Overview
The system receives submissions from Financial Institutions via a secure public web portal. Submitted data is consolidated with other FI submissions using the internal administration portal, then packaged for transmission to the appropriate OECD body or FATCA authority. Submission status and notifications are tracked, and late‐submission penalties can be applied. A dashboard provides real‑time status updates and a clear “To‑Do” list for outstanding actions.
Registration
Financial Institutions must register before submitting. Required details include their FATCA GIIN or CRS/CbCR TIN, which are used for validation. Registrations must be approved by an administrator before submissions are allowed.
FI Submission
Financial Institutions may upload an XML file or use a built in web form. The XML should conform to the OECD schema.
Web Form Submission
Submissions can be made using a web form. Two factor authentication can be enforced to secure the FI account.
Processing
Once submissions are received, the admin portal identifies the jurisdictions involved, combining them with any unsubmitted jurisdictions. Administrators can select all jurisdictions at once or choose individually before compilation and transmission.
Transmission
Compiled data is securely packaged and transmitted via SFTP. You can configure transmissions to be either fully automated or require your confirmation to ensure they originate from your authority.
Process Notifications
Incoming notifications from partner jurisdictions are automatically downloaded and processed. Manual import is available if required.
Dashboard
The dashboard presents charts and metrics showing submissions received, compiled, and transmitted. It also provides a concise view of progress for each jurisdiction.
AEOI Solution – Required Infrastructure
This is the minimum infrastructure required for the AEOI solution.
The solution requires two Microsoft Windows servers. The database is designed to work on Microsoft SQL Server.
The solution will work with on premises servers or from virtual servers in the cloud.
This is the standard infrastructure configuration.
This configuration splits out the front end database and management web portal on to separate servers.
This is the standard infrastructure configuration with resilience against hardware failure.
The public web portal and front end database have been duplicated to allow for failover with minimal down time.