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Manage Corporate Returns User Guide

1. The returns that are ready for submission are listed below Select the return that you wish to submit Additional validation will then be carried aut on the return prior to submission Ifthe return passes this validation you will then be asked to confirm your submission ReiuinN wame Reprence Revyesien FISHES pradate Due dage Kettan 31 03 2014 30 04 2014 Submit Annual Corporate Certification 475347 0i Help Logout Figure 3 7 Submit Return Page In the Action column click the Submit link of the return to be submitted E DU CANADA coc amp x c Fl sanxor cavana Page 21 RRS Regulatory Reporting System SUR 10 Click Submit a Portal a ERIS A IMINT BANK OF CANADA SAD deiLeh BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization EnglishiAnglais v Submit Return Your retum has been validated and can now be submitted Click the Submit button to confirm thatyou wish to submit this return Ifrequired ensure that you have also provided the printed signed version of the submitted return to your Regulator along with any relevant documents Once submitted a return can no longer be edited but can still be viewed in submission history Ifan error is subsequently discovered you can apply to resubmit the return using the Request Resubmission functionality Submit TE Cancel Figure 3 8
2. Same Address As Organization Your Organization r test Contact Type v Address English French First Address Line First Address Line Second Address Line Second Address Line Third Address Line Third Address Line City City Country Z Province Canada only x State USA only Z Postal Zip Code Email Address Delete Add Phone Area code Number Extension Delete Figure 4 17 Add Required Roles and Contact Information Page 18 Under Contact Type choose Business Mailing Address Note For an individual their contact type must always be set as Business Mailing Address If the business mailing address for an individual is the same as the address of your organization simply check this box and choose the appropriate general contact type in your organization profile 19 You must then provide a business email address for the individual including their telephone and fax numbers 20 You can now click on the Validate and Save button 21 Your return is now ready to be submitted 22 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return O CDI A fm BANK OF CANADA OSA dalah BANQUE DU CANADA Page 65 RRS S R Regulatory Reporting System 4 2 2 How to Add a Related Organization to your Organization Profile 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return RRS Sicpic O Elera Portal S
3. The following example explains how to make changes to board committee names i e your Audit Committee has been renamed to Audit and Risk Committee Change Director Information Page Other than the director employee question at the top of this page this page must only be used to add membership related expiry dates You cannot update membership information on this page You can only end date existing information then add any new information under the Add Director Information page 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return c OF WHT BANK OF CANADA SADC os srw BANQUE DU CANADA Page 96 RRS Regulatory Reporting System RAS coce FS Eg WIT BANK OF CANADA Son Portal wet SADC osn kk BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name Mr Smith Board Information Change English Anglais Select form set AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information By Law
4. Funding Vehicle Information 5 Organization General Contact Information i Requifed Roles And Contact Information ee Enter the earliest effective date of ties change contained i the return Create Figure 5 4 Create Return Page Follow the steps outlined in Section 3 5 to 3 7 depending on the profile section that needs to be updated daiak BANQUE DU CANADA Page 112 ome A WHT BANK OF CANADA esr RRS SOR Regulatory Reporting System 7 0 Managing Your Details From the My Details menu item you can view and or edit your user details and change your password Although you have the ability to change your personal information it is strongly recommended that changes to your first and last name and email address be changed by your Local Registration Authority LRA to ensure that these user details are updated in both RRS and the Secure Site Information that can be edited includes your first and last name email address telephone number and your language of preference Information that can be viewed is your assigned permissions Information that you can edit directly includes your telephone number and your language of preference To edit your user details 1 Hover your mouse over the My Details menu item 2 Click the View Edit My Details sub menu item RRS A CDIC A fl e HIN BANK OF CANADA SDR Portal CA SADC a dalah BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organizatio
5. Managing corporate returns involves submitting a regulatory return through the RRS application There are three scenarios that involve managing corporate returns e Scenario 1 a corporate return can be scheduled by your regulator for submission in which case the return would display automatically in the Draft Returns menu Instructions on how to perform this function are detailed in Section 3 1 e Scenario 2 a specific event such as a change to your organization s general contact information can trigger the need for a corporate return to be filed in which case the return would need to be created through the Manage Returns menu Instructions on how to perform this function are detailed in Section 3 5 e Scenario 3 a review of your organization s profile could indicate the need for an update to specific information through the submission of a corporate return Instructions on how to perform this function are detailed in Section 5 0 Rules and Errors When entering information manually into a return the data is validated against rules that are set up within each return Two separate sets of rules are used to validate returns structural and validation Structural rules validate the format and structure of the data being reported such as entering numeric versus textual information as appropriate Validation rules validate the accuracy of the data being reported against what is located within the profile Structural validation occurs when
6. New Funding Vehicle French Frangais S lectform set gt Board Of Director Information A By Law Return Fiscal Year End Return Funding Vehicle Information Organization General Contact Information Required Roles And Contact Information e Enter the earliest effective date of 03 03 2014 change contained in the return Create Figure 4 40 Create Return Page 3 Enter an English and French name for the return see example above 4 Select Funding Vehicle Information 5 Enter the Effective Date of change 6 Click the Create button 7 Click on Draft Returns to view the return in your draft folder amp coic Ff SABE SP lial soraw e Regulatory Reporting System mS cDIC Portal TSE YS Mana Home Draft Returns Submission Manage Returns Reports Totes Organization Profile Manage ay Details Carole Gagnon J Jones Change EnglishiAnglais Draft Returns The returns listed below are in draft and can be completed prior to submission to your Regulator To c eate new returns please Use the Create Return functionality REIU eye Duedate RelUnn nie Remen Fevisien New Funding Vehicle F I475335 OA No Data 03 03 2014 02 04 2014 Figure 4 41 Draft Returns Page 8 Click on New Funding Vehicle to open the return Portal raene amp OEE Home Draft Returns iz ashen Manage Returns Reports Documents s Organization Profi
7. Figure 4 31 Create Return Page 3 Enter an English and French name for the return see example above 4 Select Required Roles And Contact Information 5 Enter the Effective Date of change 6 Click the Create button Your corporate return is now ready for completion in the Draft Returns section of RRS a CDIC A Pnl BANK OF CANADA w SADC dalak BANQUE DU CANADA Page 77 Regulatory Reporting System 7 Go to your Draft Returns section and open the return you just created B RRS Portal cpic A Pit sanxorcanaon SDR wet SADC osh doia BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Draft Return i Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu KEY o wo le B o 4 Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory 2 Required Roles And Contact Information z la ARRCI Add a new Required Role and Corresponding Contact Information ing la CRRCI Update an existing Required Role or Contact Information R Figure 4 32 Draft Return Page 8 Click on the Add Instance button on
8. It must be atleast 8 characters and not more than 30 characters with no blank spaces Current password New password Confirm new password Save Figure 2 10 Update My Password Page 10 Enter your temporary password in the Current password field 11 Enter your new password in the New password field Ensure your new password meets the following valid password criteria passwords must be between 8 and 30 characters and contain 1 uppercase letter 1 lowercase letter 1 number and one special character 12 Re enter your new password in the Confirm new password field 13 Click Save 14 If necessary you can update your telephone number or language of preference 15 Click Update O CDI A AMMI BANK OF CANADA osA Lk BANQUE DU CANADA Page 13 RRS Regulatory Reporting System S R 3 0 General Instructions on Managing Corporate Returns RRS provides functionality to create complete and submit corporate returns to the Bank of Canada BoC the Office of the Superintendent of Financial Institutions OSFI and or the Canada Deposit Insurance Corporation CDIC This section covers how to create and delete returns complete and submit returns view returns and view and correct errors in a return Corporate Return Support If you encounter an issue or problem with completing and submitting a corporate return that isn t covered in this Guide contact the Returns Administration group at OSFI at 613 991 0609
9. Roles Add Figure 4 34 Update an existing Required Roles or Contact Information Page A MINI BANK OF CANADA oon dalah BANQUE DU CANADA Page 79 RRS Regulatory Reporting System Roles Select Add to add multiple roles for the related individual identified above Select Update to update the existing related individual or related organization roles for the individual identified above By selecting Update it will replace all information for the record you have selected Delete Please indicate whether you wish to add a new role or update an existing role Add Update Related Individual Role Role Chief Compliance Officer X m English Title French Title Affidavit File Attachment Browse Related Organization Role Role Not Applicable Role Effective Date 08 09 2014 ts T Role Expiry Date Add Figure 4 35 Update an existing Required Roles or Contact Information Page 13 Under Indicate whether you wish to add a new role or update an existing role choose Add 14 Under Related Individual Role choose the appropriate role for the individual as shown above 15 Add the individual s title if different than the title of the role 16 Under Related Organization Role this field will remain as Not Applicable 17 Select the appropriate Role Effective Date 18 You can now click on the Validate and Save button 19 Your return is now ready to be submitted 20 Foll
10. button 12 The Additional Contact Info is meant to be used for any other general information not provided above 13 You can now click on the Validate and Save button 14 Your return is now ready to be submitted 15 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return 4 1 3 Updating information located under General Information Under the General Information section this is where your preferred language and your organization s website URL can be found and maintained The preferred language is automatically defaulted to English To change your preferred language to French simply check off the box on the left hand side to enable that record Once you have updated this information you can now click on the Validate and Save button You can also maintain your organization s website URL however this information is not a mandatory requirement 4 1 4 How to answer the questions located under General FRFI Information The General FRFI Information section does not apply to Private Pension Plans For all Federally Regulated Financial Institutions please provide responses where applicable All questions located in this section are defaulted to Null Below are the instructions on how to answer these questions 1 Click on the Edit button on the right hand side next to General FRFI Information 2 This will open a new worksheet within this section of the return T c
11. down from the top right of the application 5 Click the Update button T cD A int BANK OF CANADA osA dalah BANQUE DU CANADA Page 114 Regulatory Reporting System To view assigned permissions 1 Click the name of a role in the Roles column within the Assigned permissions section 2 Click each tab to view information about the permissions assigned to your role RRS amp cpic IMIT BARK OF CANADA Son Portal amp SADC O86 diak BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Janes Your Organization EnglishiAnglais My User Details Review your user decount details below To Update enter new details and click the Update iuttan First name J z Sumame Jones Erail address Role Information Filer Corporate Annual Certification Telephone humbe Form Access Functionality Access The form sets that this Role grants permission to Canadian Companies Annual Corporate Certification Foreign Companies Annual Corporate Certification Organization Profile Pension Plan Annual Corporate Certification Language of prefer Assigned permissi Your Organization Figure 6 2 My Details Tabs Page ANK OF CANADA ANQUE DU CANADA i Page 115 RRS S R Regulatory Reporting System To change your password
12. 1 Inthe Username field enter your RRS Username 2 In the Password field enter your RRS Password 3 Click Login to continue Incorrect Login Attempts After five incorrect login attempts your account will be locked out If this happens you can click the Forgotten Password link to reset your account See 2 3 Resetting Your RRS Password for more information O CDI A iim BANK OF CANADA esr dalah BANQUE DU CANADA Page 4 RRS Regulatory Reporting System SOR Organization Selection You can be associated with more than one organization in RRS Follow the steps below to select the organization that you would like to work on If you have permission to access more than one organization 1 Follow the steps above to log in The Select organization page displays RRS Portal CDIC A UMN BANK OF CANADA S R lt SADC osn dadah BANQUE DU CANADA Home Notlogged in English Anglais v Select organization You have access to more than one organization To choose a organization to work with please selectthe organization name from the list below Organization name Please select a organization v Login Figure 2 2 Select Organization Page 2 Click the drop down menu 3 Select the name of the organization you want to access 4 Click Login The Welcome page displays with the word Change beside your username indicating that you belong to more than one organization To
13. functionality Rao fame Rerelenos Remsen RRCI475306 gt No Data New Chief Compliance Oficer Raturi PS Haie enn Aale H 24 02 2014 26 03 2014 Figure 3 22 Draft Return Page 2 Click the Edit link Page 36 a oA Regulatory Reporting System Home Draft Reluaris Submission Manage Retire Decuments Onganization Profle iy Details J Janes Your Organization Change Englishianglais Draft Return Selecta section to complete You can partially complete a section and save it in draft for completion later You can also view sections in PDF format Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu eo Bb E B B od O o O Repeatable Funi Ready to In No Data Form set Faldey Folder Section Submit Dratt Mandatory New Chief Compliance Gficer silailssPeady to Submit WA Required Roles And Contact information Clear ta ARRCI Add a new Required Role and Corresponding Contact E Delete All Clear All Information m John Doe Chief Compliance Officen Delete Clear Edit View na Re E ia CRRCI Update an existing Required Role or Contact Information Figure 3 23 Display of Return Page 3 Correct the appropriate data 4 Click Validate amp Save The return is updated and now ready to be re submitted 5 Follow the steps
14. i Home Home Dal Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization Enolishiangais gt Draft Returns The returns listed below are in draft and can be cornpleted prior to submission to your Regulator To create new returns please use the Create Return functionality Remm ef wate fue vate Returen Ref te nme RAVEN Annual Corporate Certification 475347 O41 No Data 31 03 2014 30 04 2014 Figure 3 13 Draft Returns Page 1 Click the revision number of the return The View Audit Log page opens displaying information such as what action was taken who performed the action and when it was done K OF CANADA E DU CANADA Page 27 Gi 5 a gt 3 g Regulatory Reporting System Portal SICRE CF aa _ Home Draft Returns Submission Manage Returns Documents Organization Profile My Details p J dJones Your Organization EnglishiAnglais v View Audit Log Return name Annual Corporate Certification Reference 475347 Creation date 28711 2013 Due date 30 04 2014 Select a version of this Return to view AGHOFED Subriited on SURNE hy hy 28 11 2013 3 30 56 Revisian SIEIS Agvian Atvened on Resubmission 28 11 2013 3 32 13 request PM d Jones PM Back View Comments Figure 3 14 View Audit Log Draft Page i T spe A Ft say or canon
15. im GIFRFI General FRFI Information Edit View Figure 4 2 Draft Return Page Click on the Add Instance button on the right hand side next to Add Organization General Contact Information oo 9 This will open a new worksheet within this section of the return BAN BANQUE DU CANADA Page 52 RRS S R Regulatory Reporting System Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais 7 Add Organization General Contact Information AOGCI Organization Name Your Organization test Organization Code CGCG Contact Type m Address Country z Province Canada only v English French First Address Line First Address Line Second Address Line Second Address Line Third Address Line Third Address Line City City State USA only v Postal Zip Code Email Address is Delete Add Emergency Email Address Area code Number Extension Phone Delete 10 11 12 13 14 15 16 17 Figure 4 3 Add Organization General Contact Information Page Under Contact Type choose appropriate contact type you wish to Add Provide the complete mailing address A province must be provided when Canada is chosen as the Country and a state must be provided when USA is chosen as the Country Provide a general em
