User Manual for FIX Website Company Module

Transcription

1 User Manual for FIX Website Company Module Fin-X Solutions Version: 1.1

2 Contents 1. Introduction FIX User Hierarchy FIX System User Hierarchy Page wise Help Option Super User Registration Request Login Page Company Super User Operations Change Password Add User Upload Filing Check Filings Review Filings Auditor Approved Filings Download Template View Filing Auditor Association Company User Operations Change Password Upload Filing Download Template View Filing Frequently Asked Questions (FAQs) List of Abbreviations Table of Figures Field Details User Manual for FIX Website Page 2

3 1. Introduction The Securities and Commodities Authority (SCA) is planning to adopt an XBRL based Electronic Filing Platform. This system will help companies listed on the Abu Dhabi Securities Exchange (ADX) and Dubai Financial Market (DFM) to file their reports electronically and the platform will enable more efficient distribution, analysis and display of the filed information. XBRL (extensible Business Reporting Language) is a leading world standard for financial reporting. XBRL offers major benefits at all stages of business reporting and analysis by enabling producers and consumers of financial data to switch resources away from costly manual processes like comparison, assembly and re-entry of data. It enables them to concentrate their efforts on analysis aided by software which can validate and manipulate XBRL information. A conventional report which is in non- XBRL format is converted into a standardized report where each and every piece of information is mapped to a particular definition. This definition is called the Taxonomy which is used for converting the non-xbrl reports to a standard XBRL document. This XBRL based electronic filing platform is called the X-Filing System [FIX]. The filing system consists of two components: Desktop based tool to generate XBRL documents called ifile desktop tool and Electronic filing platform where authorized company users can upload these XBRL documents. The different stakeholders involved with the FIX system include the SCA, the Exchanges, the Companies and the Auditors (to approve or reject the filings uploaded by companies). This user manual explains in detail the various user roles, features and processes associated with the electronic filing platform, FIX. The FIX portal provides for registration of exchanges, companies, auditors and creation and registration of different type of users for each of the entities described. Access to the FIX portal is role dependant and is based on access control mechanism defined by the user system hierarchy described in the next section. The various functions available to a particular user within the hierarchy are explained in detail in the subsequent sections. The User can access the FIX portal by accessing the URL: If you face problems accessing the FIX portal, please contact UAEXBRL@sca.ae or you can also get in touch with support@irisbusiness.com. User Manual for FIX Website Page 3

4 2. FIX User Hierarchy 2.1 FIX System User Hierarchy Figure 1: FIX User Hierarchy User Manual for FIX Website Page 4

5 The functionalities of each User of the FIX website are detailed below: SCA Administrator The SCA Administrator can add exchanges, set filing dates for different types of reports namely the Financial Report, Corporate Governance Report and Corporate Announcement Report and the Broker Reports, add user roles, upload template files for the reports added to the system and view users registered with the FIX portal. The SCA Administrator will have all the rights that the ESM System Administrator, the Exchange System Admin, the Exchange User Admin, the Exchange Filing Admin and the Auditor Administrator have and which are described below. ESM System Administrator The ESM Administrator can create and edit Audit firms in the FIX portal. ESM Administrators can also view user list of the registered Audit firms. Exchange System Administrator The Exchange System Administrator is responsible for registering companies with the FIX portal as well as editing details of companies already registered. Exchange System Administrators can also add Company Super Users and view company users registered with the FIX portal. Exchange User Admin The Exchange User Admin can add or modify Company Super Users, Exchange Checker, and Exchange Viewer and accept or reject Super User registration requests from authorized users of companies. Exchange Filing Admin The Exchange Filing Admin can check and accept/ reject filings uploaded by companies. They can also view past filings made by companies. Exchange Checker The Exchange Checker can accept or reject filings submitted by companies as well as view filings that are uploaded by companies. Exchange Viewer The Exchange Checker can only view filings submitted by companies. Company Super User The Company Super User can add Users, associate the auditors to companies, check and approve filings uploaded by the Users, check and approve filings approved by auditors, download report templates, review filings, upload filings and view filings. User Manual for FIX Website Page 5

