8 Filing a Report

An authorized user can generate an E-File for approved reports. The generated E-File is submitted with the FIU-IND E-Filing System. The E-File is validated by FIU-IND and an acknowledgment (.asc file) is generated. The acknowledgment file is uploaded into the OFS CRR application. The application will then associate the FIU-IND returned Identifier to each STR within the e-file. Now, the user can then mark the STR process as complete.

               e-file_workflow.png

 

·         Opening an Approved Report : Use this section to search and access the specific approved reports. Click the required Report Number on the Approved Regulatory Reports List page and the Approved Report Details page is opened.

·         Generating E-File : Use this section to generate an e-file for all approved report(s).

·         Submitting an E-File : Use this section to submit an e-file into FIU-IND’s E-Filing System.

·         Uploading Acknowledgment : Use this section to upload an acknowledgment for the submitted E-Files.

·         Generating a Batch: Use this section to generate a revised batch/e file and submit to the regula­tor.

Opening an Approved Report

To open the Approved Report page, follow these steps:

1.       On the Navigation List LHS menu, hover over India STR and click File Report. The File Report page is displayed with Approved Reports Search and List as default section.

                  approved_reports_search_list.png

 

2.      Enter the required fields as described in  Table 21 .

Table 21:   Approved Reports Search

Fields

Description

Report Number

Enter one or more report numbers you want to view. For multiple report num­bers, separate the report numbers with a comma. Ensure you don't enter a space after the comma. Report Numbers are not case-sensitive. This overrides all other filter criteria. For example, 660,671.

NOTE: You can enter a maximum of 50 characters in this field.

Report Name

Enter the report name you want to view.

This field supports a wildcard search. You can use ‘%’ and ‘_’ as wildcard indica­tors.

NOTE: You can enter a maximum of 50 characters in this field.

Type of Report

Select one or more report types from the following options.

·        Replacement

·        Delete

·        New

Reporting Entity Name

Select a reporting entity name.

Principal Officer’s Name

Select the principal officer’s name.

Jurisdiction

Select the jurisdiction to view reports mapped to the selected jurisdiction. Juris­dictions are defined by your institution.

Every report is associated with a jurisdiction. When a report is created from a case, the report inherits the jurisdiction that was associated with that case.

Each user has access to a set of jurisdictions. Every report is associated with a single jurisdiction. A user has access to any report where the user's jurisdictions intersect with the report’s jurisdiction.

Account Number(s)

Enter account (s) involved in the suspicious activity report.

You can enter multiple account numbers by using a comma to separate the val­ues.

Original E-file ID

Enter the unique identification number of the original e-file.

Case ID

Enter the case ID to view reports associated with the specific case ID. For multiple case IDs, separate them with a comma. Ensure you don't enter a space after the comma. This overrides all other filter criteria. For example, CA660,ca671.

NOTE: This search is not case-sensitive. You can enter a maximum of 255 char­acters in this field.

Case ID is the identifier that has triggered the creation of a report in the Compli­ance Regulatory Reporting application.

Created By

Select the user who has created the report.

You can enter multiple names by using a comma to separate the values.

Created Date >=

Select the created date to view reports having a created date greater than or equal to the specified date. Using this criterion, you can view the reports that were created during the particular date range. For example, reports created on or after December 26, 2019.

NOTE: You can either perform a range search using ‘Created Date >=’ and ‘Cre­ated <=’ or use them independently.

Created Date <=

Select the created date to view reports having a created date lesser than or equal to the specified date. Using this criterion, you can view the reports that were cre­ated during the particular date range. For example, reports created on or before December 26, 2019.

Approved By

Select the name of an approver who approved reports. For example, Supervisor1, Supervisor2, and so on.

Approved Date >=

Select the approved date to view reports having an approved date greater than or equal to the specified date. Using this criterion, you can view the reports that were approved during the particular date range. For example, reports approved on or after December 26, 2019.

Approved Date <=

Select the approved date to view reports having an approved date lesser than or equal to the specified date. Using this criterion, you can view the reports that are approved during the particular date range. For example, reports approved on or before December 26, 2019.

Due Date>=

Select the due date to view reports having a due date greater than or equal to the specified date. Using this criterion, you can view the reports that have a due date during the particular date range. For example, reports having a due date on or after December 26, 2019.

Due Date<=

Select the due date to view reports having a due date lesser than or equal to the specified date. Using this criterion, you can view the reports that have a due date during the particular date range. For example, reports having a due date on or before December 26, 2019.

3.      Fields marked with * asterisk are mandatory.

4.     Click Go. The approved reports matching your search criteria are displayed on the Search and List page.

   To carry out a different search, click the Reset button and enter your search criteria again.

Use the Approved Reports List section to view the list of approved reports based on your search criteria. Click the required report number to view additional information of reports that you can use to analyze or take actions. By default, all approved reports are displayed if you do not use any search criteria to fil­ter the list.

NOTE

If the approved report is already opened by another user, then that report is locked. You can only view that report.

 

approved_report_list.png

 

Generating E-File

Use the Approved Report tab to generate an e-file for all approved report(s) and upload the resultant .txt file into FIU-IND’s E-Filing System.

NOTE

When an e-file is generated, an attachment zip file is created for the e-file with a .csv file in it. This .zip file is only available if attachments were associ­ated with any STR within the E-File.

 

To generate an e-file, follow these steps:

1.       On the Approved Reports List, select the report(s) to generate e-file.

2.      Click Generate E-File. The Generate E-File window is displayed.

generate_efile.png

 

3.      Enter the reason for revision, if any, and the required comments.

4.     Click Save to confirm the e-file generation. The status of the report changes to E-File Generated. The reports on which e-files are generated are moved from the Approved Reports list to E-File List.

