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Frequently Asked Questions (FAQs) - FATCA Registration System

FATCA Registration System – Overview

Q1. What is the FATCA Registration System?
Q2. How do I get to the FATCA Registration Login Page?

Registration System Resource Materials

Q1. What help is available for the Registration System?
Q2. How do I contact someone for further questions or to report technical problems?

General System Questions

Q1. In what language is the registration system available?
Q2. What internet browsers are supported?
Q3. Does the FATCA registration system support multiple tabs or windows?
Q4. What is the maximum number of users that can access a FATCA account at one time?
Q5. What is the FATCA ID?
Q6. What are the requirements for the access code?
Q7. Are all questions in the registration system applicable to me?
Q8. Will there be an automatic check of legal names against a database to prevent misspellings?
Q9. What are the requirements for entering the financial institution or direct reporting NFFE’s legal name? 
Q10. How can a financial institution or direct reporting NFFE register an entity located in a newly formed country or jurisdiction?
Q11. Do I have an opportunity to review my questions and responses before I submit my registration?
Q12. Can I download my registration information?

FATCA Account Creation and Access

Q1. What is the maximum number of points of contact allowed on the Registration?
Q2. What are the access code requirements for FATCA accounts?
Q3. What are challenge questions used for?
Q4. Can a member of an expanded affiliated group (EAG) create their own FATCA account?
Q5. What is the time lapse between the creation of the FATCA ID for the lead FI and the FATCA IDs for the member FIs?
Q6. How can I change the access code for the FATCA account?

Registration Status and Account Notifications

Q1. What type of notifications will the FATCA Registration system provide?
Q2. Where does an FI go to check their message board?
Q3. How can a Financial Institution check the status of its registration?
Q4. Can the Responsible Officer (RO) list more than one email address on the registration system?
Q5. What information will be in the notification email the RO receives?
Q6. Why is the RO not receiving FATCA notification emails regarding the account status and updates?

Expanded Affiliated Groups (EAG)

Q1. If a lead foreign financial institution (FI) of an expanded affiliated group (EAG) registers and lists each member on Part 2 of the registration, then would each member of the EAG still need to separately register?
Q2. Once the lead Financial Institution (FI) has its FATCA ID, will it be possible for each of the member Expanded Affiliated Group (EAG) entities to log on at the same time to register?
Q3. Does a member FI type need to wait until the lead FI has obtained a GIIN before it registers or obtains a GIIN?
Q4. Can there be more than one lead to an expanded affiliated group (EAG)?
Q5. How does the lead Financial Institution (FI) access its member FI accounts?
Q6. Can a member FI transfer to another expanded affiliated group?
Q7.  Why was my transfer request cancelled or expired by the system?

Registration Updates

Q1. How do I edit my registration information?
Q2. How can an FI change the FI Type in question 1 of the Registration?
Q3. How can a sponsoring entity change its FI Type?
Q4. How can the responsible officer (RO) or points of contact (POCs) be changed?
Q5. Can a financial institution (FI) that is limited change to a participating FFI?
Q6. Why did my registration status change to Registration Incomplete?
Q7. How does an FI delete its registration or cancel its agreement?
Q8. What if I lost or forgot my FATCA ID or Access Code?

Sponsoring Entity

Q1. How does a sponsoring entity FI add sponsored entities in the Registration?
Q2. Is there a way to add multiple sponsored entity registration data (“bulk upload”) using a file?
Q3. What are the guidelines to upload a file with multiple sponsored entities?
Q4. What if my file upload did not get added or not all records were added?
Q5. Does a sponsored entity have a FATCA ID and a GIIN?
Q6. Can the sponsoring entity edit sponsored entities and sponsored subsidiary branches?
Q7. Can I download or print the list of sponsored entities and sponsored subsidiary branches on my account?

FFI List

Q1. When does an FI or direct reporting NFFE need to have their registration approved to be included on the monthly published FFI list?

Paper Registrations

Q1. Is there an alternative to registering electronically?
Q2. What help is available for completing form 8957?
Q3. How long will it take to process paper registrations (form 8957)?

Global Intermediary Identification Number (GIIN) – Overview

Q1. What is a GIIN?
Q2. Will Financial Institutions (FIs) and Branches that are limited be issued GIINs?
Q3. How are Branch GIINs assigned?
Q4. Where does a Financial Institution locate its GIIN?
Q5. If an FI is in approved status and has been issued a GIIN, will it lose its GIIN if the FI edits its registration?