16. under 4 3 How to delete an individual from your organization profile in both instances Thirdly you will then be required to add the new related organization Audit Actuarial Firm under the Add a new required role and contact information section And finally then add the new individual External Auditor Actuary Please follow steps under 4 2 1 How to add an individual to your organization profile in both instances For the External Auditor Actuary role you will also be required to relate the individual to the related organization under Related Organization For Individual see example under Figure 4 32 Add Required Roles and Contact Information Page T CDI A MILT BANK OF CANADA SAD 1 deck BANQUE DU CANADA Page 82 RRS Regulatory Reporting System SUN 4 6 How to Make a Change to Both a Pension Plan s Funding Vehicle and Fund Custodian In this instance two corporate returns will need to be created the first being the Required Role and Contact Information Return and the second being the Funding Vehicle Information Return You must first complete and submit the Required Role and Contact Information Return to add the related individual and related organization of the fund custodian Once the first return has been successfully submitted you must then complete and submit the Funding Vehicle Information Return This return adds the funding vehicle information as well as relates it to the appropriate fund custodian previously su
17. 1 Hover your mouse over the My Details menu item 2 Click the Update My Password sub menu item RRS coic amp WWI BANK OF CANADA Sun Portal SADC OSA dul BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization English Anglais w Update My Password Valid passwords contain 1 capital letter 1 small letter 1 number and 1 special character e g amp It must be atleast 8 characters and not more than 30 characters with no blank spaces Current password ba New password m Confirm new password Figure 6 3 Update My Password Page 3 Inthe Current password field enter your current password 4 In the New password field enter a new password Lk BANQUE DU CANADA Page 116 io CDI A iim BANK OF CANADA BSF RRS Regulatory Reporting System SON Valid passwords Ensure your new password meets the following valid password criteria passwords must be between 8 and 30 characters and contain 1 uppercase letter 1 lowercase letter 1 number and one special character 5 In the Confirm new password field re enter your new password 6 Click Save cA GE HIT BANK OF CANADA SADC osn dalb BANQUE DU CANADA Page 117 Regulatory Reporting System SDR we 5 8 0 Managing Notifications Notifications provide information such as when a return is ready to be completed as well as when a return pres
18. Add button to expand box as shown below Roles Add Figure 4 14 Add Required Roles and Contact Information Page f A wb CDIC IN BANK OF CANADA SADC OSA daiak BANQUE DU CANADA Page 63 RRS Regulatory Reporting System S R Roles Delete Related Individual Role Role Chief Financial Officer English Title Executive Vice President French Title Affidavit File Attachment Browse Related Organization Role Role Not Applicable Role Effective Date 05 09 2014 bs Role Expiry Date Add Figure 4 15 Add Required Roles and Contact Information Page 13 Under Related Individual Role choose the appropriate role for the individual as shown above 14 Provide the title of the individual only if different than the title of the role 15 Under Related Organization Role this field will remain as Not Applicable 16 Enter the role effective date Note Affidavit File Attachment only applies to the roles of Chief Agent or Principal Officer This is where OSFI 25 or OSFI 512 must be uploaded when making any changes to these roles 17 Under Contact Information click on Add button to expand box as shown below Contact Information Add Figure 4 16 Add Required Roles and Contact Information Page osA dak BANQUE DU CANADA Page 64 O CDI A fm BANK OF CANADA RRS S R Regulatory Reporting System Contact Information Contact Type y Delete
19. E DU CANADA Page 28 RRS l Regulatory Reporting System Sur Vreo pa To view a submitted return Begin at the Welcome page RRS coe amp Ss a a BANK OF CANADA spg Portal GADS mai See Home Draft Returns Submission Manage Returns i Documents Organization Profile My Details Help Logout J Jones Your Organization English Anglais w Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal io complete and submitall required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile on the menu above Ifany details on your profile are out of date you should contact your regulator Draft returns that are ready for completion can be found by clicking on Draft returns on the menu above When your returns have been completed you must use the Submission functionality to finally submit them With RRS Portal you are also able to Print submitted returns where signed hard copies are required View and print previous submissions Partially complete returns and return to them at a later date Request a resubmission of returns where you become aware of mistakes For further information on howto use RRS Portal click on the help link in the top right hand corner of your screen Notifications Received Buger 28 11 2013 3 03 11 PM Annual Corporate Certification 475347 is ava
20. Expiry Funding Vehicle Funding Vehicle Policy Number Date Date P Delete Ad a Save As Dratt Validate amp Save w BY Figure 4 43 Draft Return Page 11 Select the Fund Custodian from the drop down menu This information will be based on the information submitted on the previously submitted return 12 Click the Validate amp Save button 13 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return A MINI BANK OF CANADA oon dalah BANQUE DU CANADA Page 88 RRS Regulatory Reporting System SDR ry Reporting Sy 4 7 How to make changes related to a Canadian Organization s Board of Directors Information When you are required to remove and or add directors from your organization profile this will usually require a two return process You must first complete and submit the Required Role and Contact Information RRCI Return to add the full name including salutation their residential address the role of director or chairman as well as the date the director s term of office first began The RRCI return would also be used to add a role expiry date of any departing director Once this return has been successfully submitted you must then complete and submit the Board of Director Information BDI Return This return adds the specific director information for the new director being added Within the BDI return please list the country ies of citizenship the Board Comm
21. How to Correct Validation Errors on a Return 35 3 5 General Instructions on How to Create a Corporate Return sssssssssssssssesesrririrrrsssssssssssseseeee 38 3 6 General Instructions on How to Delete a Corporate Return ssssssssssssssserrsrrirrrersssssssssssssseee 41 3 7 General Definitions for Each Return Type sssssssssscsssescssescssseccsssessuseecsseessuseessuecsuseeenueessnseessesees 43 3 7 1 AFS Auditor s Report Other Shareholder s Material OSFI 597 eseesesseeeeeeenee 43 3 7 2 Board of Director Information OSFI 656 cccccsccscscsscssessessessscssssstsssssesssssstsstsstsssssssssssess 44 3 7 3 By L w Return CUS FL OO cece ceca eee cee cece eee 45 3 7 4 Fiscal Year End Return OSFI 596 seeessesessssessssessssresssresssrirssreesstiesstersstiesstrrssrrrssrrrssrresrrrssee 45 3 7 5 Funding Vehicle Information sssssesssssssssessrsssssseesrrsssssseeerrsssssseeerrsssssterernssssteerrrsssstereresssste 45 3 7 6 Notice of Annual or Special Meeting OSFI 565 sssss ssssssssessrrssssseerrrrssssseerrrsssssseerrrsssssse 46 3 7 7 Organization General Contact Information OSFI 657 ecseesssesseesseecsessetessteeseeeeseee 46 3 7 8 Required Roles and Contact Information OSFI 658 eecseesssessssessseessesesneessteesneessteesneeens 47 3 7 9 Return of Shareholders OSFI 602 c ccccccsssssssescsscssessessesssscssessessessessssessessessessesssssssssessesseees 48 3 7 10 OTHER Annual Corporate Cert
22. Ix General Details FRFI GIFRFI Organization Name Your Organization test Organization Code CGCG Please click the check box beside the items that you would like to provide updated information for Applies to Canadian Financial Institutions only If all the voting shares of the Financial Institution other than directors qualifying shares if any are g beneficially owned by a Canadian financial institution incorporated or formed by or under an Act of Parliament enter x here does not apply to Holding Companies lt l r If the Financial Institution is a subsidiary of a Foreign Bank Foreign Insurance Company or Qualified Foreign Holding Company enter x here Figure 4 9 General Details FRFI Page 5 For the following two new questions when providing a Yes answer to these questions this will enable the second part of the question where a number must also be provided see example below Applies to all Federally Regulated Financial Institutions excluding FROs Does the ultimate parent of the FRF1 together with all its affiliates or the FRFI alone if it FRFI does not have a parent have fewer than 150 employees on a worldwide basis a lt l lt l If yes please indicate number of employees as at fiscal year end 00 Are the worldwide annual gross revenues of the ultimate parent of the FRFI including annual gross revenues of all its affiliates or those of the FRFI alone if FRFI does not have a parent be
23. My Details Heb Logot English Anglais View Return Select a form to view 0 e D B Form Repeatable Add set Folger Folder Form Section Annual Goipotate Genificanon w Canadian Companies Annual Corporate Certification Ready to Submit In No Data Draft Mandatory Status Ready ia Sulit lim ccacc Canadian Companies Annual Corporate Certification View X Figure 3 17 View Return Page 4 Click the View link to view the return or if there is more than one return section click the View link for each section to be viewed 5 If necessary use the scroll bars to view the submitted return BANK OF CANADA i E DU CANADA Page 31 RRS Regulatory Reporting System S R To view the audit log of a submitted return Begin at the Submission History 1 Click the revision number of the return The Audit Log page opens displaying page information such as what action was taken who performed the action and when it was done RRS SDR Home Portal Draft Returns J Jones Your Organization View Audit Log Return name Reference Creation date Due date Select a version of this Return to y Accepted Submission Manage Returns Annual Corporate 475347 28 11 2013 30 04 2014 Submit return Documents cpic w SADC Organization Profile My Detalls Certification 28 11 2013 3 32 13 Ine Jones PM AAN Figure 3 18 Vie
24. Of Director Information By Law Return Fiscal Year End Return Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of change contained in the return Create Figure 3 30 Creat Return Page 3 7 1 AFS Auditor s Report Other Shareholder s Material OSFI 597 This return only applies to Canadian Domestic Banks and Foreign Bank Subsidiaries Canadian Life and Property amp Casualty Insurance Companies Credit Union Centrals Trust and Loan Companies Co operative Retail Associations and Foreign Representative Offices This return should be used to submit any and all shareholder documentation that must also be submitted to OSFI This return is based on the Annual General Meeting AGM Date due 15 days prior to the AGM date or if AGM is held by Resolution in Writing then due 30 days from Resolution date This return is also used by Foreign Representative Offices FROs to submit their Audited Financial Statement with OSFI For FROs this return is based on manual entry and is due upon receipt of the document This return is not subject to LFP penalties CDI A AMMI BANK OF CANADA osA dalah BANQUE DU CANADA Page 43 RRS Regulatory Reporting System S R 3 7 2 Board of Director Information OSFI 656 This return only applies t
25. YO The information provided in the Corporate Profile is required pursuant to one or more of the following provisions sections 628 632 950 and 951 of the Bank Act sections 495 and 499 of the Trust and Loan Companies Act sections 549 664 668 993 and 994 of the Insurance Companies Act or sections 431 and 432 of the Cooperative Credit Associations Act You are required to review and certify on an annual basis that the information provided in the Corporate Profile is current and accurate Annual Shareholders Meeting Date or Date of Resolution in Writing in lieu of Annual Meeting clue By checking off this box you hereby certify that all the information provided in the corporate profile has been fully reviewed and the r information is current and accurate Save As Draft Validate amp Save co w gt po Figure 3 5 Display of Return Page 4 Enter data in the appropriate fields 5 If necessary scroll to the bottom right of the return At this point the return can be either saved as a draft or validated and saved Saving a return as a draft leaves it on the Draft Returns page with a status of n Draft meaning it has not been validated Validating and saving the return indicates that the return is complete and ready for attempted submission 6 Click the Validate amp Save button CDI A iim BANK OF CANADA BSF dalah BANQUE DU CANADA Page 19 RRS Regulatory Reporting System Sor ey 9 If your return fails
26. a return Add Section a page with a green plus sign allows forms also known as sections to be added to a return where applicable Ready to Submit the white check mark in a green circle symbol indicates the return has been validated meaning that it has passed structural rules and is ready to submit In Draft the pencil symbol indicates this return has been saved as a draft and not yet validated No Data Mandatory the red star symbol indicates there is no data in this return and that mandatory fields exist Note the absence of a red star on a return or return section indicates there are no mandatory fields T cane A finni BANK OF CANADA SAD 1 dak BANQUE DU CANADA Page 15 RAS Regulatory Reporting System Sor 9y oor 3 1 General Instructions on Completing and Submitting a Corporate Return Begin at the RRS Welcome page RRS 7 R coic amp irae oF Son Portal 4 SADC on AN DAMDE GO CANADA Home Draft Returns Submission Manage Returns i Documents Organization Profile My Details Help Logout J Jones Your Organization English Anglais w Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal to complete and submitall required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile on the menu above Ifany details on your profile are out of date you should contact your regu
27. accessing RRS through the BoC s Secure Site Filer A user associated with a financial institution who files returns FI Financial Institution FRFI Federally Regulated Financial Institution FY Fiscal Year FYE Fiscal Year End LRA Local Registration Authority Organization An element describing financial institutions or partner agencies OSFI Office of the Superintendent of Financial Institutions PDF Portable Document Format Portal See RRS Portal QE Quarter End Return A collection of information that Filers or their representatives are required to submit to one or more Tri agency partners Return schedule The calendar of return submissions which can or must be filed specifying the filing periods and frequency of submissions RRS Regulatory Reporting System RRS Portal A web application used to submit and view returns RRS Supervision Centre A web application used to create and manage returns users organizations and reports for Tri agency only Status Indicates the state a return is in e g In Draft Structural rule The formatting and layout of a return submission Supervision Centre See RRS Supervision Centre Tri agency A group made up of the Bank of Canada the Office of the Superintendent of Financial Institutions and the Canada Deposit Insurance Corporation User Any person who uses RRS with any level of privileges U
28. be deleted RRS coce amp Portal LISADE x Marten Home rate Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization Change EnglishiAnglais Delete Return Confirm that you Would like to permanently delete this return Ifyou do so the return and all of its data will be lost Are you sure you Wish to delete New Director Confirm Cancel Figure 3 29 Delete Return Confirm Page 4 Click the Confirm button The return has now been deleted coc amp W c OSA Fl saor cannon Page 42 BSF RRS S R Regulatory Reporting System 3 7 General Definitions for Each Return Type For each of the returns listed below a definition and explanation is provided Portal w CDIC Wt BANK OF CANADA SDR w SADC osn dalah BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name English Anglais French Frangais Select form set AFS Auditor s Report Other Shareholder s Material OSFI597 Board
29. of your current session To logout of RRS 1 Click the Logout link located on the top right of the application A window displays asking if you are sure you want to logout 2 Click OK The login page displays 10 1 Inactivity Logout Each RRS session is set to logout automatically after two hours of inactivity If you are logged out due to inactivity RRS does not automatically save your work It also does not return you to what you were working on when the forced logout occurred It is important to save your work often T cD A int BANK OF CANADA osA dalah BANQUE DU CANADA Page 122 RRS Regulatory Reporting System SJR g ry Reporting Sy 11 0 Tips Tricks and Troubleshooting 11 1 Saving Your Work It is important to remember to save your work often As stated in Section 11 1 Inactivity Logout each RRS session is set to logout automatically after two hours of inactivity If you are logged out due to inactivity RRS does not return you to what you were working on prior to the forced logout 11 2 Microsoft Excel You can save a return in Microsoft Excel format by using the Excel button on the Draft Return page This button enables a return to be saved to a specified area outside of RRS 11 3 Two Users Working on the Same Return It is possible to have more than one user working on the same return within RRS Note that RRS does not inform you when another user is working on the same return Two
30. provide information for from the drop down menu 19 To provide a Yes response to this question you must check off the box on the left hand side of the question to enable the question then you must also check off the box on the right hand side O CDI A AMMI BANK OF CANADA osA dalah BANQUE DU CANADA Page 95 RRS z Regulatory Reporting System Sur ney RRS CDIC le fom S Portal SADC con aM SANGUE SO CANkon Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Change Director Information CDI Organization Name Your Organization test Organization Code CGCG Director Select the name of the Director to update Please click the check box beside the items that you would like to provide updated information for If the Director is an employee of this Financial Institution or any Subsidiary of this Fl please click the check box Figure 4 53 Change Director Information Page 20 Click the Validate amp Save button 21 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return 4 7 2 How to make board committee name changes within your Organization Profile To make board related changes to an existing Director Board Chairman within your organization profile you will need to create the Board of Director Information return
31. roles Combo P R142 Your Organization WHT BANK OF CANADA sik BANQUE DU CANADA Help Logout View Edit My Details English Anglais v Update My Password TO update enter new details and click the update button J i Jones i Intemational Area code Number English Anglais v Update Filer Corporate Annual Certification Filer Corporate Canadian FI Filer Organization i Corporate Foreign FI Filer Corporate Pension Plans Filer Corporate Annual Certification Filer Corporate Canadian FI Filer Organization P g Corporate Foreiqn Fl Filer Corporate Pension Plans Figure 2 6 Update My Password Page 8 Click the drop down menu in the Language of preference field 9 Select your preferred la 10 Click Update Your preferred language is language nguage now set Each time you log in RRS will display in your preferred Language Although your preferred language is set you can change the language during a session by clicking the drop down menu on the language field below the Logout link on the top right of each page in the application The language reverts back to the original setting when you logout coic FF WNT BANK OF CANADA SADC OSA dalak BANQUE DU CANADA Page 9 RRS S R Regulatory Reporting System 2 3 Resetting Your RRS Password The RRS Password reset functionality allows you to reset your forgotten password To reset your