6 User The Company User will be able to download report templates, upload and view filings. Auditor Administrator The Auditor Administrator can add or modify Audit Super Users, view Audit Firm Users already registered with FIX as well as accept or reject Super User registration requests from authorized Audit Users. Audit Super User The Audit Super User will have rights to add Auditors, accept or reject Auditor Company association request sent by the companies. The Audit Super User can check filings submitted by companies - with which their audit firm is associated - and approve or reject those filings. The Audit Super User can also assign junior Auditors to review filings received from the companies. Audit Super Users can also change the reporting relationship for Auditors of their firm who report to them (For decentralized Audit Firms). Auditor The Auditor can check filings submitted by companies - with which their audit firm is associated - and approve or reject these filings. During system install, the SCA administrator, ESM Administrator, Auditor Administrator, Exchange System Administrator, Exchange User Admin, Exchange Filing Admin users will be created. There can only one Company Super User and one active Company User for any company. The Company Super User can create Company User for the filing of reports. Similarly, the Auditor Administrator can create Audit Super Users or an Auditor Company Super User can submit a request for registration as a Super User. This request will have to be approved by Auditor Administrator. The Audit Super User can create Auditors who by default will report to the Audit Super User who created the Auditor. This reporting relationship can be changed subsequently. User Manual for FIX Website Page 6

7 2.2 Page wise Help Option Users can click on the help icon present in each web page to get detailed field level help for that page. The help information will be displayed inside a popup window. Figure 2: Help option User Manual for FIX Website Page 7

8 2.3 Super User Registration Request A Company Super User can register with FIX in two ways. The Company Super User can apply directly online or the Exchange User Admin could create the Company Super User. Company applying for super user access User can go on to the FIX website and apply for registration by clicking on Super User Registration for Listed Companies/Auditors link as indicated in the figure given below. Figure 3: Super User Registration User Manual for FIX Website Page 8

9 On clicking the link a new page is opened, where the user selects the company name from a list of companies registered in UAE. In the event the company name is not present in the drop down list, the company should contact the respective exchanges for inclusion in the registered company list. The Super User has to fill all the relevant details in the page. As proof of identity the user has to attach a soft copy of identity proof as prescribed by SCA. The User also needs to select a unique User Name and check for its availability by clicking the Check button. Fields mark with * are mandatory (like User Name, First Name, Last Name etc.) Fields with (English) indicates field entry must be in English and fields with (Arabic) indicate field entry should be in Arabic. All English based fields will be left indented and Arabic based fields will be right indented. For more details, please refer to the section on Field Details. Only users above the age of 18 will be allowed access to the system. Once the User has entered all the required information they can click on "Submit" button. If they need to clear the data without submitting they can click on the "Reset" button. Upon successful submission of user details a status message will be displayed in the Status Message bar at the bottom of the page. An activation link will be ed to the Super User at the address entered in the form. The Super User needs to click on the activation link provided in the (Note: - The Super User needs to be connected to the internet before clicking on the activation link.) Once activated, the Exchange User Admin will be notified of the registration of the Super User of the company. The Exchange User Admin can accept/reject a Super User application. Once the Super User credentials are verified and approved by the Exchange User Admin, the Super User will be sent an with a default password for accessing the website. Note: The maximum permissible number of Super Users per company is one. In the event a second Super User tries to apply for the registration, a message will be displayed at the time of submission of the data in the status box as shown below. Figure 4: Registration Status message User Manual for FIX Website Page 9

10 After the form is filled, the screen will look as shown below Figure 5: Super User Registration Form User Manual for FIX Website Page 10

11 The following fields are mandatory: Company Name, User Name, First Name (English), Last Name (English), Date of Birth, Gender, Address (English), Phone No., ID, Nationality, EMIRATES ID, Authorization Letter. For details on the valid characters and the length of individual fields, please refer section on Field Details. 2.4 Login Page This is the screen the user will see when they browse to the website. Figure 6: Login page This is the login screen which the User will use each time. The User needs to enter the User Name selected at the time of registration and the default password sent at the time of account activation to the registered id. The User Name once selected cannot be changed. However the password provided can be changed by the Super User at any time. It is recommended that the Super User change the default password as soon as possible after receiving the for security reasons. User Manual for FIX Website Page 11

12 Note that the User Name and password fields are case sensitive and therefore appropriate care should be taken while keying in the data in these fields. After entering the User Name and password, the User can click the submit button to access authorized sections of the website. In case the User has forgotten the password, User can click on the Forgot Password link to open the Forgot Password window. o On the Forgot Password window, the User must enter the either the registered address or the User Name, and click Submit button. The User will be sent an activation link o to the registered address. The User would have to click on the activation link. On reactivation the User will receive a new password in an to the registered address. The new password will give access to the User to access the facility again. The User Name remains the same. It is recommended the User changes the password and creates a new password for future use. Figure 7: Forgot Password User Manual for FIX Website Page 12