GIIN Format

Q1. What is the format of the GIIN?
Q2.
Are the period (.) separators in the GIIN required?

FATCA Registration Self-Help

FATCA Registration System Technical Support

Comment on FATCA Compliance

Additional Support

 


FATCA  Registration System - Overview

Q1. What is the FATCA Registration System?
The FATCA Online Registration System is a secure, web-based system that users may use to register themselves (and FI branches, if any) completely online as a participating foreign financial institution (PFFI) (including a reporting FI under a Model 2 IGA), a registered deemed-compliant FFI (RDCFFI) (including a reporting FI under a Model 1 IGA), a limited FFI, a sponsoring entity, a direct reporting NFFE, or a trustee of a trustee-documented trust.

Updated:  December 15, 2016

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Q2. How do I get to the FATCA Registration Login Page?
You can access the FATCA Online Registration System from FATCA Registration Landing Page, and then click on Register or Login which will direct you to the FATCA Financial Institution Account User Login page.

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Registration System Resource Materials

Q1. What help is available for the Registration System?
In addition to these FAQs, the FATCA Registration Online User Guide provides information on how to answer questions and navigate through the online system.  Links to short “how-to” videos for the Registration system and other relevant reference documents about the system’s functionalities are also available on the FATCA Registration Landing Page.

Within, the FATCA online registration systems are help icons (question marks) with information on particular questions or fields.

Updated:  November 19, 2015

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Q2. How do I contact someone for further questions or to report technical problems?

Once logged on, at the top of each page of the FATCA registration system, you will find there is a navigation bar with a “get help” option. This provides additional resources and contact information if you have questions or need further assistance. You can also report technical problems from the "get help" page by clicking on the System Support link.

Updated:  November 19, 2015

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General System Questions

Q1. In what language is the registration system available?
The registration system is in English only.

Updated:  November 19, 2015

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Q2. What internet browsers are supported?
The FATCA online registration system is compatible with the following browsers: Microsoft Internet Explorer, Google Chrome and Mozilla Firefox. It is not compatible with the Microsoft Edge browser.

Updated:  October 20, 2016

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Q3. Does the FATCA registration system support multiple tabs or windows?
The FATCA Online Registration system does not support account log-in with more than one tab or window at the same time.  Log-in to only one account using only one tab or window to avoid losing your work.

Updated:  November 19, 2015

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Q4. What is the maximum number of users that can access a FATCA account at one time?
Only one user can log into a FATCA account at a time. Each account has its own unique FATCA ID and access code. Although the login credentials (FATCA ID and access code) can be shared between the Responsible Officer and up to five (5) points of contact designated on the registration, only one person can access the account at a time.

For expanded affiliated groups, each member FI has its own FATCA ID and access code, so members log into the system independent of other members of the group or the lead. The lead FI has access to all its member FI accounts but cannot access a member’s account while the member is logged in; and the member cannot log into its account, if the lead is accessing the member’s page.

Sponsored entities and branches do not have individual FATCA accounts. Therefore, they are not assigned FATCA IDs.

Updated:  November 19, 2015

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Q5.  What is the FATCA ID?
The FATCA ID is a system generated number issued by the registration system when a FATCA account is created. The FATCA ID is used with an access code to log in to the system and to identify the account for purposes of registration. It is not the same number as the global intermediary identification number (GIIN). FATCA IDs are not case sensitive and can be entered in lowercase and/or uppercase letters. However, the system displays the FATCA IDs as uppercase letters only. They do not contain the letter “O”. If your FATCA ID has a character that looks like the letter “O”, enter the number zero (0).  A member’s FATCA ID contains a period after the sixth character and must be included to log in.  A sponsored entity’s sponsored entity ID looks like a FATCA ID, but cannot be used to log into the registration system.

Updated:  November 19, 2015

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Q6. What are the requirements for the access code?
The access code must be 8-20 characters and include at least one uppercase and lowercase letter, one number, and one of the designated special characters (~! @ # % ^ * () ? , .) .

Updated:  November 19, 2015

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Q7. Are all questions in the registration system applicable to me?
Depending on your answer to a question, the system will automatically skip over the questions that do not apply to you. Fields that are mandatory are marked with an asterisk at the end of each question.

