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.
The general expectation is that all returns and notifications available online should be submitted using the Portal. We publish a list of available forms and a link to this can also be found on the portal home page.
With the prior permission of the Commission, it is possible to submit returns using alternate means e.g. e-mail. Returns that are completed in this way will appear on your timeline as "Completed off-portal".
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 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.
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.
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.
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.
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.
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 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.
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.
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.
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 - 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.
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.
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.
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.
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, although the information requested will in many cases be similar.
No, if the form times out with data on the form that hasn’t been saved, then 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 may pre-populate certain elements from the previous return. In addition, 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.
The Investment Designated Manager Quarterly Return (141a), which is normally available on each scheme's timeline, can also be submitted as a multi-scheme return (141b) from the Designated Manager's timeline.
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 e-mail response confirming the submission.
Yes, the status of the form is next to the name of the form on the Timeline.
In addition, a 'Revision History' is displayed when the item on the timeline is expanded.
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 of “Awaiting Approval.” Once this has been approved it will change to “Approved.”
Your manager must have their own access to the Portal, with "Submit" permission, in order to submit the form.
There is no requirement to 'transfer' the form to another user - as long as you have exited the form another user can enter it.
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 2010 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 e-mail email@example.com or call the help desk on 01481 733420. Please note our office opening hours are Monday to Friday, 8.30am - 5.00pm.
For queries relating to a specific submission, you can send a Secure Message directly from the submission form. This is sent directly to the supervisory teams.
If you have feedback regarding the portal please use the the feedback area accessed from the homepage.
For technical and other queries, please contact the Help Desk: firstname.lastname@example.org or 01481 733420.
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.
If a Secure Message is received, your firm Super Users will be sent a notification e-mail.
Yes, at the top of the homepage there is a help tab which links to the FAQs 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 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.
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.
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:"
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.
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.