Notification of managers transactions via emt Quick User Guide for listed companies

Transcription

1 Notification of managers transactions via emt Quick User Guide for listed companies Table of Contents 1. Before using emt FiMiS Persons having access Certificate Electronic Identity Card (EIC) Accessing emt FiMiS Starting the application Selecting the certificate Entering the pin code Home page of the FiMiS portal The login page Subsequent access to emt FiMiS Using emt FiMiS Submitting a new survey Declarer section Transaction section Following up a survey that has been submitted Submitting the survey Further steps Having technical problems with the emt - FiMiS application? Contact the FSMA service desk via or servicedesk@fsma.be Questions about accessing emt FiMiS? Contact the secretariat of the Market Surveillance service via or soc.fin@fsma.be Do you have substantive questions about notifying transactions? Contact the Market Surveillance service or info.fin@fsma.be Page 1

2 1. Before using emt FiMiS 1.1. Persons having access The emt application for notifying transactions by managers and persons closely associated with them is part of the secure FiMiS environment. Declarers (notifying persons) can set up an account with a login and password (see the manual for declarers on the FSMA website). For access by listed companies, a secure environment was chosen with a certificate and activation code, as described below. Listed companies that have access to ecorporate The FSMA has opted to link the access rights to emt with access to the ecorporate platform, which is also part of the FiMiS environment. Therefore, all persons who have access to ecorporate, that is, those referred to as 'Company Administrators' or 'Company Writers', automatically have access to emt. They can thus skip the following steps and go directly to chapter 2. If a listed company wishes to designate additional persons for access to emt, the existing Company Administrator (for ecorporate) can designate these persons as Company Writers or (extra) Company Administrators, so that can may have access to edossier and emt. Listed companies that do not have access to ecorporate These are companies whose financial instruments are listed on the Vrije Markt/Marché libre. These companies are to give the FSMA service desk ( or servicedesk@fsma.be) the names of the persons at their company who need access to emt. Each new user will then receive an activation code from the FSMA, after which the user can go through the following steps Certificate In order to access FiMiS, each user must have a personal certificate that is issued by a recognized third party. The following certificates are eligible: GlobalSign Personal 3 ( Isabel ( Certipost ( your electronic identity card (EIC) ( After its purchase, this certificate must be installed on the PC that will be used for FiMiS, in accordance with the instructions of the provider. For further information, please contact the supplier of the certificate. This certificate is personal, in other words, every user within a listed company must have his or her own certificate. Page 2

3 1.3. Electronic Identity Card (EIC) Purchase, installation and connection of the EIC reader In order to use the EIC, an EIC reader is required. This can be found in computer stores and is sold with software which must be installed prior to using the card reader. Once that is done, you can connect the card reader to a USB port and wait until the reader is recognized and available. Creating the EIC certificate You must now create a certificate with your EIC. Insert your EIC into the reader. Click on 'Yes' on the following screen: You will now see the next message. Click on 'OK'. Your certificate is now registered. You may remove your card from the reader. Page 3

4 2. Accessing emt FiMiS 2.1. Starting the application Start the application using the following link: The user will see the following screen; click on 'Login' to access Selecting the certificate If you have multiple certificates, you will be asked to select a certificate. For the EIC: click on the Citizen CA xxxx certificate and press OK. For a different certificate: click on the certificate and press OK Entering the pin code This step applies only to the use of an EIC (for other certificates, see point 1.2). You will be asked to enter your pin code. Then press OK. Page 4

5 2.4. Home page of the FiMiS portal You are now identified as a user with a valid certificate. You may now remove your EIC from the reader. When logging in to FiMiS for the first time, the following page will appear and you will need to register a user profile this one time only. Now fill in your profile details. This is required only the first time (or whenever you first log in with a new certificate). The language selection determines the language you will use from now on. This choice can be changed later. Now click on 'Register'. The application will now start up. If this page does not appear, there is something wrong with the certificate. In that case, you are advised to contact the FSMA service desk ( or servicedesk@fsma.be) Page 5

6 2.5. The login page When logging in to FiMiS for the first time, users must enter the activation code the FSMA provided to the contact person designated by your company. This activation code will automatically be linked to your access certificate, so that the next time you log in, you will not have to enter your activation code again Subsequent access to emt FiMiS The next time the user logs on to FiMiS, he or she will need to follow only steps 2.1., 2.2. and 2.3. Page 6

