Resolution of 31 October 2012 by the National Securities Market Commission Modifying Annex I of Normalized Electronic Documents

OFFICIAL STATE GAZETTE
No. 263 Thursday, 1 November 2012 Sec. I. Page 77013
I. GENERAL PROVISIONS
NATIONAL SECURITIES MARKET COMMISSION
13533 Resolution of 31 October 2012, of the National Securities Market Commission, modifying Annex I on procedures via standardized electronic documents, of the Resolution of 16 November 2011, which creates and regulates the Electronic Registry of the National Securities Market Commission.

The second paragraph of the Resolution of 16 November 2011, of the National Securities Market Commission (CNMV), which creates and regulates the CNMV Electronic Registry, attributes to the President of the CNMV the authority to approve and modify the list of requests, writings, and communications corresponding to specific services, procedures, and procedures, which, in accordance with what is provided in letter a) of Article 24 of Law 11/2007, of 22 June, may be submitted to the CNMV Electronic Registry. Annex I of the aforementioned Resolution collects the list of procedures via standardized electronic documents susceptible to being submitted to the CNMV Electronic Registry. This Annex I was already modified by CNMV Resolution of 28 February 2012.

Circular 1/2012, of 26 July, of the National Securities Market Commission, modifying Circular 6/2010, of 21 December, on transactions with derivative instruments and other operational aspects of collective investment institutions; Circular 4/2008, of 11 September, on the content of quarterly, semi-annual, and annual reports of collective investment institutions and the position statement; and Circular 3/2006, of 26 October, on explanatory prospectuses of collective investment institutions, establishes the submission of various reports, as standardized electronic documents, via the CIFRADOC service of the CNMV Electronic Registry:
– Audit reports and annual accounts of CIIs, in Rule 6th – Audit reports and annual accounts of SGIICs, in Rule 7th – Audit reports and annual accounts and Supplementary Report of ESIs and their consolidatable groups, in the first additional provision, paragraphs 1 and 2. – Report on compliance with internal control standards of ESIs and their consolidatable groups, in the first additional provision, paragraph 3. – Annual capital self-assessment report of ESIs and their consolidatable groups, in the first additional provision, paragraph 4.

To facilitate compliance with the obligation to communicate to the CNMV information on the results of public offers, established in Article 42 of Royal Decree 1310/2005, of 4 November, which partially develops Law 24/1988, of 28 July, on the Securities Market, in matters of admission to trading of securities in official secondary markets, public offers for sale or subscription, and the prospectus required for such purposes, the possibility of sending this information to the CNMV electronically is incorporated.

Also, to facilitate compliance with the obligation to notify short positions, established in Articles 5, 6, 7, and 8 of Regulation (EU) No. 236/2012 of the European Parliament and of the Council, of 14 March 2012, on short selling and certain aspects of credit default swap transactions, the possibility of sending this information to the CNMV electronically is incorporated.

Therefore, it is appropriate to modify again Annex I of the Resolution of 16 November 2011, of the CNMV, in order to incorporate these seven new procedures. cve: BOE-A-2012-13533

OFFICIAL STATE GAZETTE
No. 263 Thursday, 1 November 2012 Sec. I. Page 77014 For all the above, I resolve, First.
The following procedures are incorporated into the list of Annex I of the CNMV Resolution of 16 November 2011, modified by the CNMV Resolution of 28 February 2012:

Code Description
CAI Audited annual accounts of CIIs.
CAG Audited annual accounts of SGIICs.
CAE Audited annual accounts and Supplementary Report of ESIs and their consolidatable groups.
ICI Internal control report of ESIs and their consolidatable groups.
IAA Annual self-assessment report of ESIs and their consolidatable groups.
CDD Public offer dissemination tables.
PCO Notification of short positions.

The standardized communication models for completing procedures CAI, CAG, CAE, ICI, and IAA are found, respectively, in Rule 6th, Rule 7th, the first additional provision paragraphs 1 and 2, the first additional provision paragraph 3, and the first additional provision paragraph 4, of Circular 1/2012, of 26 July, of the National Securities Market Commission (BOE of 4 August 2012).

The standardized communication model for completing procedure CDD is found in the "standardized models" section of issuer companies, within "Legislation" on the CNMV website (www.cnmv.es).

The standardized communication model for completing procedure PCO appears in Annexes I and II of the final report of technical standards issued by ESMA (European Securities and Markets Authority) for the application of Regulation (EU) No. 236/2012 of the European Parliament and of the Council, of 14 March 2012, according to the mandate of Article 9 of the Regulation.

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.
Sole Final Provision.
This provision shall enter into force the day following its publication in the BOE.
Madrid, 31 October 2012.–The President of the National Securities Market Commission, María Elvira Rodríguez Herrer.

ANNEX
Annex I of the CNMV Resolution of 16 November 2011, modified by the CNMV Resolution of 28 February 2012 and by the CNMV Resolution of 31 October 2012
Procedures via standardized electronic documents

Code Description
ADA Supplementary certifications for admissions.
CAA Audited annual accounts of listed companies.
CAE Audited annual accounts and Supplementary Report of ESIs and their consolidatable groups.
CAG Audited annual accounts of SGIICs.
CAI Audited annual accounts of CIIs.
CDD Public offer dissemination tables. cve: BOE-A-2012-13533

OFFICIAL STATE GAZETTE
No. 263 Thursday, 1 November 2012 Sec. I. Page 77015 Code Description CAP Communication of own shares (treasury stock). CDT Communication of Transactions. COS Communication of Suspicious Operations. CSI Directors of Investment Companies. ECI Accounting and statistical statements of CII Management Companies. ECR Financial statements of Venture Capital Entities. ECS Financial statements of the consolidatable groups of Securities Companies and Agencies. EEI Statistical Statements of Foreign CIIs. 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 Venture Capital Entity Management Companies. EIT Extracts of Valuation Reports. ERI Statutes and regulations of CIIs. ESR Statements of reserved and public information of Governing Companies. FAI Internal audit function. FOI CII Prospectuses. FTA Securitization Fund Reports. HSR Significant or Relevant Fact. IAA Annual self-assessment report of ESIs and their consolidatable groups. ICI Internal control report of ESIs and their consolidatable groups. IEE EAFI expert report (natural persons). IGC Annual Corporate Governance Report. IPA Auditor reports on the protection of assets of ESIs and financial entities. IPE Periodic Reports of CIIs. IPP Periodic Public Information (quarterly and semi-annual) of Issuer Entities of securities admitted to trading. IRE Annual reserved information of ESIs. ISD Semi-annual Custodian Reports. NDA Daily trading of the AIAF market. NVI Note of Individual Fixed Income Issuance Securities. OIF Statistical statements on assets and liabilities of EU CIIs. PCO Notification of short positions. PGE Placement of Promissory Notes. PSC Significant Participations in Listed Companies. PSI Significant Participations in CIIs. RIX Registry 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 to Telematic Settlement of Fees. TAR Fee Information Prospectus. 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-2012-13533 http://www.boe.es OFFICIAL STATE GAZETTE D. L.: M-1/1958 - ISSN: 0212-033X