32. structural rules A message would have been displayed on screen informing you that there was an issue with the return that would need to be corrected prior to submission See Section 3 3 for more information on errors 7 Hover your mouse over the Submission menu item RRS le A RRS cDIC Son Portal Ysave Fa saor aon Home Draft Returrs Submission j Manage Returns Documents Organization Profile My Details Help Logout J Jones Your AR Submit Return EnglishiAnglais Draft Returns Submission History Request Resubmission The returns listed below are in dratt and can be completed prior to submission to your Regulator To create new returns please use the Create Return functionality 5 Bla ae Ren 78 iane g ileya MENE REIU aE Refalanme RAVISIo talus aaua a CUE date Annual Corporate Certification 475347 0 1 No Data 31103 2014 30 04 2014 Figure 3 6 Submission Menu Drop Down Page 8 Click the Submit Return sub menu item FP CDic O alaoo SADE OS dull BANQUE DU CANADA Page 20 RRS 9 Regulatory Reporting System The Submit Return page displays a list of returns that are ready to be submitted RRS Portal C ERIE A fiim zanor canan SAD dalal BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Ss J Jones Your Organization EnglishiAnglais v Submit Return
33. the right hand side next to Update an existing Required Role or Contact Information 9 This will open a new worksheet within this section of the return BANQUE DU CANADA Page 78 RRS Regulatory Reporting System S R m RR A Sop Portal SSE SP Glencoe Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change Englist Anglais Update an existing Required Role or Contact Information CRRCI Organization Name Your Organization test Organization Code CGCG Plese select the appropriate Entity Type you would individual like to Update Please select the appropriate Related Party that you would like to Update l s Please click the check box beside the items that you would like to provide updated information for Related Individual r Salutation x First Name Middle Name Last Name r Related Organization For Individual Figure 4 33 Update an existing Required Roles or Contact Information Page 10 Under Select the appropriate Entity Type you would like to Update choose Individual see example above 11 Under Select the appropriate Related Party that you would like to Update choose the name of the individual you would like to add additional roles from the drop down menu 12 Under Roles click on Add button to expand box as shown below
34. top right hand corner of your screen Notifications DYSINISS Regeived Bugim im 28 11 2013 3 03 11 PM Annual Corporate Certificatian 475347 Is available for completion via Draft Returns Figure 4 1 Welcome Page 1 Click the Documents menu item A coce amp amp SADC osa Fl savor curaon Page 106 RRS Regulatory Reporting System SDR RRS a A Sap Portal GISAC ce PER Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization EnglishiAnglais 7 Documents See below for a list of documents available for download Path Documents Filter by E Documents 5 D Portal Documents Upload Figure 4 2 Documents Page Double click the Documents folder Double click the Portal Documents folder Double click the specific folder to be viewed Select the document to be viewed Click the green down arrow A message displays prompting you to open or save the document Click the Open button The document opens for viewing coic CY FM cccanaon SADC OSA dalak BANQUE DU CANADA Page 107 RRS Regulatory Reporting System SJR g ry Reporting Sy 6 0 Organization Profile The Organization Profile menu item can only be used to view the profile of your organization in RRS This profile consists of information such as your organization s general contact information its preferred language general details of the organiz
35. 4 id change contained in the return Create Figure 4 1 Create Return Page Enter an English and French name for the return see example above Select Organization General Contact Information Enter the Effective Date of change Click the Create button Your corporate return is now ready for completion in the Draft Returns section of RRS 7 Go to your Draft Returns section and open the return you just created dalah BANQUE DU CANADA Page 51 io CDI A iim BANK OF CANADA BSF RRS Regulatory Reporting System RS RRS Portal Aene CY Eran Son wet SADC osm atk BANQUE DU CANADA Home pra Returns Submission Manage Returns Reports Documents Organization Profile Manage users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu oe e A B E lt Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory Update General Address Status No Data T Organization General Contact Information im GI General Information Edit View K la COGCI Change Organization General Contact Information B la AOGCI Add Organization General Contact Information img
36. BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization English Anglais v Canadian Companies Annual Corporate Certification Organization Name Your Organization Organization Code YO The information provided in the Corporate Profile is required pursuant to one or more of the following provisions sections 628 632 950 and 951 of the Bank Act sections 495 and 499 of the Trust and Loan Companies Act sections 549 664 668 993 and 994 of the Insurance Companies Act or sections 431 and 432 of the Cooperative Credit Associations Act You are required to review and certify on an annual basis that the information provided in the Corporate Profile is current and accurate Annual Shareholders Meeting Date or Date of Resolution in Writing in lieu of Annual Meeting clue By checking off this box you hereby certify that all the information provided in the corporate profile has been fully reviewed and the E information is current and accurate Save As Draft Validate amp Save co w gt po Figure 3 12 Display of Return Page 4 If necessary use the scroll bars to view the draft return ANK OF CANADA ANQUE DU CANADA Page 26 Regulatory Reporting System To view the audit log of a draft return Begin at the Draft Returns page j j RRS Portal cpic A fim say oF can we SADC osni kt BANQUE DU CANADA
37. DR ed SADC gon dalah BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais z Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name New Audit Firm English Anglais New Audit Firm French Francais AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information Select form set By Law Return Fiscal Year End Return Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 01 09 2014 change contained in the return Create Figure 4 18 Create Return Page 3 Enter an English and French name for the return see example above 4 Select Required Roles And Contact Information 5 Enter the Effective Date of change 6 Click the Create button Your corporate return is now ready for completion in the Draft Returns section of RRS 7 Go to your Draft Returns section and open the return you just created dalah BANQUE DU CANADA
38. Follow the steps above to change the organization 2 2 Logging in for the First Time The first time you log into RRS you ll be asked to update your temporary password This process involves entering a new password and setting your language preference To log into RRS for the first time Begin at the RRS Login page sik BANQUE DU CANADA Page 6 Tine A WHT BANK OF CANADA BSF RRS Regulatory Reporting System Son RRS cnc amp B ce JADA SDR Portal SADC osn ara BANQUE DU CANADA Home RERET English Anglais v Welcome to Regulatory Reporting System RRS Portal RRS Portal is an on line application that manages all of your formal communications with your regulator Using RRS Portal you will be able to complete and submit all required returns on line In addition you will be able to see your organization s profile the current information held by the regulator about your organization and keep it up to date To access RRS Portal enter your username and password below password is case sensitive Username Password Login Forgotten Password Figure 2 4 Login Page 1 In the Username field enter your RRS Username 2 In the Password field enter the temporary RRS Password given to you in an email entitled New Portal User Account 3 Click Login dL BANQUE DU CANADA Page 7 Phe A WHT BANK OF CANADA esr RRS Regulatory Reporting System SUR R
39. French Francais AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information Select form set 5 By Law Return Fiscal Year End Return D Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information 5 Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 01 09 2014 change contained in the return Create Figure 4 4 Create Return Page Enter an English and French name for the return see example above Select Organization General Contact Information Enter the Effective Date of change Click the Create button Your corporate return is now ready for completion in the Draft Returns section of RRS 7 Go to your Draft Returns section and open the return you just created dalah BANQUE DU CANADA Page 54 a CDIC A AN BANK OF CANADA c og RRS Regulatory Reporting System RS RRS Portal Aene CY Eran Son wet SADC osm atk BANQUE DU CANADA Home pra Returns Submission Manage Returns Reports Documents Organization Profile Manage users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted us
40. Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 12 09 2014 change contained in the return Create Figure 4 25 Create Return Page 3 Enter an English and French name for the return see example above 4 Select Required Roles And Contact Information 5 Enter the Effective Date of change 6 Click the Create button Your corporate return is now ready for completion in the Draft Returns section of RRS CDIC A Pnl BANK OF CANADA w SADC dalak BANQUE DU CANADA Page 71 Regulatory Reporting System 7 Go to your Draft Returns section and open the return you just created Som Portal SSPE O Eege Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu KEY eo wo le B o Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory i Required Roles And Contact Inform
41. Information CDI Organization Name Your Organization test Organization Code CGCG Director Select the name of the Director to update 48167 John Smith xJ Please click the check box beside the items that you would like to provide updated information for E If the Director is an employee of this Financial Institution or any Subsidiary of this Fl please click the check box Br Director Citizenship History Director Country Of Citizenship Director Citizenship Expiry Date Update Board Committee Membership History Committee Name Committee Member Type Member Type Expiry Date Audit Committee s Member iz 19 09 2014 Delete Update Figure 4 60 Change Director Information Page Board Committee Membership History When it comes to committee names it is critical that the name be identical to the name as it appears on the organization profile If the name within your profile is shown in English and in French then the full name must also appear on this page i e Audit Committee Comit de r vision You can also accomplish this by doing a copy and paste from your profile into this return The system is very sensitive in this instance and even an additional space will result in a validation error upon validating and saving 14 15 16 17 18 19 Click the Validate amp Save button This will bring you back to your Draft Return page Now click on Add Instance on the right hand side next to Ad
42. Page 66 io CDI A iim BANK OF CANADA esif Regulatory Reporting System RRS Portal CDIC A iMi sax or canaoa SDR wet SADC osn dia BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais z Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu KEY p le B o Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory IE Required Roles And Contact Information z ia ARRCI Add a new Required Role and Corresponding Contact Information A la CRRCI Update an existing Required Role or Contact Information R Figure 4 19 Draft Return Page 8 Click on the Add Instance button on the right hand side next to Add a new Required Role and Corresponding Contact Information 9 This will open a new worksheet within this section of the return BANQUE DU CANADA Page 67 RRS Regulatory Reporting System RRS CDIC fom BANK OF CANADA Spr Portal SiSape jon Baro Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Ma
43. QUE DU CANADA Page 105 RRS Regulatory Reporting System SpR ney ii 5 0 Viewing Documents The Documents menu item provides the ability to view reference documents in the Portal Documents folder To view documents Begin at the RRS Welcome page RRS cDI c TF BANK OF CANADA Son Portal O SADC pa Seren Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization English Anglais Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal io complete and submitall required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile on the menu above fany details on your profile are out of date you should contact your regulator Draft returns that are ready for cornpletion can be found by clicking on Draft returns on the menu above When yourreturns have been completed you must use the Submission functionality to finally submit them With RRS Portal you are also able to Print submitted returns where signed hard copies are required e View and print previous submissions e Partially complete returns and return to them at a later date e Request a resubmission of returns where you become aware of mistakes For further information on howto use RRS Portal click on the help linkin the
44. RRS SUN Regulatory Reporting System Regulatory Reporting System RRS Manage Corporate Returns User Guide January 31 2015 Version 2 1 T C D E A finni BANK OF CANADA dalah BANQUE DU CANADA Table of Contents 1 0 TRPODUICHION sicsscsscsscssasssccnsnscsstcnadadsonasonsantinsccabnansssaustaduessnossnsinunanadsbeamedsaveesdossstapeusteaeabonsenass 1 L1 Using this ON eta eee Baste teeta ce hc al stew ete erate cea Baar 1 1 2 Technical Requirements essssssssssssssssssseeeeeeeeesssssssssssseeettttereeeeeessssssssssstetttetteeeeeeeeessssssssssetettttrereeeees 1 IS SUPPONE EaR NAN RENES 2 2 0 Loggingiinto FERS scene cv sv ecccievesi cadens ccocaceaescinecebancadeeebvaceucosunedsevenouce soexeticarvuneseesteabiesstenteeer 3 By E o2 AU TT a cee ees ede eens E EE eae eek 3 2 2 Logging in for the First TiMe asc csccecaas ascecc ctecpecic a cache cacao econ cede chsh cetacean 6 23 Resetting Your RRS Password sacdicccdcactanutioniaaieieminddunaciancinedaundamionix 10 3 0 General Instructions on Managing Corporate Returns scccscccessesesssssseeeseee 14 3 1 General Instructions on Completing and Submitting a Corporate Return 16 3 2 General Instructions on HOW to View a Return ssciecteccstssttesctectl eactadtieresentiasvantioicundisteltestentensh 23 3 3 General Instructions on How to View Errors sessssssssscseeseecseecseecscessecsecssecseccscesseessecseecseenseesseess 33 3 4 General Instructions on
45. RS Portal EDIE A IIIT BANK OF CANADA SIDR gen Lk BANQUE DU CANADA Home Not logged in Enaglish Anglais v Update My Password You must update your password before continuing Valid passwords contain 1 capital letter 1 small letter 1 number and 1 special character e g amp 5 It must be atleast 8 characters and not more than 30 characters with no blank spaces Current password New password Confirm new password Save Figure 2 5 Update My Password Page 4 Inthe Current password field enter your temporary RRS Password 5 In the New password field enter a new RRS Password Passwords Ensure your new password meets the following valid password criteria passwords must be between 8 and 30 characters and contain 1 uppercase letter 1 lowercase letter 1 number and one special character 6 In the Confirm new password field re enter your new RRS Password 7 Click Save to set your RRS Password The My User Details page displays From here you can set your preferred language cA GT HLT BANK OF CANADA SADC osn tuk BANQUE DU CANADA Page 8 RRS Regulatory Reporting System S R RRS Portal Home Draft Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization Change My User Details Review your user account details below First name Surname Email address Telephone number Language of preference Assigned permissions
46. Return Fiscal Year End Return Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 19 09 2014 lad i change contained in the return Create Figure 4 54 Create Return Page 3 Enter an English and French name for the return see example above 4 Select Board of Director Information 5 Enter the Effective Date of change 6 Click the Create button 7 Click the Draft Returns menu item to view the return in the draft folder 8 Click on the newly created return to open the return dalah BANQUE DU CANADA Page 97 O EDE A WHT BANK OF CANADA esr Regulatory Reporting System A CDIC O SADE x Fl saor cannon SDR Portal Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout English Anglais 7 Carole Gagnon Your Organization test Change Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu KI op p le E o Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data M
47. S Portal Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout ANK OF CANADA JANQUE DU CANADA 9 0 v an gt ve Carole Gagnon Your Organization test Change English Angiais 7 Add Director Information ADI Organization Name Your Organization test Organization Code CGCG Director Please select the Director 48167 John Smith zi Director Citizenship History Director Country Of Citizenship Director Citizenship Effective Date Director Citizenship Expiry Date Add Board Committee Membership History Member Type Effective Committee Name Committee Member Type Date Member Type Expiry Date Audit and Risk Committee Member jzl 19 09 2014 ja Delete Add Figure 4 57 Add Director Information Page 17 Under Board Committee Membership History click on the Add button 18 Type the new name of the committee in the language of your choice 19 Select the appropriate committee member type for the individual 20 Select the appropriate member type effective date 21 Click on the Validate and Save button NOTE You will be required to make the same change for each director listed on the committee name for which you are changing 22 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return WMI BANK OF CANADA oon dalah BANQUE DU CANADA P
48. S Portal you are also able to Print submitted returns where signed hard copies are required View and print previous submissions Partially complete returns and return to them at a later date Request a resubmission of returns where you become aware of mistakes For further information on howto use RRS Portal click on the help link in the top right hand corner of your screen Notifications Dismiss Heogived Buom 28 11 2013 3 03 11 PM Annual Corporate Certification 475347 Is available for completion via Draft Returns Figure 5 1 Welcome Page 1 Click the Organization Profile menu item K OF CANADA E DU CANADA Page 109 E gt 3 i RRS SDR Regulatory Reporting System RRS coic amp T in amp WHI BANK OF CANADA Son Portal w4 SADC cht BANQUE DU CANADA Home Draft Returms Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization EnglishiAnglais v Organization Profile The sections of your firm profile are listed below You should regularly check and ensure that your firm profile is up to date Organization Profile i PLY Preferred Language and Website m OCI Organization Contact Information Ee CBDFA Current Board of Directors and Functional Appointments im CPSPAOR Current Plan Sponsor Plan Administrator and Other Roles Figure 5 2 Organization Profile Page 2 Select a section of the organization profile to
