Difference between revisions of "FATCA Manual"

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<small>''Page's last update : 26 September 2023''</small>
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'''IMPORTANT''': all '''pre-filled''' data have to be communicated to Fundsquare in order to be integrated in Fundsquare's database and to be available in the FATCA form
Consult our [https://www.e-file.lu/wiki/index.php/FATCA_Onboarding FATCA Onboarding] for more detailed information.


=Manual filing through e-file v2=
=Report type=




==Environment==
Choose the 'FATCA Form' in the [[ReportGeneration|Report Generation]] module.


Step 1: Select your environment


Production environment : '''https://www.e-file.lu/e-file/'''
The '''FATCA form''' opens and a small window pops up where you have to select the '''FATCA report type'''.


Homologation environment (Test) : '''https://homologation.e-file.lu/e-file/'''
In our example we will select FATCA report.


[[File:SelectFATCAReportType.png|300 px]]


==Login==


Step 1: Enter your e-file login credentials (user name and password) and click the Access button


[[File:Identification.jpg]]
=FATCA form=


'''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.




==Access FATCA form==
[[File:2 AfterFormFatca.png|600 px]]


Step 1: Click on the Report Generation icon
[[File:Fatca ReportGen.jpg]]


==Contact information==


Step 2: Select Formulaire FATCA
This is the Luxembourgish part of the FATCA report.
[[File:Select Form Fatca.jpg]]<br/>


[[File:2AfterFatcaContact.png|400px]]


'''Result:''' the FATCA form opens
The '''contact''' '''information''' is split into 2 sections:


[[File:Open form.jpg]]
1. '''Information on depositor'''


2. '''AEOI Reporting FI'''




These sections can be accessed via the buttons in the vertical navigation bar or directly clicking the sections' titles.


==Complete FATCA form==
==AEOI reference==


===Contact tab===


This is the Luxembourgish part of the FATCA report added by ACD.
[[File:2AfterFatcaAEOIRef.png|400px]]


[[File:Contact tab.jpg]]
*This field has to be completed by a Globally Unique Identifier (GUID) that can be chosen freely in accordance with certain rules described in [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 13].


*Specifications: only capital characters (A-Z), number 0-9, must be unique, etc.


====AEOI reference====
*The ACD  recommends not to use personal data such as the name or account number, but rather a sequential number.


[[File:AEOI REF.jpg]]
Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 13].


*This field has to be completed by a Globally Unique Identifier (GUID) that can be choosen freely in accordance with certain rules described in [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 13].


*Specification examples: only capital characters (A-Z), number 0-9, must be unique, etc.


*The ACD  recommends not to use personal data such as the name or account number, but rather a sequential number.


Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 13].


==Information on depositor==


====Information on depositor====


[[File:Info Dep.jpg]]
[[File:DepositorNamePIN.png|border|400px]]


*'''Depositor name''' (pre-filled): The '''Depositor''' is an entity (legal or natural person) that is in charge of filing the FATCA reporting to the ACD (e.g. Service provider). Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 6].
*'''Depositor name''' (pre-filled): The '''Depositor''' is an entity (legal or natural person) that is in charge of filing the FATCA reporting to the ACD (e.g. Service provider). Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 6].
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If the '''Depositor''' does not have a Luxembourgish '''Matricule''' Number, he has to contact the '''Bureau de la retenue d'impôt sur les intérêts'''
==AEOI Reporting FI==
 
-by mail: [mailto:aeoi@co.etat.lu aeoi@co.etat.lu]
 
-by phone: [http://www.impotsdirects.public.lu/fr/profil/organigramme/liste_telephone_service.html#srii Phone book_Bureau de la retenue d'impôt sur les intérêts]
 
 
'''IMPORTANT''': all '''pre-filled''' data have to be communicated to Fundsquare in order to be integrated in Fundsquare's database and to be available in the FATCA form
 
Consult our [[FATCA|Onboarding/Update process FATCA/CRS]] for more detailed information.
 
Send mail to: [mailto:OnboardingFatcaCRS@fundsquare.net OnboardingFatcaCRS@fundsquare.net]
 
 
====Reporting person====


The Reporting Person is the Reporting Financial Institution (RFI). This element is used by the ACD for tracking purposes (i.e. in case of Zero Reporting).
[[File:ReportingPersonExtensionSubEntity.png|border|600px]]


It is the same entity as in the "Reporting FI" tab.
The information on '''Reporting person''' has to be completed in '''section 2''' of the form.
 
