Latest revision as of 13:37, 24 September 2024

Page's last update : 24 Nov 2024

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

Filing of reports initiated by the CAA

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 the Transmission follow-up icon

Result: the Transmission follow-up screen opens:

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

Result: Files and their transmission status Initiated are displayed:

Step 3: Click the row you want to proceed with

Step 4: Click the button at the right end of the row

Result: a pop-up panel opens displaying the decrypt form, fill it.

Result: the source file will be downloaded.

Step 5: Complete the source file and rename it as indicated in the CAA's naming convention

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: Go back on the CAA's submission's detail and click the 'Reply' 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 be green.

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

Submit files

Please follow the Transmission module documentation

Retrieve feedback files

 Please consult our wiki page Transmission monitoring

Automatic filing through the Sending Service

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 see our sending service's wiki page.

@@ Line 1: / Line 1: @@
+<small>''Page's last update : {{REVISIONDAY2}} {{CURRENTMONTHABBREV}} {{REVISIONYEAR}}''</small>
+__TOC__
-= 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.
-*Select your environment:
+Fundsquare's CAA reporting module enables reporting entities in Luxembourg (via their designated filing entities) to efficiently send reports to the CAA.
-'''Production''' environment : '''https://www.e-file.lu/e-file/'''<br/>
-'''Homologation''' environment (Test) : '''https://homologation.e-file.lu/e-file/'''<br/>
-= Login =
+=Manual filing through e-file v2=
-*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/>
-= Reports initiated by CAA source files =
+==Filing of reports initiated by the CAA ==
-The following reports are 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
-<div style="text-align: left;">
+===Retrieve source files ===
-{| border="1" cellspacing="2" cellpadding="10"
+ Step 1: Click the Transmission follow-up icon
-|-
-|'''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
+:[[File:Transmission follow up.PNG|border|300 px]]
-You will find all CAA requests in the icon '''Document Management > Transmission follow-up tab'''.<br/>
-'''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/>
-[[File:DocMngmt.JPG]] '''=>''' [[File:TransmFolUp.JPG]] <br/><br/>
+:'''Result:''' the Transmission follow-up screen opens:
-= Retrieve your report =
+:[[File:NE_TransmissionFollowup2.PNG | border | 1000 px]]
-Use the '''search by date''' function on the left panel to display your report.<br/>
-[[File:DlReport.JPG]]<br/>
+ Step 2: Select the Transmission period (From...To) and click the Search button
-By clicking on the '''little document icon''' at the right of your report row, you will be able to display documents attached.<br/>
+:[[File:Icon5.png | 300 px]]
-[[File:ReportDetail.JPG]]<br/>
-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/>
+:'''Result:''' Files and their transmission status '''Initiated''' are displayed:
-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:Icon27.png | Click the line| 1000 px]]
-If it is the first time you are using the encryption module, you will be asked for the '''keystore location'''.<br/>
+ Step 3: Click the row you want to proceed with
-'''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/>
+:<imagemap>
-<br/>
+File:Icon24.png |border |1000 px
-If your keystore is well configured, fill your keystore password and click on the Download button to decrypt your report.<br/>
+circle 553 109 30 [[#nowhere|Depending on your keystore setup, you may need to import it or not]]
+circle 1570 732 30 [[#nowhere|Click to uncrypt and read the document]]
+desc none
+</imagemap>
-[[File:DLWindow.JPG]]<br/>
-= Send your reply =
+ Step 4: Click the button at the right end of the row
+:'''Result:''' a pop-up panel opens displaying the decrypt form, fill it.
-Once your report completed, check the box on the row of your report and select the action '''Reply'''.<br/>
+:[[File:Icon25.png | 700 px]]
-[[File:Reply.JPG]]<br/>
-A file called EfileCrypto.jnlp will be downloaded and must be opened to start the encryption module'''.<br/><br/>
+:'''Result:''' the source file will be downloaded.
-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/>
-'''Exemple :''' The filename of your reply must contain '''"CAA" instead of "SRC"''' (original file).<br/>
+ Step 5: Complete the source file and rename it as indicated in the [https://www.caa.lu/uploads/documents/files/CAA-FNC_v104-2.pdf CAA's naming convention]
-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 =
+:Example Source file: LBRR-LU-01-20161231-SRC-LEI11111111111111111-LEI11111111111111111.xls
-For Solvency I, you will receive two feedbacks per reply :<br/>
+:Example Reply file: LBRR-LU-01-20161231-'''CAA'''-LEI11111111111111111-LEI11111111111111111.xls
-<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/>
-[[File:feedbacks.JPG]]<br/>
-'''Note :''' the document type '''CCPRW''' refers to your reply.<br/>
+===Submit replies to source files===
-[[File:feedbacksdetails.JPG]]<br/>
+ Step 1: Go back on the CAA's submission's detail and click the 'Reply' button
-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'''.
+:[[File:Icon26.png|800 px]]
+:'''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 be green.
+==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'''
+===Submit files ===
+ Please follow the [[Transmission_Module|Transmission module documentation]]
+==Retrieve feedback files==
+  '''Please consult our wiki page [[Transmission_Monitoring|Transmission monitoring]]
+=Automatic filing through the Sending Service=
+'''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 see our [[Sending_Service_home|sending service's wiki page.]]
 [[Category : FAQ e-file]]

Difference between revisions of "CAA Manual"