Resolution of 12 March 2014 by the National Securities Market Commission modifying Annex I of the Resolution of 16 November 2011 creating and regulating the CNMV Electronic Registry

OFFICIAL STATE GAZETTE
No. 80 Wednesday, 2 April 2014 Sec. I. Page 28020
I. GENERAL PROVISIONS
NATIONAL SECURITIES MARKET COMMISSION
3521 Resolution of 12 March 2014, of the National Securities Market Commission, modifying Annex I of the Resolution of 16 November 2011, by which the Electronic Registry of the National Securities Market Commission is created and regulated.

Paragraph two of the Resolution of 16 November 2011, of the National Securities Market Commission (CNMV), by which the CNMV Electronic Registry is created and regulated, provides for the approval and modification of the list of requests, documents, and communications corresponding to specific services, procedures, and formalities, which, in accordance with Article 24(a) of Law 11/2007, of 22 June, may be submitted to the CNMV Electronic Registry.

Annex I of the aforementioned Resolution contains the list of formalities using standardized electronic documents that may be submitted to the CNMV Electronic Registry. This Annex I was previously modified by the Resolutions of 28 February 2012, 31 October 2012, and 4 October 2013, of the CNMV.

Circular 6/2013, of 25 September, of the National Securities Market Commission, on accounting standards, annual accounts, public financial statements, and reserved statistical information statements of Bank Asset Funds, states in its fourth rule, paragraph 3, that the submission to the CNMV of the models for public financial statements and reserved statistical information statements must be made electronically via the CIFRADOC/CNMV service.

Similarly, Circular 7/2013, of 25 September, of the National Securities Market Commission, regulating the procedure for resolving complaints and grievances against companies providing investment services and handling inquiries in the securities market, states in its fifth rule, paragraph 1, that collective complaints or grievances must be submitted to the CNMV Electronic Registry as standardized electronic documents via the CIFRADOC/CNMV service. Furthermore, the exchange of documentation in the processing of complaint or grievance files between the CNMV and the entity against which the complaint is filed must be conducted via the CIFRADOC/CNMV service.

Additionally, paragraph 2 of Article 21 of Royal Decree 1310/2005, of 4 November, which partially develops Law 24/1988, of 28 July, on the Securities Market, regarding the admission of securities to trading on official secondary markets, public offers for sale or subscription, and the prospectus required for such purposes, establishes that final terms, when not included in the base prospectus or a supplement, must be provided to investors and deposited with the CNMV upon each admission to trading as soon as feasible for the person requesting admission and, if possible, before the start of the public offer or admission to trading. In the case of the admission to trading of a warrant issuance, the characteristics of the different warrant series grouped in the issuance involve a large volume of data whose transmission and processing are best performed on computer media. Therefore, for reasons of speed and efficiency, it is appropriate that the issuer's transmission of these characteristics to the CNMV be made through its Electronic Registry as a standardized electronic document via the CIFRADOC/CNMV service.

It is therefore appropriate to modify again Annex I of the Resolution of 16 November 2011, of the CNMV, in order to incorporate these four new formalities. cve: BOE-A-2014-3521

OFFICIAL STATE GAZETTE
No. 80 Wednesday, 2 April 2014 Sec. I. Page 28021 For all the foregoing, I resolve:

First.
The following formalities are incorporated into the list of Annex I of the Resolution of 16 November 2011, of the CNMV, modified by the Resolutions of 28 February 2012, 31 October 2012, and 4 October 2013, of the CNMV:

Code Description
FAB Periodic information of Bank Asset Funds.
REC Collective complaints by investors.
ALR Allegations by entities complained against by investors.
WAR Characteristics of Warrants grouped in an issuance.

The standardized communication model for completing the FAB formalities is found in Annexes I and II of Circular 6/2013, of 25 September, of the National Securities Market Commission.

The standardized communication model for completing the REC formalities is found in Annex 2 of Circular 7/2013, of 25 September, of the National Securities Market Commission. The standardized communication model for completing the ALR formalities shall contain the following fields: complaint code, entity complained against, date and time of submission of allegations, natural person signing electronically on behalf of the entity complained against, and attached allegations.

