Difference between revisions of "CAA Manual"

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=e-file v2 environment =
=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 through e-file v2=
 
 
 
 
 
==Environment==
 
*Select your environment:
*Select your environment:
Production environment : '''https://www.e-file.lu/e-file/'''<br/>
 
Production environment : '''https://www.e-file.lu/e-file/'''
 
Homologation environment (Test) : '''https://homologation.e-file.lu/e-file/'''
Homologation environment (Test) : '''https://homologation.e-file.lu/e-file/'''
<br><br>
=Login =
*Enter your e-file login credentials (user name and password) and click the '''Access''' button.<br/>
If you don't 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>
=Reports initiated by CAA source files =
The following reports are initiated by CAA source files
{| border="1" cellspacing="2" cellpadding="10"style="text-align:left; width=80%;"
|'''Report <br /> code'''||'''Details'''
|-
|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
|}
<br><br>
==Retrieve source files ==
*Click the Document management icon
If the Document management icon is not available on your screen, you might contact your e-file administrator of your company, who will add this reporting to your e-file account.<br><br>
[[File:DocMmgt icon.png]]
<br><br>


The Transmission follow-up screen of the Document management opens:
[[File:TransmissionFollUp.png]]<br><br>


Select the Transmission period (From...To) and click the Search button (Cf.1)<br><br>


Click the Plus icon (Cf.2)[[File:Plus icon.png]]<br><br>
A pop-up windows opens displaying the Detail of sending:<br><br>


[[File:ReportDetail.JPG]]<br><br>


Click the Magnifying glass icon [[File:Loupe.png]]<br><br>


==Login==
*Enter your e-file login credentials (user name and password) and click the Access button.
[[File:Transmision follow up-Login .png|350 px]]
'''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 <span style="background:yellow"> NEW </span>
FIR - Fiche de renseignement <span style="background:yellow"> NEW </span>
===Retrieve source files ===
Step 1: Click the Transmission follow-up icon
[[File:Launchpad New Followup.png|border|900 px]]
'''IMPORTANT:''' if the Transmission follow-up icon is not available on your screen, you might contact your [[E-file Administration|e-file administrator]] of your company, who will add the module to your e-file account.
'''Result:''' the Transmission follow-up screen opens:
[[File:NE_TransmissionFollowup2.PNG | border | 1000 px]]
Step 2: Select the Transmission period (From...To) and click the Search button
[[File:Icon5.png | 300 px]]
'''Result:''' Files and their transmission status '''Initiated''' are displayed:
[[File:Icon27.png | 1000 px]]
Step 3: Click the Plus icon [[File:Plus icon.png]] at the right end of the row
[[File:Icon24.png |border |1000 px]]
'''Result:''' a pop-up window opens displaying the Detail of sending
[[File:Icon25.png | 700 px]]
Step 4: Click the View button [[File:Loupe.png]] at the right end of the row
[[File:Icon25.png | 700 px]]
'''Result:''' the EfileCrypto.jnlp file is generated
[[File:Jplg.jpg| 300 px]]
'''IMPORTANT:''' This file has to be '''downloaded''' locally on your computer and must be '''opened''' to launch the Transmission Module.
Step 5: Click the Open button of the EfileCrypto.jnlp file
[[File:Jplg.jpg| 300 px]]
'''Result:''' a Java window opens
[[File:JavaEfileWindow.png | border]]
 
Step 6 : Click the [[File:RunButton.png | border]] button
[[File:JavaEfileWindow.png | border]]
'''Result:''' the Transmission Module is launched
[[File:Icon15.png|500 px]]
Step 7: Select the General tab of the Transmission Module, enter your keystore password and click the download button
[[File:Icon16.png|500 px]]
'''Result:''' the source file will be downloaded.
Step 8: Complete the source file and rename it as indicated in the [http://www.commassu.lu/upload/files/507/CAA-FNC_v104.pdf CAA - File naming convention document]
Example Source file: LBRR-LU-01-20161231-SRC-LEI11111111111111111-LEI11111111111111111.xls
Example Reply file: LBRR-LU-01-20161231-'''CAA'''-LEI11111111111111111-LEI11111111111111111.xls
===Submit replies to source files===
Step 1: Tick the box at the end of the row of your source file report, click the Select Action button and select Reply
[[File:Icon26.png|1000 px]]
'''Result:''' the EfileCrypto.jnlp file is generated:
'''IMPORTANT:''' This file has to be '''downloaded''' locally on your computer and must be '''opened''' to launch the Transmission Module.
Step 2: Click the Open button of the EfileCrypto.jnlp file
[[File:Jplg.jpg |300 px]]
'''Result:''' a Java window opens
[[File:JavaEfileWindow.png | border]]
 