13 Users will be blocked from accessing the system after three consecutive attempts to log in with incorrect User Name or password. After the third attempt, the User Name and password fields will be locked. In the event the User account is locked, the User would have to click on the Unlock User link provided in the login box. This will activate the Unlock User box. The User would have to key in either the registered address or the User Name and submit the request for a reactivation. On submitting the request, an automated will be sent with a reactivation link. On clicking on the link, the login page would be unlocked and ready for use. The User can then log in with the same username and password (in use before the lock down of the log in page). Figure 8: Unlock User User Manual for FIX Website Page 13

14 3. Company Super User Operations When the Company Super User logs into the system, they will be redirected to the following screen Company Super User Home Page. Figure 9: Company Super User Home page User Manual for FIX Website Page 14

15 3.1 Change Password Figure 10: Company User Change Password User Address: This field will be disabled for editing. User Name: This field will be disabled for editing. Old Password: User has to enter its current password New Password: User has to enter a new alpha numeric password which must be between 8 to 10 characters. Confirm Password: User has to re-enter the same password as entered in New Password field. Click Change Password Button. The system will now: o validate the data in the Old Password field o o check if New Password field contains allowed characters compare Confirm Password field with New Password field to check if both contain same value. If the above steps are successful, then the new password will be saved in the system else user will see an error message. User Manual for FIX Website Page 15

16 3.2 Add User This page is used to manage the company s users. New users can be added as well as the existing users can be edited. Figure 11: Company Super User Add User User Manual for FIX Website Page 16

17 Select a unique User Name of the new User. Click the Check button to see if the entered User Name is available. The new User can be provided with access to all or few of the reports, by checking the relevant report (s). Only one User can be created for any company. Once the Submit button is clicked, all the fields are validated and the record is saved following which an with activation link is sent to the user s registered address. Once the activation link in the is clicked another with password is sent to the user s registered address. If the Reset button is clicked, all the data entered in the fields will be cleared. Following fields are mandatory: User Name, First Name (English), Last Name (English), Date of Birth, Gender, Nationality, Address (English), Phone No., ID, Access To. For details on the valid characters and field length, please refer section on Field Details. In order to edit any of the existing records, the user has to click View / Edit / Search Details link at the top right corner of the page which will open a window as shown below Figure 12: Company Super User Update User Details To edit any particular record, the user has to click on the Edit link of that record. The record is opened with existing values, which the user can edit. In case of activating an already existing user, the Resend Mail link of that user has to be clicked which will the activation link again to the user s registered address. User Manual for FIX Website Page 17

18 3.3 Upload Filing This page allows the user to upload various reports onto the website Figure 13: Company Super User Upload Filings The user can upload the instance file in English or Arabic. User can browse the English instance document and click Attach English Instance File button for attaching the English instance file to the system. User Manual for FIX Website Page 18

19 Figure 14: Company Super User Upload Filings Browse File Similarly, the user can browse the Arabic instance document and click Attach Arabic Instance File button for attaching the Arabic instance file to the system. The User can also upload any other document (Optional). Only.doc,.docx,.pdf,.zip,.rar.jpeg and.jpg will be allowed. The maximum file size that can be uploaded is 5 MB. After attaching the file, user needs to click Upload button for uploading the file. If the file is being re submitted, then the user has to specify a valid reason for the resubmission. Once the file is uploaded, an is sent to the Company Super User to approve the file. The uploaded file is validated by the XBRL and business rules validator, before it is rendered in the HTML format. For uploading a file requiring the Auditors approval ( Audited or Reviewed ), at least one Auditor must be associated with the company. User Manual for FIX Website Page 19

20 3.4 Check Filings This page allows a Company Super User to view and approve filings have been submitted by the User of that company. Figure 15: Company Super User Check Filing The User can filter records based on: o From Date o To Date o Type of file (Annual Report/Quarterly Report/Preliminary Report/CG/CA) Or a combination of the above The Due Date for an Annual Report is 90 days from the financial year end date followed by the company. For a quarterly report, it will be 45 days from the quarter ending date. If a Due Date falls on a holiday, the Due Date would be the next working day. The submission status will be On Time or Late depending on the whether the submission was filed before or after the relevant due date for the report. The File Type is the type of report (Annual Report/Quarter Report/Preliminary Report/CA/CG) The File Status is the Status of the instance file being uploaded (Selected at the time of generating the instance document) and the Review Status is the Auditor Review status for the file and will be User Manual for FIX Website Page 20

