '''.ks''') contains your '''Luxtrust certificate''' and is protected with a '''password'''. If you do not have the keystore or its password, please contact your '''e-file administrator'''.<br/><br/><br/><br/>
 
The '''keystore file''' (file with the extension '''.ks''') contains your '''Luxtrust certificate''' and is protected with a '''password'''. If you do not have the keystore or its password, please contact your '''e-file administrator'''.<br/><br/><br/><br/>
 +
Step 7: Complete the source file and rename it as indicated in the [http://www.commassu.lu/upload/files/507/CAA-FNC_v103.pdf CAA - File naming convention document]
 +
<br><br>
  
 
===Submit replies===
 
===Submit replies===
  Step 7: Tick the box of your source file report, click on the Select Action button and select Reply<br/>
+
  Step 8: Tick the box at the end of the row of your source file report, click on the Select Action button and select Reply<br/>
 
[[File:Transmission follow-up.png]]<br>
 
[[File:Transmission follow-up.png]]<br>
 
'''Result:''' The EfileCrypto.jnlp file is generated. This file has to be downloaded and must be opened to start the encryption module<br><br><br><br>
 
'''Result:''' The EfileCrypto.jnlp file is generated. This file has to be downloaded and must be opened to start the encryption module<br><br><br><br>
  Step 8: Click on the Open button of the EfileCrypto.jnlp file<br/>
+
  Step 9: Click on the Open button of the EfileCrypto.jnlp file<br/>
 
[[File:Jplg.jpg]]<br>
 
[[File:Jplg.jpg]]<br>
 
'''Result:''' the Encryption module opens<br><br><br><br>
 
'''Result:''' the Encryption module opens<br><br><br><br>
  Step 9: Upload your completed report via the Upload button or drag and drop your file into the middle of the pop-up window. Enter your keystore password. Click on the Send button<br/>
+
  Step 10:  
 +
-Upload your completed and renamed file (original source file) via the Upload button or drag and drop your file into the middle of the pop-up window (=>Drag & drop files here)
 +
-Enter your keystore password  
 +
-Ensure that the control status light is green
 +
-Click the Send button.<br/>
 
[[File:Drag drop.png]]<br>
 
[[File:Drag drop.png]]<br>
'''Result:''' the ecryption module checks if the file name is correct or not, as the file name of your reply must contain '''CAA''' instead of '''SRC''' (original file). If it is correct, a green status light will appear. Then you have to click on the Send button and your file will be submitted to the CAA.<br/>
+
'''Important:''' the ecryption module checks if the file name is correct or not, as the file name of your reply must contain '''CAA''' instead of '''SRC''' (original file). If it is correct, the control status light will become green.
For more information about the CAA file naming convention, please click on the link [http://www.commassu.lu/upload/files/507/CAA-FNC_v103.pdf CAA - File naming convention]<br><br>
+
<br><br>
  
===Retrieve feedbacks===
+
===Retrieve feedback files===
  Step 10: Open the Transmission follow-up screen in Document Management and click on the Plus icon [[File:Plus icon.png]] in order to view the feedback you received<br>
+
  Step 11: Open the Transmission follow-up screen in Document Management and click on the Plus icon [[File:Plus icon.png]] in order to view the feedback files you received<br>
[[File:Feedback.png]]<br>
+
[[File:Feedback.png]]<b
 
'''Result:''' a pop-up windows opens displaying the Detail of sending:<br>
 
'''Result:''' a pop-up windows opens displaying the Detail of sending:<br>
[[File:FDB detail.png]]
+
[[File:FDB detail.png]]<br><br><br><br>
  Step 11:
+
  Step 12: Click on the View icon [[File:Loupe.png]] in order to view or download your feedback files (Cf. chapter 1.3.1 steps 4-6)
Click on the View icon [[File:Loupe.png]] in order to view or download your feedback (Cf. steps 4-6)<br><br><br><br>
+
<br><br>
  
 
==Filing of XBRL Solvency II reports and Narrative reports ('''no source files''')==
 
==Filing of XBRL Solvency II reports and Narrative reports ('''no source files''')==
 
'''IMPORTANT:'''THESE REPORTS ARE NOT INITIATED BY SOURCE FILES'''
 