Step 3 : Click the [[File:RunButton.png | border]] button
[[File:JavaEfileWindow.png | border]]
'''Result:''' the Transmission Module is launched
Step 4:
-Select the General tab of the Transmission 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
'''Important:''' the Transmission 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===
'''PLEASE CONSULT OUR WIKIPAGE [[Transmission follow-up|TRANSMISSION FOLLOW-UP]]
==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
S10 - Annual 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 ECB reporting Solo (SII reporting with ECB-addon)
S17 - Quarterly ECB reporting 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
'''SENDING TYPE: Rapports narratifs'''
N01 - Rapport de révision => SENDING TYPE: '''Compagnie'''
N02 - Rapport de gestion du Conseil => SENDING TYPE: '''Compagnie'''
N03 - Procès-verbal de l’AGO => SENDING TYPE: '''Compagnie'''
N04 - Rapport actuariel (partie narrative) => SENDING TYPE: '''Compagnie'''
N05 - Rapport distinct Solvabilité I (partie narrative) => SENDING TYPE: '''Réviseur'''
N06 - Rapport distinct Solvabilité II (partie narrative) => SENDING TYPE: '''Réviseur'''
N07 - Own risk and solvency assessment (ORSA) => SENDING TYPE: '''Compagnie'''
N08 - First Regular supervisory report (RSR)=> SENDING TYPE: '''Compagnie'''
N09 - Solvency and financial condition report (SFCR)=> SENDING TYPE: '''Compagnie'''
N10 - Organigramme => SENDING TYPE: '''Compagnie'''
N11 - Distinct Solvency 2 company report (narrative part) => SENDING TYPE: '''Compagnie'''  <span style="background:yellow"> NEW </span>


<br><br>








If the Document management icon is not available on your screen, you might contact your e-file administrator of your company, who will add this reporting to your e-file account.


===Submit files ===
Step 1: Click on the Transmission Module icon


You will find all CAA requests in the icon '''Document Management > Transmission follow-up tab'''.<br/>
[[File:Icon4.png | 700 px]]
'''Note :''' If you don't have access to this icon, please ask your e-file administrator to assign you to the group : "'''Groupe CAA'''" on the appropriate environment.<br/>




'''Result:''' The Transmission Module opens


[[File:DocMngmt.JPG]] '''=>''' [[File:TransmFolUp.JPG]] <br/><br/>


= Retrieve your report =


Use the '''search by date''' function on the left panel to display your report.<br/>


[[File:DlReport.JPG]]<br/>


By clicking on the '''little document icon''' at the right of your report row, you will be able to display documents attached.<br/>


[[File:ReportDetail.JPG]]<br/>
Step 2:  
-Select the Transmission tab of the Transmission Module
-Select the Sending type (Cf. chapter 2.4)
-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
-Check if all fields are completed
-If the Control light becomes green you can click the Send button


To download and decrypt your report, click on the View button. '''A file called EfileCrypto.jnlp will be downloaded and must be opened to start the encryption module'''.<br/>
If the encryption module takes too much time to be opened or if the file EfileCrpyto has not been executed, the following message will comes up and you will have to click one more time on the Wiew button.<br/>


[[File:errortime.JPG]]<br/>
[[File:2tm.png| border | 400px]]


'''Important:''' the Transmission Module checks if the file name is correct or not. If it is correct, the control status light will become green.


If it is the first time you are using the encryption module, you will be asked for the '''keystore location'''.<br/>
'''Result:''' The report will be sent to the CAA.
'''Note :''' The keystore file (file with the extension .ks) contains your Luxtrust certificate and is protected with a password. If you don't have the keystore or its password, please contact your e-file administrator.<br/>
<br/>
If your keystore is well configured, fill your keystore password and click on the Download button to decrypt your report.<br/>


[[File:DLWindow.JPG]]<br/>


= Send your reply =


Once your report completed, check the box on the row of your report and select the action '''Reply'''.<br/>


[[File:Reply.JPG]]<br/>


A file called EfileCrypto.jnlp will be downloaded and must be opened to start the encryption module'''.<br/><br/>
===Retrieve feedback files===
Now, the encryption allows up to upload your completed report via the button Upload or via a drag and drop into the window.<br/>
Please note that our ecryption module checks if the filename is correct or not. If it is, a green light will appear and you will be able to send your file thanks to the Send button.<br/>


[[File:Upload.JPG]]<br/>
'''PLEASE CONSULT OUR WIKIPAGE [[Transmission follow-up|TRANSMISSION FOLLOW-UP]]


'''Exemple :''' The filename of your reply must contain '''"CAA" instead of "SRC"''' (original file).<br/>
=Automatic filing through the Sending Service=
For more information about the naming convention, please consult the CAA manual : http://www.commassu.lu/upload/files/504/CAA-FNC_v100.pdf


= Consult your feedbacks =
The Sending Service is Fundsquare's solution for automatically sending reports and documents to the authorities.


For Solvency I, you will receive two feedbacks per reply :<br/>
With a suitable network mapping, users can then simply copy the file to be sent in the appropriate directory.
<br/>
    -  '''FDBTEC (FBR)''': Technical feedback.<br/>
    -  '''FDBVAL (FBV)''': '''Optional''' Validation feedback.<br/>


Once received, these feedbacks will be available in the transmission follow-up screen, via the little document icon on the right :<br/>
The file is then automatically encrypted and sent.


