CAA Manual

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 on 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.

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 01/03/2017!
FIR - Fiche de renseignement NEW 01/03/2017!

Retrieve source files

Step 1: Click the Document management icon

Result: the Transmission follow-up screen of the Document management opens

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.

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

Result: the source file sent by CAA (status "initiated") is displayed

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

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

Step 4: Click the View icon  at the right end of the row 

Result: the EfileCrypto.jnlp file is generated:

IMPORTANT: This file has to be downloaded and must be opened to start the encryption module

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

Result: the Encryption module opens

Step 6: Select the General tab of the Encryption module, enter your keystore password and click the download button

Result: the source file will be downloaded.

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.

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.

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.

Step 7: Complete the source file and rename it as indicated in the CAA - File naming convention document

Example Source file: RSOR-LU-01-20161231-SCR-LEI11111111111111111-LEI11111111111111111.xls

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

Submit replies

Step 8: Tick the box at the end of the row of your source file report, click the Select Action button and select Reply

Result: The EfileCrypto.jnlp file is generated. This file has to be downloaded and must be opened to start the encryption module.

Step 9: Click the Open button of the EfileCrypto.jnlp file

Result: the Encryption module opens:

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

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.

Retrieve feedback files

Step 11: Open the Transmission follow-up screen in Document Management and click the Plus icon  in order to view the feedback files you received

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

Step 12: Click the View icon  in order to view or download your feedback files (Cf. chapter 2.3.1 steps 4-6)

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 NEW 01/03/2017!

Rapports narratifs:
N01- Rapport de révision => SENDING TYPE: Compagnie NEW 01/03/2017!
N02- Rapport de gestion du Conseil => SENDING TYPE: Compagnie NEW 01/03/2017!
N03- Procès-verbal de l’AGO => SENDING TYPE: Compagnie NEW 01/03/2017!
N04- Rapport actuariel (partie narrative) => SENDING TYPE: Compagnie NEW 01/03/2017!
N05- Rapport distinct Solvabilité I (partie narrative) => SENDING TYPE: Réviseur NEW 01/03/2017!
N06- Rapport distinct Solvabilité II (partie narrative) => SENDING TYPE: Réviseur NEW 01/03/2017!
N07- Own risk and solvency assessment (ORSA) => SENDING TYPE: Compagnie NEW 01/03/2017!
N08- First Regular supervisory report (RSR)=> SENDING TYPE: Compagnie NEW 01/03/2017!
N09- Solvency and financial condition report (SFCR)=> SENDING TYPE: Compagnie NEW 01/03/2017!
N10- Organigramme => SENDING TYPE: Compagnie  NEW 01/03/2017!

Submit files

Step 1: Click on the Encryption Module icon

Result: The encryption module opens

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

Step 3:
-Check if all fields are completed
-If the Control light becomes green you can click the Send button

Important: the encryption 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

Cf. chapter 2.3.3 steps 11-12 

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