'''IMPORTANT:'''THESE REPORTS ARE NOT INITIATED BY SOURCE FILES'''
  XBRL reporting Solvency II
+
  '''XBRL reporting Solvency II:'''
 
  S01-Annual Solvency II reporting Solo
 
  S01-Annual Solvency II reporting Solo
 
  S02-Quarterly Solvency II reporting Solo
 
  S02-Quarterly Solvency II reporting Solo
Line 100: Line 107:
 
  S23-Ad-hoc reporting
 
  S23-Ad-hoc reporting
  
  Rapports narratifs
+
  '''Rapports narratifs:'''
 
  N01- Rapport de révision
 
  N01- Rapport de révision
 
  N02- Rapport de gestion du Conseil
 
  N02- Rapport de gestion du Conseil
Line 110: Line 117:
 
  N08- First Regular supervisory report (RSR)
 
  N08- First Regular supervisory report (RSR)
 
  N09- Solvency and financial condition report (SFCR)
 
  N09- Solvency and financial condition report (SFCR)
  N10- Organigramme<br>
+
  N10- Organigramme
 
+
<br/><br/>
  
 
===Submit files ===
 
===Submit files ===
Line 118: Line 125:
 
'''Result:''' The encryption module opens:
 
'''Result:''' The encryption module opens:
  
[[File:1Transmission.png]]<br>
+
[[File:1Transmission.png]]<br<br><br><br><br>
 
+
  
 +
Step 2:
 +
-Open the Transmission tab of the Encryption module
 +
-Enter the Sending subject
 +
-Click the Upload button and upload your file or drag&drop your file in the middle of the window
 +
-Enter your Keystore password
 +
-Check the Control status light<br>
 
[[File:FirstTransmission.png]]<br>
 
[[File:FirstTransmission.png]]<br>
 +
'''Result:''' The control status light becomes green and the file can be transmitted to the CAA
 +
<br/><br/>
  
 
+
===Retrieve feedback files===
===File submission===
+
Cf. chapter 1.3.1 steps 4-6)
 
+
<br/><br/>
 
+
  
 
=Automatic filing through the Sending Service=
 
=Automatic filing through the Sending Service=

Revision as of 17:11, 26 February 2017

Manual filing on e-file v2

Environment

  • Select your environment:

Production environment : https://www.e-file.lu/e-file/
Homologation environment (Test) : https://homologation.e-file.lu/e-file/

Login

  • Enter your e-file login credentials (user name and password) and click on the Access button.

Identification.jpg
IMPORTANT: If you do not have an e-file user account or if you do not remember your password, you might contact your e-file administrator of your company.

Filing of reports initiated by CAA source files

The following reports are initiated by CAA source files:

CPR - Compte rendu
RAC - Rapport actuariel
RDI - Rapport distinct du réviseur
RGO - Rapport de gouvernance
RLB - Rapport LBCFT
RRE - Rapports sur le traitement des réclamations
ESP - Enquête spécifique
ETR - Etat trimestriel
RSO - Rapport distinct Solvabilité 2 du réviseur
FIR - Fiche de renseignement



Retrieve source files

Step 1: Click on the Document management icon

DocMmgt icon.png
Result: the Transmission follow-up screen of the Document management opens
IMPORTANT: if the Document management icon is not available on your screen, you might contact your e-file administrator of your company, who will add the CAA - group to your e-file account.



Step 2: Select the Transmission period (From...To) and click on the Search button

Transmission follow-up.png
Result: all files are displayed



Step 3: Click on the Plus icon Plus icon.png at the right end of the row

Transmission follow-up.png
Result: a pop-up window opens displaying the Detail of sending:
Detail of sending.png



Step 4: Click on the View icon Loupe.png at the right end of the row 

Detail of sending.png
Result: the EfileCrypto.jnlp file is generated:
Jplg.jpg
This file has to be downloaded and must be opened to start the encryption module



Step 5: Click on the Open button of the EfileCrypto.jnlp file

Jplg.jpg
Result: the Encryption module opens



Step 6: Select the General tab of the Encryption module, enter your keystore password and click on the download button

Encryption module.png
Result: the source file will be downloaded.
IMPORTANT: if the encryption module takes too much time to be opened or if the file EfileCrpyto has not been executed, the following message will pop up and you will have to click one more time on the View button.
Error.png
IMPORTANT: If it is the first time you are using the encryption module, you may be asked for the keystore location in the Configuration tab.
The keystore file (file with the extension .ks) contains your Luxtrust certificate and is protected with a password. If you do not have the keystore or its password, please contact your e-file administrator.