[[File:feedbacks.JPG]]<br/>
'''Important:''' Only reports which are not initiated by CAA source files may be sent through the Sending Service


'''Note :''' the document type '''CCPRW''' refers to your reply.<br/>
*Should you need further information on the Sending Service, please click the links below:


[[File:feedbacksdetails.JPG]]<br/>
[https://www.e-file.lu/docs/EN/ManuUtil_EFile_Installation_SD_EN.pdf Sending Service Installation Procedure]


In the same way as step [[CAA_Manual#Retrieve_your_report|2.Retrieve your report]], you can download and decrypt your feedbacks via the '''View''' button and the '''ecryption module'''.
[https://www.e-file.lu/docs/EN/ManuUtil_EFile_Maj_SD_EN.pdf Sending Service Update Procedure]


[[Sending_Service|Wiki-Sending Service]]


[[Category : FAQ e-file]]
[[Category : FAQ e-file]]

Latest revision as of 12:57, 2 July 2021

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 through 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.

Transmision follow up-Login .png

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 
FIR - Fiche de renseignement  NEW 



Retrieve source files

Step 1: Click the Transmission follow-up icon

Launchpad New Followup.png

IMPORTANT: if the Transmission follow-up icon is not available on your screen, you might contact your e-file administrator of your company, who will add the module to your e-file account.


Result: the Transmission follow-up screen opens:

NE TransmissionFollowup2.PNG




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

Icon5.png


Result: Files and their transmission status Initiated are displayed:

Icon27.png




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

Icon24.png


Result: a pop-up window opens displaying the Detail of sending

Icon25.png




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

Icon25.png


Result: the EfileCrypto.jnlp file is generated

Jplg.jpg

IMPORTANT: This file has to be downloaded locally on your computer and must be opened to launch the Transmission Module.




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

Jplg.jpg


Result: a Java window opens

JavaEfileWindow.png



Step 6 : Click the RunButton.png button 

JavaEfileWindow.png


Result: the Transmission Module is launched

Icon15.png




Step 7: Select the General tab of the Transmission Module, enter your keystore password and click the download button

Icon16.png


Result: the source file will be downloaded.




Step 8: Complete the source file and rename it as indicated in the CAA - File naming convention document

Example Source file: LBRR-LU-01-20161231-SRC-LEI11111111111111111-LEI11111111111111111.xls

Example Reply file: LBRR-LU-01-20161231-CAA-LEI11111111111111111-LEI11111111111111111.xls

Submit replies to source files

Step 1: Tick the box at the end of the row of your source file report, click the Select Action button and select Reply

Icon26.png


Result: the EfileCrypto.jnlp file is generated:

IMPORTANT: This file has to be downloaded locally on your computer and must be opened to launch the Transmission Module.




Step 2: Click the Open button of the EfileCrypto.jnlp file

Jplg.jpg


Result: a Java window opens

JavaEfileWindow.png




Step 3 : Click the RunButton.png button 

JavaEfileWindow.png


Result: the Transmission Module is launched




Step 4:
-Select the General tab of the Transmission 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


Important: the Transmission 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

PLEASE CONSULT OUR WIKIPAGE TRANSMISSION FOLLOW-UP



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 
S10 - Annual 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 ECB reporting Solo (SII reporting with ECB-addon)
S17 - Quarterly ECB reporting 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
SENDING TYPE: Rapports narratifs
N01 - Rapport de révision => SENDING TYPE: Compagnie 
N02 - Rapport de gestion du Conseil => SENDING TYPE: Compagnie
N03 - Procès-verbal de l’AGO => SENDING TYPE: Compagnie 
N04 - Rapport actuariel (partie narrative) => SENDING TYPE: Compagnie 
N05 - Rapport distinct Solvabilité I (partie narrative) => SENDING TYPE: Réviseur 
N06 - Rapport distinct Solvabilité II (partie narrative) => SENDING TYPE: Réviseur 
N07 - Own risk and solvency assessment (ORSA) => SENDING TYPE: Compagnie 
N08 - First Regular supervisory report (RSR)=> SENDING TYPE: Compagnie 
N09 - Solvency and financial condition report (SFCR)=> SENDING TYPE: Compagnie 
N10 - Organigramme => SENDING TYPE: Compagnie 
N11 - Distinct Solvency 2 company report (narrative part) => SENDING TYPE: Compagnie   NEW 




Submit files

Step 1: Click on the Transmission Module icon

Icon4.png


Result: The Transmission Module opens




Step 2: 
-Select the Transmission tab of the Transmission Module
-Select the Sending type (Cf. chapter 2.4)
-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
-Check if all fields are completed
-If the Control light becomes green you can click the Send button


2tm.png

Important: the Transmission Module checks if the file name is correct or not. If it is correct, the control status light will become green.

Result: The report will be sent to the CAA.



Retrieve feedback files

PLEASE CONSULT OUR WIKIPAGE TRANSMISSION FOLLOW-UP

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