[[File:RepPERSON.jpg]]


*'''Name of the reporting financial institution''': Select the entity in the drop-down list for which the reporting is done.
*'''Name of the reporting financial institution''': Select the entity in the drop-down list for which the reporting is done.
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*'''Identification number''' (pre-filled with the Luxembourgish '''Matricule''' Number once the RFI has been selected)
*'''Identification number''' (pre-filled with the Luxembourgish '''Matricule''' Number once the RFI has been selected)
*'''Entity Identification number extension''' (pre-filled with the value "M00000000"): "M00000000" is the default value if you have no extention code to communicate.  
*'''Entity Identification number extension''' (pre-filled with the value "M00000000"): "M00000000" is the default value if you have no extention code to communicate.  
*'''Personnal information''' The ACD needs contact details of a person who would be able to answer business questions regarding the report.




Line 108: Line 92:
If the RFI has no Luxembourgish '''Matricule''' Number the instructions published on the ACD website have to be followed (Cf.: [http://www.impotsdirects.public.lu/fr/profil/organigramme/direction/division_echange_renseignements_retenue_interets.html Contact_Division échange de renseignements et retenue d’impôt sur les intérêts]).
If the RFI has no Luxembourgish '''Matricule''' Number the instructions published on the ACD website have to be followed (Cf.: [http://www.impotsdirects.public.lu/fr/profil/organigramme/direction/division_echange_renseignements_retenue_interets.html Contact_Division échange de renseignements et retenue d’impôt sur les intérêts]).


==Reporting group - Account report - TIN==


'''IMPORTANT''': all '''pre-filled''' data have to be communicated to Fundsquare in order to be integrated in Fundsquare's database and to be available in the FATCA form
'''VERY IMPORTANT INFORMATION'''


Consult our [[FATCA|Onboarding/Update process FATCA/CRS]] for more detailed information.
[[File:2AccountReportTIN.png|900px]]


Send mail to: [mailto:OnboardingFatcaCRS@fundsquare.net OnboardingFatcaCRS@fundsquare.net]
If no TIN is available the value '''#NTA001#''' has to be entered in the TIN field.




====Information on declarer====


The declarer may be the Financial institution that is subject to the FATCA reporting obligation or an entity, e.g. a management company, managing the reporting from a business point of view.


The ACD needs contact details of a person who would be able to answer business questions regarding the report.


Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-annexe1-description-des-champs-2017-01-19.pdf Annexe 1 ECHA - n° 3 of 19 January 2017, page 50]).
==Zero Reporting==
 
[[File:Declarer.jpg]]
 
 
 
===Zero Reporting===


The ACD requires one reporting each year from each Luxembourg Reporting Financial Institution registered with the IRS.
The ACD requires one reporting each year from each Luxembourg Reporting Financial Institution registered with the IRS.
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Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 21].
Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017, page 21].


== Export - import files - save work in progress  ==




[[File:Export.jpg]]


1. Click this button to export the final report in XML format. The file will be saved on your hard drive and is available for sending to the Regulator. This button will only be available if the green tick [[File:GreenIcon.png]] appears in every section of the completed form.


2. This button allows you to upload an existing XML report from your network or hard drive into the report generator.
== Export - import files - save work in progress ==


3. Work in progress on a report has to be saved with this button. The exported .xml file will be called DRAFT_filename.xml and cannot be uploaded for filing. It can be imported onto the tool for later use. Only final reports will carry the correct naming convention for submission to the Regulator.
[[File:CRS-After-SaveLocallyButton.png|border|500px]]


4.If green ticks [[File:GreenIcon.png]] appear in every section of the completed form, the Transmission button will become available.
'''<u>Report type</u>''' button


Press the '''REPORT TYPE''' button, if you want to change your FATCA Report Type. A small window pops up where you can select the report type you need:


:: - Contact update


:: - Zero report


== File transmission ==
:: - FATCA report




=== Setup of the e-file v2 encryption module ===
'''<u>Select an existing report</u>''' button


1. The form is completed [[File:GreenIcon.png]]. Click the [[File:Transmission.png | border]] button.
This button allows you to upload an existing '''XML''' report from your network or hard-drive into the report generator.


'''Result:''' the EfileCrypto.jnlp file is generated.


'''IMPORTANT:''' this file has to be '''downloaded''' (if you use the application for the first time) locally on your computer and must be '''opened''' to launch the '''Encryption Module'''.
'''<u>Save locally</u>''' button
<u>Work in progress</u> on a report has to be saved with this button. '''Work in progress''' means that the report is not finalized, as important data are missing. The exported '''.xml''' file will be called '''DRAFT_filename.xml''' and cannot be uploaded for filing. It can be imported onto the tool for later use.  