Updated:  November 19, 2015

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Q8. Will there be an automatic check of legal names against a database to prevent misspellings?
The system will not check the legal name against any database for spelling or format issues. However, there are specific error messages to guide you when you click on the “Next” or “Save” button in the registration system if there is a problem with the input you provided.

Updated:  November 19, 2015

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Q9. What are the requirements for entering the financial institution or direct reporting NFFE’s legal name?
The FATCA online registration system can capture 150 characters, including spaces.  Further, only upper and lower case letters (a-z, A-Z), numbers (0–9) and the following special characters are accepted: blank space, ampersand, hyphen, forward slash, period, comma, apostrophe, pound sign, percent sign, brackets, parentheses, and curly brackets (% - / . , ' # % [ ] ( ) { }).  The legal name cannot start with a special character.  

To the extent that the full legal name can be entered, please do so.   If however, the full legal name does not fit, please note the following:

  • At least the first 100 characters must match the FI’s legal name.
  • Any legal and numerical designations must be included in the remaining 50 characters.
  • No abbreviations in the first 100 characters, but otherwise it is okay to abbreviate.

Updated:  November 19, 2015

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Q10. How can a financial institution or direct reporting NFFE register an entity located in a newly formed country or jurisdiction?
The FATCA registration system includes countries and jurisdictions and as new countries and jurisdictions are added, the system will be updated to include them. There is also an option within the registration system to select “other”, if the country/jurisdiction is not listed.  For the most recent listing of country/jurisdictions, please visit FATCA Online Registration System: Country/Jurisdiction Listing.

Updated:  November 19, 2015

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Q11. Do I have an opportunity to review my questions and responses before I submit my registration?
You will have an opportunity to review your answers before submitting the registration. The registration is separated into four parts. The first two parts contain questions and each ends with a review page of your answers. The third part, applicable to Qualified Intermediaries (QI), Withholding Foreign Partnerships (WP), and Withholding Foreign Trusts (WT), is no longer part of the FATCA Online Registration System. The fourth and final part is for signing and submitting the registration.  Once the registration is submitted, there is an option on your home page to download your completed registration form in PDF format for your review as well.

Updated:  December 15, 2016

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Q12. Can I download my registration information?
If your account is in registration submitted, approved or limited conditional status, you can download the registration questions and answers, as well as the points of contact table in PDF format via the Print Registration Information link on your account home page.

Other registration tables are available for download under “Available Account Options” and "My Information" in PDF and CSV formats.  PDF files can be downloaded and printed in the PDF Viewer. Available, CSV files can be downloaded and imported into most spreadsheet products.

Sponsoring entities may download their list of sponsored entities in PDF or CSV format. If the list has over 20,000 sponsored subsidiary branches, then you must request assistance by clicking on the "get help" link within the registration system, then choose “System Support” and fill in the details to submit your request.

Added:  November 19, 2015

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FATCA Account Creation and Access

Q1. What is the maximum number of points of contact allowed on the Registration?
The Responsible Officer for the FI identified in Question 10 of the Registration form is the FI's point of contact.  In addition, the RO may identify five (5) additional points of contact in Question 11 of the Registration form for a total of up to six (6) points of contact.

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Q2. What are the access code requirements for FATCA accounts?
When creating a FATCA account, a single, lead or sponsoring entity FI will create an access code (like a password) to be used with the system assigned FATCA ID for all future logins to the account.  The access code must be between eight and 20 characters and include at least one uppercase letter, one lowercase letter, one number, and one of the designated special characters (~! @ # % ^ * ( ) ? , .).  

For member FIs, the registration system will generate a unique FATCA ID and a temporary access code for each member when the lead FI adds a member.  The lead FI will provide the login information to each of its member FIs. When each member FI logs in to their FATCA account, they will be prompted to select a new access code and set answers to challenge questions.  Challenge questions and access code cannot be reset for any member by the lead FI.  They must be managed individually by the member FI.

Updated:  November 19, 2015

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Q3. What are challenge questions used for?
You are required to select and answer challenge questions from a list of predefined when creating an account or at first time log-in. Challenge questions will be used by you to reset your access code if you forget it. Challenge questions and answers can be reviewed and updated at any time when you are logged into your account. From the home page, you can select the “Challenge Questions - Edit/Review” option and review and make changes as necessary.