21 applicable only if the file status is Audited or Reviewed in case of Annual or Quarterly reports respectively. For all other reports, the Review Status field will be NA. The User can either accept or Reject the filing by clicking the appropriate link in the status column. If the user accepts the filing, an will be sent to the Company User and the auditor (if the file requires auditors approval) or to the Exchange Checker and Exchange Filing Admin (if the file does not require auditors approval). If the User rejects the file, an will be sent to the Company User and the Company Super User. The file will not be processed further and the company will have to re-submit the file with a different version. The Report field provides a link for the user to view or download the filing. User can click the view link of the report to view it in an HTML format. The user can also download the report (in Microsoft Word, Excel, Adobe PDF formats) or print the report by clicking the respective icons on the page. If the User has uploaded any document along with the instance document, the User can download it from this view Figure 16: Company Super User View HTML Report The details of Rich Text can be viewed by clicking on the Rich Text link. This will open up a webpage and display the text contained in the field. Figure 17: Company Super User View Rich Text User Manual for FIX Website Page 21

22 3.5 Review Filings This page allows the Company Super User to review files which have been through different review processes such as Company Super User Review, Auditor Review and Exchange Review Figure 18: Company Super User Review Filing Select the filing reviewer such as Company Super User, Auditor or Exchange and press the Review Filing button. The user will see all the filings which have been reviewed by the selected reviewer. User Manual for FIX Website Page 22

23 Figure 19: Company Super User Review Filing Records The Due Date for an Annual Report is 90 days from the financial year end date followed by the company. For a quarterly report, it will be 45 days from the quarter ending date. If a Due Date falls on a holiday, the Due Date would be the next working day. The submission status will be On Time or Late depending on the whether the submission was filed before or after the relevant due date for the report. The File Type is the type of report (Annual Report/Quarter Report/Preliminary Report/CA/CG) The Report field provides a link for the user to view, download or print the filing. If the reviewer has attached any document that includes additional information, then such document can be downloaded using the links in the Review column. User Manual for FIX Website Page 23

24 3.6 Auditor Approved Filings This page allows a Company Super User to view and approve filings that have been approved by all the auditors associated with the company. Figure 20: Company Super User Auditor Approved Filing The User can filter records based on: o From Date o To Date o Type of file (Annual Report/Quarterly Report/Preliminary Report/CG/CA) The User can either accept or reject the filing by clicking the appropriate link in the status column. If the User accepts the filings an will be sent to the Company Super User, the Exchange Checker and the Exchange Filing Admin for approval. If the user rejects the file, an will be sent to the User and the Company Super User. The file will not be processed further and the company has to re-submit the file with a different version. Note that this page will show only those filings which have been approved by all the auditors with the company. If one or more auditors have not yet approved the file, the file will not appear in Auditor Approved Filings. User Manual for FIX Website Page 24

25 3.7 Download Template This page allows the User to download the report templates, the User Manual for the ifile Desktop tool as well as the pre-requisites required for proper installation of the report templates. These report templates are Microsoft Excel based sheets which can be used to enter the information and the tool converts this information into XBRL which can be uploaded unto the FIX website. Figure 21: Company Super User Download Template The User can download the User Manual for using the ifile desktop tool which explains the installation and operation of different report templates. The User can view all versions of the report templates and download these templates by clicking the respective Download link. The User needs to first download and install the pre-requisites depending on the Microsoft Excel version that they are using. Similarly, the User needs to download the report template for different reports based on the Microsoft Excel version. Note that these templates will be available in a compressed format (.zip). For more details on the installation and functions of the ifile Desktop tool, please refer the User Manual for the ifile Desktop Tool. User Manual for FIX Website Page 25

