How to

Click on each section below to view guidance and video clips to help you use the Online PQ Portal

“OPQ” refers to Online Personal Questionnaire
“OA” refers to Online Appointment
“OR” refers to Online Resignation

1. Registration and Login

Users are able to register on the PQ Portal and complete and save OPQs but they will not be given permission to submit OPQs via the portal until they have provided a signed Online Services Agreement (“the Agreement”) to the Commission. They will receive confirmation by e-mail once their Agreement has been accepted.

The following has been written for persons completing the OPQ on their own behalf, wording displayed on the screen may vary slightly if it is being completed by a delegate. Submission of an OPQ can only be by the owner of the OPQ and not a delegate.

Register for the first time to use the Online PQ Portal by selecting "register here"

In order to register you need to supply an e-mail address and a password of your choice.

The password must be at least eight characters long, be a mix of upper and lower case letters and contain at least one symbol or number.

Once you have registered, log in to the Online PQ Portal using your chosen e-mail and password.

If you wish you can use the ‘remember me’ tick box so the portal will remember your e-mail address (but not your password) the next time you log in.

You will be able to reset your password if you have forgotten it or locked your account (your account will be locked after 5 invalid password attempts).

2. Use My GFSC (your personal Home Page on the PQ Portal)

My GFSC is your personal home page that you will be taken to when you log in to the PQ Portal. There you will see an overview of recent activity. In the About You section you will have access to your Online Services Agreement. You will see your name and e-mail address and the options to either Begin a new PQ (for yourself) or Begin a new PQ for someone else. If you Begin a new PQ for someone else, please ensure that you assign the OPQ to the e-mail address that the individual has registered with (or intends to register with) on the PQ Portal.

Also on this page, if you are the OPQ owner (the subject), you will see the names and e-mail addresses of anyone you have given delegate access to your form. If you act as a delegate or have started an OPQ for someone else that will also be shown, under Other people's forms shared with you.

If not, You do not have any delegates will be displayed.

Once you have selected either Begin a new PQ (for yourself) or Begin a new PQ for someone else (if you are to be a delegate) you will be taken to the Start page.

3. Create a PQ

The Completion and delegation section of the Start page contains information to help you get started and what to expect as well as how the process of setting up a delegate works.

At the bottom of this page there are two options to choose from, whether you are completing this form for yourself, or you are completing the form on someone else’s behalf.

Select the appropriate option and click the Create PQ button on the right hand side.

4. Delegate

You can complete and save the OPQ yourself, or have someone else authorised by you to complete the form on your behalf (a delegate).

The process to set up a delegate is on the Completion and delegation section of the Start page, where you will need to supply the delegate’s e-mail address so that they can be identified on the portal. Before an individual can log on to the PQ Portal to act as a delegate they must be registered in their own right.

You can allow a number of delegates to have access to read and edit your OPQ, although only one person can edit the OPQ at a time. You or your delegates will need to save and close the form to allow someone else to continue editing it.

When the OPQ is complete and ready to submit it must be submitted by the owner of the form using the Declaration and Consent page. A delegate cannot submit the form for an individual. When a delegate has finished editing an OPQ on your behalf you will receive an e-mail informing you that your OPQ has been amended and you should ensure it is correct before submitting it yourself.

5. Input and Save

Once you have started the process to create a OPQ, you can complete the questions in any order. You can fill it out at a time that is convenient to you, it is available 24 hours a day.

As a registered, logged-in user of the OPQ, you will see your name in the top right corner, and that the form is currently being edited by you. (Select Finish Editing if you wish to allow a delegate to take over editing the form).

From this page you can also add delegates to fill out the form for you, by clicking + Add

The tabs across the top of the form (Start - Personal - Positions - Competence – Propriety – Declaration and Consent) can be selected in any order to take you directly to that section of the form.

You can save the OPQ using the Save button and come back to it as many times as you wish and complete as much or as little as you want each time. Saving the form will not submit it to the Commission.

If you leave the OPQ open on your computer and don’t make any changes for 20 minutes or more, it will automatically save and close. This will allow other people with delegate access to the form to make amendments.

6. Navigate

The tabs near the top of the OPQ (Start - Personal - Positions - Competence – Propriety – Declaration and Consent) are like page dividers for different sections of the form. They help structure the form and allow you to jump between different sections of the form, depending on what information you would like to complete.

