UCAA Functionality by Role

State Interface Roles, Expansion Application

Role UCAA Role Name Privileges
Compliance Certificate Preparer UCAA_STATE_COMPLIANCE_PREPARER_PR Certificate of Compliance
Deposit Certificate Preparer UCAA_STATE_DEPOSIT_PREPARER_PR Certificate of Deposit
Analyst/Examiner UCAA_STATE_ANALYST_EXAMINER_PR Index of Forms
Download Filing
View/Download Forms
View Status
View Company Input
Send Email
View Email
Administrator UCAA_STATE_ADMINISTRATOR_PR Receive Filing
Accept Filing
Index of Forms
Download Filing
View/Download Forms
Manager UCAA_STATE_MANAGER_PR Approve Filing
Close Filing
Index of Forms
Download Filing
View/Download Forms
View Company Input
View Status
View Only UCAA_STATE_VIEW_ONLY_PR Index of Forms
Download Filing
View/Download Forms
Send Email
View Email
View Company Input

State Interface Roles, Corporate Amendments Application

Role UCAA Role Name Privileges
Compliance Certificate Preparer UCAA_CORP_STATE_COMP_PREPARER_PR Certificate of Compliance
Deposit Certificate Preparer UCAA_CORP_STATE_DEP_PREPARER_PR Certificate of Deposit
Analyst/Examiner UCAA_CORP_STATE_EXAMINER_PR Index of Forms
Download Filing
View/Download Forms
View Status
View Company Input
Send Email
View Email
Acknowledge Notifications
Administrator UCAA_CORP_STATE_ADMINISTRATOR_PR Receive Filing
Accept Filing
Index of Forms
Download Filing
View/Download Forms
Manager UCAA_CORP_STATE_MANAGER_PR Approve Filing
Close Filing
Index of Forms
Download Filing
View/Download Forms
View Company Input
View Status
Acknowledge Notifications
View Only UCAA_CORP_STATE_VIEW_ONLY_PR Index of Forms
Download Filing
View/Download Forms
Send Email
View Email
View Company Input

Company Interface Roles

Role UCAA Role Name Privileges
Analyst/Examiner UCAA_COMPANY_ANALYST_EXAMINER_PR Start New UCAA Application
View Existing UCAA Application
Send Email
View Email
Attachments and Download
Manager UCAA_COMPANY_MANAGER_PR Complete Existing UCAA application
Amend Existing UCAA Application
Send Email
View Email
Attachments and Download

UCAA Functionality Privileges Defined

Regulator (State) side

Function Definition
Index of Forms Ability to view all company submitted attachments including Certificate of Compliance and Certificate of Deposit
Download Filing Ability to create a zipped (compressed) file on the users PC
View/Download Form Ability to view/download/print individual forms
Status Ability to view or edit status information about the filing
Send Email Ability to edit, attach documents and send emails
View Email Ability to view selected emails in detail
Certificate of Compliance Ability to complete and submit the Certificate of Compliance
Certificate of Deposit Ability to complete and submit the Certificate of Deposit
Receive filing Ability to indicate that all hardcopies and filing fees have been received
Accept Filing Ability to indicate that a filing has been accepted for completeness
Approve Filing Ability to indicate that a filing has been approved for admission
Close Filing Ability to indicate that a filing has been closed and no certificate of authority was approved.
Acknowldge Notifications Ability to indicate that Form 14 or Form 12 has been received

Industry (Company) side

Function Definition
Start New UCAA Application Ability to create (edit) a filing before submission (pressing finish button). Includes all attachments and download functionality except finish application.
Complete Existing UCAA Application Ability to edit and view an existing filing, and submit the filing. Includes all attachments and download functionality
View Existing UCAA Application Ability to view the current version of a submitted filing, the status of the filing, with no edit capabilities. Includes all attachments and download functionality.
Amend Existing UCAA Application Ability to modify or edit a submitted filing (Amend) This implies edit capabilities as well as the ability to submit (finish button) a filing which has already been previously submitted. Includes all attachments and download functionality.
Send Email Ability to edit, attach documents and send emails
View Email Ability to view email index for a filing, and view selected emails in detail

Attachments and Download
Ability to use all attachment buttons, including the questionnaire, proforma, application and general attachments. Download attachments/forms/emails by creating a zipped (compressed) file on the users PC. View/Print/Download individual forms.