Source: https://www.global-regulation.com/translation/austria/2996005/fma-cost-regulation-2016---fma-kvo-2016.html
Timestamp: 2019-08-18 22:20:36
Document Index: 228012652

Matched Legal Cases: ['§ 19', '§ 60', '§ 56', '§ 271', '§ 35', '§ 271', '§ 11', '§ 56', '§ 2', '§ 1', '§ 5', '§ 11', '§ 56', '§ 2', '§ 45', '§ 3', '§ 9', '§ 3', '§ 69', '§ 2', '§ 30', '§ 69', '§ 2', '§ 3', '§12', '§ 9', '§ 2', '§ 2', '§ 4', '§ 2', '§ 2', '§ 30', '§ 44', '§ 6', '§ 1', '§ 6', '§ 83', '§ 6', '§ 69', '§ 20', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 3', '§ 4', '§ 6', '§ 5', '§ 5', '§ 4', '§ 4', 'art. 2', '§ 18', '§ 5', '§ 2', '§ 4', '§ 1', '§ 36', '§ 35', '§ 8', '§ 19', '§ 10', '§ 13', '§ 5', '§ 69', '§ 20', '§ 60', '§ 69', '§ 56', '§ 69', '§ 271', '§ 248', '§ 1', '§ 79', '§ 1', '§ 2', '§ 5', '§ 18', '§ 56', '§ 45', '§ 2', '§ 20', '§ 11', '§ 35', '§ 3', '§ 9', '§ 6', '§ 6', '§ 14', '§ 6', '§ 3', '§ 69', '§ 12', '§ 14', '§ 14', '§ 14', '§ 14', '§ 14', '§ 14', '§ 3', '§ 4', '§ 19', '§ 9', '§ 10', '§ 3', '§ 3', '§ 3', '§ 11', '§ 12', '§ 3', '§ 271', '§ 271', '§ 3', '§ 3', '§ 13', '§ 3', '§ 3', '§ 3', '§ 3', '§ 3', '§ 3', '§ 3', '§ 3', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 3', '§ 3', '§ 13', '§ 27', '§ 6', '§ 5', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 5', '§ 4', '§ 13', '§ 13', '§ 13', '§ 13', '§ 19', '§ 13', '§ 18', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 13', '§ 3', '§ 3', '§ 6', '§ 12']

Machine Translation of "Fma Cost Regulation 2016 - Fma-Kvo 2016" (Austria)
Fma Cost Regulation 2016 - Fma-Kvo 2016
Original Language Title: FMA-Kostenverordnung 2016 – FMA-KVO 2016
Read the untranslated law here: https://www.global-regulation.com/law/austria/2996005/fma-kostenverordnung-2016--fma-kvo-2016.html
419 regulation of the financial market authority (FMA) on the costs of the financial market authority (FMA cost regulation 2016 - FMA-KVO 2016)
1 of § 19 section 7 of the financial market Authority Act - FMABG, Federal Law Gazette I no. 97/2001, as last amended by Federal Law Gazette I no. 117/2015, in conjunction with article 69 of the law on banking - Banking Act, Federal Law Gazette no 532/1993, as last amended by Federal Law Gazette I no. 117/2015, § 60 of the payment Services Act - ZaDiG, Federal Law Gazette I no. 66/2009, last amended by Federal Law Gazette I no. 68/2015 , Section 22 par. 2 of the E-money law 2010, Federal Law Gazette I no. 107/2010, as last amended by Federal Law Gazette I no. 68/2015, section 16 of the CSD Enforcement Act ZvVG, Federal Law Gazette I no. 69/2015, section 160 of the rehabilitation and settlement Act - BaSAG, Federal Law Gazette I no. 98/2014, as last amended by Federal Law Gazette I no. 127/2015, § 56 of the deposit guarantee and investor compensation act - ESAEG, Federal Law Gazette I no. 117/2015 , § 271 of the insurance supervision law 2016 - VAG 2016, Federal Law Gazette I no. 34/2015, last amended by the Federal Act Federal Law Gazette I no 112/2015, and § 35 of the Pension Fund Act - PKG, BGBl. No. 281/1990, as last amended by Federal Law Gazette I no. 68/2015, 2. § 271 par. 2 and 3 VAG 2016, 3. 90 par. 2 of the securities supervision Act 2007 - WAG 2007, Federal Law Gazette I no 60/2007 , as last amended by Federal Law Gazette I no. 117/2015, 4 section 5 paragraph 2 of the central counterparties Enforcement Act ZGVG, Federal Law Gazette I no. 97/2012, as last amended by Federal Law Gazette I no. 69/2015, 5. § 11 ABS. 2 ZvVG, 144 para 2 of the investment fund law 2011 - 6 InvFG 2011, Federal Law Gazette I no. 77/2011, as last amended by Federal Law Gazette I no. 117/2015 , 7 § 56 para 6 of the alternative investment funds Manager law - AIFMG, Federal Law Gazette I no 135/2013, as last amended by Federal Law Gazette I no. 117/2015, 8 § 2 par. 13 of the real estate investment Fund Act ImmoInvFG, Federal Law Gazette I no. 80/2003, as last amended by Federal Law Gazette I no. 115/2015, 9 of section 45a para 2 of the operational staff and self-employed persons Pension Act - BMSVG, Federal Law Gazette I no. 100/2002 , last amended by Federal Law Gazette I no. 79/2015, is prescribed: 1. main piece
§ 1. This regulation lays down
1. the implementation of advances and the reimbursement of the costs of the financial market authority (FMA), 2 more aspects to the cost calculation and allocation of advances in the accounting group 1 (banking supervision) and the accounting group 2 (insurance supervision) and 3. the sharing of the costs of the accounting group 3 (securities) on the fee in accordance with article 90, para. 1 WAG 2007, § 5 para. 1 ZGVG, § 11 ABS. 1 ZvVG, article 144, paragraph 1 InvFG 2011 , § 56 paragraph 5 AIFMG, § 2 para 12 ImmoInvFG and § 45a para 1 BMSVG.
