FICOM S SECURE FILE TRANSFER PROTOCOL (SFTP) SITE

Transcription

1 FICOM S SECURE FILE TRANSFER PROTOCOL (SFTP) SITE Frequently Asked Questions FINANCIAL INSTITUTIONS COMMISSION West Hastings Street Vancouver, BC V6B 4N6 P: F: W:

2 Table of Contents GENERAL... 3 What is Secure File Transfer Protocol (SFTP)?... 3 Who is required to use FICOM s SFTP site?... 3 Is using SFTP optional? Can I continue to submit files by mail and ?... 3 How do I request access to SFTP?... 3 Will I get receipt confirmation from FICOM for file uploads?... 3 Are there any system limitations and/or requirements?... 3 What is the retention policy for confidential documents?... 4 LOGIN & PASSWORD... 4 What are the password requirements?... 4 SECURITY... 4 Can other PRFIs see what I uploaded?... 4 Do uploaded files stay in SFTP?... 4 FILES UPLOAD & DOWNLOAD... 4 Can I delete files that I uploaded by mistake?... 4 Are there any restrictions on file uploads?... 4 AD HOC TRANSFER... 6 What is an ad hoc transfer?... 6 How does ad hoc transfer work?... 6 AUDIT LOG... 7 Is there an audit log or report where I can view my site activity?... 7 CONTACT INFORMATION... 7 Page 2 of 5

3 GENERAL What is Secure File Transfer Protocol (SFTP)? SFTP is a web based system that enables Provincially Regulated Financial Institutions (PRFIs) 1 to submit files electronically in a secure, consistent and reliable form to FICOM. Who is required to use FICOM s SFTP site? PRFIs are required to use SFTP to submit the following documents: Regulatory Filings Upload to Folder Personal Information Returns Investment and Lending Policies Annual Filings Quarterly Filings Non-Regulatory Filings Send through a Package Files for On-site Review Board Reports Management Reports This site does NOT replace the Financial and Statistical Returns (FSR) reporting requirements. All monthly, quarterly, and annual FSR for credit unions must be submitted on Is using SFTP optional? Can I continue to submit files by mail and ? It is mandatory for PRFIs to submit the documents listed under Regulatory Filings above using SFTP. It is not mandatory for PRFIs to submit documents listed under Non-Regulatory Filings using SFTP; other submission methods are acceptable. How do I request access to SFTP? PRFIs can send a request to [email protected]. They will be asked to complete and submit a signed Access Authorization Form listing the authorized individuals for their organization. Unauthorized users can perform as-needed upload or download of files using Ad Hoc Transfers. Please refer to Ad Hoc Transfer Instructions on Page 5 for further information. Will I get receipt confirmation from FICOM for file uploads? Yes. When a file is successfully uploaded, users will receive visual confirmation in the upload screen, as well as an confirmation. Are there any system limitations and/or requirements? This is a web-based application that will work on any computer with a web browser (excluding mobile devices). Please be aware that, for security reasons, your SFTP site session will time out after 20 minutes of inactivity. 1 PRFIs (or Provincially Regulated Financial Institutions) refer to British Columbia authorized credit unions, trust companies, property and casualty (P & C) insurance companies and life insurance companies Page 3 of 5

4 What is the retention policy for confidential documents? FICOM takes necessary measures to ensure personal and confidential information is stored appropriately, consistent with the requirements in the Document Disposal Act. FICOM retains information of current directors and senior officers until 7 years after they leave their positions. LOGIN & PASSWORD What are the password requirements? Complex passwords are required to ensure site security. New passwords require the following elements: Upper case letter Lower case letter Number Symbol Minimum of 8 characters Please note that your SFTP account will be disabled after 5 unsuccessful login attempts. Once you are locked out, someone from the Systems department at FICOM will contact you. SECURITY Can other PRFIs see what I uploaded? No. In fact, authorized users within the same institution cannot see each other s documents. The system s security settings ensure no one else besides authorized FICOM staff can see files you upload to a folder. Do uploaded files stay in SFTP? No. Files are auto-deleted after 14 days. FICOM staff ensures all uploaded documents are handled promptly. FILES UPLOAD & DOWNLOAD Can I delete files that I uploaded by mistake? No. Any files submitted in error will need to be replaced with new files and the error will need to be communicated to FICOM s Information Management department at [email protected]. Are there any restrictions on file uploads? Yes. Please note the following restrictions: The system will only permit file uploads for the most common extensions (i.e. xlsx, docx, pdf). You will not be permitted to upload zip or exe files. Folders are set with a maximum size limit of 50 MB. Page 4 of 5

5 Users are not permitted to add more than one document with the same file name. Users are not permitted to delete files they have uploaded. Page 5 of 5

6 AD HOC TRANSFER What is an ad hoc transfer? Ad hoc transfers allow unauthorized users to use the system on an as-needed basis. FICOM can send an SFTP file access package to an unauthorized user s account. In turn, the unauthorized user may use the provided links and temporary access password to upload files to the SFTP. How does ad hoc transfer work? Downloading files transferred from FICOM: FICOM staff send a file access package to unauthorized user Unauthorized user receives SFTP package links & information via Unauthorized user accesses the SFTP site using package password and downloads the files provided Please note that files provided to you in packages will only be available for download for 9 days. Uploading files requested by FICOM: FICOM staff send a file request package to unauthorized user Unauthorized user receives request package link via Unauthorized user accesses the SFTP site using link and package password Unauthorized user replies to the package, adds message content and uploads requested files Unauthorized user clicks Send to submit the package to FICOM Ad hoc transfer to a registered user: From the home page on the left side of the page click the Packages link Then click on the Send a new package link located on the bottom of the page Select the To button to see the list of all registered users or just type in their Page 6 of 5

7 address then use the Check Recipients button: Attach file(s) then click the Send button The user receives SFTP package links & information via AUDIT LOG Is there an audit log or report where I can view my site activity? Yes. There is an audit log accessible in the site menu that will display activity for the individual user. You will see only your own activity and not your colleagues. CONTACT INFORMATION Information Management, Financial Institutions Division Telephone: Toll Free: Fax: IM [email protected] Tech Support: [email protected] Website: Page 7 of 5