UCAA Functionally by Role
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. |