Resolution of 28 February 2012 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. 56 Tuesday, 6 March 2012 Sec. I. Page 18955

I. GENERAL PROVISIONS
NATIONAL SECURITIES MARKET COMMISSION

3170 Resolution of 28 February 2012, 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.

The second section of the Resolution of 16 November 2011, by the President of the National Securities Market Commission (CNMV), by which the CNMV Electronic Registry is created and regulated, attributes to the President of the CNMV the authority to approve and modify the list of applications, written 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 eligible for submission to the CNMV Electronic Registry.

Circular 1/2011, of 21 January, of the National Securities Market Commission, modifying Circular 12/2008, of 30 December, on the solvency of investment service companies and their consolidatable groups, established in its Additional Provision First that Investment Financial Companies (EAFI) that are natural persons must provide the CNMV, through the CIRADOC/CNMV service, a report prepared by an independent expert duly registered in the official register of accountants.

Similarly, Circular 7/2011, of 12 December, of the National Securities Market Commission, on information brochures on tariffs and content of standard contracts, has established in Norm 5 that brochures and their modifications must be submitted to the CNMV via telematic transmission with the technical specifications determined by it at any given time.

Therefore, it is appropriate to modify Annex I of the Resolution of 16 November 2011, by the President of the CNMV, in order to incorporate these two new formalities.

For all the foregoing, I resolve:

First.
The following formalities are incorporated into the list of Annex I of the Resolution of the President of the CNMV of 16 November 2011:

Code Description
IEE Expert Report for physical person Investment Financial Companies.
TAR Information Brochure on Tariffs.

The model of standardized communication for completing the IEE formality is contained in the Additional Provision First of Circular 1/2011, of 21 January, of the National Securities Market Commission, modifying Circular 12/2008, of 30 December, on the solvency of investment service companies and their consolidatable groups ("BOE" of 25 January 2011).

The model of standardized communication for completing the TAR formality is contained in Annex I of Circular 7/2011, of 12 December, of the National Securities Market Commission, on information brochures on tariffs and content of standard contracts ("BOE" of 24 December 2011).

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

cve: BOE-A-2012-3170

OFFICIAL STATE GAZETTE
No. 56 Tuesday, 6 March 2012 Sec. I. Page 18956

Sole Final Provision.
This provision shall enter into force the day following its publication in the "Boletín Oficial del Estado".

Madrid, 28 February 2012.–The President of the National Securities Market Commission, Julio Segura Sánchez.

ANNEX I
Of the Resolution of the President of the CNMV, of 16 November 2011, modified by Resolution of the President of the CNMV of 28 February 2012

Formalities using standardized electronic documents

Code Description
ADA Complementary certifications of admissions.
CAA Audited annual accounts of listed companies.
CAP Communication of own shares (treasury shares).
CDT Communication of Transactions.
COS Communication of Suspicious Operations.
CSI Directors of Investment Companies.
ECI Accounting and statistical statements of Management Companies of Collective Investment Undertakings. ECR Financial statements of Venture Capital Entities. ECS Financial statements of consolidatable groups of Securities Companies and Agencies. EEI Statistical Statements of Foreign Collective Investment Undertakings. EFF Financial statements of Funds and Real Estate Investment Companies. EFI Financial statements of Funds and Securities Investment 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 Collective Investment Undertakings. ESR Statements of reserved and public information of Governing Companies. FAI Internal audit function. FOI Collective Investment Undertaking Prospectuses. FTA Reports on Securitization Funds. HSR Significant or Relevant Event. IEE Expert Report for physical person Investment Financial Companies. IGC Annual Corporate Governance Report. IPA Auditor reports on the protection of assets of Investment Service Companies and financial entities. IPE Periodic Reports of Collective Investment Undertakings. IPP Periodic Public Information (quarterly and semi-annual) of Issuers of securities admitted to trading. IRE Annual reserved information of Investment Service Companies. ISD Semi-annual Reports of Custodians. NDA Daily trading of the AIAF market. NVI Note of Individual Fixed Income Issuance Securities. OIF Statistical statements on assets and liabilities of Collective Investment Undertakings of the E.U. PGE Placement of Promissory Notes. PSC Significant Holdings in Listed Companies. PSI Significant Holdings in Collective Investment Undertakings. RIX Register of Foreign Collective Investment Institutions. RPE Representatives of Investment Service Companies. SCM Request for exception to notify Significant Holdings applicable to market makers. SLT Request for authorization for Telematic Settlement of Fees.

cve: BOE-A-2012-3170

OFFICIAL STATE GAZETTE
No. 56 Tuesday, 6 March 2012 Sec. I. Page 18957

Code Description
TAR Information Brochure on Tariffs.
TAS Telematic Settlement of Fees.
TIT Information on Securitization Managers.
UME Statistical information for the European Monetary Union.
ZZZ Sending of a document with free format.

cve: BOE-A-2012-3170 http://www.boe.es OFFICIAL STATE GAZETTE D. L.: M-1/1958 - ISSN: 0212-033X