Updated:  November 19, 2015

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Q4. Can a member of an expanded affiliated group (EAG) create their own FATCA account?
A member financial institution (FI) cannot create its own FATCA account. The lead FI will create all their member accounts and provide each member FI with its login credentials. Once the account is created, either the lead or the member can complete and submit the registration.

Updated:  November 19, 2015

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Q5. What is the time lapse between the creation of the FATCA ID for the lead FI and the FATCA IDs for the member FIs?
Once the lead FI creates its own FATCA account, and has completed Part 1 of the registration, it will create the FATCA accounts for each member by adding the members in Part 2, question 12 of the online registration. As soon as a member’s information is completed, and the “add another” button is clicked, that member FI will appear in the table below the question with its newly created FATCA ID and temporary access code.

Updated:  November 19, 2015

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Q6. How can I change the access code for the FATCA account?
You can change the access code by logging into the FATCA account, and selecting the “Access Code – Change” option from your home page.  You can also reset your own access code by clicking on the “Forgot FATCA ID or Access Code?” link from the login page, and following the instructions to answer the challenge questions provided during registration.
If you are a member financial institution, you will be required to change your temporary access code provided by your lead FI the first time you log into the system.

You will need to change your access code if you change your FI type or transfer to another expanded affiliated group. A temporary code will initially be provided and must be changed.

If you need to reset your access code and cannot answer the challenge questions, you may get further assistance by clicking on the “Forgot FATCA ID or Access Code”.

Updated:  November 19, 2015

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Registration Status and Account Notifications

Q1. What type of notifications will the FATCA Registration system provide?
The FATCA Registration system will send email s to the responsible officer (RO) to check the FATCA account when a change has occurred to the account or an action is required. There will also be messages posted on the account’s message board, which can be accessed on the home page of the FATCA account.  

Depending on the financial institution type and the nature of the change, notifications will occur for registration status changes, transfers to an expanded affiliated group, financial institution type changes, and required actions. Sponsoring entities will also receive email notifications about status updates for multiple sponsored entity file uploads.

Updated:  November 19, 2015

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Q2. Where does an FI go to check their message board?
The message board is located on the home page of its FATCA Registration Account.  You will need to log into your FATCA registration account to view the message board and the message board is located in the upper right part of the home page.  The responsible officer is notified via email when certain messages are posted.  Additional information regarding the message board can be found in the FATCA Registration Online User Guide.

Updated:  November 19, 2015

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Q3. How can a Financial Institution check the status of its registration?
You can check the status of your FATCA registration by logging into your FATCA account and checking the account status displayed on the home page. The system will also generate automatic email notifications to the responsible officer (RO) to check the FATCA account when a registration changes between some statuses. A list of statuses and their definitions can be found in the appendix of the FATCA Registration Online User Guide.

Updated:  November 19, 2015

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Q4. Can the Responsible Officer (RO) list more than one email address on the registration system?
The RO can only list one email address in question 10 of the registration.

However, the registration system will send an email only to the responsible officer. Therefore, the RO should carefully consider which email address is provided in question 10 of the registration. The other points of contact may inquire on the account and their email address will be used for verification.

Updated:  November 19, 2015

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Q5. What information will be in the notification email the RO receives?
The notification email will include a generic message to the RO to check their FATCA message board.   This email will include the last several characters of the FATCA ID so that the RO can identify to which FATCA account is being referred.  

Updated:  November 19, 2015

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Q6. Why is the RO not receiving FATCA notification emails regarding the account status and updates?
If the RO is not receiving notification emails, please verify that the RO’s email address entered in Question 10 of the Registration is correct.  Additionally, to ensure notification emails are not sent to a Spam or Junk Mail folder, fatca-donot-reply@irs.gov should be added to the RO’s email contact list.    

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Expanded Affiliated Groups (EAG)

Q1. If a lead foreign financial institution (FI) of an expanded affiliated group (EAG) registers and lists each member on Part 2 of the registration, then would each member of the EAG still need to separately register?
Each member financial institution of an EAG must have a registration completed. Once the lead has created its account, in part 2 the lead FI will add basic identifying information for each member creating member FATCA accounts for them.  Each member will then need to log into the system and complete its registration or the lead can complete the registration on their behalf. 