49. Save button 20 Your return is now ready to be submitted 21 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return O CDI A fm BANK OF CANADA OSA dalah BANQUE DU CANADA Page 70 RRS S R Regulatory Reporting System 4 3 How to Delete an Individual or a Related Organization from your Organization Profile To delete an individual or a Related Organization from your organization profile you must use the Required Roles and Contact Information Return The following are instructions on how to delete an individual 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return RRS O ta aad CDIC I SIDR Portal 7 SADC oen a DANONE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais z Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the retum to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name Removal of John Smith English Anglais Removal of John Smith French Fran ais Select form set AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information By Law Return Fiscal Year End Return
50. Submit Return Submit Button Page If your return fails validation rules A message would have been displayed on screen informing you that there was an issue with the return that would need to be corrected before it could be processed further See Section 3 3 for more information on errors daiak BANQUE DU CANADA Page 22 io CDI A im BANK OF CANADA BSF Regulatory Reporting System SDR we 5 3 2 General Instructions on How to View a Return Returns can be viewed prior to and after being submitted Use the Draft Returns menu item to view returns that have not been submitted and use the Submission History sub menu item to view returns that have been submitted These menu items can also be used to view the Audit Log of a return which is a record of each revision of a completed or in draft return To view a draft return Begin at the Welcome page RRS on Pe RRS cDIC Portal SADC on ee GANGUE SO CAMADA Home Draft Returns Submission ManageReturns Documents Organization Profile My Details Help Logout J Jones Your Organization EnglishiAnglais Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal io complete and submitall required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile on the menu above If any details on your profile are out
51. a ARRCI Add a new Required Role and Corresponding Contact Information ling le CRRCI Update an existing Required Role or Contact Information R Figure 4 12 Draft Return Page 8 Click on the Add Instance button on the right hand side next to Add a new Required Role and Corresponding Contact Information 9 This will open a new worksheet within this section of the return coic amp SADC 998 OE Da Or en Page 62 RRS S R Regulatory Reporting System RRS A a CDIC spa Portal SADC on N SANGO SOANA oA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais hd Add Required Roles And Contact Information ARRCI Organization Name Your Organization test Organization Code CGCG Entity Type Individual z Related Individual Salutation Mr X First Name John Middle Name Last Name Smith Related Organization For Individual Related Organization New Related Organizations not listed must first be added to the profile English Organization Name French Organization Name Figure 4 13 Add Required Roles and Contact Information Page 10 Under Entity Type choose Individual see example above 11 Under Related Individual enter appropriate information NOTE The Related Organization section will remain blank 12 Under Roles click on
52. activity TO UN aaa es i ee eee ec 122 11 0 Tips Tricks and Troubleshooting sscccsscccssccecssscccssccccsscescsccesscccssscesesseeseseeee 123 UM S ving Yo r Work cc ect eee ace eee Dee ca 123 TL2 Microsoft EXCEl cfcatesninctannntamvachaattcnavienetumunsanuesitomaemtamantametamunimeduaenass 123 11 3 Two Users Working on the Same RetuMccicuedntiatiacudaiadaiuiqiedilaietadaiadele 123 TL4 Printing RGIS ac cones ectein asa nacacalaieie R N R N p N 123 TSWE fF hagun 12 0 Glossary dL BANQUE DU CANADA io CDI A MN BANK OF CANADA BSF RRS Regulatory Reporting System S R 1 0 Introduction The RRS Portal application referred to as RRS or the RRS application from this point provides access for Federally Regulated Financial Institutions FRFIs and Federally Regulated Private Pension Plans to submit regulatory return information With RRS you can create delete complete and submit corporate returns view your organization s profile view documents and manage your user details To access RRS you will need a Bank of Canada Secure Site User account The first time you access RRS you will set up your account which involves setting your password and preferred language This guide details how to use RRS to complete and submit corporate returns To complete and submit financial returns refer to the Manage Financial Returns User Guide 1 1 Using this Document This document uses the following conventions to increase cla
53. age 100 RRS SOR Regulatory Reporting System 4 7 3 How to make board committee membership changes within your Organization Profile To make board committee membership changes to an existing Director Board Chairman within your organization profile you will need to create the Board of Director Information return The following example explains how to make changes to a director s membership on a specific board committee i e the director went from being a regular member to the chair person of the Audit Committee Change Director Information Page Other than the director employee question at the top of this page this page must only be used to add membership related expiry dates You cannot update membership information on this page You can only end date existing information then add any new information under the Add Director Information page 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return WHI BANK OF CANADA SAD 1 de BANQUE DU CANADA Page 101 qe A 9 na i gt RRS Regulatory Reporting System RAS coce FS Eg WIT BANK OF CANADA Son Portal wet SADC osn kk BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Create Return To submit a corporate return input a return name in either l
54. ail address for the organization Provide an emergency email address if one is available Provide a general Telephone and Fax Number for the organization You can now click on the Validate and Save button Your return is now ready to be submitted Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return O CDI A fm BANK OF CANADA oSA dalah BANQUE DU CANADA Page 53 RRS S R Regulatory Reporting System 4 1 2 How to Update your Organization General Contact Information When updating your general contact information all related information must be provided as this return will replace all information located within your organization profile 1 2 5 6 Hover your mouse over the Manage Returns menu item Click Create Return RRS A CDIC A he Pin BANK OF CANADA SUR Po rtal SADC osn dalah BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name Update General Address English Anglais Update General Address
55. andatory i New director Part 2 Status No Data Wi Board Of Director Information FS la ADI Add Director Information P le CDI Change Director Information limp is ADT Add Director Type ma Figure 4 55 Draft Return Page 9 Click on Add Instance on the right hand side next to Change Director Information 10 The select the name of the Director you wish to provide information for from the drop down menu 11 Enter the full name of the committee you wish to remove exactly as shown under the organization profile 12 Select the appropriate member type for the individual NOTE When making changes to an existing director the system will not automatically pre populate the director information from the organization profile A cnc amp c osn m BANOE SOA Page 98 esr RRS S R Regulatory Reporting System 13 Select the appropriate member type expiry date see example below RRS CDIC i BANK OF CANADA Sun Portal SADC om BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais B Change Director Information cDI Organization Name Your Organization test Organization Code CGCG Director Select the name of the Director to update 48167 John Smith J Please click the check box beside the items that you wou
56. ane A finni BANK OF CANADA SAD 1 dk BANQUE DU CANADA Page 57 RRS l Regulatory Reportin stem So eet Sy f RRS PF coic CY loa WHT BANK OF Son Portal S SADC o kek BANQUE DU CANADA 4 i 7 Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu KEY i le im E o Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory Update General Address Status Na Data a Organization General Contact Information x lm a General Information Edit View XE 7 gt Ta COGCI Change Organization General Contact Information limp ia AOGCI Add Organization General Contact Information B m GIFRFI General FRFI Information OL Figure 4 7 Draft Return Page 3 In order to provide a No response to any of these questions simply check box on the left hand side of the applicable question and leave box on the right hand side blank see example below f RRS Portal O SADE amp fa SANGUE DU CANADA Home Draft Retur
57. anguage and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name Mr Smith Board Information Change English Anglais Select form set AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information By Law Return Fiscal Year End Return Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 19 09 2014 lad i change contained in the return Create Figure 4 58 Create Return Page 3 Enter an English and French name for the return see example above 4 Select Board of Director Information 5 Enter the Effective Date of change 6 Click the Create button 7 Click the Draft Returns menu item to view the return in the draft folder 8 Click on the newly created return to open the return dL BANQUE DU CANADA Page 102 O EDE A WHT BANK OF CANADA esr SDR Regulatory Reporting System RRS m _ CDIC A BANK OF CANADA Portal Yisape wo AES Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change Engli
58. anization General Contact information Required Roles And Contact Information 10 02 2074 sf c r eate Figure 3 25 Create Return Page Return Name You will want to choose a name that will be meaningful for you or your organization The text does not need to be bilingual but it does need to be entered in both the English and French text fields This name will also be referred to when looking for returns under your submission history tab 3 Enter an English and French name for the return see example above 4 Select the appropriate corporate return that you want to create for your organization or plan 5 Enter the earliest effective date of change 6 Click the Create button CDIC amp NNI BANK OF CANADA c og dalak BANQUE DU CANADA Page 39 RRS S R Regulatory Reporting System Earliest effective date of change when creating your return Where multiple changes are being made within the same return you must enter the earliest effective date of change of all of the changes being made The system will not accept earlier dates within the return than the date you entered Your corporate return is now ready for completion in the Draft Returns section of RRS RAS coic fH re HIN BANK OF CANADA SIDIR Portal S SADC osm doLa BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organiz
59. ation Change Draft Returns The returns listed below are in draftand can be completed prior to submission to your Regulator To create new returns please use the Create Return functionality New Contact Information OGCI475286 0 No Data Figure 3 26 Draft Returns Page Follow the steps outlined in Section 3 1 to submit this return EnglishiAnglais IFA 10 02 2014 12 03 2014 Note as per the Canada Post Guidelines For any changes to contact information addresses must all be in uppercase letters and may not contain any special characters telephone fax numbers must not contain any dashes and email addresses must not contain any invalid characters OSA dak BANQUE DU CANADA O CDI A im BANK OF CANADA Page 40 Regulatory Reporting System 3 6 General Instructions on How to Delete a Corporate Return Corporate returns that have been created in error can be deleted prior to submission Note Once a corporate return has been submitted and accepted that return can no longer be deleted In order to delete a submission please contact the Returns Administration group at OSFI at 613 991 0609 oO To delete a draft corporate return Begin at the Draft Return page 1 Hover your mouse over the Manage Returns menu item RRS amp coic amp T amp S BANK OF CANADA Son Portal Sisape on Swern Home Draft Returns Submission Manage Ret
60. ation all required roles and their contact information etc This section provides instruction on how to view your organization profile and how to change profile information if required As described in Section 3 0 Scenario 3 is triggered when a review of your organization s profile indicates the need for an update to specific corporate information This update is performed through the submission of a corporate return using the Manage Returns menu item To view your organization s profile Begin at the Welcome page T cD A int BANK OF CANADA osA dalah BANQUE DU CANADA Page 108 RRS Regulatory Reporting System RRS a HRS coc mA BANK OF CANADA Son Portal Sy SADC om N A Ron Home Draft Returns l Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization English Anglais Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal io complete and submitall required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile oh the menu above fany details on your profile are out of date you should contact your regulator Draft returns that are ready for completion can be found by clicking on Draf returns on the menu above When yourreturns have been completed you must use the Submission functionality to finally submit ther With RR
61. ation in your corporate profile Fields left blank will erase previously filed information Fi Address English French First Address Line First Address Line Second Address Line Second Address Line Third Address Line Third Address Line City City Country bd Province Canada only kif State USA only b Postal Zip Code Delete E Email Address Add O Emergency Email Address Area code Number Extension E Phone Delete Add Area code Number E Fax Delete Add English Additional Contact Info French Additional Contact Info Save As Draft Validate amp Save Figure 4 6 Change Organization General Contact Information Page 10 Under Contact Type choose appropriate contact type you wish to update see example above 11 Only check boxes on the left hand side that you wish to provide updated information for a If providing an address change you must provide the complete mailing address the system will not pre populate that information from your profile amp coic E ESADE SP fm soraw n RRS Regulatory Reporting System S R b If providing any email telephone or fax changes check boxes as appropriate and provide all the required information as appropriate c Ifyou already have an email address telephone or fax number within your profile and you wish to add a second email or telephone fax number you must re enter the current information from your profile then add any additional information by clicking on the Add
62. ation x la ARRCI Add a new Required Role and Corresponding Contact Information ling le CRRCI Update an existing Required Role or Contact Information R Figure 4 26 Draft Return Page 8 Click on the Add Instance button on the right hand side next to Update an existing Required Role or Contact Information 9 This will open a new worksheet within this section of the return BANQUE DU CANADA Page 72 RRS Regulatory Reporting System RRS m Ar Portal w CDIC Wt BANK OF CANADA S w SADC p dadah BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Update an existing Required Role or Contact Information CRRCI Organization Name Your Organization test Organization Code CGCG Plese select the appropriate Entity Type you would like to Update Please select the appropriate Related Party that you would like to Update Individual 48879 John Smith Please click the check box beside the items that you would like to provide updated information for Related Individual Ls Salutation 7 First Name Middle Name Last Name la Related Organization For Individual Figure 4 27 Update an existing Required Roles or Contact Information Page 10 Under Select the appropriate Entity Type you would like to Update choose In
63. bmitted Reminder When replacing existing information within the Organization Profile with new information you must also update the existing information by adding a role expiry date to each affected individuals and or related organizations T cD A int BANK OF CANADA oSA daiak BANQUE DU CANADA Page 83 RRS S R Regulatory Reporting System To create a corporate return using the two return process 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return RRS A Portal aly CDIC WNT SANK OF CANADA Sis lt 4 SADC Os dull BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon J Jones Change EnglishAnglais Create Return To submil 4 corporate return inputa return name in either language and copy the same into the othe required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name New Fund Custodian Engish Angiais New Fund Cu stodian French Fran ais Selectform set Board Of Director Information By Law Return Fiscal Year End Return Funding Vehicle Information Organization General Contact Information Required Roles And Contact Information gt Enter the earliest effective date of 03 03 2014 change contained in the return Cte ate Fi
64. ccess to Information Act Details on these matters are available at the Infosource website http infosource gc ca and through the OSFI Call Centre Info source is also available at public libraries across Canada The purpose of this return is to provide the country of citizenship the board committee membership the affiliation type affiliate and non affiliate details as well as the director type for each director and chairperson of the board This return is based on any and all changes made either at board meetings or information changes throughout the year This return is due within 30 days of the effective date of change This return is subject to LFP penalties T CDI A IMT BANK OF CANADA SAD 1 dk BANQUE DU CANADA Page 44 RRS Regulatory Reporting System S R 3 7 3 By Law Return OSFI 599 This return only applies to Canadian Domestic Banks and Foreign Bank Subsidiaries Canadian Life Insurance Companies Canadian Property amp Casualty Insurance Companies Credit Union Centrals Trust and Loan Companies and Co operative Retail Associations This return is based on by law changes made at board meetings throughout the year This return is due within 30 days of the effective date of change This return is subject to LFP penalties 3 7 4 Fiscal Year End Return OSFI 596 This return applies to all Federally Regulated Financial Institutions Foreign Representative Offices and Private Pension Plans This return should o
