Difference between revisions of "CAA Manual"

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<small>''Page's last update : {{REVISIONDAY2}} {{CURRENTMONTHABBREV}} {{REVISIONYEAR}}''</small>
__TOC__
=Introduction=
=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.<br/>
Fundsquare's CAA reporting module enables reporting entities in Luxembourg (via their designated filing entities) to efficiently send reports to the CAA.<br/>
=Manual filing on e-file v2=


==Environment==
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:
 
Production environment : '''https://www.e-file.lu/e-file/'''<br/>
Fundsquare's CAA reporting module enables reporting entities in Luxembourg (via their designated filing entities) to efficiently send reports to the CAA.
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/>
[[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.
<br/><br/>


==Filing of reports initiated by CAA source files==
=Manual filing through e-file v2=
The following reports are initiated by CAA source files:<br>
 
 
==Filing of reports initiated by the CAA ==
 
The following reports are initiated by CAA source files:
  CPR - Compte rendu
  CPR - Compte rendu
  RAC - Rapport actuariel
  RAC - Rapport actuariel
Line 26: Line 25:
  ESP - Enquête spécifique
  ESP - Enquête spécifique
  ETR - Etat trimestriel
  ETR - Etat trimestriel
  RSO - Rapport distinct Solvabilité 2 du réviseur <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  RSO - Rapport distinct Solvabilité 2 du réviseur
  FIR - Fiche de renseignement <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  FIR - Fiche de renseignement
<br/><br/>
 
 
===Retrieve source files ===
===Retrieve source files ===


  Step 1: Click the Document management icon<br>
  Step 1: Click the Transmission follow-up icon
[[File:DocMmgt icon.png]]<br>
 
'''Result:''' the Transmission follow-up screen of the Document management opens<br>
:[[File:Transmission follow up.PNG|border|300 px]]
'''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 the Search button<br>
 
[[File:Transmission follow-up.png]]<br>
:'''Result:''' the Transmission follow-up screen opens:
'''Result:''' all files are displayed<br><br><br><br>
 
Step 3: Click the Plus icon [[File:Plus icon.png]] at the right end of the row<br>
:[[File:NE_TransmissionFollowup2.PNG | border | 1000 px]]
[[File:Transmission follow-up.png]]<br>
 
'''Result:''' a pop-up window opens displaying the Detail of sending:<br>
 
[[File:Detail of sending.png]]<br><br><br><br>
  Step 2: Select the Transmission period (From...To) and click the Search button
  Step 4: Click the View icon [[File:Loupe.png]] at the right end of the row <br>
 
[[File:Detail of sending.png]]<br>
:[[File:Icon5.png | 300 px]]
'''Result:''' the EfileCrypto.jnlp file is generated:<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>
:'''Result:''' Files and their transmission status '''Initiated''' are displayed:
  Step 5: Click the Open button of the EfileCrypto.jnlp file
 
[[File:Jplg.jpg]]<br>
:[[File:Icon27.png | Click the line| 1000 px]]
'''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>
 
[[File:Encryption module.png]]<br>
  Step 3: Click the row you want to proceed with
'''Result:''' the source file will be downloaded.<br>
:<imagemap>
'''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/>
File:Icon24.png |border |1000 px
[[File:Error.png]]<br/>
circle 553 109 30 [[#nowhere|Depending on your keystore setup, you may need to import it or not]]  
'''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.<br/>
circle 1570 732 30 [[#nowhere|Click to uncrypt and read the document]]
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/>
desc none
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/>
</imagemap>
Example Source file: RACR-LU-01-20151231-SCR-LEI11111111111111111-LEI11111111111111111.xls
 
Reply: RACR-LU-01-20151231-CAA-LEI11111111111111111-LEI11111111111111111.xls
 
<br/><br/>
  Step 4: Click the button at the right end of the row
:'''Result:''' a pop-up panel opens displaying the decrypt form, fill it.
 