'''Note''': the '''Encryption Module''' is a Java application. For security reasons, this module aims at encrypting documents before they are sent to authorithies. It is also used to decrypt documents and feedbacks.
If you save locally a <u>final report</u>, meaning that all relevant data are available inside the report, it will carry the '''correct naming convention''' for submission to the Regulator.  


Java version 1.7.55 is a prerequisite for the installation of the e-file v2 encryption module.


'''<u>Transmit</u>''' button


If all buttons of the sidebar are green, the '''Transmission button''' will become available and the report can be transmitted to the regulator.




2. Click the Open button of the EfileCrypto.jnlp file [[File:Jplg.jpg]]
== File transmission ==
 
'''Result:''' the window below opens
 
[[File:JavaEfileWindow.png | border]]
 
 
 
 
3. Click the [[File:RunButton.png | border]] button
 
[[File:JavaEfileWindow.png | border]]
 
 
'''Result:''' the Transmission Module is launched
 
[[File:2tmm.png | 500px]]
 
'''Important:''' It is possible that the pop-up blocker does not allow .jnlp files to be downloaded. Please ask your IT deparment to allow pop-ups from '''https://www.e-file.lu/''' .
 
 
 
 
4. The Transmission Module has to be configured when it is used for the first time (or after each Java update).
The path to the keystore has to be selected with the [[File:BrowseButton.png | border]] button and the key (locally or on a server) will have to be imported with the [[File:ImportButton.png |border]] button : <br/>
 
[[File:2tmm.png | 500px]]
 
Once the key has been imported, the access to the keystore is memorized by the application.
 
In order to be more user friendly and to speed up the sending process, the encryption module will then run as a back ground process on your desktop.
 
If you need to end the process, right click on the icon in the taskbar and select “Close encryption module” :
 
[[File:EncryptionTaskbar.png |border]]
 
 
 
 
5. Return to the FATCA Form (Report Generator) screen
- Click the [[File:Transmission.png | border]] button
- Enter a "title of file sent"
- Enter the keystore password
 


'''Result''': as the configuration of the encryption module is finished, the General Tab of the Encryption Module will be displayed directly.  
When the form is completed and all ticks are green, you can click the [[File:After-CRS-TransmitButtton.png|border|80px]] button.


[[File:Icon22.png | 500px]]
A drawer opens from the right, fill the form and click 'Transmit'.


'''Note''':
[[File:CRS Transmit.png|border|500px]]


-the file name is automatically generated and compliant to the ACD file naming convention.
'''Note''': the file name is automatically generated and compliant to the ACD file naming convention.


-the [[File:SendButton.png | border]] button is now available and the report can be sent. A pop-up window will confirm the transmission.
== Transmission follow up ==
 
 
'''SHOULD YOU ENCOUNTER PROBLEMS PLEASE CONSULT OUR WIKIPAGE [[Encryption Module#Solving the most common problems|SOLVING THE MOST COMMON PROBLEMS OF THE TRANSMISSION MODULE]] OR CONTACT OUR [[How_to_contact_us#Technical_support|HELPDESK]]
 
 
 
== File transmission follow-up ==
 
'''PLEASE CONSULT OUR WIKIPAGE [[Transmission follow-up|TRANSMISSION FOLLOW-UP]]


Please consult our wiki page [[Transmission_Monitoring|'''Transmission Monitoring''']]


= Automatic filing through the Sending Service =
= Automatic filing through the Sending Service =


The Sending Service is Fundsquare's solution for automatically sending reports and documents to the authorities.
*Should you need further information on the Sending Service, please see our [[Sending_Service_home|sending service's wiki page.]]
 
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.
 
FATCA .xml files have to be dropped into the '''FATCA''' subfolder:
 
[[File:FolderFatca.bmp |border]]
 
 
*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]
 
[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]]
 
 




Line 317: Line 223:
| B = Bourse
| B = Bourse
|-
|-
| MatriculeReporter
| MatriculeDepositor
| Social Security Identification Number
| Social Security Identification Number
| Number(11) - Number(13)
| Number(11) - Number(13)
Line 369: Line 275:


Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017; page 19-20]
Cf. [http://www.impotsdirects.public.lu/content/dam/acd/fr/legislation/legi17/echa3-sans-tc-2017-01-19.pdf ECHA - n° 3 of 19 January 2017; page 19-20]


== Report transmission ==
== Report transmission ==
Line 378: Line 281:


Ensure that the '''FATCA file naming convention''' is applied (Cf. [[#FATCA file naming convention|FATCA file naming convention]]).
Ensure that the '''FATCA file naming convention''' is applied (Cf. [[#FATCA file naming convention|FATCA file naming convention]]).