65. change the organization selection 1 Click the Change link at the end of your username A fini BANK OF CANADA OSF Cc SADC 1 dadah BANQUE DU CANADA Page 5 RRS SUR Regulatory Reporting System RRS coic amp TH we IW BANK OF CANADA Sun Portal wa SADC os kk BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization Change EnglishiAnglais v Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal to complete and Submit all required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile on the menu above Please file the appropriate corporate return to submit an update Draft returns that are ready for completion can be found by clicking on Draft returns on the menu above When your returns have been completed you must use the Submission functionality to finally submit them With RRS Portal you are also able to Print submitied returns where signed hard copies are required View and print previous submissions Partially complete returns and return to her ata later date Request a resubmission of returns where you become aware of mistakes For further information on how ta use RRS Portal click on the help link in the top right hand comer of your screen Figure 2 3 Change Organization Page
66. cial Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 05 09 2014 7 change contained in the return Create Figure 4 11 Create Return Page 3 Enter an English and French name for the return see example above 4 Select Required Roles And Contact Information 5 Enter the Effective Date of change 6 Click the Create button Your corporate return is now ready for completion in the Draft Returns section of RRS gt cpic A P lt SADC Jaik BANQUE DU CANADA Page 61 RRS Regulatory Reporting System 7 Go to your Draft Returns section and open the return you just created RNE ives Djevice O Torco SDR lt SADC o aa BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu KEY eo wo le B o Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory i Required Roles And Contact Information x l
67. d Director Information The select the name of the Director you wish to provide information for from the drop down menu Enter the name of the committee you wish to add Select the appropriate member type for the individual committee Enter the appropriate member type effective date see example below fo CDI A AN BANK OF CANADA 1 dalah BANQUE DU CANADA Page 104 RRS Regulatory Reporting System SUR bal uJ ga Portal Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Carole Gagnon Your Organization test Change Add Director Information Organization Name Organization Code CGCG Director Please select the Director Director Citizenship History Director Country Of Citizenship Add Board Committee Membership History Committee Name Audit Committee n Add Your Organization test Committee Member Type Chair Person 48167 John Smith Director Citizenship Effective Date Member Type Effective Date z 19 09 2014 Figure 4 61 Add Director Information Page 20 Click on the Validate and Save button fim BANK OF CANADA dk BANQUE OU CANADA Help Logout English Anglais M Director Citizenship Expiry Date Member Type Expiry Date Delete 21 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return HHI BANK OF CANADA dalah BAN
68. d to you 4 Navigate to your email and search for an email entitled Account Reactivation 5 Copy the new password and navigate back to RRS 6 Click the Home menu item O CDI A iim BANK OF CANADA esr daiak BANQUE DU CANADA Page 11 RRS l Regulatory Reporting System SDR we p r cc amp Son Portal Sisave cp Maru Home Not logged in English Anglais Welcome to Regulatory Reporting System RRS Portal RRS Portal is an on line application that manages all of your formal communications with your regulator Using RRS Portal you will be able to complete and submit all required returns on line In addition you will be able to see your organization s profile the current information held by the regulator about your organization and keep it up to date To access RRS Portal enter your username and password below password is case sensitive Username s Password il Login Forgotten Password Figure 2 9 Login Page 7 Enter your username 8 Enter your temporary password 9 Click Login HIN BANK OF CANADA BANQUE DU CANADA Page 12 qe Bo a gt Fe RRS Regulatory Reporting System SUR RRS r O Las 4 CDIC Se Portal S SADE de ME orgue Home Not logged in English Anglais v Update My Password You must update your password before continuing Valid passwords contain 1 capital letter 1 small letter 1 number and 1 special character e g amp S
69. ddress is specifically used by Private Pension Plans only All fields are required by OSFI and some fields have been made mandatory CDIC A SADC o Ft so CANADA Page 50 RRS S R 4 1 1 1 2 5 6 Regulatory Reporting System How to Add an Organization General Contact Information Hover your mouse over the Manage Returns menu item Click Create Return RRS coic amp nr CDIC ETERA SpR Portal S SRE 8 M oraw Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name Add Secondary Address English Angliais Add Secondary Address French Francais Select form set AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information By Law Return Fiscal Year End Return 5 Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 05 09 201
70. dent of Financial Institutions and therefore the Privacy Act allows this information to be disclosed to the public All other information Board of Director s residential address the name of the Designated Audit Partner and all Functional Appointments provided is protected and is deemed to be personal information The personal information you provide to OSFI will be stored in the Personal Information Bank PIB to be registered with Treasury Board Secretariat Individuals have a right to protection of and access to their personal information stored in each corresponding PIB in accordance with the Privacy Act and the Access to Information Act Details on these matters are available at the Infosource website http infosource gc ca and through the OSFI Call Centre Info source is also available at public libraries across Canada The purpose of this return is to provide the full name and salutation of each individual or related organization their associated role and their complete contact information All fields located under this return are mandatory fields This return also requires a mandatory email address for each individual or related organization being added to your organization profile This return must be used to submit changes to any and all individuals related organizations and other roles within your organization profile For example adding new individuals related organizations deleting removing individuals related organization
71. dividual see example above 11 Under Select the appropriate Related Party that you would like to Update choose the name of the individual you would like to remove from the drop down menu Note The instructions are the same if you are updating a related organization In this instance you would choose Organization as your entity type and you would then select the name of the related organization from the drop down menu A WHI BANK OF CANADA oon dalah BANQUE DU CANADA Page 73 RRS Regulatory Reporting System Carole Gagnon Your Organization test Change English Anglais E Update an existing Required Role or Contact Information CRRCI Organization Name Your Organization test Organization Code CGCG Plese select the appropriate Entity Type you would like to Update Please select the appropriate Related Party that you 5 P would like to Update SESE Jarm smi z Individual Please click the check box beside the items that you would like to provide updated information for Related Individual Salutation First Name Middle Name Last Name Related Organization For Individual Related Organization rinienmation reiates to the individual above In order for the related organization to appear in the drop down menu the related organization must first be added separately A English Organization Name French Organization Name Figure 4 28 Update an existing R
72. e error icon or the status to open the Validation Issues page INT BANK OF CANADA BANQUE DU CANADA Page 33 qe gt Fe SDR Regulatory Reporting System BANK OF CANADA Portal S SADC on AN A DAMo Home pratt Returns Submission Manage Returns Decuments Organization Profile My Details Help Logout J Jones Your Organization Change Englishianglais Validation Issues This return was submitted with errors and or warnings which are displayed below ALAN LATETAN Rule heme 1 Warning For your Institution Type you are required to maintain each of the following required roles Chief Executive Officer Chief Financial Officer Chief Compliance Officer Business Continuity Officer Chief Anti Money Laundering Officer and a Designated Audit Partner cro4ds Warning 2 Warning For your Institution Type you ate also required to maintain an ranm yamini Appointed Actuary as one of your required roles 4 CROQ57 Error 3 The Business Mailing Address must be provided for this role type m aw D Figure 3 20 Validation Issues Page 4 View the error message Warnings Warnings will not prevent you from submitting your return it is simply a warning to advise you that you are either making a change to a mandatory role or that one of your mandatory roles is missing from your Organization Profile BANQUE DU CANADA Page 34 Regulatory Reporti
73. ecame a director We are not looking for his date of birth in this instance e The Director Citizenship Expiry Date should always remain blank in this instance 12 Under Board Committee Membership History provide the names of each board committees the director seats on as well as the director s committee member type member or chair person and the member type effective date Board Committee Membership History Committee Name Committee Member Type son typpievecive Member Type Expiry Date E Delete Add Figure 4 49 Add Director Information Page Finn BANK OF CANADA dalah BANQUE DU CANADA Page 92 RRS Regulatory Reporting System S R Note e The Member Type Expiry Date should always remain blank in this instance 13 Under Affiliation Type History provide the affiliation code as applicable from the drop down menu and the director affiliation type effective date Note e For example if a director is an officer or employee of the Financial Institution or an Affiliate 3 a will be shown as their Affiliation type Any other Affiliation status must be indicated by choosing one of 3 b to 3 i as applicable by the Act The definitions can also be found under Portal Documents English Return Instructions Corporate Returns If none of the above applies this field should be left blank Affiliation Type History Director Affiliation Type Director Affil
74. ents an error Notifications can be viewed and deleted from the Welcome page accessed through the Home menu item To view a notification 1 Click the Home menu item The notifications display RRS cpic WT BANK OF CANADA SJR Portal 4 SADC n kk BANQUE DU CANADA Home Draft Returns Submission Manage Beturris i Pacuments Taman Profile My Details Help Logout J Jones Your Organization English Anglais f Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal to complete and submit all required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile on the menu above fany details on your profile are out of date you should contact your regulator Draft returns that are ready for completion can be found by clicking on Draft returns on the menu above When yourreturns have been completed you must use the Submission functionality to finally submit them With RRS Portal you are also able to e Print submitted returns where signed hard copies are required e View and print previous submissions s Partially complete returns and return to them at a later date e Request a resubmission of returns where you become aware of mistakes For further information on howto use RRS Portal click on the help link in the top right hand corner of your screen Notifications Demise Reogived S
75. equired Roles or Contact Information Page Note On this page when you are looking to delete an individual or a related organization the Related Individual and Related Organization sections above will always remain blank These two sections are only to be used when you wish to make a change to an individual s name i e Jane Smith changes to Jane O Connor or a related organization s name i e Price Waterhouse changes to PricewaternouseCoopers A WHI BANK OF CANADA gon deel BANQUE DU CANADA Page 74 RRS Regulatory Reporting System 12 Under Roles click on Add button to expand box as shown below Roles Add Figure 4 29 Update an existing Required Roles or Contact Information Page Roles Select Add to add multiple roles for the related individual identified above Select Update to update the existing related individual or related organization roles for the individual identified above By selecting Update it will replace all information for the record you have selected Delete Please indicate whether you wish to add a new role or update an existing role C Add Update Please click the check box beside the items that you would like to provide updated information for Related Individual Role Role Chief Financial Officer E English Title French Title Affidavit File Attachment Browse Related Organization Role Role Not Applicable Role Effective Date m R
76. ew Director Board Informnetios Salus Ma Data Board Of Director Information Add Director Information i cDI Change Director Information PEE wE oT Add Director Type Figure 4 46 Draft Return Page 9 Click on Add Instance on the right hand side next to Add Director Information Tope O Flara 128 dalah BANQUE DU CANADA Page 91 RRS Regulatory Reporting System Son 10 The select the name of the Director you wish to provide information for from the drop down menu RRS amp coic fm amp fil BANK OF CANADA SIUR Portal w SADC con Lk BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais 2 Add Director Information ADI Organization Name Your Organization test Organization Code CGCG Director Please select the Director Figure 4 47 Add Director Information Page 11 Under Director Citizenship History provide the director s countries of citizenship and the Director Citizenship Effective Date Director Citizenship History Director Country Of Citizenship Director Citizenship Effective Date Director Citizenship Expiry Date Delete Figure 4 48 Add Director Information Page Note e The Director Citizenship Effective Date should be the same effective date that the individual b
77. ges during the year 15 Under Add Director Type this section only applies to Canadian Life Insurance Companies In this section you are required to let OSFI know if the director is also a Shareholder of the company as well as the director type effective date oSA dalah BANQUE DU CANADA Page 94 T cD A int BANK OF CANADA RRS Regulatory Reporting System RAS coic O fam be Wi BANK OF CANADA SIDR Portal wet SADC osn dL BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais 7 Add Director Type ADT Organization Name Your Organization test Organization Code CGCG Director Select the Director I Director Type Director Type Effective Date Director Type Expiry Date p Delete Add Save As Draft Validate amp Save Figure 4 52 Add Director Information Page Note e The Director Type Expiry Date should always remain blank in this instance 16 To provide the information on whether the director is also an employee of this FI or any of its subsidiaries this information must be provided under the Change Director Information Page The current default is set to No 17 Click on Add Instance on the right hand side next to Change Director Information 18 Then select the name of the Director you wish to
78. gure 4 37 Create Return Page 1 Enter an English and French name for the return see example above 2 Select Required Roles And Contact Information 3 Enter the Effective Date of change 4 Click the Create button 5 Click on Draft Returns to view the return in your draft folder io Phe A WHT BANK OF CANADA esr ak BANQUE DU CANADA Page 84 Regulatory Reporting System RRS coce A Portal S SADC on BANQUE DU CANADA _ Home tone ipa Returns Submission Manage Returns Reports Documents Carole Gagnon J Jones Change EnglishiAnglais v Draft Returns The returns listed below are in draft and can be completed prior to submission to your Regulator To create new returns please use the Create Return functionality Remm end dare Cue ate Ratum neme Raeren Rewsion New Fund Custodian RRCI475334 01 No Data 03 03 2014 02 04 2014 Figure 4 38 Draft Returns Page 6 Click on New Fund Custodian to open the return RRS RRS coc amp Partal SADC o MAAS Mo rt Retae nein Penase eine oom Jermain iyo J Jones Your Organization Change EnglishiAnglais v Draft Return Horne Select a section to complete You can partially complete a section and save it in draft for completion later You can also view sections in PDF format Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Sub
79. iation Type Effective Date Director Affiliation Type Expiry Date r h Delete Figure 4 50 Add Director Information Page Note e The Director Affiliation Type Expiry Date should always remain blank in this instance 14 Under Affiliate Non Affiliate History you are required to provide a file attachment containing both the director s affiliate and non affiliate information The file attachment can either be in Excel Word or PDF version T CDI A fm BANK OF CANADA osf daib BANQUE DU CANADA Page 93 RRS SOR Regulatory Reporting System Affiliate Details e If the Director is an officer or an employee of the Financial Institution or any Affiliate thereof indicate the principal position s held as of the date of the Annual Meeting of shareholders or date of the appointment If the Director is not an officer or employee no information is required Non Affiliate Details e List all other bodies corporate or firms other than the Financial Institution and Affiliates in which the director is a director officer or member Affiliate Non Affiliate History Effective Date Affiliate Non Affiliate File Attachment Browse Deets Figure 4 51 Add Director Information Page Note e The Director s Affiliate Non Affiliate file attachment cannot be amended You are required to submit a new file attachment after every Annual General Meeting or when there are chan
80. ification sccccecictcareseniciepicteeatanehaadanenareacectinn 48 3 7 11 OTHER Report of the Conduct Review Committee OSFI 598 cesseescsesssecsseesseeesees 48 3 7 12 OTHER Auditor s Report to the Principal Officer OSFI 601 eeeeeseessessseseseeeeneeeeee 49 4 0 Specific Corporate Returns Instructions cossescoesccssesocesccssesccesccesesscesccesesssssccssesee 50 4 1 How to Add Update your Organization s General Contact Information 50 4 1 1 How to Add an Organization General Contact Information secsssessseesseeeesneesseees 51 cc E L SADE hos M wcrc 4 1 2 How to Update your Organization General Contact Information 54 4 1 3 Updating information located under General Information ecseecssseessssteeesneees 57 4 1 4 How to answer the questions located under General FRFI Information 0 57 4 2 Howto Add an Individual Related Organization to your Organization Profile 60 4 2 1 How to Add an Individual to your Organization Profile csssessssecsseeesseeesseeeesneesseees 61 4 2 2 How to Add a Related Organization to your Organization Profile 66 4 3 How to Delete an Individual or a Related Organization from your Organization Profile 71 44 Howto Add Multiple Roles to an Existing Individual within your Organization Profile 77 4 5 How to make changes related to the External Auditor Actuary and Audit Actuarial Firm Roles 81 4 5 1 How to make changes when onl