26 3.8 View Filing When the User clicks the View Filing link on the home page, they will be redirected to this screen Figure 22: Company Super User View Filing The User can search the Filings based on o Files which are validated by the XBRL and business rules validator, after uploading. o Files that have failed the validations o Files approved by Company Super User o Files rejected by Company Super User o Files approved by Exchange (Exchange Filing Admin or Exchange Checker) o Files rejected by Exchange (Exchange Filing Admin or Exchange Checker) o Files approved by all associated Auditors for the company o Files rejected by any Auditor of the company o Auditor Reviews (Files which have been approved by some but not all Auditors) o Files Approved by Company Super User (Auditor Reviewed) o Files Rejected by Company Super User(Auditor Reviewed) The user can also filter the records (optional) based on User Manual for FIX Website Page 26

27 o File Type (Annual Report/Quarter Report/Preliminary Report/CA/CG) o Dates of filing After selecting the required filter criteria, on pressing the View Filing button, a screen similar to the one shown below will be displayed. Figure 23: Company Super User View Filings Records The File Status is the Status of the instance file being uploaded (Selected at the time of generating the instance document) and the Review Status is the Auditor Review status for the file and will be applicable only if the file status is Audited or Reviewed in case of Annual or Quarterly reports respectively. For all other reports, the Review Status field will be NA. When the user clicks the View link provided in the report column of a particular file, the report is displayed on a webpage. The user can download the report (in Microsoft Word, Excel, Adobe PDF formats) or print the report by clicking the respective link on the page. If the User has uploaded any document along with the instance document, the User can download it from this view. User Manual for FIX Website Page 27

28 Figure 24: Company Super User View HTML Report The details of Rich text items can be viewed by clicking on the Rich Text link. This will open up a webpage and display the text contained in the field. Figure 25: Company Super User View Rich Text User Manual for FIX Website Page 28

29 3.9 Auditor Association This page is used to associate an Audit firm with a company. The Company Super User can associate multiple auditors to its company but only one primary auditor. Figure 26: Company Super User Auditor Association Select the Audit Company. Depending on the selected Audit Company, the list of Audit users belonging to the selected Audit firm will be populated. Select the Audit Super User. For a centralized Audit Firm, there will only be one Audit Super User. Select whether the Auditor will be a primary or a secondary auditor for the company and click on Submit button On successful submission of the form, an will be sent to the selected Audit Super User who has to approve the association request. The status for that particular auditor will show as Pending till request is approved by the Audit Super User. To delete a particular auditor from the association list, select Delete for that auditor. User Manual for FIX Website Page 29

30 4. Company User Operations When the Company User logs into the system, they will be redirected to the following screen Company User Home Page. Figure 27: Company User Home page User Manual for FIX Website Page 30

31 4.1 Change Password Figure 28: Company User Change Password User Address: This field will be disabled for editing. User Name: This field will be disabled for editing. Old Password: User has to enter its current password New Password: User has to enter a new alpha numeric password which must be between 8 to 10 characters. Confirm Password: User has to re-enter the same password as entered in New Password field. Click Change Password Button. The system will now: o validate the data in the Old Password field o o check if New Password field contains allowed characters compare Confirm Password field with New Password field to check if both contain same value. If the above steps are successful, then the new password will be saved in the system else user will see an error message. User Manual for FIX Website Page 31

32 4.2 Upload Filing This page allows the user to upload various reports onto the website Figure 29: Company User Upload Filing The user can either upload the instance file in English or Arabic. The user can browse for the English instance document and click Attach English Instance File button for attaching the English instance file to the system. User Manual for FIX Website Page 32

33 Figure 30: Company User Upload Filing Browse File Similarly, the user can browse the Arabic instance document and click Attach Arabic Instance File button for attaching the Arabic instance file to the system. The User can also upload any other document (Optional). Only.doc,.docx,.pdf,.zip,.rar.jpeg and.jpg will be allowed. The maximum file size that can be uploaded is 5 MB. After attaching the file, user needs to click Upload button for uploading the file. If the file is being re submitted, then the user has to specify a valid reason for the resubmission. Once the file is uploaded, an is sent to the Company Super User to approve the file. The uploaded file is validated by the XBRL and business rules validator, before it is rendered in the HTML format. For uploading a file requiring the Auditors approval ( Audited or Reviewed ), at least one Auditor must be associated with the company. 4.3 User Manual for FIX Website Page 33

