Difference between revisions of "CAA Manual"

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==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 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.  
 
'''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.  
Line 23: Line 23:
 
  ESP - Enquête spécifique
 
  ESP - Enquête spécifique
 
  ETR - Etat trimestriel
 
  ETR - Etat trimestriel
  RSO - Rapport distinct Solvabilité 2 du réviseur
+
  RSO - Rapport distinct Solvabilité 2 du réviseur <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  FIR - Fiche de renseignement
+
  FIR - Fiche de renseignement <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
 
<br><br/>
 
<br><br/>
  
 
===Retrieve source files ===
 
===Retrieve source files ===
  
  Step 1: Click on the Document management icon<br>
+
  Step 1: Click the Document management icon<br>
 
[[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 the Search button<br>
 
[[File:Transmission follow-up.png]]<br>
 
[[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 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 window 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 the View icon [[File:Loupe.png]] at the right end of the row <br>
 
[[File:Detail of sending.png]]<br>
 
[[File:Detail of sending.png]]<br>
 
'''Result:''' the EfileCrypto.jnlp file is generated:<br>
 
'''Result:''' the EfileCrypto.jnlp file is generated:<br>
 
[[File:Jplg.jpg]]<br>
 
[[File:Jplg.jpg]]<br>
 
'''IMPORTANT:''' This file has to be downloaded and must be opened to start the encryption module<br><br><br><br>
 
'''IMPORTANT:''' This file has to be downloaded and must be opened to start the encryption module<br><br><br><br>
  Step 5: Click on the Open button of the EfileCrypto.jnlp file
+
  Step 5: Click the Open button of the EfileCrypto.jnlp file
 
[[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: Select the General tab of the Encryption module, 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 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>  
Line 59: Line 59:
  
 
===Submit replies===
 
===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<br/>
+
  Step 8: Tick the box at the end of the row of your source file report, click 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
  Step 9: Click on the Open button of the EfileCrypto.jnlp file<br/>
+
<br><br><br><br>
 +
  Step 9: Click 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>
Line 73: Line 74:
 
  -Click the Send button<br/>
 
  -Click the Send button<br/>
 
[[File:Drag drop.png]]<br>
 
[[File:Drag drop.png]]<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.
+
'''Important:''' the encryption 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.
 
<br><br>
 
<br><br>
  
 
===Retrieve feedback files===
 
===Retrieve feedback files===
  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>
+
  Step 11: Open the Transmission follow-up screen in Document Management and click the Plus icon [[File:Plus icon.png]] in order to view the feedback files you received<br>
 
[[File:Feedback.png]]<br>
 
[[File:Feedback.png]]<br>
 
'''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]]<br><br><br><br>
 
[[File:FDB detail.png]]<br><br><br><br>
  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)
+
  Step 12: Click the View icon [[File:Loupe.png]] in order to view or download your feedback files (Cf. chapter 1.3.1 steps 4-6)
 
<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:'''
+
  '''SENDING TYPE: Solvency II Reporting (XBRL reporting):'''
  S01-Annual Solvency II reporting Solo
+
  S01-Annual Solvency II reporting Solo  
 
  S02-Quarterly Solvency II reporting Solo
 
  S02-Quarterly Solvency II reporting Solo
 
  S03-Day 1 Solvency II reporting Solo
 
  S03-Day 1 Solvency II reporting Solo
Line 107: Line 108:
 
  S19-Quarterly ECB reporting 3rd country branches(3CBwith ECB-addon)
 
  S19-Quarterly ECB reporting 3rd country branches(3CBwith ECB-addon)
 
  S20-Annual reporting Special Purpose Vehicles
 
  S20-Annual reporting Special Purpose Vehicles
  S23-Ad-hoc reporting
+
  S23-Ad-hoc reporting <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  
 
  '''Rapports narratifs:'''
 
  '''Rapports narratifs:'''
  N01- Rapport de révision
+
  N01- Rapport de révision => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N02- Rapport de gestion du Conseil
+
  N02- Rapport de gestion du Conseil => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N03- Procès-verbal de l’AGO
+
  N03- Procès-verbal de l’AGO => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N04- Rapport actuariel (partie narrative)
+
  N04- Rapport actuariel (partie narrative) => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N05- Rapport distinct (partie narrative)
+
  N05- Rapport distinct Solvabilité I (partie narrative) => '''SENDING TYPE: Réviseur''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N06- Rapport distinct Solvabilité II (partie narrative)
+
  N06- Rapport distinct Solvabilité II (partie narrative) => '''SENDING TYPE: Réviseur''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N07- Own risk and solvency assessment (ORSA)  
+
  N07- Own risk and solvency assessment (ORSA) => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N08- First Regular supervisory report (RSR)
+
  N08- First Regular supervisory report (RSR)=> '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N09- Solvency and financial condition report (SFCR)
+
  N09- Solvency and financial condition report (SFCR)=> '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  N10- Organigramme
+
  N10- Organigramme => '''SENDING TYPE: Compagnie'''  <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
 
<br/><br/>
 
<br/><br/>
  
Line 125: Line 126:
 
  Step 1: Click on the Encryption Module icon<br>
 
  Step 1: Click on the Encryption Module icon<br>
 
[[File:2AccEN.png]]<br>
 
[[File:2AccEN.png]]<br>
'''Result:''' The encryption module opens:
+
'''Result:''' The encryption module opens
 