81. ilable far completion via Draft Returns Figure 3 15 Welcome Page 1 Hover your mouse over the Submission menu item 2 Click the Submission History sub menu item daah BANQUE DU CANADA Page 29 RRS Regulatory Reporting System RRS coc we Sun Portal save Home Draft Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization Submission History Select 3 submission to view WT BANK OF CANADA dL BANQUE DU CANADA Help Logout EnglishiAnglais v z x i Drag a column header here to group by that column Return name Reference Revision Status Annual Corporate Certification 475347 1 0 Accepted Return end date 31 03 2014 Submitted date ze 28 11 2013 Figure 3 16 Submission History Page Return Revision number such as 2 0 3 0 etc The revision column of the Submission History page displays the current revision number of the return Submitted returns display on this page as revision 1 0 for the first submission and each subsequent submission increases by a whole 3 Click the name of the return to be viewed HHI BANK OF CANADA dalah BANQUE DU CANADA Page 30 Regulatory Reporting System RRS cnc amp Sam Portal TME O iee J Jones Your Organization i i Home Draft Returns Submission Manage Returns Documents Organization Profile
82. ing the Submit return functionality under the Submission menu oe e A B E lt Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory Update General Address Status No Data T Organization General Contact Information im GI General Information Edit View K la COGCI Change Organization General Contact Information B la AOGCI Add Organization General Contact Information img im GIFRFI General FRFI Information Edit View Figure 4 5 Draft Return Page Click on the Add Instance button on the right hand side next to Change Organization General Contact Information oo 9 This will open a new worksheet within this section of the return BAN BANQUE DU CANADA Page 55 RRS S R Regulatory Reporting System RRS amp coce TS BANK OF CANADA spz Portal WISADE pa AE AKE SRA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Change Organization General Contact Information COGCI Organization Name Your Organization test Organization Code CGCG Contact Type Business Mailing Address z Please click the check box beside the items that you would like to provide updated information for Ensure that all fields are then completed This information will replace all corresponding inform
83. ion profile Principal Officer Chief Compliance Officer Chief Anti Money Laundering Officer Chief Financial Officer Business Continuity Disaster Recovery Coordinator and Designated Audit Partner and Firm For all Canadian Life Insurance Companies and Fraternal Benefit Societies the following roles must be maintained within your organization profile Chief Executive Officer Chief Compliance Officer Chief Anti Money Laundering Officer Chief Financial Officer Business Continuity Disaster Recovery Coordinator Appointed Actuary and Designated Audit Partner and Firm For all Foreign Life Insurance Companies and Fraternal Benefit Societies the following roles must be maintained within your organization profile Chief Agent Chief Compliance Officer Chief Anti Money Laundering Officer Chief Financial Officer Business Continuity Disaster Recovery Coordinator Appointed Actuary and Designated Audit Partner and Firm For all Canadian Property amp Casualty Insurance Companies the following roles must be maintained within your organization profile Chief Executive Officer Chief Compliance Officer Chief Financial Officer Business Continuity Disaster Recovery Coordinator Appointed Actuary and Designated Audit Partner and Firm For all Foreign Property amp Casualty Insurance Companies the following roles must be maintained within your organization profile Chief Agent Chief Compliance Officer Chief Financial Officer Business Continuity Di
84. iscal year end This return is not subject to LFP penalties 3 7 11 OTHER Report of the Conduct Review Committee OSFI 598 This return is a return that will be scheduled by OSFI on a yearly basis At the beginning of your organization s fiscal year this return will appear in your Draft Returns folder This return only applies to Canadian Domestic Banks and Foreign Bank Subsidiaries Canadian Life and Property amp Casualty Insurance Companies Credit Union Centrals Trust and Loan Companies and Co operative Retail Associations This return is based on your fiscal year end date and is due within 90 days after the fiscal year end This return is subject to LFP penalties cbc E L SADE no M moremo ces RRS Regulatory Reporting System S R 3 7 12 OTHER Auditor s Report to the Principal Officer OSFI 601 This return is a return that will be scheduled by OSFI on a yearly basis At the beginning of your organization s fiscal year this return will appear in your Draft Returns folder This return only applies to Foreign Bank Branches This return is based on your fiscal year end date and is due within 5 months after the fiscal year end This return is not subject to LFP penalties T CDI A int BANK OF CANADA oSA dalah BANQUE DU CANADA Page 49 RRS Regulatory Reporting System S R 4 0 Specific Corporate Returns Instructions This section will provide detailed instructions on the following subjects 1 Ho
85. isting Individual within your Organization Profile To add multiple roles to an existing individual within your Organization Profile you must use the Required Roles and Contact Information Return The following are instructions on how to add multiple roles to an existing individual 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return RRS coe O PS cccuum Portal SDR SADC ios dii BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais x Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name New Officer Role English Anglais New Officer Role French Fran ais AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information Select form set By Law Return Fiscal Year End Return Funding Vehicle Information Notice of Annual or Special Meeting OSF565 Organization General Contact Information Required Roles And Contact Information Return of Shareholder s Domestic Banks Only OSFI602 Enter the earliest effective date of 08 09 2014 h change contained in the return Create
86. ittee s on which the director serves whether the director is an employee of this Financial Institution or any Subsidiary of this Financial Institution the director s affiliation type as well as their Affiliate and Non Affiliate information NOTE When it comes to the Board Chairman and Director roles an individual can only hold 1 of these roles at any given time It is understood that if an individual is given the role of Board Chairman this individual is also considered a Director 4 7 1 How to Add Remove a Director Board Chairman from your Organization Profile The following instructions are specific to when you are required to add a new director board chairman and remove an existing director board chairman from your organization profile In this instance using the Required Roles and Contact Information return you are first required to add a role expiry date to the existing director board chairman individual under the Update an existing required role and contact information section Please follow steps under 4 3 How to delete an individual from your organization profile Secondly you will then be required to add the new individual director board chairman under the Add a new required role and contact information section Please follow steps under 4 2 1 How to add an individual to your organization profile Once the first return has been successfully completed and submitted you must then create and submit the Boa
87. lator Draft retumis that are ready for cornpletion can be found by clicking on Draft returns on the menu above When yourreturns have been completed you must use the Submission functionality to finally submit them With RRS Portal you are also able to Print submitted returns where signed hard copies are required View and print previous submissions Partially complete returns and return to them at a later date Request a resubmission of returns where you become aware of mistakes For further information on howto use RRS Portal click on the help link in the top right hand corner of your screen Notifications Dismiss Hegeived Buom 28 11 2013 3 03 11 PM Annual Corporate Certification 475347 is available for completion via Draft Returns 1 Figure 3 2 Welcome Page 1 Click the Draft Returns menu item SAD deck BANQUE DU CANADA Page 16 Tope O floro BSF RRS Regulatory Reporting System Portal Home Draft Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization r Draft Returns Help Logout EngliswAnglais v t The returns listed below are in draft and can be completed prior to submission to your Regulator To create new returns please use the Create Return functionality RefAIAnOe RAVE Status Rein cue yate ed vata ReMi Figure 3 3 Draft Returns Page 2 Click the return na
88. ld like to provide updated information for 5 If the Director is an employee of this Financial Institution or any Subsidiary of this Fl please click the check box B Director Citizenship History Director Country Of Citizenship Director Citizenship Expiry Date Update Board Committee Membership History Committee Name Committee Member Type Member Type Expiry Date Audit Committee Member x 19 09 2014 Delete Update Figure 4 56 Change Director Information Page Board Committee Membership History When it comes to committee names it is critical that the name be identical to the name as it appears on the organization profile If the name within your profile is shown in English and in French then the full name must also appear on this page i e Audit Committee Comit de r vision You can also accomplish this by doing a copy and paste from your profile into this return The system is very sensitive in this instance and even an additional space will result in a validation error upon validating and saving 14 Click the Validate amp Save button This will bring you back to your Draft Return page 15 Now click on Add Instance on the right hand side next to Add Director Information 16 The select the name of the Director you wish to provide information for from the drop down menu T CDI A AN BANK OF CANADA osA dak BANQUE DU CANADA Page 99 RRS Regulatory Reporting System g RR
89. le Manage Users My Details ad Carole Gagnon J Jones Change EAI F Draft Return Select a section to complete You can partially complete a section and save itin draft for completion later You can also view sections in PDF format Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu oe EE H 5 Lot NTS Form Repeatable Add Ready to In No Data set Folder Folder P Section Submit Draft Mandatory iatus Mo Data New Funding Yehiete Funding Vehicle Information Add Funding Vehicle le CFV Change Funding vehicle E Figure 4 42 Draft Return Page A fnd BANK OF CANADA CDIC SADC osn diak BANQUE DU CANADA Page 87 RRS Regulatory Reporting System 9 Click the page with a green plus sign symbol associated with the section to be added or changed 10 Enter the appropriate funding vehicle information into the return RAS A sop Portal S Sae Co Moama Home Draft Returns Submission Manage Returns Reports Documents Organi ation Profil Manages Users My Details Help Logout Carole Gagnon J Jones Change English Anglais Add Funding Vehicle AFVI Organization Name J Jones Organization Code B001 Select the Fund Custodian Fund Custodians not listed must first be added to the Required Roles section in the profile Funding Vehicle Effective Funding Vehicle
90. me to be completed A I K OF CANADA Pare Page 17 Regulatory Reporting System RRS RRS coec a Som Portal S SADC o MME Home Draft Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization English Anglais v Draft Return Select a section to complete You can partially complete a section and save itin draftfor completion later You can also view sections in PDF format Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu yey Form Repeatable set Falter Folder im i 2 Add Ready to In No Data Farm Section Submit Drafi Mandatory Atrial Cofparate GaNinicalar talus Wo Data Canadian Companies Annual Corporate Certification ial amp ccacc Canadian Companies Annual Corporate Certification Edit View jae Figure 3 4 Draft Return Page 3 Click the Edit link K OF CANADA E DU CANADA Page 18 9 ge gt 3 4 i RRS Regulatory Reporting System RRS amp coce amp MINIT BANK OF CANADA Spa Portal SE SADC o NSD ARADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization EnglishiAnglais v Canadian Companies Annual Corporate Certification Organization Name Your Organization Organization Code
91. menu item to view the return in the draft folder sik BANQUE DU CANADA Page 90 Phe A WHT BANK OF CANADA BSF Regulatory Reporting System RRS RRS coc amp Home Draft Returns Submission Manage Returns Documents organization profile My Details Help Logout J Jones Your Organization Change EnglishiAnglais v Draft Returns The returns listed below are in draft and can be completed priorto submission to your Regulator To create new returns please use the Create Return functionality n A Ka 3 DPS Peturn Rim name Peiefenoe Fevisian ais Cus dale eysie New Director Board Information BDI475308 0i No Data 17 02 2014 19 03 2014 Figure 4 45 Draft Returns Page 8 Click on the New Director Board Information to open the return RRS cpic amp rants SADC Home Draft Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization Change EnglishiAnglais Draft Return Selecta section to complete You can partially complete a section and save itin draft for completion later You can also view sections in PDF format Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu eo E we B B a Ff LS Form Repeatable Add Ready to In No Data set Fakir Folder pami Section Submit Draft Mandatory W
92. mission menu Gg p ta d B a Form Repeatable Ready to In No Data set Folder Folder Silii Section Submit Draft Mandatory Sails We Data Adda new Required Role and Corresponding Contact Information Update an existing Requited Role or Contact Information Figure 4 39 Draft Return Page DS Fit RN CDIC SADC ost att BANQUE DU CANADA Page 85 RRS S R Regulatory Reporting System To add all the related individual as well as the related organization information for the Fund Custodian follow the steps outlined in Section 3 7 to add both roles within the same return 7 Click the Validate amp Save button Follow the steps outlined in Section 3 1 to submit this return To update Funding Vehicle Information follow the steps below 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return gt CDIC amp Fraga cane cr cannon era Portal Soy SADC OF diab BANQUE DU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon J Jones Change English Angiais Create Return To submit a corporate retum input a return name in either language and copy the same into the other requifed name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name New Funding Vehicle EnatistyAngiais
93. n Profile My Details Help Logout J Jones Your Organization Change View Edit My Details EnglishAnglais v Update My Passwor My User Details Review your user account details below To update enter new details and click the update button First name J Surname Jones Email address ones bank banque canada ca P Telephone number Intemational Area code Number Language of preference English Anglais v Update Assigned permissions roles pct D DAIN ie NE Filer Corporate Annual Certification Filer Corporate Canadian FI Filer Combo P R142 Organization x Corporate Foreign Fl Filer Corporate Pension Plans OPREA TEE E N nenanitalan Filer Corporate Annual Certification Filer Corporate Canadian FI Filer Your Organization Organization Corporate Foreiqn Fl Filer Corporate Pension Plans O cane A fm BANK OF CANADA oen dalah BANQUE DU CANADA Page 113 RRS Regulatory Reporting System S R Figure 6 1 My Details Page If your first and or last name or email address need to be updated It is strongly recommended to contact your LRA to update your first and or last name 3 Enter your new telephone number in the Telephone number field 4 Click the drop down arrow on the Language of preference field to change your language This will set the language that displays when you log into RRS Note you can change your language within a session by selecting the language drop
94. nage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais Add Required Roles And Contact Information ARRCI Organization Name Your Organization test Organization Code CGCG Entity Type Organization X Related Individual Salutation First Name Middle Name Last Name Related Organization For Individual Related Organization New Related Organizations not listed must first be added to the profile English Organization Name Sample Audit Firm Name French Organization Name Figure 4 20 Add Required Roles and Contact Information Page 10 Under Entity Type choose Organization see example above 11 Under Related Organization enter appropriate information in the language of your choice NOTE The Related Individual section will remain blank 12 Under Roles click on Add button to expand box as shown below Roles Add Figure 4 21 Add Required Roles and Contact Information Page O CDI A AN BANK OF CANADA BSF dalah BANQUE DU CANADA Page 68 RRS Regulatory Reporting System S R Roles Related Individual Role Delete Role Not Applicable x English Title French Title Affidavit File Attachment Browse Related Organization Role Role Audit Firm x Role Effective Date 01 09 2014 Role Expiry Date Add Figure 4 22 Add Required Roles and Contact Information Page 13 Under Related Organization Role choose the appropriate role fo
95. ng System 3 4 General Instructions on How to Correct Validation Errors on a Return If a return does not pass validation you will be informed via an error message that displays on screen The error message specifies the rule or rules that have failed You will need to correct the data in order to submit the return Begin at the Draft Returns page San Portal See O meee Home Draft Returns Submission Manage Returns Documents Organization Profie My Details i m Help Teo J Jones Your Organization Change EnglishiAnglais Draft Returns The returns listed below are in draft and can be completed prior ta submission to your Regulator To create new returns please Use the Create Return functionality Ratu 3 Rejoronere pring CUBASE New Chief Compliance Officer 0i No Data 24 02 2014 26 03 2014 Figure 3 21 Draft Returns Page ANK OF CANADA ANQUE DU CANADA Page 35 i RRS Regulatory Reporting System 1 Click the return name to open the return RR CDIC Portal SADC fi BANK OF CANADA daiak BANQUE DU CANADA e T T u Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout d Jones Your Organization Change EnglishiAnglais Draft Returns The returns listed below are in draft and can be completed prior ta submission to your Regulator To create new returns please use the Create Return