You can complete the sections in any order. Always click the Save button in the bottom right hand corner before leaving the page.

As well as using the tabs at the top of the page, you can also navigate to other sections of the form using the Previous or Next buttons at the bottom of each page.

7. + Add fields

In several places across the OPQ you may need to add additional information.

For example in the Positions section, you have to provide Employment history for the last 10 years, and give details of all employers during that time.

Selecting the relevant +Add link will create a new panel, below the link. The new panel will appear in a grey box, complete the fields within the panel and use +Add to add more panels if necessary.

There is an ‘X’ in the top right hand corner of each panel which can be clicked to remove the panel if it is not needed.

8. Upload documents in support of “Yes” answers re Probity, Judgement, Diligence and Integrity

On the Propriety section, if you answer Yes to any of the questions a new panel will appear where you should provide full details. An additional section will also appear at the bottom of the page where it will be possible to attach documents to support your answers.

To do this, make sure you have the document you wish to upload saved on a drive on your computer where you can easily locate it.

Please note only files in .pdf, .png,.jpeg, .jpg,.tiff, or .tif formats can be uploaded.

Go to the Attachments section and the bottom of the page and select Browse. A new window will open which will allow you to find the file on your computer. Select the file and click Ok.

You will return to the OPQ where you must click the Upload File button to finish.

9. Complete Mandatory Fields

Any field which has a red star next to it is mandatory. This means that it must be completed before you are able to finally submit the form.

If there are mandatory fields that have not been completed when you select Submit on the Declaration and Consent page, a summary will appear at the top of the page listing the sections (tabs) of the OPQ with errors.

Selecting a section from the list will take you to that page, where the fields that require completion will be indicated in red.

All missing information must be addressed before the OPQ can be submitted.

10. Submit an OPQ

The final step to Submit an OPQ, when all areas are completed, can only be done by the owner (subject) of the OPQ, not a delegate. If a delegate has finished editing an OPQ it must be assigned to the owner, by clicking on the at the top of the page.

If the OPQ is yours, the Declaration and Consent page asks you to confirm that all questions have been completed correctly and all additional information is attached.

Finally, select the Submit button and, providing the OPQ is fully complete, your OPQ will be submitted to the Commission, and you will see a Thank You message.

11. Create or Resign from Appointments

To create an appointment, log in to your My GFSC page and scroll to the bottom. Under Your appointments select either Begin a new appointment, if the OA is referring to you, or Begin a new appointment for someone else if you are creating the OA on behalf of someone else (ensuring that you have the correct email address that the individual has registered with on the PQ Portal).

You will be taken to a Start page, check that the correct option is selected under Initial questions, at the bottom of the page, then click Create Appointment. Once the screen has saved, you will be taken to the Appointment tab. Fill in the appropriate details for the OA you are adding.

When you have completed the details, click on Next and you will be taken to the Declaration and Consent tab. Once you have read the Declaration click the box next to I agree to the above, then click Submit. If there are any errors or omissions in the details, a message will tell you which parts of the form need amending. If everything is complete on the form, you will see a Thank You message. Once submitted the OA is sent to the Licensee Main User (“LMU”) of the licensee who will either approve your OA and submit it to the Commission or reject your OA by returning it to you. Once the LMU has submitted your OA, it will be seen by The Commission who will review it and either accept or decline it. Where the Commission’s approval or no objection is required, it will be sent to you by e-mail.

You will be able to see the status of your OAs at the bottom of your My GFSC page.

To resign from an OA, go to your My GFSC page and under Your appointments, you will see a list of your current appointments. Select Resign next to the OA you wish to resign from. You will be taken to the cover page, click Next at the bottom of the page. On the Current Position tab, add the End Date for your position and your reason for leaving, then click Next. On the Declaration and Consent page, click in the box next to I agree to the above and click Submit. You will then see a message confirming that your OR has been submitted.

12. Register as a Licensee Main User

A letter containing your Licensee Main User (“LMU”) unique code will be sent to the Licensee. It will be addressed to the Managing Director who can then delegate the responsibility.

The code can be activated through the Licensee Management section which is found under your Profile (top right hand side of your individual account, hover over your name). Once registered the code is no longer required and cannot be reused.

An LMU can add and remove other LMUs on this page but please note that the individual has to be already registered themselves on the PQ Portal in order to add them. We would encourage all Licensees/firms to set up more than one LMU wherever possible to provide cover for absences, etc.

