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User permissions

The following User Roles table describes the permissions that are associated to each role and security group selection:

Role	Security group selection	System functionality
Authorized Super User with complete authority
ASU	Complete authority for user within organization*   *no other security groups required to be selected	create/maintain all filing types   create/maintain PAD account   pay via credit card   view payment transactions   view authority over a profile   grant authority over a profile or filing   create/maintain all profile types   maintain organization account   search for users   create/maintain users (ASU and AU)   transfer investment funds between Investment fund managers   reset passwords for other users
Authorized Super User with a subset of authority
ASU	Authority over users within organization for ASU	maintain organization account   search for users   create/maintain users (ASU and AU)   reset passwords for other users
ASU	Authority over creation and maintenance of party profile for ASU	view authority over a profile   create/maintain all profile types
Authorized Users (lower authority than super users)
AU	Authority over users within organization for AU	maintain organization account   search for users
AU	Authority over creation and maintenance of party profile for AU	view authority over a profile   create/maintain all profile types
Filing permissions*   *must include one or more of the below if creating an ASU without complete authority OR creating an AU
ASU/AU	Authority over applications, pre-filings and waivers	create/maintain a filing under the Applications, pre-filings and waivers filing category   post formal correspondence   view payments   pay outstanding fee
ASU/AU	Authority over continuous disclosure filings	create/maintain a filing under the Continuous Disclosure filing category    view payments   post formal correspondence   pay outstanding fee
ASU/AU	Authority over exempt market offerings	create/maintain a filing under the Exempt Market Offerings filing category   view payments   post formal correspondence   pay outstanding fee
ASU/AU	Authority over securities offerings filings	create/maintain a filing under the Securities Offering category   view payments   post formal correspondence   pay outstanding fee
ASU/AU	Authority over third party filings and securities acquisitions	create/maintain a filing under the Third Party filings and Securities Acquisitions category    view payments   post formal correspondence   pay outstanding fee
Payment permissions   -ASU with complete authority is automatically assigned all payment permissions
ASU/AU	Authority over payment	use a credit card as a payment method+   search and view payments   pay an outstanding fee   *Additional permissions over the ‘Authority over financials’ grouping    +A user must be added to the organization’s PAD account to pay a filing via EFT; this authority is not added on the user account
ASU/AU	Authority over financials	search and view payments

 A user’s ability to create a filing will be based on the permissions assigned (described above) during the user account set up, as well as the filing authority role for each issuer the user’s organization was assigned by the issuer on their Filing Agent Authorization Form (FAAF).

For example: David works for XYZ filing agency and his user account was set up to include authority over securities offerings and authority over continuous disclosure filings.

XYZ filing agency was hired by ABC Mines to file their securities offerings filings and exempt market filings only (as indicated on the FAAF signed by ABC Mines to XYZ filing agency)

David will only be able to create securities offerings filings for ABC Mines. Although XYZ filing agency was given authority to also file exempt market filings, David’s user setup does not include this category, so he is not able to create any of these types of filings.

David’s user account can be updated by his ASU to include the exempt market category so he would then be able to submit these filings for ABC Mines.

If ABC Mines subsequently hires XYZ filing agency to also create continuous disclosure filings on their behalf, ABC Mines will need to provide a modified FAAF that includes continuous disclosure.