:[[File:Icon25.png | 700 px]]
 


===Submit replies===
:'''Result:''' the source file will be downloaded.
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>
'''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/>
Step 9: Click the Open button of the EfileCrypto.jnlp file<br/>
[[File:Jplg.jpg]]<br>
'''Result:''' the Encryption module opens<br><br><br><br>
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<br/>
[[File:Drag drop.png]]<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.
<br/><br/>


===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 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]
[[File:Feedback.png]]<br>
 
'''Result:''' a pop-up windows opens displaying the Detail of sending:<br>
:Example Source file: LBRR-LU-01-20161231-SRC-LEI11111111111111111-LEI11111111111111111.xls
[[File:FDB detail.png]]<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)
:Example Reply file: LBRR-LU-01-20161231-'''CAA'''-LEI11111111111111111-LEI11111111111111111.xls
<br/><br/>
 
 
 
===Submit replies to source files===
 
  Step 1: Go back on the CAA's submission's detail and click the 'Reply' button
 
:[[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''')==
==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 <span style="color: #C00000">'''NEW 01/03/2017!'''</span>


  '''Rapports narratifs:'''
'''IMPORTANT: '''THESE REPORTS ARE NOT INITIATED BY SOURCE FILES'''
  N01- Rapport de révision => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  '''SENDING TYPE: Solvency II Reporting (XBRL reporting)'''
  N02- Rapport de gestion du Conseil => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
  S01 - Annual Solvency II reporting Solo
  N03- Procès-verbal de l’AGO => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S02 - Quarterly Solvency II reporting Solo
  N04- Rapport actuariel (partie narrative) => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S03 - Day 1 Solvency II reporting Solo
  N05- Rapport distinct Solvabilité I (partie narrative) => '''SENDING TYPE: Réviseur''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S04 - Annual Solvency II reporting Group
  N06- Rapport distinct Solvabilité II (partie narrative) => '''SENDING TYPE: Réviseur''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S05 - Quarterly Solvency II reporting Group
  N07- Own risk and solvency assessment (ORSA) => '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S06 - Day 1 Solvency II reporting Group
  N08- First Regular supervisory report (RSR)=> '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S07 - Annual Solvency II reporting 3rd country branches
  N09- Solvency and financial condition report (SFCR)=> '''SENDING TYPE: Compagnie''' <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S08 - Quarterly Solvency II reporting 3rd country branches
  N10- Organigramme => '''SENDING TYPE: Compagnie'''  <span style="color: #C00000">'''NEW 01/03/2017!'''</span>
S09 - Day 1 Solvency II reporting 3rd country branches
<br/><br/>
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 ===
===Submit files ===
  Step 1: Click on the Encryption Module icon<br>
  Please follow the [[Transmission_Module|Transmission module documentation]]
[[File:2AccEN.png]]<br>
 
'''Result:''' The encryption module opens
<br/><br/><br/><br/>


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
[[File:Filling.png]]
<br/><br/><br/><br/>


Step 3:
==Retrieve feedback files==
-Check if all fields are completed
 
-If the Control light becomes green you can click the Send button
  '''Please consult our wiki page [[Transmission_Monitoring|Transmission monitoring]]


[[File:Sending.png]]<br>
'''Result:''' The report will be sent to the CAA.
<br/><br/>


===Retrieve feedback files===
Cf. chapter 1.3.3 steps 11-12
<br/><br/>


=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.<br>
 
With a suitable network mapping, users can then simply copy the file to be sent in the appropriate directory.<br>
The file is then automatically encrypted and sent.
<br/><br/>
'''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/>
 
*Should you need further information on the Sending Service, please click the links below:
*Should you need further information on the Sending Service, please see our [[Sending_Service_home|sending service's wiki page.]]
[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>
[[Sending_Service|Wiki-Sending Service]]<br>


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

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
Transmission follow up.PNG


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:
Click the line


Step 3: Click the row you want to proceed with
Depending on your keystore setup, you may need to import it or notClick to uncrypt and read the documentIcon24.png


Step 4: Click the button at the right end of the row
Result: a pop-up panel opens displaying the decrypt form, fill it.
Icon25.png


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
Icon26.png


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

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