Frequent Questions

Click on the questions below to expand and see the answers to frequently asked questions.

“OPQ” refers to Online Personal Questionnaire
“OA” refers to Online Appointment
“OR” refers to Online Resignation

1. Registration and Password Management

Click on the questions below to see the details.

Q1 How do users obtain a password?
Answer: Upon registration, a user is prompted to provide a password which will be used to access the portal in conjunction with their e-mail address.
Q2 What if I've forgotten my password?
Answer: When signing in with your email address, click on "Forgotten your password"
Q3 What does "Send to recovery email?" mean?
Answer: In instances where users have left an employer and need to change their email address but have forgotten their password, when clicking on "Forgotten your password" the password change request will be sent to the recovery email address. A recovery email address can be set up under a user's Profile and can be a user's home email address.
Q4 Where do I find my Profile?
Answer: After signing in, on the home page (the My GFSC page) the user's name appears in the top right hand corner. The user can then click on the down arrow and the Profile button appears.
Q5 Is a written signature required to use the portal?
Answer: All users who plan to submit an OPQ to the Commission will be required to print off, sign and deliver to the Commission an Online Services Agreement before they can submit their OPQ. This can be found on the Home page in the "About You" section. The Commission will only accept the original, signed document. An OPQ can be created before the Online Services Agreement has been received by the Commission but cannot be submitted until the Agreement has been received by the Commission and the user has been notified by automated email.
Q6 Why do I need to provide an Online Services Agreement to allow me to make submissions on the portal?
Answer: The Commission requires that anyone who completes an OPQ on the portal, prints off and signs an Online Services Agreement document before they can submit the OPQ. This is required only once. By signing the Online Services Agreement, which contains the user's unique registration number, any submissions using that user's email address and password are considered to be signed by the user and is legally binding.

2. Licensee Main User

Click on the questions below to see the details.

Q1 What is a Licensee Main User ("LMU")?
Answer: The portal has a facility for a user to identify themself as representing a licensee. This will enable the licensee to meet its notification obligations as described in the Regulatory Laws by submitting new appointments, resignations and updating appointment dates in the portal.

Once you are added for a licensee you will also be able to see appointments for other entities associated with that licensee such as a designated manager will be able to view managed funds and a lead fiduciary licensee will be able to see corresponding joint fiduciary licensees.
Q2 How do I become the LMU?
Answer: A letter containing a unique licensee code was posted to every licensee on 12 January 2015 addressed to the managing director who could then delegate the responsibility to another individual within their organisation. For new licensees, a code will be provided upon being licensed. If you have not received your letter or misplaced your code, please email support@gfsc.gg to request that a new code be regenerated and posted to you.

You can use this code to identify yourself as representing the licensee. For security reasons the code may only be used once, however, once one person has identified themselves as representing that licensee they can add (or remove) other LMUs. There is no limit to the number of LMUs for a licensee and you are encouraged to have more than one in order to cover absences from the office.
Q3 How do I register the Licensee code?
Answer: The code can be activated through the Licensee Management section which is found under your Profile. After signing in on the home page on the portal (the My GFSC page) your name appears in the top right hand corner, click on the down arrow and the Profile button appears. Once registered the code is no longer required and cannot be reused.

Once you have completed this you will see a new section on your My GFSC page entitled Licensee Management.
Q4 How do I add / remove an LMU?
Answer: You can add and remove an LMU under the Licensee Management section which can be found under your Profile.

3. Support

Click on the questions below to see the details.

Q1 What support will be available on the portal?
Answer: The portal includes various online help functions to assist with the completion and submission of OPQs, OAs and ORs. If further assistance is required please contact support@gfsc.gg or telephone 01481 733420.
Q2 What browsers are supported by the PQ Portal?
Answer: The Commission makes efforts to ensure that commonly used and supported software is able to be used with our systems. The most common browsers to use are Internet Explorer (IE11), Mozilla Firefox or Google Chrome although the site should function on the majority of modern web browsers.

The Commission strongly recommends that users of the portal ensure that their browser and other software is supported by the manufacturer and that security patches are applied in order to protect against cyber threats.

4. Portal Usage

Click on the questions below to see the details.