Updated:  November 19, 2015

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Q2. Once the lead Financial Institution (FI) has its FATCA ID, will it be possible for each of the member Expanded Affiliated Group (EAG) entities to log on at the same time to register?
Once the Lead adds a member under part 2 of the Lead's registration, the system will generate a FATCA ID and temporary access code for the member (thus establishing the member’s account). The Lead will give that account information to the member and it can log into its member account. Each FI has its own account, so the Lead and member(s) can all be logged in at the same time to their own accounts. Because the Lead FI has access to member accounts, only one (either the Lead or Member FI) can access the member account at a time.

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Q3. Does a member FI type need to wait until the lead FI has obtained a GIIN before it registers or obtains a GIIN?
Once the member FI account has been created by the lead, the member FI can complete and submit its own registration.  The member FI registration processing and GIIN assignment is not dependent on the lead FI registration status or GIIN.

Updated:  November 19, 2015

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Q4. Can there be more than one lead to an expanded affiliated group (EAG)?
Yes. Each lead will submit a separate registration and add its own members to the FATCA account. On question 13 of the registration, each lead identifies if it is the common parent entity of the EAG.

Updated:  November 19, 2015

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Q5. How does the lead Financial Institution (FI) access its member FI accounts?
Once a lead FI creates its member accounts, it can access the accounts by clicking on the “member information” link from its homepage, and clicking on the name of the member FI in the All members table. The lead FI can access each of its member accounts under its own lead FI account login – it does not need to log into each of the member accounts separately.  However, since only one person can access the account at a time, the lead FI will get an error message if it tries to access the member account when the member FI is logged in, and the member FI will not be able to log into its account if the lead FI is accessing it.

The lead FI can access the member FI information only when the lead’s account status is Initiated, Registration Submitted, Registration Incomplete or Approved.

Updated:  November 19, 2015

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Q6. Can a member FI transfer to another expanded affiliated group?
A member may initiate a transfer from one expanded affiliated group to another when they are in approved or limited conditional status. The member will need to check with the lead of the new EAG to obtain its FATCA ID.

Follow the instructions in the FATCA registration user guide to complete the transfer to another expanded affiliated group. A general overview of the process is available.

Added:  November 19, 2015

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Q7. Why was my transfer request cancelled or expired by the system?
Your transfer request into an expanded affiliated group (EAG) would have been canceled for the following reasons.

  • Your or the new lead’s registration status has changed to a status that does not allow transfers.   
  • The EAG has reached the maximum number of members allowed.
  • The lead did not accept the transfer within 45 days of its origination.
  • You did not finalize the transfer within 45 days of the lead’s acceptance.

Added:  November 19, 2015

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Registration Updates

Q1. How do I edit my registration information?
You can edit your registration if you are in the statuses Registration Incomplete, Registration Submitted, Limited Conditional or Approved.

Updates cannot be made on paper.  Once an account is established (whether on the paper form 8957 or online), all updates must occur to your registration online.

To edit  your registration after submission, go to your home page under Available Account Options, choose from the available “Registration – Edit” options to start at the beginning of one of the parts of the registration.  If your current status is “Limited Conditional”, you will resubmit and your status will change to “Initiated”. If it is "Registration Submitted", you will need to submit the registration again for processing.  If your account status is "Approved", your account status will remain unchanged.  Please reference the FATCA Registration Online User Guide for additional instructions on how to edit your registration.

Updated:  November 19, 2015

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Q2. How can an FI change the FI Type in question 1 of the Registration?
FIs or direct reporting NFFEs can edit their FI Type listed in question 1, if in approved or limited conditional status.   An FI can edit their type without cancelling their current registration agreement by selecting the “Change FI Type” link on the home page and completing the registration form again.

The following FI Type changes are allowed within the FATCA Registration system:

  • Member to single
  • Single to lead
  • Single  to member (transfer to an expanded affiliated group)
  • Lead to member (transfer to an expanded affiliated group).

For a lead or a single to transfer to an expanded affiliated group, they will need to know the FATCA ID of the new lead of the expanded affiliated group. The new member will receive a new FATCA ID once finalized and assigned a new GIIN if the current account status is approved.
Additional information can be found in the FATCA Registration Online User Guide. A  general overview of the process is also available.

Updated:  November 19, 2015

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Q3. How can a sponsoring entity change its FI Type?
Unlike a single, member or lead, a sponsoring entity cannot change its FI type.  It would need to create a new FATCA Registration account as a single, lead or member. If the sponsoring entity account is no longer needed, follow the process to delete the registration or cancel the agreement if in approved status.