34 4.4 Download Template This page allows the User to download the report templates, the User Manual for the ifile Desktop tool as well as the pre-requisites required for proper installation of the report templates. These report templates are Microsoft Excel based sheets which can be used to enter the information and the tool converts this information into XBRL which can be uploaded unto the FIX website. Figure 31: Company User Download Template The User can download the User Manual for using the ifile desktop tool which explains the installation and operation of different report templates. The User can view all versions of the report templates and download these templates by clicking the respective Download link. The User needs to first download and install the pre-requisites depending on the Microsoft Excel version that they are using. Similarly, the User needs to download the report template for different reports based on the Microsoft Excel version. Note that these templates will be available in a compressed format (.zip). For more details on the installation and functions of the ifile Desktop tool, please refer the User Manual for the ifile Desktop Tool. User Manual for FIX Website Page 34

35 4.5 View Filing When the User clicks the View Filing link on the home page, they will be redirected to this screen Figure 32: Company User View Filing The User can search filings on the following different criteria o Uploaded files that have passed XBRL and business rules validations o Files that have failed the validations o Files approved by Company Super User o Files rejected by Company Super User o Files approved by Exchange (Exchange Filing Admin or Exchange Checker) o Files rejected by Exchange (Exchange Filing Admin or Exchange Checker) o Files approved by all associated Auditors for the company o Files rejected by any of the Auditors of the company o Auditor Reviews (Files which have been approved by some but not all auditors) o Files approved by Company Super User (Auditor Reviewed) o Files rejected by Company Super User (Auditor Reviewed) The user can also filter (optional) the records based on: o File Type (Annual Report/Quarter Report/Preliminary Report/CA/CG) o Dates of filing. User Manual for FIX Website Page 35

36 After selecting the required filter criteria and clicking the View Filing button, the results will be displayed on a web page as shown below Figure 33: Company User View Filing Records The File Status is the Status of the instance file being uploaded (Selected at the time of generating the instance document) and the Review Status is the Auditor Review status for the file and will be applicable only if the file status is Audited or Reviewed in case of Annual or Quarterly reports respectively. For all other reports, the Review Status field will be NA. When the user clicks the View link provided in the report column of a particular file, they will be directed to a web page (as shown below), where the user can view the file, download (into Excel, Adobe PDF or Microsoft Word) or print the file by clicking on the respective icons. If the User has uploaded any document along with the instance document, the User can download it from this view User Manual for FIX Website Page 36

37 Figure 34: Company User View HTML Report The items that contain Rich Text can be viewed in detail by clicking on the Rich Text link. The details for such elements will be seen as shown below Figure 35: Company User View Rich Text User Manual for FIX Website Page 37

38 5. Frequently Asked Questions (FAQs) 1. I currently have my statutory reports in non-xbrl format but I am required to file these reports in XBRL. How do I generate the XBRL documents? The FIX system requires you to file reports in XBRL format. In order to generate the XBRL versions of your statutory reports, you need a tool to convert or generate an XBRL document. The ifile desktop tool will enable you to generate your reports in XBRL formats. You can refer the user manual for the ifile desktop tool for detailed steps on creating the XBRL report. 2. Can I access the FIX portal from my smart phone or a tablet PC? The FIX portal is designed to be used only on a personal computer (PC) and is recommended to access the portal only through a PC. 3. I try to access the portal on a Safari browser, but I see that the alignment of some screens is not proper. The FIX portal is best viewed in Internet Explorer V7.0+, Firefox V3.1+, and Google Chrome. For browsers other than the ones mentioned herein, the website may not render properly. 4. I want to register myself as a Company Super User, but my company name is not available in the autosuggest list. You have to contact the System Administrator at UAEXBRL@sca.ae or you can also get in touch with support@irisbusiness.com to get your company registered with the FIX portal before you apply for a Super User registration. 5. Can I register a single person with multiple user roles? Yes, you can register a single person with multiple roles as long as the address and the User Name used for the registration of the different roles is not the same. 6. My company belongs to an industry for which I do not see the template for download in the website. Contact the System Administrator at UAEXBRL@sca.ae or you can also get in touch with support@irisbusiness.com if you believe you are required to file your reports in the FIX portal but you are not able to find the required taxonomy template. 7. I registered myself for a Super User role and was able to successfully save my details in the FIX portal, but I did not receive an activation ? Make sure the address xbrl-admin@sca.ae is not marked as Junk/Spam in your mailbox settings. If you still do not receive the activation link, contact the system administrator at UAEXBRL@sca.ae or you can also get in touch with support@irisbusiness.com User Manual for FIX Website Page 38