Q1 What will the Commission do if an OPQ is not filled out properly?
Answer: The Commission's approach to incorrectly completed Personal Questionnaires has not changed by the introduction of electronic PQs. The Commission will continue to request additional information or, if necessary, return the OPQ and request the user to revisit it.
Q2 Can the Commission communicate with users through the portal?
Answer: The Commission will communicate with users at the e-mail address provided on the portal. Should individuals wish to keep the content of the e-mail confidential they are advised to prevent anyone from accessing that e-mail account.
Q3 Will the system automatically inform the licensee and the user that an appointment to a specific position has been approved?
Answer: Appointments which must be notified to the Commission will be acknowledged to both parties. Appointments requiring the Commission's prior approval or no objection will initially receive an acknowledgement and will then receive either an approval or no objection, once the Commission has considered the appointment. In some instances it may be necessary for the Commission to return the appointment.
Q4 Will users' IP addresses be recorded?
Answer: The Commission will record users' IP addresses for monitoring of the service and it may be a factor considered in disputes over usage of the portal.
Q5 What will happen if a user notifies the Commission of a resignation but ends up not resigning?
Answer: If there is any doubt about a resignation, individuals and licensees should not notify the Commission of a resignation until it actually takes effect. In the event that a user is retained after the date of the resignation then a new appointment should be submitted.
Q6 Who is responsible for chasing resignation updates from users who have left a licensee?
Answer: It is no longer necessary to request a PD from a user who has resigned. Both the user and the licensee have access to resign the user from the prescribed position in the portal. The licensee is able to do this via the Licensee Management section and the portal will automatically update both the licensee's and the user's records.
Q7 Will the contents of my OPQ be made available to third parties without my prior consent?
Answer: The Commission will not disclose the content of an OPQ without consent, except to the extent that its disclosure is expressly authorised by the declaration contained at Section 14 of the OPQ, or required by or under any enactment relating to the Commission's statutory functions, or appears to the Commission to be necessary (please refer to Section 21 of the Financial Services Commission (Bailiwick of Guernsey) Law, 1987, as amended, for further details).

5. Accessibility

Click on the questions below to see the details.

Q1 I have a disability which prevents me completing the PQ electronically, can I still submit a paper PQ?
Answer: The Commission will, in exceptional circumstances and by prior written agreement, accept a Personal Questionnaire completed by hand. The Commission will provide a blank document for completion when it gives its agreement to the Personal Questionnaire being completed manually. Individuals wishing to use this facility should request this in writing.
Q2 I don't have access to a computer, can I still submit a paper PQ?
Answer: The Commission will make available a computer at the Commission's premises at a mutually agreed time for those individuals who are unable to access a computer to complete the OPQ. Individuals wishing to use this facility should write to the Commission to arrange access.

6. Personal Questionnaire

Click on the questions below to see the details.

Q1 I previously submitted a paper PQ do I have to complete an OPQ?
Answer: If you need to update your paper PQ you will have to complete and submit an OPQ. If you are to be appointed to a new prescribed position you will need to complete and submit an OPQ and an OA.
Q2 Does the form prepopulate my existing information?
Answer: No, the portal does not prepopulate any existing information.
Q3 How will my directorships be captured?
Answer: As was the case with the paper PQ, users are required to provide all directorships, partnerships and controller positions held. If the user is new to the Commission this includes all directorships, partner and controller positions currently held or held over the last 10 years. For appointments unrelated to a user's employment a user already known to the Commission need only declare current positions.
Q4 Where do I input my current positions?
Answer: Section 6 - For any current Prescribed Positions within entities regulated by or registered with the Commission, including appointments to Prescribed Businesses and Non-Regulated Financial Services Businesses. This could include your current employment role, e.g. Managing Director of a firm, which would also be included under Section 7 "Employment". Section 6 is only available on your first electronic submission and will be locked down on future submissions.

Section 7 - For any director, partner or controller positions held in relation to your employer's company, a subsidiary of the employer's company and/or a company forming a part of a group of companies to which your employer's company belongs.

For client directorships held as part of your employment, only the number of positions held has to be disclosed and this figure should be entered in the appropriate box. There is no requirement to list each entity name.

Section 8 - For any other appointments that are unrelated to your employment, and are unregulated entities. Any directorships to Non-Guernsey Schemes should be included here.