96. nly be used if a change in your current fiscal year end occurs This return also requires OSFI approval This return is not subject to LFP penalties 3 7 5 Funding Vehicle Information This return only applies to Private Pension Plans This return should only be used when a change in your funding vehicle occurs This return is not subject to LFP penalties WHIT BANK OF CANADA SAD deta BANQUE DU CANADA Page 45 qe A 9 na i gt RRS Regulatory Reporting System S R 3 7 6 Notice of Annual or Special Meeting OSFI 565 This return only applies to public companies for Canadian Domestic Banks and Foreign Bank Subsidiaries Canadian Life and Property amp Casualty Insurance Companies Credit Union Centrals Trust and Loan Companies and Co operative Retail Associations This return should be used to submit any and all shareholder documentation that must also be submitted to OSFI This return is based on the Annual General Meeting AGM Date due 15 days prior to the AGM date This return is subject to LFP penalties 3 7 7 Organization General Contact Information OSFI 657 This return applies to all Federally Regulated Financial Institutions FRFIs Foreign Representative Offices FROs and Private Pension Plans PPPs This return should be used to submit any changes to your organization s general business mailing address general telephone and fax numbers general and emergency email addresses This return should als
97. ns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais E General Details FRFI GIFRFI Organization Name Your Organization test Organization Code CGCG Please click the check box beside the items that you would like to provide updated information for Applies to Canadian Financial Institutions only If all the voting shares of the Financial Institution other than directors qualifying shares if any are M beneficially owned by a Canadian financial institution incorporated or formed by or under an Act of Parliament enter x here does not apply to Holding Companies E r If the Financial Institution is a subsidiary of a Foreign Bank Foreign Insurance Company or Qualified Foreign Holding Company enter x here i Figure 4 8 General Details FRFI Page SAD dalah BANQUE DU CANADA Page 58 TS SPLC OV Flara ese RRS S R Regulatory Reporting System 4 In order to provide a Yes response to any of these questions simply check box on the left hand side of the applicable question and also check box on the right hand side see example below RRS Ae sop Portal SSe t Mrava Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais
98. nt previous submissions Partially complete returns and return to them at a later date Request a resubmission of returns where you become aware of mistakes For further information on how to use RRS Portal click on the help link in the top right hand corner of your screen Notifications Dismics Recenes sublect ry 28 11 2013 3 03 11 PM Annual Corporate Certification 475347 is available for completion via Dran Returns Figure 3 24 Notifications Page 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return ANK OF CANADA ANQUE DU CANADA Page 38 i RRS SOR RRS Portal S R Home Draft Returns Submission J Jones Your Organization Charme Create Return Regulatory Reporting System m pic CY Fi orcauon asr dadah BANQUE DU CANADA Manage Returns Documents Organization Profile My Details Help Logout EnglistWAnglais To submit a corporate retum input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date Is the earliest effective date of change contained in the return Return name Select form set Enter the earliest effective date of change contained in the return New Contact Information fEnglisth Angiais New Contact Information French Fran ais Board Of Director information By Law Return Fiscal Year End Return Funding Vehicle Information Org
99. o Canadian Domestic Banks and Foreign Bank Subsidiaries Canadian Life Insurance Companies Canadian Fraternal Benefit Societies Canadian Property amp Casualty Insurance Companies Credit Union Centrals Trust and Loan Companies and Co operative Retail Associations The information provided in the Corporate Profile is required pursuant to one or more of the following provisions sections 628 632 950 and 951 of the Bank Act sections 495 and 499 of the Trust and Loan Companies Act sections 549 664 668 993 and 994 of the Insurance Companies Act or sections 431 and 432 of the Cooperative Credit Associations Act The Board of Directors their Affiliate and Non Affiliate information and the committees of the Board of the Financial Institution provided within the Board of Director Information Return are part of the public register required by governing legislation to be maintained by the Superintendent of Financial Institutions and therefore the Privacy Act allows this information to be disclosed to the public All other information Director s status as an Affiliated Person provided is protected and is deemed to be personal information The personal information you provide to OSFI will be stored in the Personal Information Bank PIB to be registered with Treasury Board Secretariat Individuals have a right to protection of and access to their personal information stored in each corresponding PIB in accordance with the Privacy Act and the A
100. o be used to change your preferred language and organization s website address All fields located under this return are mandatory fields This return also requires a mandatory general email address for the organization within your organization profile For all FRFIs this return should be also be used to provide the other general details located under the General Details FRFI section of your organization profile For FROs this return should also be used to provide your number of employees This return is subject to LFP penalties for FRFIs only T CDI A IMT BANK OF CANADA SAD 1 dak BANQUE DU CANADA Page 46 RRS Regulatory Reporting System S R 3 7 8 Required Roles and Contact Information OSFI 658 This return applies to all Federally Regulated Financial Institutions FRFIs Foreign Representative Offices FROs and Private Pension Plans PPPs The information provided in the Corporate Profile is required pursuant to one or more of the following provisions sections 628 632 950 and 951 of the Bank Act sections 495 and 499 of the Trust and Loan Companies Act sections 549 664 668 993 and 994 of the Insurance Companies Act or sections 431 and 432 of the Cooperative Credit Associations Act The name and address of the Audit Firm s of the Financial Institution provided within the Required Roles and Contact Information Return is part of the public register required by governing legislation to be maintained by the Superinten
101. of date you should contact your regulator Draft returns that are ready for completion can be found by clicking on Draf returns on the menu above When yourreturns have been completed you must use the Submission functionality to finally submit them With RRS Portal you are also able to Print submitted returns where signed hard copies are required View and print previous submissions Partially complete returns and return to them at a later date Request a resubmission of returns where you become aware of mistakes For further information on howto use RRS Portal click on the help link in the top right hand corner of your screen Notifications DESIniss Reoeived Buger i 28 11 2013 3 03 11 PM Annual Corporate Certification 475347 is available for completion via Draft Returns Figure 3 9 Welcome Page dalak BANQUE DU CANADA Page 23 Tope O falaoa BSF RRS Regulatory Reporting System 1 Click the Draft Returns menu item Portal SAD BANQUE DU CANADA CDIC le oon i saor canann Home Draft Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization Help Logout EnglishiAnglais v Draft Returns The returns listed below are in draft and can be completed priaf to submission to your Regulator To create new returns please use the Create Return functionality Rafala nre PRAWEIOt Retur nene Annual Corp
102. ole Expiry Date 15 09 2014 Add Figure 4 30 Update an existing Required Roles or Contact Information Page 13 Under Indicate whether you wish to add a new role or update an existing role choose Update 14 Under Related Individual Role choose the appropriate role for the individual as shown above 15 Under Related Organization Role this field will remain as Not Applicable 16 Check box to the left of Role Expiry Date this will enable to date field on the right hand side 17 Select the appropriate Role Expiry Date A CDIC A i II BANK OF CANADA LA SADC osn harm BANQUE DU CANADA Page 75 RRS Regulatory Reporting System S R 18 You can now click on the Validate and Save button 19 Your return is now ready to be submitted 20 Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return Note When you are removing and adding an individual on the same effective date i e the CEO of your organization has resigned and you are adding a new CEO you are strongly encouraged to use one return to make both changes Additions and deletions can be made within the same return filing Reminder A The system will NOT allow you to create two identical returns with the same effective date osA dk BANQUE DU CANADA Page 76 T CDI A AN BANK OF CANADA RRS S R Regulatory Reporting System 4 4 How to Add Multiple Roles to an Ex
103. orate Certification 475347 Reim E t shawata Heys 31 03 2014 30 04 2014 Figure 3 10 Draft Returns Page 2 Click the name of the return to be viewed i TS SPC OV alarau E DU CANADA Page 24 Regulatory Reporting System RRS cpc fini Home Draft Returns Submission Manage Returns Documents Organization Profile my Details Help Logout J Jones Your Organization English Anglais v Draft Return Select a section to complete You can partially complete a section and save itin draftfor completion later You can also view sections in PDF format Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu E E e BB B sn ee G Form Repeatable set Falter Folder Add Ready io In No Data Section Submit Drafi Mandatory Form Arial Corporate GAanincalar Stale NO Data Canadian Companies Annual Corporate Certification ial ccaAcc Canadian Companies Annual Corporate Certification Edit View If Figure 3 11 Draft Return Page 3 Click the View link to view the return or if there is more than one return section click the View link for each section to be viewed sais A Ft say or canon E DU CANADA Page 25 i RRS Regulatory Reporting System r RRS amp coce amp WNT BANK OF CANADA SUR Portal SADC sft dish
104. outlined in Section 3 1 to submit this return oan dalah BANQUE DU CANADA Page 37 RRS Regulatory Reporting System 3 5 General Instructions on How to Create a Corporate Return As described at the beginning of this section Scenario 2 details an event that triggers the need for a corporate return to be created by your organization or plan and submitted An example of this is event is a change in your organization s business mailing address To create a corporate return Begin at the Welcome page RRS A coce amp a WIT BANK OF CANADA Son Portal wet SADC ion kek BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization EngliswWAnglais Welcome to Regulatory Reporting System RRS Portal You have successfully logged in You can now use RRS Portal to complete and submit all required returns on line You should regularly check that your organization profile is up to date by clicking on Organization Profile on the menu above if any details on your profile are out of date you should contact your regulator Draft returns thal are ready for completion can be found by clicking on Draft returns on the menu above When your returns have been completed you must use the Submission functionality to finally submit them With RRS Portal you are also able to Print submitted returns where signed hard copies are required View and pri
105. ow instructions under 3 1 General Instructions on how to complete and submit a corporate return O CDI A fm BANK OF CANADA oSA dalah BANQUE DU CANADA Page 80 RRS Regulatory Reporting System S R 4 5 How to make changes related to the External Auditor Actuary and Audit Actuarial Firm Roles When making a change to your External Auditor or External Actuary roles within your Organization Profile you must use the Required Roles and Contact Information Return This change requires a 2 step process within the same return 4 5 1 How to make changes when only the auditor actuary role changes The following instructions are specific to when only the auditor actuary partner role changes and where the audit actuary firm remains unchanged In this instance you are first required to add a role expiry date to the existing auditor actuary individual under the Update an existing required role and contact information section Please follow steps under 4 3 How to delete an individual from your organization profile Secondly you will then be required to add the new individual auditor actuary under the Add a new required role and contact information section Please follow steps under 4 2 1 How to add an individual to your organization profile For these two roles only you will also be required to relate the individual to the related organization under Related Organization For Individual see example below cvic fini Po
106. password Begin at the Login page RRS Portal oS A WIT BANK OF CANADA S R d osn dalak BANQUE DU CANADA Home Not logged in English Anglais v Welcome to Regulatory Reporting System RRS Portal RRS Portal is an on line application that manages all of your formal communications with your regulator Using RRS Portal you will be able to complete and submit all required returns on line In addition you will be able to see your organization s profile the current information held by the regulator about your organization and keep it up to date To access RRS Portal enter your username and password below password is case sensitive Username n Password Login Forgotten Password Figure 2 7 Login Page 1 From the Login page click the Forgotten Password link daah BANQUE DU CANADA io CDI A iim BANK OF CANADA esif Page 10 RRS Regulatory Reporting System ARS 5 g CDIC sga Portal SADC om M SANGUE SO CANOA Home Notlogged in English Anglais v Forgotten Password To receive by email a new randomly generated password which will allow you to reactivate your account and choose a new password please enter your email address below Email address Submit F Figure 2 8 Forgotten Password Page 2 In the Email address field enter your email address registered in RRS 3 Click Submit The Forgotten Password page informs you that a temporary password has been emaile
107. r the organization as shown above 14 Under Related Individual Role this field will remain as Not Applicable 15 Enter the role effective date 16 Under Contact Information click on Add button to expand box as shown below Contact Information Add Figure 4 23 Add Required Roles and Contact Information Page O CDI A fm BANK OF CANADA oSA dalah BANQUE DU CANADA Page 69 RRS S R Regulatory Reporting System Contact Information Contact Type y Delete Same Address As Organization Your Organization r test Contact Type v Address English French First Address Line First Address Line Second Address Line Second Address Line Third Address Line Third Address Line City City Country Z Province Canada only x State USA only Z Postal Zip Code Email Address Delete Add Enone Area code Number Extension Delete Figure 4 24 Add Required Roles and Contact Information Page 17 Under Contact Type choose Business Mailing Address Note For a related organization their contact type must always be set as Business Mailing Address 18 You must then provide a general business email address for the organization including a general telephone and fax number If a general business email address is not available please provide the email address for the individual related to this organization 19 You can now click on the Validate and
108. rd of Director Information return To create the Board of Director Information return follow the steps below amp CDIC A Mm BANK OF CANADA SADC oen dalah BANQUE DU CANADA Page 89 RRS SOR 1 2 Regulatory Reporting System Hover your mouse over the Manage Returns menu item Click Create Return RRS A F i RR CDIC n SIUR Portal WSAD osm MM yore Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization Change EnglishiAnglais Create Return To submit 4 corporate return inputa return name in either language and copy the same into the other required name field Select the return to be submitted frorn the list below The Effective Date is the earliest effective date of change contained jn the return Return name New Director Board Information EnglistyAngiais New Director Board Information FrenciyFrangais Select form set Board Of Director Information 5 By Law Return Fiscal Year End Return Funding Vehicle Information Organization General Contact Information D Required Roles And Contact Information Enter the earliest effective date of 1702 2014 E change contained in the return Create Figure 4 44 Create Return Page Enter an English and French name for the return see example above Select Board of Director Information Enter the Effective Date of change Click the Create button Click the Draft Returns
109. rity e Bold text indicates a selection or data field to be filled in e Italics indicate a reference to a section within this document or a page within the Secure Site In addition there are three types of sidebars each identified by an icon Information These sidebars contain extra detail or describe optional steps behaviour and tell you how to correct the issue if you encounter it Warning These sidebars alert you to something important that can affect your ability to use RRS As Caution These sidebars point out a possibility that may cause unexpected 1 2 Technical Requirements For best performance the following technical requirements are recommended e Microsoft Internet Explorer version 8 or higher e Adobe Flash Player version 9 or higher e Cookies enabled CDIC A fimi BANK OF CANADA lt SADC osn dalai BANQUE DU CANADA Page 1 RRS Regulatory Reporting System S R e JavaScript enabled and e Microsoft Excel 2003 or higher to download information into Excel format Note that the Secure Site and RRS application have been tested and certified with the specified web browser 1 3 Support If you encounter an issue or problem with the RRS application that isn t covered by this Guide you can e Contact your organization s LRA e Contact the Bank of Canada at 1 855 865 8636 e Contact the Returns Administration group at OSFI at 613 991 0609 for issues related to corporate re
110. rtal S SADC con MEGS Seon ft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Sagnon Your Organization test Change English Anglais z Add Required Roles And Contact Information ARRCI Organization Name Your Organization test Organization Code CGCG Entity Type Individual Related Individual Salutation Mr z First Name John Middle Name Last Name Smith Related Organization For Individual KPMG 48961 Related Organization New Related Organizations not listed must first be added to the profile English Organization Name French Organization Name Figure 4 36 Add Required Roles and Contact Information Page coic e L Sape 8 M wxcrcomon oe RRS Regulatory Reporting System S R Note For the role of Internal Actuary the requirement to relate the individual to a related organization does not apply 4 5 2 How to make changes when both the Audit Actuarial Firm and External Auditor Actuary roles changes The following instructions are specific to when both the external auditor actuary partner role and the Audit Actuarial Firm changes In this instance you will first add a role expiry date to the existing auditor actuary Individual under the Update an existing required role and contact information section Secondly then add a role expiry date to the existing Audit Actuarial Firm Related Organization Please follow steps