39 8. I am an auditor for a company. How do I associate myself with a company? An auditor by itself cannot associate with a company. The Company Super User or the Broker Super User has to add an association request to an Audit Super User which the Audit Super User can accept or reject. Once accepted the Audit Super User can view the filings uploaded by that company and accept/reject the same. 9. Can a Super User upload a filing on behalf of the company? Yes. A Super User can upload a filing on behalf of the company. Once uploaded, it will follow the same process of approval as it would have if it was submitted by a Company User or the Broker. 10. Can a Super User approve or reject a filing? Yes. A Super User can approve or reject a filing. If rejected, the file would not be processed further. 11. Can the instance document be modified once it is submitted? No. Once submitted, an instance document cannot be modified. If the user wants to make changes to the submitted report, a new version of the report will have to be uploaded, which will have to go through the same cycle of approval. 12. I am a Company Super User and have uploaded a file for which I received a successful acknowledgement through an ; however I am not able to view the file to approve it under the Check Filings menu. One a file is uploaded, it is validated at the server and only files that are successfully validated would appear under the Check Filings option for approval. The validation engine at the server is a background process which runs at pre-defined intervals of time, so the uploaded file may not be immediately validated. So after uploading a file, wait for few minutes for the file to get validated at the server. If after few minutes, the file is still not available for approval, then contact the System Administrator System Administrator at UAEXBRL@sca.ae or you can also get in touch with support@irisbusiness.com 13. I am a Company Super User and have submitted my details in the Super User Registration for Listed Companies/Auditors. I have activated my account by clicking the Super User Registration link provided in my , but I have not received my login credentials. After clicking on the activation link sent to the User s ID, the Super User Registration request is sent to the Exchange User Admin for approval. Only when the Exchange User Admin approved the registration request, the User will get the login credentials. 14. I am a Company Super User and have sent an Auditor Association request to my Audit Super User. I tried to upload an Audited or Reviewed file through the FIX portal, but I am not able to upload the file. User Manual for FIX Website Page 39

40 For an Audited or a Reviewed file, at least one primary auditor must be associated with the company. Till the Audit Super User approves the association request, you cannot upload an Audited or Reviewed file. At least one Auditor must be associated with a company before any Audited or Reviewed file can be uploaded. 15. I received an confirming that my uploaded file has been approved by the associated Auditor, but I cannot see the file under Check Filings When a Company Super User approves a file for the first time, it must be approved from the Check Filings option. After the Company Super User approves the file from the Check Filings option, the file will be available to the Audit Super Users for approval. When an Audit Super User approves a file, the file will appear under Review Filings option. Only when all the associated Audit Super Users approve the filing, will the file be available for approval under the Auditor Approved Filings section but not in the Check Filings option. Note that for an Audited file to be submitted to the Exchange, it must be approved by all the associated Audit Super Users. If one or more Audit Super Users have not approved the file, the Company Super User will not be able to approve the file for Exchange submission. 16. I am an Audit Super User and I am not able to change the reporting relationship for an Auditor in my Audit firm. An Audit Super User can only change the reporting relationship for Auditors directly reporting to the super user. Also, if the Auditor has any files pending for review then till the time the review is not completed by the Auditor, the reporting Audit Super User can not be changed for this Auditor. 17. Can a User be deleted from the FIX system? A User cannot be deleted from the system once successfully registered, it can only be made inactive and once inactive the User will not be allowed to access the system. The Exchange User Admin can make Company Super Users inactive or the Auditor Administrator can make the Audit Super Users inactive by selecting the particular User to edit and change the Active flag for the User. Similarly, a Company Super User can make a Company User inactive or the Audit Super User can make an Auditor inactive in a similar manner by editing the particular User and changing the Active flag. Note that a User can be made inactive only if there are no filings pending for review with the User. 18. Can a User Name once selected be used by the same person for a different company? A User Name and the ID once selected cannot be used subsequently by the same person for a different company. The person has to select a new User Name and a new ID for the new company. User Manual for FIX Website Page 40

41 6. List of Abbreviations Abbreviation SCA ADX DFM FIX ESM CA CG XBRL HTML PDF Meaning Securities and Commodities Authority Abu Dhabi Securities Exchange Dubai Financial Markets XBRL based electronic filing platform Emirates Securities Market Corporate Announcement Report Corporate Governance Report extensible Business Reporting Language Hyper Text Markup Language Portable Document Format User Manual for FIX Website Page 41

