Documents
Resources
Learning Center
Upload
Plans & pricing Sign in
Sign Out

Electronic Submission System User Guide

VIEWS: 5 PAGES: 13

									        Electronic Submission System
                 User Guide
                           Version N o. 1.0
                          D ate D ec-15-2010




e Submission User Guide                        1
General questions

   Where can I find rules pertaining to electronic submission
      o Refer to General Rulebook (GENE) Version -11 effective 1-January-2011
         Section 5.4 Electronic submission system.

   What can I do in the system?
      o In the current release, authorised firms can
              Submit returns ( prudential returns and others) electronically
              Make applications for approval or withdrawal of controlled functions for
                 individuals.
      Note: Please do note that in the pilot mode until the end of Jan-2011, the system
      is NOT an official record and therefore you should use this system in conjunction
      with current mechanism of submitting the returns.

   Who can have access to the system?
      o Approved individuals from the firms authorised by the QFC Regulatory
         Authority

   How do I get an account to the system?
      o If you are a senior executive of an authorised firm you should have received
         an email to your business email address with your system account and one
         time password. You should use these credentials
      o If you are not a senior executive but you are an approved individual your
         senior executive can make an account request for you.

   Where do I make account requests for other approved individuals?
      o This feature is available for only senior executive of the authorised firm.
         Please refer to Requesting additional accounts section of this document to
         make use of this feature.

   How do I login in the system?
      o Before you can login to the system, you need to register yourself with the
         system.
      o In order to register with the system, your senior executive should have made
         an account request for you.
      o In response to that request you should have received an email to your
         business email address with one time password.
      o With that password you need to register yourself as mentioned in the user
         registration section of this document




e Submission User Guide                                                                2
                                 User Registration

Note: Before you can register yourself on the QFC Regulatory Authority e Submission
website, you should have received an email from the system with your one time
temporary password as shown in the following picture




Steps:

1. Login to the e Submission web site by typing www.qfcra.com on your browser and
   select Electronic Submission menu item as shown in the following picture.




2. When you click on the link, the following login form is displayed




3. Click on the Register link OR You can also click on the link provided in your email as
   shown in the following picture.




e Submission User Guide                                                                     3
4. System opens up a form for you to register yourself as shown in the following
   picture.




5. Enter the information and click            button. System opens up a registration
   form as shown in the following picture




6. Make sure that you read the instructions to choose the password carefully.
7. Enter your password and answers to the favourite questions and click on

                        button
8. System opens up User Registration terms as shown in the following picture




e Submission User Guide                                                                4
9. Click on the

10. Click on
11. You will see a confirmation for your account registration as follows




e Submission User Guide                                                    5
                                      User Login

Steps

1. Login to the e Submission web site by typing www.qfcra.com on your browser and
   select Electronic Submission menu item as shown in the following picture.




2. System opens up the following login form




3.   Enter your user name ( your registered email address)
4.   Answer the favourite question
5.   Enter your password
6.   Enter the code as shown in the image
7.   Click on Log in button




e Submission User Guide                                                             6
                        Requesting additional accounts

Note: This feature is available for only senior executive of an authorised firm.

Steps:

1. When you login in the system, you should see a menu item Administration as shown
   in the following picture.




2. Click on the Administration menu item to open up the Administration form.

3. Click on the                     button




4. You will see a form, as shown in the following picture, prompting you to enter the
   information around the additional account.




5. Enter the information as prompted and click on                        button.
6. System will setup account as requested for this individual in this form and sends out
   an email to the email address provided in this form with the credentials (user account
   and one time password) to that individual.




e Submission User Guide                                                                 7
                   Report Schedule/ Returns Submission

Note:

1) Please ensure that you are using the latest version of Prudential return templates
   from
   http://www.complinet.com/qfcra/display/display.html?rbid=1557&element_id=4263




2) After you login to the system, the form will display the reports/returns which are
   pending for submission in the current month or overdue for submission.




Steps:

1. Click on the report that is due for submission.
2. System will open up Report Schedule form with the entry selected highlighted.




e Submission User Guide                                                                 8
3. Click on the               , system opens up a form, as shown in the following
   picture, allowing you to select the file from your computer.




4. Click on the             , system opens up the form and allows you to select a file
   as shown in the following picture.




5. Select the file and click Ok as shown in the following picture.




6. System verifies the entered data in the front sheet declarations page: - QFC
   Number, Reporting start and end dates. System will not accept the file if it finds any
   discrepancies.


e Submission User Guide                                                                     9
7. System accepts the file if the excel data is valid and prompts you with the message




8. Click on Submit button, to sign-off on the submitted file.




9. Click on Submit button, to sign-off on the submitted file. System opens up sign-off
   terms page as shown in the following picture.




e Submission User Guide                                                              10
10. Click on I accept the Terms and Conditions box and enter your user name, Password

    and click on                 to complete the submission.
11. System confirms the Return submission via email

12. Please note that for annual prudential returns, QFC Regulatory Authority requires two
    signatures. In this case, system notifies the second signatory via email requesting for
    sign off.




e Submission User Guide                                                                 11
          Application for Approval/Withdrawal of an Individual

Note:

1) Signature requirements on this form stay the same as in the current process.

Steps:

1) Click on the Forms menu item and click on Application for Approval/Withdrawal of
   Individual menu item. System opens up the form for entry




2)   Select the Purpose of the application.
3)   Select the contact for this application
4)   Enter office address and other details
5)   Click on the next button to enter Applicant specific information
6)   System brings up form with Individual details, Controlled functions, Career history,
     Registrations, Qualification, Fitness, Attachments and Declarations section.




7) Fill in all the sections of the form. All the required information is marked with *.
   Without filling in required information, you will not be able to initiate sign-off process.

8) Next to each section name is a visual mark          or       indicating whether or not all
   the required information is filled in.




e Submission User Guide                                                                     12
9) After all the information is filled in, click on                             in the
   Declarations section as shown in the following picture to initiate the sign off from the
   applicant.




10) System will notify the applicant for a sign-off also provides a onetime password.
11) Applicant can register with the web site and sign-off on this application. Applicant
   should verify the information for its’ and sign off on the application electronically
12) After applicant signed off on the application, system requires two other signatures
   from the firm before it can be submitted to QFC Regulatory Authority. Accordingly
   system notifies the two individuals having accounts in the system to sign off on this
   application. Application is submitted to QFC Regulatory Authority after those two sign
   offs.




e Submission User Guide                                                                 13

								
To top