Step 7: Complete the source file and rename it as indicated in the CAA - File naming convention document



Submit replies

Step 8: Tick the box at the end of the row of your source file report, click on the Select Action button and select Reply

Transmission follow-up.png
Result: The EfileCrypto.jnlp file is generated. This file has to be downloaded and must be opened to start the encryption module



Step 9: Click on the Open button of the EfileCrypto.jnlp file

Jplg.jpg
Result: the Encryption module opens



Step 10: 
-Upload your completed and renamed file (original source file) via the Upload button or drag and drop your file into the middle of the pop-up window (=>Drag & drop files here)
-Enter your keystore password 
-Ensure that the control status light is green
-Click the Send button.

Drag drop.png
Important: the ecryption module checks if the file name is correct or not, as the file name of your reply must contain CAA instead of SRC (original file). If it is correct, the control status light will become green.

Retrieve feedback files

Step 11: Open the Transmission follow-up screen in Document Management and click on the Plus icon Plus icon.png in order to view the feedback files you received

Feedback.png<b Result: a pop-up windows opens displaying the Detail of sending:
FDB detail.png



Step 12: Click on the View icon Loupe.png in order to view or download your feedback files (Cf. chapter 1.3.1 steps 4-6)



Filing of XBRL Solvency II reports and Narrative reports (no source files)

IMPORTANT:THESE REPORTS ARE NOT INITIATED BY SOURCE FILES

XBRL reporting Solvency II:
S01-Annual Solvency II reporting Solo
S02-Quarterly Solvency II reporting Solo
S03-Day 1 Solvency II reporting Solo
S04-Annual Solvency II reporting Group
S05-Quarterly Solvency II reporting Group
S06-Day 1 Solvency II reporting Group
S07-Annual Solvency II reporting 3rd country branches
S08-Quarterly Solvency II reporting 3rd country branches
S09-Day 1 Solvency II reporting 3rd country branches 
S10Annual Financial Stability reporting Solo
S11-Quarterly Financial Stability reporting Solo
S12- Annual Financial Stability reporting Group
S13- Quarterly Financial Stability reporting Group
S14-Financial Stability 3rd country branches Individual Annual
S15-Financial Stability 3rd country branchesIndividual Quarterly
S16-Annual ECBreporting Solo (SII reporting with ECB-addon)
S17-Quarterly ECBreporting Solo (SII reporting with ECB-addon)
S18-Annual ECB reporting 3rd country branches (3CBwith ECB-addon)
S19-Quarterly ECB reporting 3rd country branches(3CBwith ECB-addon)
S20-Annual reporting Special Purpose Vehicles
S23-Ad-hoc reporting
Rapports narratifs:
N01- Rapport de révision
N02- Rapport de gestion du Conseil
N03- Procès-verbal de l’AGO
N04- Rapport actuariel (partie narrative)
N05- Rapport distinct (partie narrative)
N06- Rapport distinct Solvabilité II (partie narrative)
N07- Own risk and solvency assessment (ORSA) 
N08- First Regular supervisory report (RSR)
N09- Solvency and financial condition report (SFCR)
N10- Organigramme



Submit files

Step 1: Click on the Encryption Module icon

2AccEN.png
Result: The encryption module opens:

1Transmission.png<br



Step 2: 
-Open the Transmission tab of the Encryption module
-Enter the Sending subject
-Click the Upload button and upload your file or drag&drop your file in the middle of the window 
-Enter your Keystore password
-Check the Control status light

FirstTransmission.png
Result: The control status light becomes green and the file can be transmitted to the CAA

Retrieve feedback files

Cf. chapter 1.3.1 steps 4-6) 



Automatic filing through the Sending Service

The Sending Service is Fundsquare's solution for automatically sending reports and documents to the authorities.
With a suitable network mapping, users can then simply copy the file to be sent in the appropriate directory.
The file is then automatically encrypted and sent.

  • Please click the links below should you need further information on the Sending Service:

Sending Service Installation Procedure
Sending Service Update Procedure
Wiki-Sending Service