42 7. Table of Figures Figure 1: FIX User Hierarchy... 4 Figure 2: Help option... 7 Figure 3: Super User Registration... 8 Figure 4: Registration Status message... 9 Figure 5: Super User Registration Form Figure 6: Login page Figure 7: Forgot Password Figure 8: Unlock User Figure 9: Company Super User Home page Figure 10: Company User Change Password Figure 11: Company Super User Add User Figure 12: Company Super User Update User Details Figure 13: Company Super User Upload Filings Figure 14: Company Super User Upload Filings Browse File Figure 15: Company Super User Check Filing Figure 16: Company Super User View HTML Report Figure 17: Company Super User View Rich Text Figure 18: Company Super User Review Filing Figure 19: Company Super User Review Filing Records Figure 20: Company Super User Auditor Approved Filing Figure 21: Company Super User Download Template Figure 22: Company Super User View Filing Figure 23: Company Super User View Filings Records Figure 24: Company Super User View HTML Report Figure 25: Company Super User View Rich Text Figure 26: Company Super User Auditor Association Figure 27: Company User Home page Figure 28: Company User Change Password Figure 29: Company User Upload Filing Figure 30: Company User Upload Filing Browse File Figure 31: Company User Download Template Figure 32: Company User View Filing Figure 33: Company User View Filing Records Figure 34: Company User View HTML Report Figure 35: Company User View Rich Text User Manual for FIX Website Page 42

43 8. Field Details No. Field Name Valid Characters Field Length (characters) 1. User Name Only alphabets [a-z, A-Z] and numbers [0-9] allowed. 20 (E.g. admin1) 2. First Name(English) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed Middle Name(English) (E.g. admin 'a'-abc.) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed. 20 (E.g. admin 'a'-abc.) 4. Last Name(English) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed. (E.g. admin 'a'-abc.) 5. Address(English) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed. (E.g. admin 'a'-abc.) 6. Phone No. Only numbers [0-9], allowed. (E.g ). 7. ID Alphanumeric with special characters. Character underscore, hyphen ( - ) allowed No spaces allowed. Only one '@' allowed. '.' should not be immediately before or after '@' At least one '.' is required E.g. abc_pqr@xyz.com 8. Name(English) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed (E.g. admin 'a'-abc.) 9. Name(Arabic) Field should contain Arabic language characters only. 10. Description (English) Only alphabets [a-z, A-Z] and numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed User Manual for FIX Website Page 43

44 (E.g. admin 'a'-abc.) 11. Description(Arabic) Field should contain Arabic language characters only. 12. File Type (English) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed (E.g. admin 'a'-abc.) 13. File Type (Arabic) Field should contain Arabic language characters only. 14. Sector Type(English) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed. (E.g. admin 'a'-abc.) 15. Sector Type (Arabic) Field should contain Arabic language characters only. 16. Role Type(English) Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed. (E.g. admin 'a'-abc.) 17. Role Type(Arabic) Field should contain Arabic language characters only. 18. Audit Firm Only alphabets [a-z, A-Z], numbers [0-9], single Name(English) quotes [''], dash [-], dot [.] and space allowed. (E.g. admin 'a'-abc.) 19. Audit Firm Field should contain Arabic language characters Name(Arabic) only. 20. Ticker Code Only alphabets [a-z, A-Z], numbers [0-9] and dot [.] allowed. (E.g.:abc.123) 21. Address(Arabic) Field should contain Arabic language characters only. 22. Website Alphanumeric with special characters Characters //, : and. are a must. Allow character underscore, hyphen ( - ). No spaces allowed. Only single '@' allowed. '.' should not be immediately before or after '@' At least one '.' is required Company Name(English) E.g. Only alphabets [a-z, A-Z], numbers [0-9], single quotes [''], dash [-], dot [.] and space allowed. 100 User Manual for FIX Website Page 44

45 (E.g. admin 'a'-abc.) 24. Company Field should contain Arabic language characters 100 Name(Arabic) only. 25. Due Days Only numbers allowed Start Date Only numbers and / character allowed. 10 Should be in the format DD/MM/YYYY 27. End Date Only numbers and / character allowed. 10 Should be in the format DD/MM/YYYY 28. Date of Birth Only numbers and / character allowed. 10 Should be in the format DD/MM/YYYY 29. Version Only numbers [0-9] allowed. 3 User Manual for FIX Website Page 45