== File processing status generated by the Sending Service ==
== File processing status generated by the Sending Service ==


During and at the end of the sending, the Sending Service generates various files in the subfolder that
See [[Sending_Service#Transmission_following | our wiki upon the sending service ]] to understand the sending service's follow up.
has been used for the sending. Three type of files are generated: <br/>
 
*'''.trt''' file : indicates the start of the transmission
 
In order to be able to send the original file, the Sending Service transforms the latter into a .trt file and
adds a timestamp. E.g. «OriginalName.xml» is transformed into OriginalName.xml.timestamp.trt:
 
FATCA_20150520080022_F0_2016_B_1970010112345_006M8M.00000.LE.442_P.xml becomes
 
FATCA_20150520080022_F0_2016_B_1970010112345_006M8M.00000.LE.442_P.xml_20150731122616366.trt
 
*'''.acq''' file : the transmission has been successfully completed
 
*'''.err''' file : indicates that an error has occurred during the sending
 
The error file contains technical messages indicating the root cause of the error, e.g. file name errors.  
 


 
== File transmission status ==
 
== File transmission follow-up ==
 
=== Transmission status ===


ACD's feedback files are available in the sub-folder "Replies":  '''.../ServiceDeposant/ReportingDiffusion/FATCA/Replies/'''.
ACD's feedback files are available in the sub-folder "Replies":  '''.../ServiceDeposant/ReportingDiffusion/FATCA/Replies/'''.
Line 421: Line 299:


The "Replies" folder is created upon feedback receipt. Please check the Sending Service's configuration if the "Replies" folder is not available. In the configuration file (properties file), the variable corresponding to "Configuration of connection for feedback" and the one corresponding to "Configuration of connection for authority acknowledgement" should be set to "up".
The "Replies" folder is created upon feedback receipt. Please check the Sending Service's configuration if the "Replies" folder is not available. In the configuration file (properties file), the variable corresponding to "Configuration of connection for feedback" and the one corresponding to "Configuration of connection for authority acknowledgement" should be set to "up".


=How to correct, void or amend validated reports=
=How to correct, void or amend validated reports=
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The different types are the following ones :
The different types are the following ones :


*'''FATCA1''' : [[Initial sending]]. The file contains only new information.
*'''FATCA1''' : <span style="color:darkcyan">Initial sending</span>. The file contains only new information.


*'''FATCA2''' : [[Correction]]. A report should be corrected in response to an error notification from IRS.
*'''FATCA2''' : <span style="color:darkcyan">Correction</span>. A report should be corrected in response to an error notification from IRS.


*'''FATCA3''' : [[Void]]. A report may be voided at any time after you become aware of inaccurate information. All data element fields in the voided record must have the same values equal to the original record being voided. Do not void a report in response to an error notification.
*'''FATCA3''' : <span style="color:darkcyan">Void</span>. A report may be voided at any time after you become aware of inaccurate information. All data element fields in the voided record must have the same values equal to the original record being voided. Do not void a report in response to an error notification.


*'''FATCA4''' : [[Amend]]. A report may be amended at any time. An amended report updates an existing report from a previously filed report. All data element fields in the amended report must have the amended values for the relevant account report. Do not amend a report in response to a report error notification, instead file a corrected report with DocTypeIndic FATCA2.
*'''FATCA4''' : <span style="color:darkcyan">Amend</span>. A report may be amended at any time. An amended report updates an existing report from a previously filed report. All data element fields in the amended report must have the amended values for the relevant account report. Do not amend a report in response to a report error notification, instead file a corrected report with DocTypeIndic FATCA2.


To chose the report to modify, its reference has to be entered in the '''document reference ID to correct''' and '''message reference ID to correct'''.<br/>
To chose the report to modify, its reference has to be entered in the '''document reference ID to correct''' and '''message reference ID to correct'''.<br/>

Latest revision as of 13:12, 26 September 2024

Page's last update : 26 September 2023


Introduction

The Luxembourg Tax Authority (Administration des contributions directes (ACD)) published on 19 January 2017 an updated version of the circular ECHA3 defining the new format that takes into account the Internal Revenue Services (IRS) FATCA XSD 2.0. Luxembourg Financial Institutions will have to use this new schema, as it will be the only one accepted as from now. 