The standardized communication model for completing the WAR formalities must contain the information determined in the "model of final terms" that must be included in the base prospectus as established by Article 22.5.1bis of European Commission Regulation No. 809/2004 of 29 April 2004, as amended by Delegated Regulation (EU) No. 486/2012 of 30 March 2012, modifying Regulation (EC) No. 809/2004 as regards the format and content of the prospectus, base prospectus, summary note, and final terms regarding information requirements. Similarly, when the issuance is of securities with a unit nominal value of less than 100,000 euros, a summary of the issuance, the content of which is established in Article 24.3 of European Commission Regulation No. 809/2004 of 29 April 2004, as modified by the aforementioned Delegated Regulation No. 486/2012, must be attached to the final terms.

Annex I of the Resolution of 16 November 2011, of the CNMV, as modified, is incorporated as an annex to this resolution.

Sole Final Provision.
This provision shall enter into force on the day following its publication in the "BOE".
Madrid, 12 March 2014.–The President of the National Securities Market Commission, María Elvira Rodríguez Herrer. cve: BOE-A-2014-3521

OFFICIAL STATE GAZETTE
No. 80 Wednesday, 2 April 2014 Sec. I. Page 28022
ANNEX I OF THE RESOLUTION OF 16 NOVEMBER 2011 OF THE CNMV,
MODIFIED BY THE RESOLUTIONS OF 28 FEBRUARY 2012, 31 OCTOBER 2012, 4 OCTOBER 2013 AND 12 MARCH 2014, OF THE CNMV Formalities using standardized electronic documents

Code Description
ADA Supplementary certifications of admissions.
ALR Allegations by entities complained against by investors.
CAA Audited annual accounts of listed companies.
CAE Audited annual accounts and supplementary report of CIs and their consolidatable groups.
CAG Audited annual accounts of SGIICs.
CAI Audited annual accounts of IICs.
CDD Public offer dissemination tables.
CAP Communication of own shares (treasury shares).
CDT Communication of Transactions.
CFP Final Terms of Promissory Notes.
COS Communication of Suspicious Transactions.
CSI Directors of Investment Companies.
ECI Accounting and statistical statements of Management Companies of IICs.
ECR Financial statements of Venture Capital Entities.
ECS Financial statements of consolidatable groups of Securities Companies and Agencies.
EEI Statistical Statements of Foreign IICs.
EFF Financial statements of Real Estate Investment Funds and Companies.
EFI Financial statements of Securities Investment Funds and Companies.
EFS Financial statements of Securities Companies and Agencies and Portfolio Management Companies.
EGC Accounting and statistical statements of Management Companies of Venture Capital Entities.
EIT Extracts of Valuation Reports.
ERI Statutes and regulations of IICs.
ESR Reserved and public information statements of Governing Companies.
FAB Periodic information of Bank Asset Funds.
FAI Internal audit function.
FOI IIC Prospectuses.
FTA Securitization Fund Reports.
HSR Significant or Relevant Event.
IAA Annual self-assessment report of CIs and their consolidatable groups.
ICI Internal control report of CIs and their consolidatable groups.
IEE EAFI Expert Report for natural persons.
IGC Annual Corporate Governance Report.
IPA Auditor's report on the protection of assets of CIs and financial entities.
IPE Periodic Reports of IICs.
IPP Periodic Public Information (quarterly and semi-annual) of Issuer Entities of securities admitted to trading. cve: BOE-A-2014-3521

OFFICIAL STATE GAZETTE
No. 80 Wednesday, 2 April 2014 Sec. I. Page 28023 Code Description IRC Report on Directors' Remuneration.
IRE Annual reserved information of CIs.
ISD Semi-annual Custodians' Reports.
NDA Daily trading of the AIAF market.
NVI Note of Securities of individual Fixed Income issuance.
OIF Statistical statements on assets and liabilities of IICs of the E.U.
PCO Notification of short positions.
PGE Placement of Promissory Notes.
PSC Significant Participations in Listed Companies.
PSI Significant Participations in IICs.
REC Collective complaints by investors.
RIX Register of Foreign Collective Investment Institutions.
RPE Representatives of Investment Service Companies.
SCM Request for exception to notify Significant Participations applicable to market makers.
SLT Request for authorization for Electronic Payment of Fees.
TAR Information Brochure of Tariffs.
TAS Electronic Payment of Fees.
TIT Information of Securitization Managers.
UME Statistical information for the European Monetary Union.
WAR Characteristics of Warrants grouped in an issuance.
ZZZ Sending of a document with free format. cve: BOE-A-2014-3521 http://www.boe.es OFFICIAL STATE GAZETTE D. L.: M-1/1958 - ISSN: 0212-033X