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 through 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 FIR - Fiche de renseignement NEW
Retrieve source files
Step 1: Click the Transmission follow-up icon
IMPORTANT: if the Transmission follow-up icon is not available on your screen, you might contact your e-file administrator of your company, who will add the module to your e-file account.
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 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 button 
at the right end of the row
Result: the EfileCrypto.jnlp file is generated
IMPORTANT: This file has to be downloaded locally on your computer and must be opened to launch the Transmission Module.
Step 5: Click the Open button of the EfileCrypto.jnlp file
Result: a Java window opens
Step 6 : Click the 
button
Result: the Transmission Module is launched
Step 7: Select the General tab of the Transmission Module, enter your keystore password and click the download button
Result: the source file will be downloaded.
Step 8: Complete the source file and rename it as indicated in the CAA - File naming convention document
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: 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:
IMPORTANT: This file has to be downloaded locally on your computer and must be opened to launch the Transmission Module.
Step 2: Click the Open button of the EfileCrypto.jnlp file
Result: a Java window opens
Step 3 : Click the button
Result: the Transmission Module is launched
Step 4: -Select the General tab of the Transmission 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 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 become green.
Retrieve feedback files
PLEASE CONSULT OUR WIKIPAGE TRANSMISSION FOLLOW-UP
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 NEW
SENDING TYPE: Rapports narratifs N01 - Rapport de révision => SENDING TYPE: Compagnie NEW N02 - Rapport de gestion du Conseil => SENDING TYPE: Compagnie NEW N03 - Procès-verbal de l’AGO => SENDING TYPE: Compagnie NEW N04 - Rapport actuariel (partie narrative) => SENDING TYPE: Compagnie NEW N05 - Rapport distinct Solvabilité I (partie narrative) => SENDING TYPE: Réviseur NEW N06 - Rapport distinct Solvabilité II (partie narrative) => SENDING TYPE: Réviseur NEW N07 - Own risk and solvency assessment (ORSA) => SENDING TYPE: Compagnie NEW N08 - First Regular supervisory report (RSR)=> SENDING TYPE: Compagnie NEW N09 - Solvency and financial condition report (SFCR)=> SENDING TYPE: Compagnie NEW N10 - Organigramme => SENDING TYPE: Compagnie NEW
Submit files
Step 1: Click on the Transmission Module icon
Result: The Transmission Module opens
Step 2: -Select the Transmission tab of the Transmission Module -Select the Sending type (Cf. chapter 2.4) -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 -Check if all fields are completed -If the Control light becomes green you can click the Send button
Important: the Transmission 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 2.3.1 steps 4-7
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