IMPORTANT: all pre-filled data have to be communicated to Fundsquare in order to be integrated in Fundsquare's database and to be available in the FATCA form
Consult our FATCA Onboarding for more detailed information.

Report type

Choose the 'FATCA Form' in the Report Generation module.


The FATCA form opens and a small window pops up where you have to select the FATCA report type.

In our example we will select FATCA report.

SelectFATCAReportType.png


FATCA form

2 AfterFormFatca.png


Contact information

This is the Luxembourgish part of the FATCA report.

2AfterFatcaContact.png

The contact information is split into 2 sections:

1. Information on depositor

2. AEOI Reporting FI


These sections can be accessed via the buttons in the vertical navigation bar or directly clicking the sections' titles.

AEOI reference

2AfterFatcaAEOIRef.png

  • Specifications: only capital characters (A-Z), number 0-9, must be unique, etc.
  • The ACD recommends not to use personal data such as the name or account number, but rather a sequential number.

Cf. ECHA - n° 3 of 19 January 2017, page 13.



Information on depositor

DepositorNamePIN.png

  • Depositor name (pre-filled): The Depositor is an entity (legal or natural person) that is in charge of filing the FATCA reporting to the ACD (e.g. Service provider). Cf. ECHA - n° 3 of 19 January 2017, page 6.
  • Personal Identification Number (pre-filled): The Depositor needs a Personal Identification Number (Luxembourgish Matricule Number also known as CCSS code) to be able to file the report.


AEOI Reporting FI

ReportingPersonExtensionSubEntity.png

The information on Reporting person has to be completed in section 2 of the form.

  • Name of the reporting financial institution: Select the entity in the drop-down list for which the reporting is done.
  • Reporting person (pre-filled once the RFI has been selected)
  • Identification number (pre-filled with the Luxembourgish Matricule Number once the RFI has been selected)
  • Entity Identification number extension (pre-filled with the value "M00000000"): "M00000000" is the default value if you have no extention code to communicate.
  • Personnal information The ACD needs contact details of a person who would be able to answer business questions regarding the report.


IMPORTANT: If a sub-entity has to file a FATCA reporting and does not have a Luxembourgish Matricule Number, it must enter the parent Luxembourgish Matricule Number in the first field and an additional identifier in the second field. For example, sub-funds have to enter the Luxembourgish Matricule Number of the umbrella fund in the Identification Number field and enter the sub-fund number in the Entity Identification number extension field. Cf. details ECHA - n° 3 of 19 January 2017, page 9.

If the RFI has no Luxembourgish Matricule Number the instructions published on the ACD website have to be followed (Cf.: Contact_Division échange de renseignements et retenue d’impôt sur les intérêts).

Reporting group - Account report - TIN

VERY IMPORTANT INFORMATION

2AccountReportTIN.png

If no TIN is available the value #NTA001# has to be entered in the TIN field.



Zero Reporting

The ACD requires one reporting each year from each Luxembourg Reporting Financial Institution registered with the IRS.

Luxembourg Reporting Financial Institutions that have no Reportable Accounts to report for a year, must inform the ACD by sending a Zero Reporting to the ACD.

Cf. ECHA - n° 3 of 19 January 2017, page 21.



Export - import files - save work in progress

CRS-After-SaveLocallyButton.png

Report type button

Press the REPORT TYPE button, if you want to change your FATCA Report Type. A small window pops up where you can select the report type you need:

- Contact update
- Zero report
- FATCA report


Select an existing report button

This button allows you to upload an existing XML report from your network or hard-drive into the report generator.


Save locally button

Work in progress on a report has to be saved with this button. Work in progress means that the report is not finalized, as important data are missing. The exported .xml file will be called DRAFT_filename.xml and cannot be uploaded for filing. It can be imported onto the tool for later use.

If you save locally a final report, meaning that all relevant data are available inside the report, it will carry the correct naming convention for submission to the Regulator.


Transmit button

If all buttons of the sidebar are green, the Transmission button will become available and the report can be transmitted to the regulator.


File transmission

When the form is completed and all ticks are green, you can click the After-CRS-TransmitButtton.png button.

A drawer opens from the right, fill the form and click 'Transmit'.

CRS Transmit.png


Note: the file name is automatically generated and compliant to the ACD file naming convention.

