How to E-File a Statement of Investment Policies and Procedures (SIPP) and complete Form 14 (SIPP Information Summary) through the Pension Services Portal

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Hi! My name is _______________ and I will take you through the process of E-Filing a Statement of Investment Policies and Procedures also known as ‘SIPP' and the process of completing Form 14 - the SIPP Information Summary, using the Pension Services Portal.

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Pension Service Portal, or PSP accounts must not be shared. If FSCO becomes aware that your account has been compromised, your account will be suspended.

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Your SIPP must be saved as a searchable PDF file

Note:
A PDF scanned paper version of the SIPP is not an acceptable submission
The PDF file size must be less than 10MB

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To begin, go to the PSP and log into your account.

You can access the PSP through the homepage of FSCO's website.

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If you need help logging into the PSP, you may view the instructional video ‘logging into the PSP', which can be found by following the link below this video.

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After you login, you will see your ‘My Profile' Page. In the top navigation bar, click on ‘E-Filing'.

Clicking ‘E-filing' will take you to the ‘Filing Record' page.

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Here, you'll see a list of all the prescribed filings for your pension plan or plans, including upcoming filings. You can filter this list by: plan number, filing type, filing year and/or filing status, using the drop down menus.

To begin a new submission, choose ‘SIPP' from the ‘Filing' drop-down menu. In the actions menu, click ‘Start'.
If you have already began the process of e-filing your SIPP, click ‘Open Workspace' to proceed.

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Clicking ‘Start' on the ‘Filing record' page will take you to the ‘Filing Profile' page. Click on the ‘Start' button.

Note: if you click on the ‘Cancel' button, you will be returned to the ‘Filing Record' page.

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The ‘Filing Workspace' page provides an overview of Form 14 and a place to attached your SIPP. Review the information on this page to ensure that you have selected the correct filing type and plan number.

If you have selected either the incorrect filing type or plan number, click on ‘Abandon Filing' in the ‘Actions' box in the top right-hand corner of your screen. This will take you back to the ‘Filing Record' page, where you can ‘select' the correct filing.

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To upload your SIPP, click on the ‘Upload SIPP' link in the ‘Actions' box.

You will be taken to the ‘Attach Document' page.

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Here, click on ‘Browse' and choose the SIPP pdf file you want to submit. Then click on the ‘Save & Close' button to complete the upload process. You will then be taken to the ‘Filing workspace page'

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Once the SIPP has been uploaded, you are ready to complete the Form 14 filing.

Click on the ‘Open Form 14' link in the ‘Actions' box to access Form 14.

For instructions on completing Form 14, click on ‘Help' in the top navigation bar.

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Form 14 contains six parts:

• Parts 1, 5 and 6 must be completed for all SIPP filings.
• Parts 2, 3 and 4 should be completed only where your SIPP addresses corresponding provisions.
Note: Line 104 has a question about the type of plan provisions offered under the plan. Your answers to this question will determine which of the remaining Parts of Form 14 you will be required to complete.
Any questions that are not applicable will be greyed-out.

Complete all the required fields and follow the on-screen instructions to ensure the form is filled out properly.

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If at any time, you want to save the information you're providing in Form 14, click on the ‘Save' button at the bottom of the screen.

When you click ‘Save' - any errors or warnings due to incomplete or incorrect information provided will appear in a box at the top of the page you are working on.

A notation in red will also identify the actual line where the error or warning occurred.

Errors are identified by an exclamation mark in a yellow triangle; they will prevent you from submitting Form 14. Warnings are identified by a blue ‘i' in a white circle and while they will not prevent you from submitting the Form, you should review these sections before submitting it.

Note: You can click on the ‘Save and Close' button at any time to return to the ‘Filing Workspace' page.

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On the ‘Filing Workspace' page, if any area of Form 14 still has errors or warnings that have not been addressed, they will be listed in the ‘Warnings & Errors' section.

To view the form errors or warnings on a page, click on the ‘plus(+)sign' beside the page number. Then click on the error/warning message to return to that specific page and section to make the required correction(s).

Note: The ‘Submit Filing' link in the ‘Actions' box will not be active until all errors have been corrected.

If you wish to review and/or print a copy of your Form 14, showing your work to-date, click on the ‘View Form 14 as PDF' link in the ‘Actions' box.

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Before you submit Form 14, you must complete Part 6: Certification.

Please review the confirmation statement, click on the agreement checkboxes shown, and click on the ‘Certify & Submit' button.

Note: Once the SIPP is submitted, no further changes can be made.

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Alternatively, if you have completed Form 14 prior to uploading your SIPP, you may submit your filing from the ‘Filing Workspace' page once you have uploaded your SIPP.

Upon selecting ‘Submit Filing' from the ‘Actions' box, you will be presented with the ‘Submit Filing' page, which will take you through the certification process listed earlier in the video.

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When you have successfully submitted the SIPP, you will be taken back to the ‘Filing Workspace' page.

The ‘Filing Profile' box provides information about the ‘Form Status' which will now indicate the name of the individual who submitted the Form 14 and SIPP, and the date and the time of the submission.

To view the completed submission online, click on ‘View Form 14' in the ‘Actions' box in the top right-hand corner of your screen.

To view and print a copy of the completed submission for your records, click on ‘View Form 14 as PDF'.

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If you have any questions or issues about electronically submitting your SIPP and completing Form 14 through the Pension Services Portal please refer to the helpful links below this video.

• Logging into the PSP
• Form 14 - User Guide
• FAQs on E-filing SIPP and completing Form 14
• Instructions for E-filing SIPP and Form 14
• Rules concerning SIPPs

Or contact us by email at PensionInquiries@fsco.gov.on.ca or call (416) 590-7177.

For more information, you can visit the FSCO website at www.fsco.gov.on.ca.

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