We've been notified about this issue and we'll take a look at it shortly.
These numbers are a reference point for the forms, making it easier when contacting the Help Desk.
There will be a transitional period as licensees move from paper forms to online forms, and so, paper copies will be phased out in the near future. We publish a list of available forms and a link to this can also be found on the portal home page.
As well as being able to make returns, several notifications that would previously have been sent to the Commission by post/email, are now available to be made through the Portal. These can be accessed through the “make a notification to the Commission” link on the home page.
Yes, some of the form names have changed to more accurately reflect their use. We publish a list of available forms and a link to this can also be found on the portal home page.
The Portal has been designed to centralise all of the submissions to the Commission. By submitting on the Portal, you are able to view your submitted spreadsheet history.
Registering on the Portal is a very simple process and should not take longer than a few minutes. Once completed, an email will be sent to the address supplied, with a confirmation link - this link is only active for 30 minutes. Once selected, the user account will be registered.The Licensee is selected in the registration. A Super User will then approve the request. The duration of this process depends on the individual firm.Once fully registered, the licensee's Super User manages the user's permissions to prepare or submit forms for the licensee.
This is a relatively quick process for the firm's "Super User" to complete. The Super User should click on the “manage users” link on the homepage and select the user from the list on the “permissions for...” drop down box. The Super User can then either apply the relevant permissions by clicking “add” under submit or prepare for the individual entities, or, where there are several entities, clicking on the "Add entities" button allows the quick selection of multiple entities and the prepare or submit permission to be applied across them all.
Yes, once you have logged into the Portal, if you click on your name on the top right hand side of the page, there is an option called “change password”. Follow this link to proceed in changing your password.
On the login page, there is a link entitled “Forgotten your password?” When this link is clicked you are taken to a new page and prompted to enter your email address. After this you will be sent an email containing a link that enables you to reset your password .
All entities have been sent a letter containing Super User code. Once registered on the Portal, you are able to enter the Super User code in the box provided.
The Super User code is a code sent to all entities who will be using the Portal. This is a one-time code which, once entered, activates the timeline for that entity and registers the user as a Super User. If a Super User has already been set up for your entity, the code is no longer needed to register.
If you lose the Super User code that has been sent to you, you will need to contact the Help Desk who will be able to issue you with a new Super User code.
They are able to administer user permissions and they can also give themselves access to prepare and submit forms.
To assign form permission, first select “manage permission” on the homepage. From the drop down list “select user”, choose the user whose permissions you wish to edit. You will then be presented with a list of the entities which are available. Select the entity for which you wish to assign the user permission, click on either the submit or the prepare box to bring up a tick list to select the form access and save the changes.
There are two types of permissions that a user can have. They are:Prepare – This allows a user to access new or draft forms to be able to enter and edit information or upload documents only.Submit – This allows a user to be able to submit the form to the Commission.If submit is selected, the user will automatically have Prepare access. If Prepare is selected, then this is all they will have permission for.
Only the users who have been granted access to the forms will be able to view the data on the forms.
The ‘Restricted Return’ permission is a separate group of forms that have been deemed to contain sensitive information. The forms included in this permissions group are “123 – Fiduciary – Audited Financial Statements and Statistical Return” and “142 – Investment Audited Financial Statements and Compliance Returns (Licensee).” Please note that by assigning permissions to a user for this group of forms, they will only see the forms relevant to their firm (e.g. if the user for an investment licensee is assigned ‘Restricted Return’ permissions, they will not see the fiduciary form in this group).
The Super User will be able to control who has the ability to submit a form to the Commission, therefore it is their responsibility to ensure each person has the correct permissions. No user will be able to submit a form, however, until a wet signature has been submitted to the Commission.
Yes, the agreement has been updated to include both the PQ Portal and the Online Submissions Portal. However, if you have registered to the PQ portal after 30/10/15, you will not need a second wet signature as this agreement has been updated to include both Portals.
A Super User is only able to manage permissions and add new users, they are not able to view, prepare or submit forms with managing their own permissions to allow this.
Only a Super User for an entity can change permissions. If you believe that your permissions have not been set up correctly or that you need wider permissions please contact your organisations's Super User. Please note that the Commission is not able to change user permissions unless in an emergency and on direct written request from a director of the organisation.
In order to allow maximum flexibility in managing permissions, individual permissions must be set for funds, subfunds and cells. Having permission at the licensee level does not necessarily mean that you will automatically have access to funds / subfunds. Similarly, your Super User may grant you access at fund level only, with no access at licensee level.
Yes, it is recommended that your firm has more than one Super User wherever possible to provide cover for absences etc. Another Super User can be added on the "Manage Users" page (which is accessed form the Home Page) to add additional Super User(s) as required. Please remember that it is the Licensee's responsibility to ensure that permissions are kept up to date.
