User interface and functions for surveys and submissions

Submits the individual survey or submission to FINMA. It is necessary to check prior to submission that:

• the form has been completed in full and correctly,

• all attachments are present that have to be delivered to FINMA at this time,

• all requisite attachments are allocated to a corresponding attachment category where required,

• any required delivery note is signed and submitted electronically and physically with the necessary documents,

• in case of electronic submission a delivery note signed with a valid electronic signature is sent directly to FINMA using the “Submit electronically” function in the individual survey,

• in case of submission by post a delivery note signed by hand is submitted to FINMA together with any enclosures likewise signed by hand.

Validates the individual survey.

This status can be used to indicate to persons involved in the individual survey that said survey is ready for submission. However, the individual survey can still be processed.

Opens a pop-up window. The manager of the FI or lead auditor of an AF or SO can authorise further staff for the dossier in this window.

Authorised employees and auditors cannot submit an individual survey or submission, allocate it to another party or activate support mode.

This button only appears if FINMA permits system-supported interaction for the survey between the two parties FI and AF or SO.

The button opens a pop-up window. This can be used to hand over the individual survey or submission to the other partner.

The recipient (AF or SO) can be selected, with the option of creating a message. The recipient party then receives notification by email.

The handover and message are recorded in the notification area of the individual survey or submission.

Opens a page with details of the individual survey (e.g. submission date, deadline extension etc.).

Generates an up-to-date version of the delivery note. The delivery note can only be generated following submission of an individual survey (as long as this is a survey with delivery note).

Opens a pop-up window in which the delivery note with a qualified electronic signature can be uploaded. A check is carried out that it is signed with a qualified electronic signature. The delivery note is then automatically submitted to FINMA.

Opens a pop-up window in which it is possible to download all forms, attachments and files of the respective survey or submission.

Creates a status confirmation for the corresponding submission showing the status, time, approval and name of the submission.

Treats the submission in question as confidential. Only the authorised persons and creator of the submission can view the submission. The submission is no longer visible to all other users.

Status of form:

• Validated: all mandatory fields are completed and plausibility requirements met. The form can be submitted to FINMA together with the other documents.

• Not validated: dossiers with a form in this status cannot be submitted.

Opens the form. Depending on the status and authorisation, either an HTML version that can be edited opens or a read-only version that can be exported as a PDF.

Possible export functions (if approved by FINMA) for Excel and/or XML export.

Possible import functions (if approved by FINMA) for Excel and/or XML import.

Shows changes to the previous approved submission of the same template.

This button can be used to change the form language. Forms are offered at least in German and French and at most in German, French, Italian and English.

A form can only be edited by one person at a time. The “Renew access rights” button allows the user to extend their exclusive access to the form by 30 minutes. The “Remove access rights” button can be used to surrender exclusive access rights.

Forms are frequently divided by topic into sections and subsections. This element can be used to navigate between the sections.

The editable form can be processed (with or without warnings) and saved or printed in PDF format.

This function checks whether the form has been correctly completed from a technical perspective. Questions that breach plausibility are shown in red at the bottom of the form.

Clicking in a row of the list of errors displays the incorrectly completed question at the top of the form. A form that is not completed in full and correctly can be saved and closed at any time. In this case, the form has the status “not validated”, meaning it cannot yet be submitted.

Important:Should the function not generate any errors, this means that all fields have been correctly completed from a technical perspective. The system will not report that the form is correctly completed and not provide any active feedback in this case. If the form editor is subsequently closed, the form will have the status “validated”. This tells the user that the form is ready for submission to FINMA.

Saves the information entered.

The information is saved and the form editor is closed. The user returns to the detailed view.

Closes the form editor. If the user has not saved their entries in advance, the system will ask whether they really wish to continue with this action. The unsaved entries will then be lost.

The attachment contains an electronic signature that has not yet been submitted electronically.

The attachment contains an electronic signature that could not be submitted electronically.

The attachment contains an electronic signature and has been successfully submitted electronically.

User who uploaded the attachment. As the attachments are uploaded to the EHP via an interface, a system user appears here (e.g. “System EHP”).

Each change of status is documented with

• the user(s) initiating the change of status,
• the new status.
  

This information is visible for FINMA.

Opens a pop-up window where a message for other employees involved in the individual survey can be entered. The message is listed in the notifications section. The “Assign tasks” function can be used by the FI or AF/SO without FINMA being able to view this communication.

Every change to authorisation is documented.

This information is visible for FINMA.

Long texts are displayed in abridged form.

The three dots open a pop-up window showing the entire text.