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 :  2 July 2021''</small>
+<small>''Page's last update : {{REVISIONDAY2}} {{CURRENTMONTHABBREV}} {{REVISIONYEAR}}''</small>
 __TOC__
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-==Filing of reports initiated by CAA '''source files'''==
+==Filing of reports initiated by the CAA ==
 The following reports are initiated by CAA source files:
@@ Line 33: / Line 33: @@
   Step 1: Click the Transmission follow-up icon
-[[File:Transmission follow up.PNG|border|300 px]]
+:[[File:Transmission follow up.PNG|border|300 px]]
+:'''Result:''' the Transmission follow-up screen opens:
-'''Result:''' the Transmission follow-up screen opens:
+:[[File:NE_TransmissionFollowup2.PNG | border | 1000 px]]
-[[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]]
+:[[File:Icon5.png | 300 px]]
-'''Result:''' Files and their transmission status '''Initiated''' are displayed:
+:'''Result:''' Files and their transmission status '''Initiated''' are displayed:
-[[File:Icon27.png | Click the line| 1000 px]]
+:[[File:Icon27.png | Click the line| 1000 px]]
   Step 3: Click the row you want to proceed with
-<imagemap>
+:<imagemap>
 File:Icon24.png |border |1000 px
 circle 553 109 30 [[#nowhere|Depending on your keystore setup, you may need to import it or not]]
@@ Line 62: / Line 58: @@
 desc none
 </imagemap>
   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:''' a pop-up panel opens displaying the decrypt form, fill it.
-[[File:Icon25.png | 700 px]]
+:[[File:Icon25.png | 700 px]]
-'''Result:''' the source file will be downloaded.
+:'''Result:''' the source file will be downloaded.
   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]
-Example Source file: LBRR-LU-01-20161231-SRC-LEI11111111111111111-LEI11111111111111111.xls
+:Example Source file: LBRR-LU-01-20161231-SRC-LEI11111111111111111-LEI11111111111111111.xls
-Example Reply file: LBRR-LU-01-20161231-'''CAA'''-LEI11111111111111111-LEI11111111111111111.xls
+:Example Reply file: LBRR-LU-01-20161231-'''CAA'''-LEI11111111111111111-LEI11111111111111111.xls
@@ Line 84: / Line 81: @@
   Step 1: Go back on the CAA's submission's detail and click the 'Reply' button
-[[File:Icon26.png|1000 px]]
+:[[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.
-'''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.
-===Retrieve feedback files===
- '''PLEASE CONSULT OUR WIKIPAGE [[Transmission_Monitoring|TRANSMISSION FOLLOW-UP]]
 ==Filing of XBRL Solvency II reports and Narrative reports ('''no source files''')==
@@ Line 137: / Line 125: @@
   N11 - Distinct Solvency 2 company report (narrative part) => SENDING TYPE: '''Compagnie'''
+===Submit files ===
+ Please follow the [[Transmission_Module|Transmission module documentation]]
-===Submit files ===
+==Retrieve feedback files==
- Please follow the [[Transmission_Module|Transmission module documentation]]
+  '''Please consult our wiki page [[Transmission_Monitoring|Transmission monitoring]]
-===Retrieve feedback files===
-  '''PLEASE CONSULT OUR WIKIPAGE [[Transmission_Monitoring|TRANSMISSION FOLLOW-UP]]
 =Automatic filing through the Sending Service=

Difference between revisions of "CAA Manual"