Submissions in the EHP

Financial intermediaries (FIs), audit firms (AFs) and supervisory organisations (SOs) will find on this page specific information and support for submissions in the FINMA survey and application platform (EHP).

Types of submission

We distinguish between different types of submission:

Form-based submissions
XML-based submissions
Excel-based submissions

A form-based submission may potentially offer the opportunity to download the form as an XML or Excel file, complete it and subsequently upload it again. However, these functions are configured by FINMA for each submission template and are not available for all of them. Submissions function in the same way as surveys.

Status model for submissions

A submission passes through various statuses during its life cycle that are explained in detail below.

Status	Description
In progress	Following creation of the submission by a manager of the FI, it initially has the status “in progress”. Forms can be filled in. Attachments can be uploaded. As long as the submission has this status, it is not visible to FINMA.
Deleted	Submissions with the status “in progress” can be switched to “deleted” status. These submissions can no longer be edited. As long as the submission has this status, it is not visible to FINMA.
Checking by AF/SO	Some submissions require or facilitate interaction with third parties. Submissions forwarded for “checking by AF/SO” enable the AF or SO to view the submission in question and to certify (approve) or reject it. As long as the submission has this status, it is not visible to FINMA.
Checking by FINMA	The submission has been submitted to FINMA. It can no longer be edited.
Withdrawn	If a submission has been submitted by mistake, it can be withdrawn. Submissions with the status “withdrawn” cannot be resubmitted to FINMA.
Cancelled	If a submission has been withdrawn by the FI, FINMA can complete the procedure and cancel the submission in question.
Undergoing correction	The submission has been sent back by FINMA to the FI for correction. The form can be edited again. Attachments can be uploaded again. A submission with the status “undergoing correction” must be resubmitted prior to further processing by FINMA as FINMA is unable to view the submission in this status.
Approved	The submission has been approved by FINMA.
Approved and completed	Once FINMA has completed all reviews in connection with the submission, the status of the submission changes to “approved and completed”.
Rejected and completed	If a submission is rejected by FINMA, its status changes to “rejected and completed”. It is not possible to resubmit it.