To avoid this situation, it is recommended to have more than one Super User. If there are any immediate issues, please contact the Commission's Online Submissions helpline.
In the first instance, you may not have the permission to view the form. You should contact your Super User to see if you have/should have the permissions to view the form. If you have the correct permissions and you still cannot view the form on your timeline, and the form is available for online submission, please contact the Commission's Online Submissions helpline.
If a person leaves the company who had access to the Portal, it is the responsibility of the Super User to deactivate their account to prevent them from logging in.
Different users will be able to see different things depending on the permissions assigned to them from the Super User.
Chinese walls can be achieved through the management of permissions by the Super User. They are able to allow users to only see certain licensees and not give them permission to see others.
The new licensee will be available on the permissions page for users for the Super User who may grant users permission. It is down to the Super User to allocate the permissions to the relevant members of staff.
Yes, any user who has permissions to Prepare or Submit the form will be able to enter and edit information in that form.
This depends on the types of licence(s) held. Generally, there can be three levels of hierarchy: 1. Parent entity - licensee, managing entity, designated manager, insurance manager 2. Child entity - scheme or fund, managed entity or joint fiduciary 3. Sub child entity - subfund, class or cell Permissions are only automatically inherited at Super User level. If a Super User has access to the Parent entity, they will automatically also be able to manage permission for the children entities. Permissions are not automatically inherited at child and subsector child level. These permissions must be set by the Super User. A user with "Submit" or "Prepare" permissions may have access to a parent entity but not to the relevant children. Similarly, they might have access to one or many funds but not the parent entity.Please note that in the case of joint fiduciaries, they will always be classed as a child entity even if they hold other licenses in their own right. For example Licensee "A" may hold a banking licence and a joint fiduciary licence. Regardless of which is the lead licence, entity "A" will always be considered a child entity of its lead licensee. The lead licensee will therefore always be the first Super User of the parent entity and by extension the joint licensee. This initial Super User may select to add additional Super Users at joint licensee level.
As a Super User of the parent entity, you are able to select the parent entity for a user in “manage permissions” using the user profile link. Once the parent entity for that user is selected, then multiple child entities may be selected if required. If there are a high number of entities required, there is an “add entities” button at the bottom of the page which allows you to select multiple entities and apply, submit or prepare access across them all.
If the entities which you require access to are parent entities, then you will require separate login accounts with unique email addresses. However, if the entities which you require access to are child entities of a parent entity, the Super User of the parent entity can assign access to as many child entities as are require under a single login.
When holding a Personal Fiduciary licence, you will not automatically have Super User access. To gain access, you must request a Super User code from the Commission by emailing the Help Desk.
You can click the "?" icon above the timeline for the definitions.
For the initial release of the Portal, certain returns and notifications will be available. Please see the full list of available forms.
Only information that has been submitted through the Portal.
There may be some updates over time to improve the effectiveness of the Portal.
Yes, you are able to search your timeline for a form by clicking on the "Search Submission" tab above the timeline on the homepage.
This is a quick way to see which forms are in draft or are overdue. The numbers on each of the buttons represent how many draft/overdue forms there are currently on your timeline.
A secure message is a safe way to send a message or query about a particular form to the Commission. This allows the Commission to respond and answer your query.
Firstly enter the form you have a query about, and at the top of the page there is a button entitled "Secure message." This will open a pop-up where the query can be typed and sent. The Commission will receive this and reply in due course. Please note that the Commission will not be able to see anything inputted on your form until it has been submitted.
On the timeline there is a filter called "Secure messages", a number will appear next to this button showing how many unread replies there are. By clicking on this button, it will filter the timeline so you only see the forms that contain an unread reply.
The action required box appears when there is an outstanding action which requires your attention. Typically this can include forms which require your input or user access requests (if you are a Super User).
The forms that have been submitted on the Portal are all available to download in a PDF format by clicking on "Print Form" at the bottom of the page when in the form. You must have the correct permissions to view submitted forms.
There have been some changes to the forms, though the information they take will be the same or similar.
No, if the form times out with some data on the form that hasn’t been saved, this data will be automatically saved.
No, there is not a time limit for how long a form can remain in draft form, though all returns have a deadline for submission.
No, it is possible to save your form at any point without submitting and return to it at another time.
Some forms which require previous period data, may have this information pre-populated, where a previous return has ben submitted via the Portal. Some static data details such as name and address may also be retained.
In order to submit information to the Commission via the Online Submissions Portal, the user will be required to send in a printed and signed copy of the Online Services Agreement. Once receipt of this has been acknowledged by the Commission, no further digital signature will be required.
The GFSC reference number is already linked with the entity and so is associated with anything you submit for them.
If this functionality exists and your permissions allow, there will be an option to submit this way, depending on the type of form.