Note that if you are already known to the Commission and previously submitted a PQ, you are only required to disclose your current appointments. However, if you are not known to the Commission, you must disclose all positions that you hold or have held for the past 10 years.
Q5 I have more than one position in the firm. Do I have to provide all my positions in the portal?
Answer: Yes, the Commission requires you to submit all your appointments through the portal.
Q6 Do I need to disclose periods of time where I was asked not to attend the workplace?
Answer: Yes, you must disclose any periods of time where you have been asked not to attend the workplace (whether with or without your agreement). This includes, for example, where an employee has been placed on a period of absence during their notice period ("gardening leave"), where an individual cannot recommence employment due to certain postemployment contractual restrictions ("non-compete agreements"), or where the individual is suspended from or asked to leave the workplace due to the undertaking of a workplace investigation. Periods of unemployment must also be disclosed.
Q7 Do I need to provide electronic copies of documents such as qualifications on the portal?
Answer: No, should the Commission wish to see any supporting documentation it will request it separately.
Q8 When completing the OPQ, will the electronic form summarise all errors or missing information?
Answer: The OPQ has a button at the bottom of each page which allows the user to validate the form as it is completed. You will not be able to submit the form until any validation issues have been resolved.
Q9 Does the OPQ save automatically as you move through it?
Answer: No, the form does not save itself automatically as you work through it. The form includes a "Save" button which will allow users to save as and when they need.
Q10 How long will the portal stay open before timing out, and will an open OPQ be saved?
Answer: The portal will time out after 10 minutes inactivity. The portal will save the OPQ up to the point of time-out.
Q11 Can I create an OPQ before the Commission has received my Online Services Agreement?
Answer: Yes, but until the Online Services Agreement has been received you will not be able to submit it.
Q12 What happens to my email address when I change employment?
Answer: The user is responsible for changing their e-mail address on the portal. This can be done through the user's "Profile". The portal allows users to provide a secondary-email address in case the user can no longer access their work address.
Q13 Once I have submitted my OPQ, how can I make changes which do not involve an appointment or resignation, e.g. change of address?
Answer: On the My GFSC page, in the About You section open your current OPQ, make sure that you have clicked on the button "Edit Form" at the top of the page. You will then be able to make the necessary changes and submit your OPQ choosing the reason for submission as "I need to update the information in my existing PQ".
Q14 In what circumstances would an OPQ be returned?
Answer: An OPQ may be returned for many reasons. When it is returned there will be a notification at the top of the OPQ explaining the reason why that specific OPQ has been returned. The main reason why it may be returned is that it is inaccurate or requires further clarification or details.

Furthermore it has come to the Commission's attention that there are certain circumstances where an OPQ has been submitted and it is not obvious why. In these circumstances the Commission will email the individual asking which prescribed position they are to be appointed to within the Bailiwick by submitting an OA. If, after three months, the Commission has not received the OA, the OPQ will be returned to the individual.

Where OPQs are submitted in relation to new promoters, where no OA is needed and there is no related prescribed position, the individual will be asked to confirm which fund application their OPQ is connected to. Until the application is submitted to the Commission the OPQ will not be reviewed and if we do not receive a reply from the individual within three months, the OPQ will be returned.
Q15 Can I request an old PQ or PD?
Answer: The Commission will endeavour to provide copies of historic PQs and PDs when requested. However, if there are a large number of requests there may be significant delay in providing them.

7. Online Appointments

Click on the questions below to see the details.

Q1 What is an OA?
Answer: An OA is a form which should be completed for any new prescribed position. The user has to submit the OA which will then be sent to the Licensee Main User for their approval before it is fully submitted to the Commission for review. If the new appointment is the user's first submission on the PQ portal, an OPQ must be submitted to the Commission at the same time.
Q2 When should I submit an OA?
Answer: An OA should be used for any new prescribed positions that have not previously been notified to the Commission.

