You are using an out of date version of Internet Explorer. Internet Explorer 9 is the minimum version that is supported.


Search here to filter FAQs
 
  • Registering and Passwords

  • How long does it take to register a new user?

    Registering on the Portal is a very simple process and should not take longer than a few minutes. Once registration is completed, an email will be sent to the address supplied, with a confirmation link - this link is only active for 30 minutes. Once clicked, the user account will be activated. The user will then need to select the Licensee, and a Super User will need to approve the request. Once fully registered, the licensee's Super User needs to set the user's permissions to prepare or submit forms for the licensee.

    Alternatively, new user accounts can be set-up by a Super User from the "Manage Permissions" page. Click on "Create New User", fill in the form details, and an account will be created which is already linked to your firm.

  • How long does it take to set up a new user’s permissions?

    This is a relatively quick process for the firm's "Super User" to complete. The Super User should click on the “Manage Permissions” 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 "Set permissions across multiple entities" button.

  • Can I change my password?

    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 change your password.

  • Can I change my e-mail address?

    For security reasons, users are unable to change their own e-mail addresses.

    A Super User is able to change a user's e-mail address by accessing the "User Profile" option from the "Manage Permissions" page.

    Please note that a Super User is unable to change their own e-mail address. If you are the only Super User and need to change your e-mail address, please contact the Help Desk.

  • What do I do if I forget my password?

    On the login page, there is a link for “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.

  • How does a licensee register its first Super User?

    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.

  • What is a Super User code?

    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.

  • What happens if I have lost my Super User code?

    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.

  • Permissions and Access

  • What will a Super User be able to do in comparison to a normal user?

    They are able to administer user permissions and they can also give themselves access to prepare and submit forms.

  • As a Super User, how do I assign form permissions to someone?

    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.

  • What permissions are available to be assigned?

    There are two types of permissions that a user can have. They are:

    Prepare – This allows a user to create new or edit draft forms, and be able to enter and edit information or upload documents.

    Submit – This allows a user to be able to submit the form to the Commission. If submit is selected, the user will also have Prepare access.

  • Who will have access to the data on the Forms?

    Only the users who have been granted access to the forms will be able to view the data on the forms.

  • What is a ‘Restricted Return’?

    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).

  • How will you know that the person submitting the form is suitably authorised?

    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.

  • If I am already registered on the PQ portal, do I still need to acquire a wet signature for the Portal?

    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.

  • As a Super User, why can't I see any forms on the timeline?

    By default, new users will not have any Submit or Prepare permissions assigned to them. This is also true of Super Users.

    If you are a Super User, you will be able to assign yourself Submit or Prepare permissions to allow you to view forms.

  • How can I change my own permissions?

    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.

  • Why do I not have access to all funds and/or subfunds / cells under the licensee that I work for?

    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.

  • Can we register more than one Super User?

    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.

  • What happens if our Super User is not in the office – can we ask the Commission to change permissions?

    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.

  • What happens if I can't see the return I want to complete on my timeline?

    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.

  • What will happen if someone with access leaves the company?

    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.

  • Will we be able to see all/any of our licensees?

    Different users will be able to see different things depending on the permissions assigned to them from the Super User.

  • How can we manage Chinese walls within our company?

    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.

  • When a new licence is granted is the licensee automatically added to everyone’s access or does someone have to add it? How long does it take to add?

    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.

  • Once a draft submission has been created, can multiple users access that form?

    Yes, any user who has permissions to Prepare or Submit the form will be able to enter and edit information in that form.

  • I don't understand the hierarchy of entities in the Portal

    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 - sub fund, class or cell

    Permissions are only automatically inherited at Super User level. This means that if a Super User has access to the Parent entity, they will also be able to manage permissions for all child entities.

    Submit and Prepare permissions are not automatically inherited from the parent. 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 more 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.

  • How do I assign permissions to a user for more than one licensed entity?

    On the "Manage Permissions" page, select the user from the top left dropdown.

    Then, click the "Set permissions across multiple entities" button, which will allow you to set Submit and Prepare permissions across multiple entities with one click.

  • How do I gain access to more than one company that I work for on the Portal?

    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.

    Alternatively, it may be appropriate for the two companies to be linked using a Firm Link.

  • Do I need to be a Super User if I hold a Personal Fiduciary Licence?

    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.

  • Notifications

  • How do I start a notification on the Portal?

    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.

  • Will we be able to make payments online?

    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).

  • Firm links

  • What is a firm link?

    A firm link is where access can be shared between entities, allowing a Super User from one entity to manage another. This may be useful where entities are closely related, for example.

    Firm links are directional - Super User's on entity 'A' could have control over entity 'B', but a Super User from entity 'B' will not have access to entity 'A'.

    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.

  • How do I create a firm link?

    There are two ways to create a firm link. Please note that firm links are directional, and in these examples are from the perspective of giving you Super User access to a linked entity.

    If the firm you are trying to link to has no Super User - First, acquire the Super User code from the entity with no Super User. Enter your "Manage Firm Links" page and click on "Activate a Super User Code". The firm link will be made immediately, and will give you full Super User access over that entity.

    If the firm you are trying to link to already has a Super User - The existing Super User of that entity will need to go to their "Manage Firm Links" page, and click on "Add a firm link". They will then need to select your firm. You will then have to accept or reject the request before you have access.

  • I am an administrator for multiple firms (ie I have many firm links), do I need to enter details of which firm I am completing the return for when I start the return?

    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:"

  • Are firm links always between licensees, or can it also be used between a licensee and a scheme?

    At this time, firm links are only available between licensees (e.g. Managers or Administrators) and not between schemes or sub-funds/cells.

    This means it is not possible to link a specific scheme to a different licensee.