7 3. Using emt FiMiS The emt application provides two different ways to notify transactions to the FSMA: - The declarer makes a notification via his or her access to the emt application, after which a user at the listed company must confirm the notification to the FSMA (see 5.). - In consultation with the declarer, a user at the listed company creates a new survey in emt on behalf of the declarer (see 4.). After the user has logged in, the following My edossier page will appear. The user sees a list of all the surveys (notifications) his/her listed company has submitted (this will in principle be for only one company). There may also be surveys that were submitted by the declarer or entered by users at the listed company. The 'Lifecycle' column indicates which surveys require follow-up ('Open') by users at the company and which ones have already been processed ('Closed'). The 'state' column gives details with regard to the state of the surveys that are still open. The following table provides an overview of the possibilities a user might see: Lifecycle Created by State Explanatory notes Open Declarer Pending Survey must still be confirmed to the FSMA by the listed company. Rejected Survey was rejected or cancelled by a user at the listed company. Company Initial Survey has not yet been saved and validated. OK Survey has been saved and validated. There are no error messages. The survey has not yet been submitted to the FSMA. Error Survey has been saved and validated. There are error messages that need to be resolved before the survey can be submitted. Deleted Survey has been deleted but is still visible. Closed OK Survey was successfully submitted to the FSMA Published OK Survey was successfully submitted to the FSMA and published on the FSMA website Page 7

8 4. Submitting a new survey In order to submit a new survey, users can click on 'New Survey' on the 'My edossier' start screen under 'I Want To', after which the following screen will appear. The name to be filled in under 'Regarding' differs depending on the type of declarer: - If the declarer is a natural person, it is his or her details that have to be filled in. - However, if the declarer is a legal person, the details of the contact person who is creating an account on behalf of the legal person have to be filled in. The FSMA website will not show the contact person but only the name of the legal person, which can only be entered a bit later in emt (see 4.1.). The emt application stores the information that was entered for previous surveys, so that when submitting subsequent survey, a user can easily select a declarer who is already in the system by means of a dropdown menu. If the declarer (or the contact person on whose behalf the legal person-declarer submits a notification) is not yet registered in the emt, the user must click on 'New'. Page 8

9 The details for the new declarer (or the contact person) can then be entered and stored in the emt by clicking on 'Register'. The 'Your reference' field is not a mandatory field. Users can, if they wish, enter their own reference here. By clicking on 'Create', the other details of the notification can be entered. Page 9

10 4.1. Declarer section The details of the declarer are to be entered on this screen. The application automatically fills in the details that were entered in the last survey, so that in some cases the user has nothing more to fill in or adapt. The text box below must be left empty if the notifying person is a person discharging managerial responsibilities. If the notifying person is associated with a manager, however, then the name of the manager must be mentioned in the text box below. If the notifying person is associated with several managers, extra text boxes can be added using the plus sign. By clicking on 'Validate & Save', the information entered is saved. It has not yet been submitted Transaction section Page 10

11 The details of the transaction are to be entered on this screen. The application will once again fill in some information automatically from the last transaction entered. If the answer to the question whether the notification refers to multiple transactions is 'No', then the fields under 'Transaction details' must be left empty. If the answer is 'Yes', the fields must be filled in and at least two transactions must be notified (that is, two lines). An extra line can be added for each extra transaction using the plus sign. By clicking on 'Validate & Save', the information entered is saved. It has not yet been submitted to the FSMA. As long as the notification has not been submitted, the user can retrieve it at a later time and make changes to it (see 5.). If the information entered is contrary to the validation rules, the message 'Validation report' will appear at the top of the screen when you click on 'Validate & Save'. Click on the arrow to the left of 'Validation report' to see the reasons for the error message. As long as the notification has not been submitted, the user can make changes or reopen it at a later time. For more information about submitting a notification, go to step 6. Page 11

12 5. Following up a survey that has been submitted Users can see via the start page of 'My edossier' which surveys require follow-up. This is the case for all surveys where the Lifecycle is marked 'Open' and the state is 'Pending', 'Initial', 'Error' or 'OK'. If a declarer has submitted a survey, all users at the listed company will be informed of this by . By clicking on 'MANTRS' (the abbreviation of manager's transaction), users can open a survey from the list. By clicking on 'Declarer' and on 'Transaction', users at the listed company can view and/or modify the information in the survey. Surveys submitted by a declarer can be viewed but not modified by a user at the listed company. If there is a problem with the survey, a user can, however, reject it by clicking on 'Reject Survey'. The survey will then be set to 'Rejected'. Page 12

13 If the user in question considers that there is a problem with the declarer, the user can click on 'Reject Insider'. The survey will then be set to 'Rejected'. Page 13

14 6. Submitting the survey If the user clicks on 'Submit to FSMA', a pop-up screen will appear warning the user that the survey will become read-only and can no longer be modified. If the user clicks on OK, the survey is submitted. The user will then be returned automatically to the start page of 'My edossier'. 7. Further steps Once a survey is set to 'Closed', it has been successfully submitted to the FSMA. At the end of the day, it will appear on the FSMA website, after which its status will be set to 'Published'. Page 14