Transmission follow up

Please consult our wiki page Transmission Monitoring

Automatic filing through the Sending Service


FATCA file naming convention

The following naming convention has to be applied for the files: 

XML file :
FATCA_${DateTime}_${Type}_${FiscalYear}_${Channel}_${MatriculeDepositor}_${GIIN}_${ProdTest}.xml

Feedback from ACD :
FATCA_${DateTime}_${Type}_${FiscalYear}_${Channel}_${MatriculeDepositor}_${GIIN}_${ProdTest}_${Status}.xml
Code Definition Structure Values
DateTime Creation date and time of the XML file Number(14) YYYYMMDDhhmmss
Type F0: ZeroReport or new contact data without FATCA data

F1: FATCA1–New data

F2: FATCA2–Correction–Data corrected upon request of the IRS

F3: FATCA3–Void–Cancellation of data

F4: FATCA4–Amendment–Data corrected at any time

Char(1)Number(1) F0

F1

F2

F3

F4

FiscalYear Fiscal year Number(4) YYYY
Channel Communication channel Char(1) B = Bourse
MatriculeDepositor Social Security Identification Number Number(11) - Number(13) Code CCSS
GIIN GIIN (Global Intermediary Identification Number ) of the declarer Char(6).Char(5).Char(2).Number(3) Code GIIN XXXXXX.XXXXX.XX.XXX
ProdTest Environment type Char(1) P = Production

T = Test

Status Response status Char(3) Technical Feedback

ACK = File received by ACD

NAK = File rejected by ACD

Business Feedback

VAL = Validated and imported by ACD

WAR = Validated and imported by ACD but with small issues that raised a warning

ERR = File rejected

Examples:

XML file:

FATCA_20150520080022_F0_2016_B_1970010112345_006M8M.00000.LE.442_P.xml

FATCA_20150520080023_F1_2016_B_19700202123_ZZLRV4.99999.SL.442_T.xml


Feedback from ACD :

FATCA_20150520080022_F0_2016_B_1970010112345_006M8M.00000.LE.442_P_ack.xml

FATCA_20150520080023_F1_2016_B_19700202123_ZZLRV4.99999.SL.442_T_ack.xml


Cf. ECHA - n° 3 of 19 January 2017; page 19-20

Report transmission

In order to send a report with the Sending Service, the exported .xml report has to be copied into the …/ServiceDeposant/ReportingDiffusion/FATCA subfolder.

Ensure that the FATCA file naming convention is applied (Cf. FATCA file naming convention).

File processing status generated by the Sending Service

See our wiki upon the sending service to understand the sending service's follow up.

File transmission status

ACD's feedback files are available in the sub-folder "Replies": .../ServiceDeposant/ReportingDiffusion/FATCA/Replies/.

Each feedback has a specific status which is available in the file name: ACK, NAK, VAL, WAR, ERR (Cf. Status feedback ACD).

Feedback from ACD :

FATCA_20150520080022_F0_2016_B_1970010112345_006M8M.00000.LE.442_P_ack.xml

FATCA_20150520080023_F1_2016_B_19700202123_ZZLRV4.99999.SL.442_T_ack.xml

The "Replies" folder is created upon feedback receipt. Please check the Sending Service's configuration if the "Replies" folder is not available. In the configuration file (properties file), the variable corresponding to "Configuration of connection for feedback" and the one corresponding to "Configuration of connection for authority acknowledgement" should be set to "up".

How to correct, void or amend validated reports

In order to correct, void or amend reports through the FATCA Form (Report Generator), the type of modification (FATCA2, FATCA3, FATCA4) has to be selected in the "Reporting FI" tab, section "Document Specification" and in the "Reporting Group" tab, section "Account Report" and then "Document specification".

The different types are the following ones :

  • FATCA1 : Initial sending. The file contains only new information.
  • FATCA2 : Correction. A report should be corrected in response to an error notification from IRS.
  • FATCA3 : Void. A report may be voided at any time after you become aware of inaccurate information. All data element fields in the voided record must have the same values equal to the original record being voided. Do not void a report in response to an error notification.
  • FATCA4 : Amend. A report may be amended at any time. An amended report updates an existing report from a previously filed report. All data element fields in the amended report must have the amended values for the relevant account report. Do not amend a report in response to a report error notification, instead file a corrected report with DocTypeIndic FATCA2.

To chose the report to modify, its reference has to be entered in the document reference ID to correct and message reference ID to correct.
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Cf. Annex 2 to ECHA - n° 3 of 19 January 2017

Cf. ECHA - n° 3 of 19 January 2017; page 22-24

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