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Q4. How can the responsible officer (RO) or points of contact (POCs) be changed?
To change the RO or POCs, the FI would edit question 10 or 11 of the registration as appropriate.  You can edit this by logging into the FATCA account and selecting the available account option from your home page.

Because the RO and POCs share the login credentials for the FATCA Account, the access code  may need to be changed when personnel changes. The access code can be changed from the home page by selecting the “Access Code – Change” option.

Updated:  November 19, 2015

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Q5. Can a financial institution (FI) that is limited change to a participating FFI?
Yes, an FI can edit their registration by logging into its FATCA account and selecting the available account option from its home page. The FI would change its classification in question 4, and resubmit its registration.

Updated:  November 19, 2015

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Q6. Why did my registration status change to incomplete?
We identified an issue with your registration application and you need to update it.  A financial institution (FI) with a registration incomplete status, along with its branches, will not appear on the foreign financial institution (FFI) List.

Any of the following issues could have led to your registration application incomplete:

  • You did not complete all required fields on the paper registration application.
  • The registration application identifies the FI as a Qualified Intermediary with an Employer Identification Number for which we have no record.  
  • The registration application identifies a responsible officer with initials only; the responsible officer’s full name is required.
  • The responsible officer doesn't appear to be a natural person.
  • The registration application is a duplicate registration application.

In addition, FIs with a limited conditional status or having a limited branch are placed into a registration incomplete status. FIs will need to resubmit their registration application if they wish to remain in a limited conditional status or continue to have a limited branch during the 2016 calendar year.

(Question 4 of the FATCA registration application deals with an FI's FATCA classification and determines whether an FI will be in limited conditional status. Question 9b asks if a branch is a limited branch.)

You can update and resubmit your registration application anytime by logging in to your FATCA account and selecting “Registration – Edit/Complete/Submit” under the available account options on your account home page.  

Updated:  January 26, 2016

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Q7. How does an FI delete its registration or cancel its agreement?
Prior to approval, an FI can select the Registration – Delete option from their home page to delete the registration.  Member FI’s cannot delete their own registration.  The lead FI would need to delete the member registration. A lead cannot delete its own registration if it has active members or pending transfers into its EAG.

Once a registration is in Approved or Limited Conditional status, the FI will have an option on its home page to cancel its agreement. A lead cannot cancel their agreement if it has active members or pending transfers into its EAG. A lead FI also cannot cancel a member FI's agreement.  The member FI must cancel its own agreement.

Details on deleting registrations and canceling agreements can be found in the FATCA Registration Online User Guide.

Updated:  November 19, 2015

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Q8. What if I lost or forgot my FATCA ID or Access Code?
There is a link Forgot FATCA ID or Access Code? on the login page with information on how to obtain assistance with login issues, such as losing or forgetting your FATCA ID or access code and how to reset it.

Updated:  November 19, 2015

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Sponsoring Entity

Q1. How does a sponsoring entity FI add sponsored entities in the Registration?
 

A sponsoring entity can add sponsored entities and sponsored subsidiary branches once its registration is in approved status.

There are two ways to add sponsored entities. They can be added individually or via a file upload. Both of these are found by clicking the Manage Sponsored Entities link under Your Information from the home page. The maximum number of sponsored entities is 5000.

The sponsoring entity will need to provide the legal name, country/jurisdiction, and classification for each sponsoring entity. The classification choices are sponsored subsidiary, sponsored fund and sponsored direct reporting NFFE. See the FATCA Registration Online User Guide for more details on how to add sponsored entities.

Updated:  November 19, 2015

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Q2. Is there a way to add multiple sponsored entity registration data (“bulk upload”) using a file?
Yes, sponsoring entities have the option to upload an XML file containing registration data for multiple sponsored entities by following the instructions on how to prepare the sponsored entity XML file.  The location to upload your file is within your approved FATCA account on the Manage Sponsored Entities page.  Instructions on how to upload the XML file is provided in the FATCA Online Registration System user guide.

Added:  November 19, 2015

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Q3. What are the guidelines to upload a file with multiple sponsored entities?
It is important to follow the guidelines for preparing the file for upload or you will receive a file not accepted message.  During the process of uploading the file of multiple sponsored entities, the file may not be accepted for numerous reasons. Error messages will be sent if the file is corrupt, has errors, cannot be processed or does not follow the schema, among other issues.  Follow the information to adding multiple sponsored entities using a file upload.  