+
<br><br><br><br>
[[File:1Transmission.png]]<br<br><br><br><br>
+
  
 
  Step 2:  
 
  Step 2:  
 
  -Select the Transmission tab of the Encryption module
 
  -Select the Transmission tab of the Encryption module
 +
-Select the Sending type (Cf. chapter 1.4)
 
  -Enter the Sending subject
 
  -Enter the Sending subject
 
  -Click the Upload button and upload your file or drag & drop your file in the middle of the window (=>drag & drop files here)  
 
  -Click the Upload button and upload your file or drag & drop your file in the middle of the window (=>drag & drop files here)  
  -Enter your Keystore password
+
  -Enter your Keystore password<br/>
  -Ensure that the control status light is green
+
[[File:Filling.png]]
  -Click the Send button<br/>
+
<br<br><br<br>
[[File:FirstTransmission.png]]<br>
+
 
'''Result:''' The control status light becomes green and the file can be transmitted to the CAA
+
Step 3:
<br/><br/>
+
  -Check if all fields are completed
 +
  -If the Control light becomes green you and click the Send button
 +
 
 +
[[File:Sending.png]]<br>
 +
'''Result:''' The report will be sent to the CAA.
 +
<br/><br/><br<br>
  
 
===Retrieve feedback files===
 
===Retrieve feedback files===
 
  Cf. chapter 1.3.3 steps 11-12)  
 
  Cf. chapter 1.3.3 steps 11-12)  
<br/><br/>
+
<br/><br/><br<br>
  
 
=Automatic filing through the Sending Service=
 
=Automatic filing through the Sending Service=
Line 151: Line 157:
 
'''Important:''' Only reports which are not initiated by CAA source files may be sent through the Sending Service
 
'''Important:''' Only reports which are not initiated by CAA source files may be sent through the Sending Service
 
<br><br>
 
<br><br>
*Please click the links below should you need further information on the Sending Service:
+
*Should you need further information on the Sending Service, please click the links below:
 
[https://www.e-file.lu/docs/EN/ManuUtil_EFile_Installation_SD_EN.pdf Sending Service Installation Procedure]<br>
 
[https://www.e-file.lu/docs/EN/ManuUtil_EFile_Installation_SD_EN.pdf Sending Service Installation Procedure]<br>
 
[https://www.e-file.lu/docs/EN/ManuUtil_EFile_Maj_SD_EN.pdf Sending Service Update Procedure]<br>
 
[https://www.e-file.lu/docs/EN/ManuUtil_EFile_Maj_SD_EN.pdf Sending Service Update Procedure]<br>

Revision as of 21:49, 27 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 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 NEW 01/03/2017!
FIR - Fiche de renseignement NEW 01/03/2017!



Retrieve source files

Step 1: Click 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 the Search button

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



Step 3: Click 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 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
IMPORTANT: This file has to be downloaded and must be opened to start the encryption module



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

Jplg.jpg
Result: the Encryption module opens



Step 10:
-Select the General tab of the Encryption module
-Enter the title of the Sending 
-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 encryption 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 the Plus icon Plus icon.png in order to view the feedback files you received

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



Step 12: Click 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

SENDING TYPE: Solvency II Reporting (XBRL reporting):
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 NEW 01/03/2017!
Rapports narratifs:
N01- Rapport de révision => SENDING TYPE: Compagnie NEW 01/03/2017!
N02- Rapport de gestion du Conseil => SENDING TYPE: Compagnie NEW 01/03/2017!
N03- Procès-verbal de l’AGO => SENDING TYPE: Compagnie NEW 01/03/2017!
N04- Rapport actuariel (partie narrative) => SENDING TYPE: Compagnie NEW 01/03/2017!
N05- Rapport distinct Solvabilité I (partie narrative) => SENDING TYPE: Réviseur NEW 01/03/2017!
N06- Rapport distinct Solvabilité II (partie narrative) => SENDING TYPE: Réviseur NEW 01/03/2017!
N07- Own risk and solvency assessment (ORSA) => SENDING TYPE: Compagnie NEW 01/03/2017!
N08- First Regular supervisory report (RSR)=> SENDING TYPE: Compagnie NEW 01/03/2017!
N09- Solvency and financial condition report (SFCR)=> SENDING TYPE: Compagnie NEW 01/03/2017!
N10- Organigramme => SENDING TYPE: Compagnie  NEW 01/03/2017!



Submit files

Step 1: Click on the Encryption Module icon

2AccEN.png
Result: The encryption module opens



Step 2: 
-Select the Transmission tab of the Encryption module
-Select the Sending type (Cf. chapter 1.4)
-Enter the Sending subject
-Click the Upload button and upload your file or drag & drop your file in the middle of the window (=>drag & drop files here) 
-Enter your Keystore password

Filling.png <br
<br

Step 3:
-Check if all fields are completed
-If the Control light becomes green you and click the Send button

Sending.png
Result: The report will be sent to the CAA.

<br

Retrieve feedback files

Cf. chapter 1.3.3 steps 11-12) 



<br

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.

Important: Only reports which are not initiated by CAA source files may be sent through the Sending Service

  • Should you need further information on the Sending Service, please click the links below:

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