Any new appointments to unregulated entities should be added to the appropriate section in your OPQ (Section 7 if related to your employment or Section 8 if non-employment related or relates to a Non-Guernsey Scheme).
Q3 What if the entity isn't yet licensed?
Answer: The portal includes an auto-complete function for licensees which are supervised by the Commission. If the entity is applying to be licensed then the OA has a button to indicate that the appointment relates to an entity that is making an application, which will then allow the user to enter the applicant's name. If the name of an entity is typed into the portal which is not an auto-complete option and the applying box has not been ticked then the portal will not allow the user to submit the form. If the OA is in respect of a cell then auto-complete is not available and the name of the cell must be completed manually.
Q4 How will I know the status of my OA?
Answer: The licensee and user will receive confirmation of submission of an OA. The OA will then sit under the user's "Your Appointments" in the "Appointments awaiting Licensee approval" on the My GFSC page of the user's Online PQ Portal. Once the OA has been confirmed by the Licensee, the OA will move up into the box "Appointments awaiting Commission approval" and an automated confirmation of receipt by the Commission email is sent. Once the Commission has processed the OA, if the appointment was a "notification only" appointment, it will move into the box "Current Appointments". If the position requires the Commission's approval or no objection, the user and the licensee will receive an automated email approval. The OA will then move into the box "Pending follow up notifications" for the user or the licensee to insert the date of appointment. Once the date of appointment has been entered by the user or licensee, the OA will move into the box "Current Appointments".
Q5 Can a user enter an intended future date of appointment or resignation on the OA?
Answer: Yes, it is possible to give a future date for an appointment or resignation.
Q6 How will the portal be used to advise the Commission of percentage control?
Answer: There is a field in which the percentage control should be added.
Q7 What is the procedure for submitting OAs which are associated with applications?
Answer: An OA should be completed as normal but the box on the form to indicate that it is part of a new entity application should be ticked.

Where OPQs are submitted in relation to new promoters, where no OA is needed and there is no related prescribed position, the individual will be asked to confirm which fund application their OPQ is connected to. Until the application is submitted to the Commission the OPQ will not be reviewed and if we do not receive a reply from the individual within three months, the OPQ will be returned.
Q8 Can users create an OA in advance of an application?
Answer: Yes but an OPQ has to be received by the Commission before any OA can be submitted.

8. Online Resignations

Click on the questions below to see the details.

Q1 How do I resign from a current prescribed position?
Answer: Current prescribed positions are listed as current appointments on the My GFSC page under the section Your Appointments. Click on the Resign button next to the appointment.
Q2 As LMU can I resign an individual from a current prescribed position?
Answer: Yes. In the Licensee Management section, under Current Appointments click on the Resign button next to the appointment.

9. Delegates and Third Parties

Click on the questions below to see the details.

Q1 What is the difference between delegating a form and assigning a form?
Answer: If you are beginning an OPQ for someone else, you need to assign the OPQ to that individual at the email address that individual has registered with on the PQ Portal. If you begin an OPQ for yourself and need to give someone access to it you will need to add the person as a delegate. The same applies to OAs.
Q2 Can the Commission refuse the addition of a delegate?
Answer: An OPQ can be submitted only by a user and not a delegate and therefore the Commission has no view on who is added as a delegate. The selection of a delegate is the responsibility of a user and the Commission accepts no responsibility for the actions of any delegates, however, delegates are unable to make any submissions to the Commission.
Q3 How can a user provide a copy of an OPQ to a third party?
Answer: The portal does not allow the sharing of the contents of the OPQ beyond the added delegates, however, a user can print the form or download a pdf copy of it and then send it by email or hard copy to a third party.
Q4 Will it be possible for a user to share a view of the OPQ on the portal with other users?
Answer: The OPQ can be shared with another user by adding them as a delegate. This access is solely for that specific submission. Following on from this, you will need to ensure that the delegate is appointed each and every time that there is an update to the record.
Q5 Can a delegate remove themselves or is it at the initiative of the user?
Answer: A delegate can both remove themselves or be removed by the form user.
Q6 Does the portal support more than one delegate and can more than one delegate complete the OPQ at the same time?
Answer: A user can add as many delegates as they wish, however, only one delegate can edit the OPQ at any one time.
Q7 I am completing the OPQ in respect of an application which won't be submitted for a few weeks, can I delegate submission of my OPQ to the party making the application?
Answer: No, the OPQ must be submitted electronically by the person who is the subject of the OPQ.
Q8 Would it be possible, when assigning the OPQ, to send it to two email addresses:
Answer: No, it is not possible to assign an OPQ to two email addresses as you are assigning the OPQ to the individual that OPQ belongs to.
Q9 Can delegate access be given to more than one person or to a group/team email address?
Answer: Yes delegate access can be given to more than one person. Delegates should be individuals, who will have to register on the portal themselves and cannot be a group or team email address.
Q10 Can a delegate be given permanent access to an individual's portal record?
Answer: No. Access is solely for a specific submission and you will need to ensure that the delegate is appointed each and every time that there is an update to the record.