Added:  November 19, 2015

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Q4. What if my file upload did not get added or not all records were added?
If the system did not add your file, you will receive a message informing you and the reason for this.  If your file was partially processed, you will receive a message informing you of the partial upload.   You should check the sponsored entity table to determine which records were successfully processed and then upload a new file only containing the records that were not added to your sponsored entity table. 

Added:  November 19, 2015

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 Q5. Does a sponsored entity have a FATCA ID and a GIIN?
Sponsored entities and sponsored subsidiary branches do not have FATCA IDs. They have a sponsored entity ID but cannot log in to the FATCA registration using it.  Once approved, Sponsored entities and sponsored subsidiary branches are however assigned GIINs and will appear on the FFI List if the sponsoring entity is also in approved status.

Added:  November 19, 2015

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Q6. Can the sponsoring entity edit sponsored entities and sponsored subsidiary branches?
Sponsoring entities in approved status can add or delete sponsored entities and sponsored subsidiary branches via the Manage Sponsored Entities link on the FI home page.  Only the legal name of the sponsored entity may be edited without having to delete the sponsored entity.  Otherwise, the sponsored entity or the sponsored subsidiary branch will need to be deleted then added again, if you need to update its jurisdiction or classification.  Deleting a sponsored entity will also delete all of its sponsored subsidiary branches and their GIINs if applicable.  

Added:  November 19, 2015

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Q7. Can I download or print the list of sponsored entities and sponsored subsidiary branches on my account?
The list of all sponsored entities can be downloaded in PDF or CSV format from the Download Registration tables link on their home page or the Download Complete Sponsored Entities List from the "manage sponsored entities page.

A list of sponsored subsidiary branches for each sponsored entity can be downloaded through the Download Complete Sponsored Subsidiary Branch List link located on the Manage Sponsored Subsidiary Branches page. This is available in PDF or CSV format and will only include the Sponsored Subsidiary Branches under the selected sponsored entity.  For the entire list of sponsored subsidiary branches for the sponsoring entity, click on the Download Registration Tables link on the sponsoring entities home page.  This is only available in CSV format.

Added:  November 19, 2015

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FFI List

Q1. When does an FI or direct reporting NFFE need to have their registration approved to be included on the monthly published FFI list?
Registered FIs and direct reporting NFFEs will be included with their GIIN on the monthly IRS FFI List if their registration is in approved status both five business days prior to the last business day of the month (Monday through Friday, excluding U.S. holidays) and the last business day of the month, in order to appear on the current list of approved FIs and branches. Additional information regarding the FFI List can be found on the About the FATCA FFI List Search and Download Tool and in the FATCA FFI List FAQs.

Updated:  November 19, 2015

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Paper Registrations

Q1. Is there an alternative to registering electronically?
 

There is a paper form 8957 that can be completed by a financial institution (FI) or direct reporting NFFE and mailed to IRS for initial input.  Paper registrations will take longer to process than electronic submissions; therefore, you are encouraged to submit registrations electronically.

If you choose to send in a paper form 8957, IRS will create the FATCA account and enter the information provided on the form.  Once the information has been entered into the FATCA Registration System, a letter with the FATCA account information (FATCA ID and temporary access code) will be mailed to the responsible officer identified in question 10 of the form.  The FI or direct reporting NFFE is responsible for completing any subsequent updates to their form electronically via the FATCA Registration System.
For lead FI’s, the IRS cannot input the information on part 2 (member FI information) of the paper form.  The lead FI will need to complete part 2 electronically once it receives its FATCA Registration account information.

For member FI’s, the IRS cannot input a paper registration unless the FATCA ID is provided in Question 1 of the form.  Lead FI’s are responsible for adding member FI’s in part 2 of its registration.  As each member FI is added to the lead’s registration, its FATCA ID is generated.  Member FIs should receive their FATCA ID from their lead FI.  

Updated:  November 19, 2015

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Q2. What help is available for completing form 8957?
Those that are planning to submit a paper registration should review the Instructions for form 8957 for help in completing this form.

Updated:  November 19, 2015

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Q3. How long will it take to process paper registrations (form 8957)?
Paper registrations will take longer to process than electronic submissions; therefore, you are encouraged to submit your registration electronically.