NOTE

·        If the approved report is already opened by another user, then that report is locked. You can only view that report.

·        You can not e-file an approved report that is already generated or rejected.

5.      For more information, see  Submitting an E-File .

Submitting an E-File

Use the E-File Status tab to submit the generated e-files into FIU-IND’s E-Filing System.

To submit an E-File, follow these steps:

1.       On the File Report page, click the E-File tab. The E-File page is displayed with Search and List as a default section.

e-file_search_list.png

 

2.      Enter the required fields as described in  Table 22 .

Table 22:   E-File Search

Fields

Description

E-file Number

Enter the e-file number.

E-file Status

Select the status of the e-file: Select All, E-File Generated, or Submitted.

Type of Report

Select the type of report: New, Corrected, Delete, Corrected, and Deleted.

E-File Generated By

Select the user (s) who generated e-files.

 

E-File Generated >=

Select the e-files generated date to view e-files having generated date greater than or equal to the specified date. Using this criterion, you can view the e-files that were generated during the particular date range. For example, e-files gener­ated on or after December 26, 2019.

E-File Generated <=

Select the e-files generated date to view e-files having generated date lesser than or equal to the specified date. Using this criterion, you can view the e-files that were generated during the particular date range. For example, e-files gener­ated on or before December 26, 2019.

Report Number

Enter the regulatory report number for which the e-file is generated. Wildcard searches are supported using % as the wildcard symbol.

Report Name

Enter the name of the regulatory report for which the e-file is generated. Wild­card searches are supported using % as the wildcard symbol.

Jurisdiction

Select the jurisdiction (s) for which e-files are generated. For example, JAPAC, AMEA, CA, and so on.

Account Number

Enter the account numbers that associated with the approved report.

You can enter multiple account numbers by using a comma to separate the val­ues.

Case ID

Enter the case ID of the report.

3.      Fields marked with * asterisk are mandatory.

4.     Click Go. The E-Files matching your search criteria are displayed on the Search and List page.

   To carry out a different search, click the Reset button and enter your search criteria again.

NOTE

If the e-file is already opened by another user, then that e-file is locked. You can only view that e-file.

 

efile_list.png

5.      On the E-File List, select the required e-file (s) and click Submit. The Submit E-File window is dis­played . 

6.     Select the Check here to apply a single comment to all included E-File to enter a single comment for all the selected e-files.

       Or, select the e-file (s) from the list and enter respective comments (if you want to provide differ­ent comments for each e-files).

7.      Click Save. The status of the E-file changes to Submitted in the E-File list page.

Uploading Acknowledgment

To upload an acknowledgment for e-files, follow these steps:

1.       On the E-File List, select the required e-file(s) in the Submitted status and click Upload Acknowl­edgment. The Upload Acknowledgment window is displayed

upload_acknowledgment.png 

 

 

2.      Enter the logical file name.

3.      Select the file to upload. The file can be selected from the system by using the Browse option and click Attach File.

4.     Add the required comments.

5.      Click Save to proceed with attachment.

·        After acknowledgment is uploaded, the system will read it and reflect details in the Acknowledg­ment tab. For more information, see  Generating a Batch .

·        If the system is not able to read the acknowledgment file, then it throws an error message as Invalid Acknowledgment Format.

·        In the Acknowledgment tab, it reflects all the acknowledgment details. For more information, see  Generating a Batch .

Generating a Batch

A Batch is the collection of the E-Files that are submitted to the FIU.

Use the Acknowledgment tab to view the list of acknowledgment receipts that are uploaded through the E-File status tab and to generate the batch.

The Revised E-File Generated is used to check whether a revised report is generated on a selected acknowledgment ID. You can generate as many revised batch/e-file on a selected acknowledgment ID, till it is submitted to the regulator. When you try to generate revised E-File, a list shows only those reports which are not revised.

To generate a batch, follow these steps:

1.       On the File Report page, click the Acknowledgments tab. The Acknowledgment page displays Acknowledgment receipts Search and List as a default section.

Acknowledgment_receipts_Search_and_List.png

 

2.      Enter the required fields as described in  Table 23 .

Table 23:   Acknowledgment Search

Fields

Description

E-file Number

Enter the e-file number.

Acknowledgment Uploaded Date >=

Select the acknowledgment upload date to view acknowledgments having uploaded date greater than or equal to the specified date. Using this criterion, you can view acknowledgments that were uploaded during the particular date range. For example, acknowledgments uploaded on or after December 26, 2019.

NOTE: You can either perform a range search using ‘acknowledgment upload date>=’ and ‘acknowledgment upload <=’ or use them independently.

Acknowledgment Uploaded Date <=

Select the acknowledgment upload date to view acknowledgments having uploaded date lesser than or equal to the specified date. Using this criterion, you can view acknowledgments that were uploaded during the particular date range. For example, acknowledgments uploaded on or before December 26, 2019.

3.      Fields marked with * asterisk are mandatory.

4.     Click Go. The acknowledgments matching your search criteria are displayed on the Search and List page.

   To carry out a different search, click the Reset button and enter your search criteria again.

NOTE

If an acknowledgment ID is already opened by another user, then that e-file is locked. You can only view that e-file.

 

             Acknowledgment_receipts_Search_and_List00007.png

 

5.      On the Acknowledgment Receipt List, select the required Acknowledgment (s) and click Generate Revised Batch. The Generate Revised Batch window is displayed

generate_revised_batch.png 

6.     Select the type of submission: Delete or Replacement.

7.      Enter the relevant comments.

8.     Click Save. A batch is generated.