111. s from your profile or updating existing information This return must also be used for updating all contact information related to individuals and related organizations This return is subject to LFP penalties for FRFIs only T CDI A IMT BANK OF CANADA SAD 1 dk BANQUE DU CANADA Page 47 RRS Regulatory Reporting System S R 3 7 9 Return of Shareholders OSFI 602 This return only applies to Canadian Domestic Banks This return is based on the Annual General Meeting AGM date and is due within 60 days of the AGM date This return is not subject to LFP penalties 3 7 10 OTHER Annual Corporate Certification This return is a return that will be scheduled by OSFI on a yearly basis At the beginning of your organization s fiscal year this return will appear in your Draft Returns folder This return must be used to certify on a yearly basis that you have reviewed and updated as appropriate all the corporate information located under your Organization Profile For Canadian FRFIs this return is also used to provide your Annual General Meeting AGM Date which will update your Annual Board Meeting Dates This return is due within 30 days of the AGM date For Foreign branches and Foreign Representative Offices this return is based on your fiscal year end date and is due within 60 days after the fiscal year end For Private Pension Plans this return is based on your fiscal year end date and is due within 6 months after the f
112. saster Recovery Coordinator Appointed Actuary and Designated Audit Partner and Firm For all Foreign Representative Offices the following role must be maintained within your organization profile Chief Representative coic E SAGE 8 M wcrcomon nee RRS S R Regulatory Reporting System For all Private Pension Plans the following roles must be maintained within your organization profile Plan Sponsor Plan Administrator and Pension Fund Custodian 4 2 1 How to Add an Individual to your Organization Profile 1 Hover your mouse over the Manage Returns menu item 2 Click Create Return RRS A RR A CDIC SDR Portal SADC on Fils SU CANADA Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais I Create Return To submit a corporate return input a return name in either language and copy the same into the other required name field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name New Chief Financial Officer English Anglais New Chief Financial Officer French Francais Select form set AFS Auditor s Report Other Shareholder s Material OSFI597 Board Of Director Information By Law Return Fiscal Year End Return Funding Vehicle Information Notice of Annual or Spe
113. separate scenarios are described below both scenarios involve two users User 1 and User 2 accessing the same return at the same time Scenario 1 Validate amp Save User 1 clicks the Validate amp Save button on the return and the data is saved at version 1 1 Then User 2 clicks the Validate amp Save button and also saves the return overwriting the data saved by User 1 and updating the revision of the return to 2 1 In this circumstance the data in the return saved last is the return data RRS displays as the most current Scenario 2 Submit User 1 successfully submits the return User 2 attempts to submit the return but receives an access denied message as this return has already been submitted by User 1 View Audit Log To determine who worked on a specific revision of a return use the View Audit Log feature as described in Section 3 2 How to View a Return 11 4 Printing Returns To print a return use the Excel icon on the Draft Return page to open the return in Microsoft Excel format then use the print feature in Microsoft Excel T cane A finni BANK OF CANADA SAD 1 dk BANQUE DU CANADA Page 123 RRS Regulatory Reporting System Page 124 RRS Regulatory Reporting System S R 12 0 Glossary Term Acronym Definition Description BoC Bank of Canada CDIC Canada Deposit Insurance Corporation CY Calendar Year Enhanced Authentication A security requirement that applies to
114. ser role Gives a user access to specific features and functions Validation error A message that displays the error that caused the validation process to fail Users must correct the error to A CDIC 8 iN BANK OF CANADA LA SADC osn harm BANQUE DU CANADA Page 125 RRS Regulatory Reporting System SUR Term Acronym Definition Description continue Validation rule A rule used during the validation process expressed as an equation Web form An on screen or online display of a return Workstation A computer used to access the BoC s Secure Site and the RRS application YE Year End ANQUE DU CANADA Page 126
115. sh Anglais M Draft Return Select a section to complete You can partially complete a section and save it in draft for completion later Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu KEY p p ia a B o Formset Folder Repeatable Folder Form Add Section Ready to Submit In Draft No Data Mandatory New director Part 2 Status No Data iG Board Of Director Information xs Ta ADI Add Director Information P le CDI Change Director Information limp la ADT Add Director Type ma Figure 4 59 Draft Return Page o Click on Add Instance on the right hand side next to Change Director Information 10 The select the name of the Director you wish to provide information for from the drop down menu 11 Enter the full name of the committee you wish to remove exactly as shown under the organization profile 12 Select the appropriate member type for the individual committee 13 Enter the appropriate member type expiry date see example below K OF CANADA E DU CANADA Page 103 Gi 5 a gt 3 g RRS Regulatory Reporting System RRS cpic A Sun Portal DSE So Morawa Home Draft Returns Submission Manage Returns Reports Documents Organization Profile Manage Users My Details Help Logout Carole Gagnon Your Organization test Change English Anglais z Change Director
116. the Validate and Save button is clicked When you attempt to submit a return validation rules are applied If a return fails validation you are presented with an error message Returns with errors display with a white exclamation mark in a red circle on the Draft Returns page In the event of an error you will need to correct the information to continue amp CDIC A Mm BANK OF CANADA SADC oen dalah BANQUE DU CANADA Page 14 RRS Regulatory Reporting System S R Validation rules can be applied to specific sections of a return but if any section fails validation the return cannot be processed as the entire return needs to be valid before it can be submitted Validation rules are documented in the Return Rules report specific to each return type Draft Return Key Icons The Draft Return page displays icons that are used to depict specific return information The key icons are described as follows Ss PS gt he wv la o a 7 3 Form Folder Repeatable Form Add Ready to In No Data set Folder Section Submit Draft Mandatory Figure 3 1 Draft Return Key Form Set a double set of folders represents an entire return which could consist of one or many forms also known as sections Folder a single folder represents a structural grouping of forms also known as sections Repeatable Folder a single folder with blue arrows indicates a folder that has repeatable sections Form a page symbol indicates a section within
117. turns WT BANK OF CANADA Cc SADC os deck BANQUE DU CANADA Page 2 RRS Regulatory Reporting System S R 2 0 Logging into RRS To log into RRS you need to be logged into the Bank of Canada s Secure Site Once logged into the Secure Site the RRS login page displays e Ifyou are logging into RRS for the first time see 2 2 Logging in for the First Time e If you have forgotten your RRS password see 2 3 Resetting Your RRS Password Refer to the Bank of Canada Secure Site User Guide for information on logging into the Bank of Canada s Secure Site 2 1 Log into RRS To log into RRS Begin at the RRS Login page 9 WT BANK OF CANADA Cc SADC os deck BANQUE DU CANADA Page 3 RRS Regulatory Reporting System S R Ras O A A i l S CDIC Spor Portal S Save w Fa ar ca Home Not logged in English Anglais v Welcome to Regulatory Reporting System RRS Portal RRS Portal is an on line application that manages all of your formal communications with your regulator Using RRS Portal you will be able to complete and submit all required returns on line In addition you will be able to see your organization s profile the current information held by the regulator about your organization and keep it up to date To access RRS Portal enter your username and password below password is case sensitive Username Password Login Forgotten Password Figure 2 1 Login Page
118. tween 30 000 and 7 5 million dollars If yes please indicate annual gross revenues as at fiscal year end Figure 4 10 General Details FRFI Page 6 Once applicable questions have been answered you can now click on the Validate and Save button 7 Your return is now ready to be submitted Follow instructions under 3 1 General Instructions on how to complete and submit a corporate return O CDI A AN BANK OF CANADA BSF dalah BANQUE DU CANADA Page 59 RRS Regulatory Reporting System S R 4 2 How to Add an Individual Related Organization to your Organization Profile To add an individual or a Related Organization to your organization profile you must use the Required Roles and Contact Information Return For each individual or related organization a Business Mailing Address must be maintained at all times Provide the full name and salutation of each new individual being added to the organization profile For all Canadian Domestic Banks and Foreign Bank Subsidiaries Credit Union Centrals Trust and Loan Companies and Co operative Retail Associations the following roles must be maintained within your organization profile Chief Executive Officer Chief Compliance Officer Chief Anti Money Laundering Officer Chief Financial Officer Business Continuity Disaster Recovery Coordinator and Designated Audit Partner and Firm For all Foreign Bank Branches the following roles must be maintained within your organizat
119. ugen im 28 11 2013 3 03 11 PM Annual Corporate Certification 475347 s available for completion via Draft Returns Figure 7 1 Help Page 2 In the Subject column view the notification information PF coic CY Eloro SADE OS dull BANQUE DU CANADA Page 118 RRS Regulatory Reporting System g To delete a notification 1 In the Dismiss column click the check box associated with the notification to be deleted The notification is deleted aly CDIC WIT BANK OF CANADA w c OSA Page 119 BSF dL BANQUE DU CANADA Regulatory Reporting System 9 0 Accessing Help Help text is available on all topics within RRS To access RRS Help 1 Click the Help link located on the top right of the application The Help text displays f RRS Home Draft Returns s J Jones ABC Bank Welcome to Regul You have successfully You should regularly ch details on your profile al Draft returns that are re When your returns hava With RRS Portal you ar e Print submitted e View and print e Partially comple e Request aresu For further information q Notifications Dismiss Re 09 07 201 RRS Portal User Help index This help guide for RRS Portal contains information and guidance on how to complete and submit electronic forms to the regulator and general information on how to use the RRS Portal application Please start with an Overview of RRS Portal
120. urns Documents Organization Profile My Details Help Logout J Jones Your Organization Create Return EnglishiAnglais Delete Return Draft Return Selecta section to complete You can partially complete a section and save itin draftfor completion later You can also view sections in PDF format Once all sections are completed and validated the return can be submitted using the Submit return functionality under the Submission menu 7 D F ia a if a z i Form Repeatable Add Ready ta In No Data set Patten Folder Form Section Submit Draft Mandatory ey Ciyectwy Btatls Na Data I Required Roles And Contact Information x B aai n O g a ARRCI Add a new Required Role and Corresponding Contact E Information ia CRRCI Update an existing Required Role or Contact Information E Figure 3 27 Manage Returns Drop Down Page 2 Click Delete Return dalah BANQUE DU CANADA Page 41 Tope O florae BSF Regulatory Reporting System RRS coic amp Sor Portal SSE LS Merga Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout J Jones Your Organization Change EnglishiAnglais X Delete Return Return name Reference Revision Status Creation dat Action New Director RRCI475312 Q1 No Data 28 02 201 4 3 23 02 PM Delete Figure 3 28 Delete Return Page 3 Inthe Action column click the Delete link of the return to
121. view HIN BANK OF CANADA BANQUE DU CANADA Page 110 qe gt Fe RRS Regulatory Reporting System RRS fo CDIC ae son Portal SADC Home Draft Returns Submission Manage Returns Documents Organization Profile My Details J Jones Your Organization Current Board of Directors and Functional Appointments Organization Name Your Organization Organization Code YO Chairman Directors Functional Appointments na 5 Figure 5 3 Board of Directors Section Page 3 Review the listed information To change organization profile information Begin at the Create Return page o Tine A WHT BANK OF CANADA BSF dL BANQUE DU CANADA 2 TWIT BANK OF CANADA dL BANQUE DU CANADA Help Logout English Anglais CBDFA Page 111 SDR Regulatory Reporting System pe BANK OF CANADA SIRA Portal SADC osm rak BANQUE DU CANADA Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Lagout J_ Jones Your Organization Change EnglishiAnglais v Create Return To submit a corporate return inputa return name in either language and copy the same into the other required hare field Select the return to be submitted from the list below The Effective Date is the earliest effective date of change contained in the return Return name Englist Angiajs Fren Fran ais Select form set iD Board Of Director Information By Law Return Fiscal Year End Return
122. w Audit Log Submit Page A oSA Bss 18 11 2013 3 3 PM Prot BANK OF CANADA dub BANQUE DU CANADA Help Logout English Anglais v J Jones View Cor nis Request Return Resubmission Request Resubmissions are only permitted with Corporate Returns that do not affect your Organization Profile To correct any errors on a previously submitted corporate return please contact the Returns Administration group at OSFI at 613 991 0609 for assistance in correcting submitted corporate information Pint BANK OF CANADA daah BANQUE DU CANADA Page 32 Regulatory Reporting System 3 3 General Instructions on How to View Errors To view errors Begin at the Welcome page 1 Click the Draft Returns menu item RRS i A RRS cDIC sgr oel S SADC o M aE on Home Draft Returns Submission Manage Returns Documents Organization Profile My Details Help Logout English Anglais v J Jones Your Organization Change Draft Returns The returns listed below are in draft and can be completed prior to submission to your Regulator To create new returns please use the Create Return functionality Pelunnirene Pape Revision stale tone Pusate RRCI475306 Di Ready to Submit o 24 02 2014 26103 2014 New Chief Compliance Oficer Figure 3 19 Draft Returns Page 2 Locate a return with an error icon next to the status red circle with an exclamation mark 3 Click th
123. w to Add Update your Organization s General Contact Information 2 How to Add an Individual Related Organization to your Organization Profile 3 How to Delete an Individual Related Organization to your Organization Profile 4 How to Add Multiple Roles to an Existing Individual within your Organization Profile 5 How to make changes related to the External Auditor External Actuary Roles 6 How to make changes related to the Funding Vehicle and or Fund Custodian 7 How to make changes related to the Board of Director Information Return 4 1 How to Add Update your Organization s General Contact Information Whether you are updating your organization s general contact information or adding new general contact information you must use the Organization General Contact Information Return For all Federally Regulated Financial Institutions except Foreign Insurance Branches and Foreign Bank Branches Private Pension Plans and Foreign Representative Offices a Business Mailing Address must be maintained at all times This information is used to update OSFI s external website For Foreign Insurance Branches and Foreign Bank Branches a Branch Mailing Address must be maintained at all times This information is used to update OSFI s external website Other address types such as Head Office Address can be provided and maintained within your organization profile however it is not a mandatory requirement The Location of Books and Records CRA A
124. which is a general guide on using the site with information on how to edit submit le on the menu above If any and request resubmission of returns You will also find details on how to access returns you have already submitted and how to view the information the regulator holds about your organization Below are the list of available help topics e Overview of RRS Portal e Draft Returns e Submission o Submit Returns o Submission History o Request Resubmission e Manage Returns o Create Return o Delete Return e Organization Profile e Documents e Reports e Manage Users o Create User o View Edit User e My Details o View Edit My Details E RRS Portal User Help Windows Internet Explorer fo S jx le MIT sank oF CANADA i tak BANQUE DU CANADA Help Logout English Anglais v turns on line rner of your screen completion via Draft Returns Figure 8 1 Help Page qe 9 2 gt Fe BANK OF CANADA BANQUE DU CANADA Page 120 RRS Regulatory Reporting System Other help options 1 The Documents menu item provides additional reference and training documents To receive more help with RRS you can contact your organization s LRA or contact the Bank of Canada at 1 855 865 8636 O CDI A fm BANK OF CANADA esr daiak BANQUE DU CANADA Page 121 RRS Regulatory Reporting System S R 10 0 Logout RRS provides the ability to logout
125. y the auditor actuary role Changes 81 4 5 2 How to make changes when both the Audit Actuarial Firm and External Auditor Actuary roles changes eae eases eeu ictal cca esta ncaa iain see 82 4 6 Howto Make a Change to Both a Pension Plan s Funding Vehicle and Fund Custodian 83 4 7 Howto make changes related to a Canadian Organization s Board of Directors Informatio D nsir iiaiai aa AEE AERA ANAE A T om a oso 89 4 7 1 How to Add Remove a Director Board Chairman from your Organization Profile 89 4 7 2 How to make board committee name changes within your Organization Profile 96 4 7 3 How to make board committee membership changes within your Organization Profile 101 5 0 Viewing Documents 00 o00000s00eso0esooesooesssesssesssccssoossosessseesseessecssoosssoessoessseesseesscosssos 106 6 0 Organization Profile 0000sooesesooescsssesccsscocescsscssccsscsscesccesesscesccsscsscsesocescsesesscsscsssessess 108 7 0 Managing Your Details 00000000000000000000ss00ssoossoossscssssesssesssocssoossssssssesssesssosssoossssesssee 113 8 0 Managing NOtticati ons vesscisss cess isevedaccveteswsendsvensvnetsascvecvadeteuadesensbeevandenuddenenasavsoveneicaseenes 118 90 Accessing HelPissssssssscississseossssecssssssisee essees ssai su sesse nassu Seoses ers Seu sesio Ssss toposa istess 120 10 0 LOG OUI oi ssccssseiacssersvsevseccanivsavveniscpinncebenssenecteseatevsdessndusnsupebsavevendeasesdeeveussssduastenssdspelsedeasenase 122 TOL In

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