The Portal allows Excel (.xls and .xslx), Word (.doc and .docx), PowerPoint (.ppt and .pptx) and PDF (.pdf) files but certain uploads will only allow certain file types. Every time an upload is required to complete a question, the relevant file types and maximum file size will be specified.
More than one person may edit a form, but not at the same time.
There is a printing function that allows users to print out the form in a draft form before it is submitted or a completed form after it is completed, however the forms must be submitted online.
If you validate a form and there are outstanding validation errors, these will be highlighted at the top of the page of the tabs affected. Within each affected tab, the questions which have validation errors will be listed with a brief message to explain the error reason.
The due date is stated on the timeline next to the individual form names.
The online submissions portal will require information to be submitted electronically and so wet signatures will no longer be required by the Commission, however, it will be the Licensees’ responsibility to ensure that it maintains appropriate records to be able to demonstrate that the necessary approvals have been given, where required, and that these records can be produced to the Commission upon request.
Yes, as soon as the reporting period has passed, the form will become available to edit.
A user with "Submit" permissions can create, edit, delete and submit a form. This is normally a director or other authorised official of the firm. A user with "Prepare" permissions can create, edit and delete a form but not submit it. If you believe that your permissions are not correct please contact your Super User.
On your timeline, the colour icon will change from amber to red, signalling that the form is now overdue. Be aware that the Commission should be notified if a form is going to be late. Late submission may incur a fine.
Yes, on the successful submission of a form, you will receive an automated email response confirming the submission.
Yes, next to the name on the form on the Timeline, is the status of the form.
Once a form has been submitted to the Commission, the form state on the Timeline will be “Submitted” (until it is further updated by the Commission) and the icon associated with the form will turn green. All state changes to a form, will be included in the form’s Revision History.
Yes there is a “print form” button on the page which allows you to print the form to a PDF file.
If a form is submitted to the Commission for review, then it is possible for it to be withdrawn. When viewing the form, select the "Withdraw Form" button at the top of the page. If you are unable to withdraw a form after submitting, please contact the Help Desk.
Next to the form on the timeline, there will be a status saying “awaiting approval.” Once this has been approved it will change to “approved.”
Your manager must have their own access to the Portal in order to submit the form.
No, only the person who has the permission to submit the form will receive confirmation, however everyone who has the correct access will be able to see the form state on the timeline.
No, you should still contact the Commission if you feel your form will not be submitted in time as late submission may incur a fine.
The Commission makes efforts to ensure that commonly used and supported software is able to be used with our systems.
The most common browsers to use are Internet Explorer (IE11), Mozilla Firefox or Google Chrome although the site should function on the majority of modern web browsers.
In order to upload structured spreadsheet returns the files must be saved using Excel 2007 or later.
The Commission strongly recommends that users of the portal ensure that their browser and other software is supported by the manufacturer and that security patches are applied in order to protect against cyber threats.
If your session times out the Portal will attempt to save the form. If you close the browser without saving, or the browser crashes it is not possible for the form to save your work. We therefore recommend that you save the form at regular intervals.
No, all documents sent to the Commission should be sent unencrypted. The Portal uses a secure HTTPS connnection to encrypt all communications.
Yes it is possible to open different forms in different browser tabs.
In order to ensure there are no problems with your upload we recommend that you remove links in the spreadsheet before submission.
If the FAQs do not answer your query or you require further support please email firstname.lastname@example.org or call the helpline on 01481 733420. Please note our office opening times are Monday to Friday 8.30am - 5.00pm
If you have feedback on the portal please use the the feedback area accessed from the homepage in order to send your message to the Commission Online Services helpdesk.
The Commission may contact you by phone, letter or through the portal. If the message is sent through the portal this will be shown as a Secure Message linked to the submission.
Yes, at the top of the homepage there is a help tab which links to the FAQ and a list of Help Topics.
Once you have logged into the Portal, on the homepage there is a link which states “+ Make a notification to the Commission”. Click this link and you can select what type of notification you would like to make.
The Portal does not allow users to make payments online. Where payment is required, the form will require confirmation of payment, which may be sent to the Commission as a cheque in the post, or via electronic payment (BACS/CHAPS).
A firm link is where Super User access can be shared between entities. This allows the Super User to manage users across multiple entities. Please note, if an entity has a large amount of child entities it can take a long time to process, possibly up to a maximum of 30 minutes.
There are two ways to create a firm link: The firm has no Super User - firstly acquire the Super User code from the entity with no Super User. Enter the Manage firm links page and click on "+Activate Super User code." The firm has a Super User - On the manage firm links page, click on "add firm link." Select the firm you wish to link with and send the request. The other firm will then have to accept or reject the request before you have access.
No as this information will be pre-populated into the form. However, if you are responsible for multiple firms, please ensure the correct firm is selected on the homepage under "Submissions Portal for: ".
Please click the Continue button below to keep on working. If you do not take any action any unsaved changes will be automatically saved as a draft.