Difference between revisions of "CAA Manual"

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Line 38: Line 38:
 
  Step 2: Select the Transmission period (From...To) and click the Search button<br>
 
  Step 2: Select the Transmission period (From...To) and click the Search button<br>
 
[[File:2_From_To.jpg]]<br>
 
[[File:2_From_To.jpg]]<br>
'''Result:''' the source file (status "initiated") is displayed<br>
+
 
 +
'''Result:''' the source file sent by CAA (status "initiated") is displayed<br>
 
[[File:B.jpg]]<br><br><br><br>
 
[[File:B.jpg]]<br><br><br><br>
 +
 
  Step 3: Click 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:D.jpg]]<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:C.jpg]]<br><br><br><br>
 +
 
 
  Step 4: Click 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:C.jpg]]<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 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 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:E.jpg]]<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/>
Line 60: Line 67:
 
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/>
 
  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/>
Example Source file: RACR-LU-01-20151231-SCR-LEI11111111111111111-LEI11111111111111111.xls<br/>
+
Example Source file: RSOR-LU-01-20161231-SCR-LEI11111111111111111-LEI11111111111111111.xls<br/>
Reply: RACR-LU-01-20151231-CAA-LEI11111111111111111-LEI11111111111111111.xls
+
Reply: RSOR-LU-01-20161231-'''CAA'''-LEI11111111111111111-LEI11111111111111111.xls
 
<br/><br/>
 
<br/><br/>
  
 
===Submit replies===
 
===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<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:F.jpg]]<br>
 
'''Result:''' The EfileCrypto.jnlp file is generated. This file has to be downloaded and must be opened to start the encryption module
 
'''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/>
 
<br/><br/><br/><br/>
 
  Step 9: Click the Open button of the EfileCrypto.jnlp file<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>
 +
[[File:G.jpg]]
 +
<br><br><br><br>
 
  Step 10:
 
  Step 10:
 
  -Select the General tab of the Encryption module
 
  -Select the General tab of the Encryption module
Line 79: Line 88:
 
  -Ensure that the control status light is green
 
  -Ensure that the control status light is green
 
  -Click the Send button<br/>
 
  -Click the Send button<br/>
[[File:Drag drop.png]]<br>
+
[[File:H.jpg]]<br>
 
'''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.
 
'''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/>
Line 85: Line 94:
 
===Retrieve feedback files===
 
===Retrieve feedback files===
 
  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>
 
  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>
 
 
'''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:J.jpg]]<br>
 +
<br><br><br><br>
 
  Step 12: Click the View icon [[File:Loupe.png]] in order to view or download your feedback files (Cf. chapter 2.3.1 steps 4-6)
 
  Step 12: Click the View icon [[File:Loupe.png]] in order to view or download your feedback files (Cf. chapter 2.3.1 steps 4-6)
 
<br/><br/>
 
<br/><br/>
Line 141: Line 150:
 
  -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
[[File:Filling.png]]
+
[[File:K.jpg]]
 
<br/><br/><br/><br/>
 
<br/><br/><br/><br/>
  
Line 148: Line 157:
 
  -If the Control light becomes green you can click the Send button
 
  -If the Control light becomes green you can click the Send button
  
[[File:Sending.png]]<br>
+
[[File:L.jpg]]<br>
 
'''Result:''' The report will be sent to the CAA.
 
'''Result:''' The report will be sent to the CAA.
 
<br/><br/>
 
<br/><br/>

Revision as of 20:14, 1 March 2017

Introduction

The Commissariat aux Assurances (CAA) appointed Fundsquare’s e-file.lu platform as an official channel for the secure transmission of reporting between insurance and reinsurance undertakings and the CAA.
Fundsquare's CAA reporting module enables reporting entities in Luxembourg (via their designated filing entities) to efficiently send reports to the CAA.

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
A.jpg
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

2 From To.jpg

Result: the source file sent by CAA (status "initiated") is displayed
B.jpg



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

D.jpg
Result: a pop-up window opens displaying the Detail of sending:
C.jpg



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

C.jpg

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

E.jpg

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

Example Source file: RSOR-LU-01-20161231-SCR-LEI11111111111111111-LEI11111111111111111.xls
Reply: RSOR-LU-01-20161231-CAA-LEI11111111111111111-LEI11111111111111111.xls

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

F.jpg
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:
G.jpg



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

H.jpg
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

Result: a pop-up windows opens displaying the Detail of sending:
J.jpg




Step 12: Click the View icon Loupe.png in order to view or download your feedback files (Cf. chapter 2.3.1 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

K.jpg



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

L.jpg
Result: The report will be sent to the CAA.

Retrieve feedback files

Cf. chapter 2.3.3 steps 11-12 



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