10. Prescribed Positions

Click on the questions below to see the details.

Q1 I am a controller/key individual at the promoter of a fund, not the fund itself, do I need to complete a PQ?
Answer: The Commission regards the "Promoter" of a fund as the party ultimately responsible for its success. A promoter may, for example, be a fund management company, a new investment boutique or a group of experienced professionals. The Commission requires the beneficial owners of a Promoter, being individuals with 15% or greater ownership or voting control, to complete an OPQ.

Where OPQs are submitted in relation to new promoters, where no OA is needed and there is no related prescribed position, the individual will be asked to confirm which fund application their OPQ is connected to. Until the application is submitted to the Commission the OPQ will not be reviewed and if we do not receive a reply from the individual within three months, the OPQ will be returned.
Q2 If I am already a director of a licensee, do I need to seek prior approval if I am proposed for appointment as an alternate to one of my fellow directors at a board meeting of that same licensee?
Answer: The Commission does not require you to seek approval to act as an alternate to another director at a board meeting of a licensee of which you are already a director. The Commission would, however, remind all licensees of the requirements of the Finance Sector Code of Governance and the Licensed Insurers' Corporate Governance Code when considering the composition of their boards. In general, the Commission's expectation is that the presence of an alternate should be on an exceptional basis only following a director's unexpected unavailability.

Individuals are still required to submit an OA for an alternate appointment in order to keep the Commission's records up to date. Where appropriate, it should be noted in the text box that the appointment was to act as Alternate to xxxxx for one meeting only.
Q3 I am to be appointed as the Compliance Officer and/or Company Secretary of a managed entity. Do I need to complete an OPQ?
Answer: Please refer to the service level agreement in the first instance. If you are the named individual in the agreement you will need to submit an OPQ, OA or both if you are not known to the Commission. If the company that you are employed by is named in the agreement, you are not required to submit an OPQ for the managed entity (but you may be required to do so for your role with your employer).
Q4 Is there a requirement to complete an OPQ when a corporate service provider has been appointed as Compliance Officer and/or a Company Secretary to a licensee?
Answer: As there is no facility for a corporate entity to complete an OPQ or OA, the Commission will require notification via the Online Submissions Portal using a Notification Form 211 naming the corporate service provider that will act as Compliance Officer and/or Company Secretary to the licensee.
Q5 Do I need approval if I am the individual acting for a corporate service provider in the capacity of a Compliance Officer and/or Company Secretary?
Answer: Yes, you will be required to seek approval under the relevant Laws.
Q6 I am associated with a New Promoter application. Do I need to complete an OPQ?
Answer: The Commission requires OPQs for all beneficial owners of a promoter who are individuals with 15% or greater ownership or voting control, proposed directors (including non-executive directors) of the promoter and any key individual upon whom the performance of the fund/licensee will depend. If you are not in a prescribed position with the Commission you should choose the submission reason "Associated with a New Promoter application" from the drop down box on the final page in order for the Commission to recognise the reason for your OPQ submission. The Commission will ask you to confirm which fund application your OPQ is connected to. Until the application is submitted to the Commission the OPQ will not be reviewed and if we do not receive a reply from you within three months, the OPQ will be returned.

11. Transition from Paper PQs for the Portal

Click on the questions below to see the details.

Q1 I don't expect to need to update my PQ in the foreseeable future, is there a deadline by which date I must have completed my OPQ on the portal?
Answer: The Commission has not set a specific date by which all PQs must be online. However, it is likely that a deadline for submitting a PQ on the portal will be imposed at some point in the future. The Commission will publicise that deadline on its website well in advance of the date.
Q2 What has happened to Personal Declarations and Form 28As?
Answer: Personal Declarations and Form 28As for natural persons have been withdrawn as part of the implementation of the portal.
Q3 Why must I resupply the content of the PQ electronically when I have already supplied it in paper?
Answer: Historically the Commission has only stored electronically certain information from the paper PQs and the information that was requested by the Commission in the paper PQs changed over time. The Commission is also aware that the provision of PDs for changes to the content of PQs has not always been complete. To ensure that the Commission's records are both complete and accurate users have been requested to create and maintain their OPQ themselves.