Resolution of 4 October 2013 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. 247 Tuesday, 15 October 2013 Sec. I. Page 83690
I. GENERAL PROVISIONS
NATIONAL SECURITIES MARKET COMMISSION
10723 Resolution of 4 October 2013, of the National Securities Market Commission, modifying Annex I of the Resolution of 16 November 2011, creating and regulating the Electronic Registry of the National Securities Market Commission.

The second section of the Resolution of 16 November 2011, of the National Securities Market Commission (CNMV), creating and regulating the CNMV Electronic Registry, provides for the approval and modification of the list of applications, documents, and communications corresponding to specific services, procedures, and formalities that, 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. This Annex I was previously modified by CNMV Resolutions of 28 February 2012 and 31 October 2012.

Section 2 of Article 21 of Royal Decree 1310/2005 of 4 November, partially developing 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 issuance of commercial paper, and only for those with a maturity of twelve months or more according to the modification of Section 2 of Article 22 of Royal Decree 1310/2005 of 4 November, partially developing 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, introduced by Section 11 of Article 1 of Royal Decree 1698/2012 of 21 December, it is appropriate, for reasons of speed and efficiency, that the deposit of the final terms with the CNMV be carried out in its Electronic Registry, as standardized electronic documents, through the CIFRADOC/CNMV service.

Furthermore, Circular 4/2013 of 12 June, of the National Securities Market Commission, which establishes the models for the annual remuneration reports of directors of listed joint-stock companies and of the members of the board of directors and the supervisory board of savings banks issuing securities admitted to trading on official securities markets, states in its fourth provision that said reports shall be submitted to the CNMV Electronic Registry, as standardized electronic documents, through the CIFRADOC/CNMV service.

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

For all the above reasons, I resolve:

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

Code Description
CFP Final Conditions of Commercial Paper.
IRC Directors' Remuneration Report. cve: BOE-A-2013-10723

OFFICIAL STATE GAZETTE
No. 247 Tuesday, 15 October 2013 Sec. I. Page 83691 The standardized communication model for completing the CFP procedure must contain the information specified in the "model of the 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 No. 486/2012 of 30 March 2012.

Likewise, when the issuance is of securities with a unit nominal value of less than 100,000 euros, the 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 amended by the aforementioned Delegated Regulation No. 486/2012, must be attached to the final terms.

The standardized communication models for completing the IRC procedure are found in Annexes I and II of Circular 4/2013 of 12 June, of the National Securities Market Commission.

Annex I of the CNMV Resolution 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 "Boletín Oficial del Estado".

Madrid, 4 October 2013.–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 Resolution of 28 February 2012, by the Resolution of 31 October 2012, and by the Resolution of 4 October 2013

Formalities using standardized electronic documents

Code Description
ADA Supplementary certifications of admissions.
CAA Audited annual accounts of listed companies.
CAE Audited annual accounts and supplementary report of UCITS and their consolidatable groups.
CAG Audited annual accounts of SICAVs.
CAI Audited annual accounts of AIFs.
CDD Public offer dissemination tables.
CAP Communication of own shares (treasury shares).
CDT Communication of Transactions.
CFP Final Conditions of Commercial Paper.
COS Communication of Suspicious Operations.
CSI Directors of Investment Companies.
ECI Accounting and statistical statements of AIFMs.
ECR Financial statements of Venture Capital Entities.
ECS Financial statements of consolidatable groups of Broker-Dealers and Agencies.
EEI Statistical Statements of Foreign UCITS.
EFF Financial statements of Funds and Real Estate Investment Companies.
EFI Financial statements of Funds and Securities Investment Companies.
EFS Financial statements of Broker-Dealers, 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 UCITS.
ESR Statements of reserved and public information of Management Companies.
FAI Internal audit function. cve: BOE-A-2013-10723

OFFICIAL STATE GAZETTE
No. 247 Tuesday, 15 October 2013 Sec. I. Page 83692

Code Description
FOI UCITS Prospectuses.
FTA Securitization Funds Reports.
HSR Significant or Relevant Event.
IAA Annual self-assessment report of UCITS and their consolidatable groups.
ICI Internal control report of UCITS and their consolidatable groups.
IEE EAFI expert report (natural persons).
IGC Annual Corporate Governance Report.
IPA Auditor reports on the protection of assets of UCITS and financial entities.
IPE Periodic Reports of UCITS.
IPP Periodic Public Information (quarterly and semi-annual) of Issuer Entities of securities admitted to trading.
IRC Directors' Remuneration Report.
IRE Annual reserved information of UCITS.
ISD Semi-annual Depositary 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 UCITS.
PCO Notification of short positions.
PGE Placement of Commercial Paper.
PSC Significant Participations in Listed Companies.
PSI Significant Participations in UCITS.
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 Telematic Settlement of Fees.
TAR Fee Information Prospectus.
TAS Telematic Settlement of Fees.
TIT Securitization Manager Information.
UME Statistical information for European Monetary Union.
ZZZ Sending of a document with free format. cve: BOE-A-2013-10723 http://www.boe.es OFFICIAL STATE GAZETTE D. L.: M-1/1958 - ISSN: 0212-033X