If a paper registration (form 8957) is mailed to IRS, the IRS will need up to 60 days from the date the IRS receives the form to process it.  Once the form is processed, a letter will be mailed to the Responsible Officer (identified in question 10 of the form) with the FATCA account information (FATCA ID and temporary access code).  The RO should allow for additional mailing time to receive this letter, and will not be able to login and access the FATCA account until this letter is received.  

Updated:  November 19, 2015

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Global Intermediary Identification Number (GIIN) - Overview

Q1. What is a GIIN?
GIIN means a Global Intermediary Identification Number assigned by the FATCA Registration System to financial institutions and direct reporting non-financial foreign entities.  Those assigned a GIIN may use it to identify themselves to withholding agents and tax administrations for FATCA reporting.

The GIIN, formatted as XXXXXX.XXXXX.XX.XXX, is a 19-character identification number that is made up of several identifiers from the FATCA registration system. These characters will never contain the letter “O”.
More information on the GIIN can be found on the GIIN Composition Information page.

Updated:  November 19, 2015

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Q2. Are the period (.) separators in the GIIN required?
Yes. The period separators account for three characters in the 19-character identification number. Please see the GIIN Composition Information.

Updated:  November 19, 2015

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Q3. Will financial institutions (FIs), direct reporting NFFEs and branches that are limited be issued GIINs?
No, FIs, direct reporting NFFEs and branches with a classification of limited in Question 9b will not be issued GIINs.

Updated:  November 19, 2015

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Q4. How are GIINs assigned to branches?
If a Financial Institution added branches to the registration, each approved branch will be issued a GIIN.  If more than one branch is entered with the same country/jurisdiction name, then all branches in that country/jurisdiction will receive the same GIIN.  The FATCA Registration Online User Guide has more information on how to register branches.  Please also reference the GIIN Composition Information  page posted to understand how the GIIN is composed.

Updated:  November 19, 2015

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Q5. Where does a financial institution locate its GIIN?
A GIIN is issued to an FI or direct reporting NFFE when its registration is approved. Each can log into its FATCA Registration account and view it’s GIIN under the account information section of the home page. Lists of branches, members, sponsored entities or sponsored subsidiary branches associated with an account can be downloaded with their GIIN from the Download Registration Tables on the account home page.

If an FI has added branches to the registration in question 9, each approved branch will also be issued a GIIN.  Limited branches are not issued GIINs.  An FI can view their branch GIINs in Question 9 of the Registration or by using the Branch Information Link from its home page.

Lead FI’s can view and download member FI information, including GIINs, from the Member Information Link on its home page.

For sponsoring entities, separate GIINs will be assigned its approved sponsored entities and sponsored subsidiary branches listed on the FATCA account.  

Updated:  November 19, 2015

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Q6. After a registration is approved, can a GIIN be cancelled or removed if the registration is edited?
A financial institution in approved status can edit its registration by logging into its FATCA account and selecting the Registration – Edit link corresponding to the part it wishes to begin. The links are located on your account home page under the Available Account Options section.  The registration status and the GIIN will not be affected by this edit unless either the country of tax residence in question 3 is changed or the classification in question 4 is changed to “Limited Financial Institution.”

Changing the country in question 3 will affect the last three characters of the GIIN.  Changing the classification to limited financial institution will affect the registration status and will rescind the GIIN.  The changes will not occur immediately, but will occur when the registration is reprocessed.

Added:  November 19, 2015

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GIIN  Format

Q1. What is the format of the GIIN?
The GIIN is a 19-character identification string that is a composite of different identifiers, including the FATCA ID, Financial Institution type, category code and country identifier. For more information see the full description in the GIIN Composition Document.

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Q2. Are the period (.) separators in the GIIN required?
Yes. The period separators comprise three characters in the 19-character identification number. Please see the GIIN Composition Document for more information.

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FATCA Registration Self-Help

The FATCA Registration System support team cannot respond to questions regarding FATCA regulations, your FATCA Registration account, or FATCA Related Forms.  

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FATCA Registration System Technical Support:

If you need system support for the online FATCA Registration, including help with login problems, error messages and other technical issues, please contact FATCA Registration System Technical Support.

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Comment on FATCA Compliance

If you have additional  comments about FATCA compliance, please submit your comments.

NOTE: Do not provide any personal identification information such as your name, taxpayer identification number, social security number, address, or telephone number.

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Additional Support

If you need additional information please visit the FATCA Compliance and FATCA FAQs which are updated regularly.  

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Page Last Reviewed or Updated: 15-Dec-2016