1 costs calculation: the clearing of costs for the relevant FMA financial year on the single fee attributable the FMA on the basis of the annual accounts to be created 18 FMABG in accordance with §.
2. allocation of advances: the clearing of payments to be paid by the Vorauszahlungspflichtigen for a FMA financial year each in advance.
3. fee: those natural or legal persons who satisfy the requirements of § 3 para 1 Z 1 to 4.
4. Vorauszahlungspflichtige: The natural or legal persons who satisfy the requirements of § 9 para 1.
Is cost-recovery
§ 3 (1) to the reimbursement of the supervision costs are required for an FMA financial year (actual costs):
1 paid a) aa) in accordance with § 69 para 1 No. 1 to 3 BWG, which are credit institutions in accordance with article 1 para. 1 BWG or - are credit institutions referred to in article 9, para. 1 BWG and performing activities in Austria via a branch or - financial holding companies referred to in article 4 paragraph 1 number 20 CRR or mixed financial holding companies according to § 2 Z 15 of the financial conglomerates Act - FKG, Federal Law Gazette I no. 70/2004 , are, unless they are part of a group of credit institutions according to § 30 BWG, bb) according to § 69 para 8 BWG, the representations referred to in § 2, Z are 17 BWG, cc) in accordance with article 60, paragraph 1 ZaDiG which, payment institutions in accordance with § 3 No. 4 lit. a ZaDiG are or - branch offices in accordance with §12 ZaDiG, dd) in accordance with section 22 paragraph 2 of the E-money law 2010 which - 2010 are E money institutions in accordance with article 3 par. 2 of the E-money law or - 2010 are branch offices in accordance with § 9 of the E-money law.
(b) aa) in accordance with article 160, paragraph 1 Z 1 BaSAG, the institutions referred to in § 2 Z 23 in connection with § 2 Z are 2 or 3 BaSAG and due to § 4 BWG conduct Bank business, bb) in accordance with article 160, paragraph 1 Z 2 BaSAG, the financial holding companies referred to in § 2 Z 9 BaSAG or mixed financial holding companies according to § 2 Z are 10 BaSAG, unless they are part of a group of credit institutions according to § 30 BWG;
(c) in accordance with article 56 ESAEG which are Z 21 ESAEG member institutions referred to in article 7, paragraph 1 or member institutions Z are 7 ESAEG according to § 44;
2. paid in accordance with article 271, paragraph 1 VAG 2016, the a) a licence aa) pursuant to § 6 para 1 VAG 2016 as insurance undertakings or reinsurance undertakings based domestically in accordance with § 1 para 1 subpara 1 VAG 2016, bb) in accordance with § 6 para 1 in conjunction with § 83 para 1 VAG 2016 as a small insurance business pursuant to section 1 para 1 No. 2 VAG 2016, cc) in accordance with § 6 para 1 in conjunction with § 69 para 2 VAG 2016 as a small Association in accordance with section 1, paragraph 1 Z 3 VAG 2016, dd) in accordance with article 13, paragraph 1 VAG 2016 as a branch of a third country insurance undertaking or third country reinsurance undertaking in accordance with article 1, paragraph 1 Z 4 VAG 2016 have; also the b) according to § 20 VAG 2016 a branch in Germany have built and EEA insurance undertakings or EEA insurance undertakings VAG 2016 Z 5 pursuant to section 1 para 1;
(c) insurance holding companies in accordance with § 1 para 1 Z 6 in conjunction with article 195, paragraph 1 Z 6 VAG 2016 or mixed financial holding companies in accordance with § 1 para 1 No. 6 in conjunction with article 195, paragraph 1 Z VAG 2016 are 8;
d) assets managed associations in accordance with § 1 para 1 VAG 2016 are no. 7;
(e) private foundations Z VAG 2016 in accordance with § 1 para 1 are 8;
f) SPEs Z VAG 2016 are 9 in accordance with section 1, paragraph 1;
3. paid in accordance with the Z 3 referred to in § 1 provisions, a) the business with reportable instruments pursuant to article 64 WAG 2007 have made (notifiable Institute);
(c) a licence as an investment firm pursuant to § 3 para 1 WAG 2007 or as an investment service provider in accordance with § 4 para 1 WAG 2007 have, also companies to the insurance, VAG 2016 have conducted mediation business within the meaning of § 6 ABS. 3 VAG 2016 and occasionally in conjunction with section 69, paragraph 2 or article 83, paragraph 1, management companies pursuant to § 5 para 1 InvFG 2011, the services according to § 5 ABS. 2 2011 3 or 4 InvFG have provided Z That AIFM in accordance with § 4 AIFMG, the services provided pursuant to § 4 para 4 No. 1 or no. 2 lit. a or c AIFMG have yielded, and CSD, the services legally in accordance with article 17 paragraph 5 in conjunction with article have yielded 18 CSDR (providers of investment services);
(d) as central counterparty in accordance with art. 2 No.1 EMIR domestically settled are (central counterparty);
(e) that as a clearing member pursuant to article 2 No. 14 on one EMIR in lit. d participate central counterparty referred to (clearing members);
(f) that a licence as corporate pension fund pursuant to § 18 para 1 BMSVG, as management company pursuant to § 5 para 1 InvFG 2011 as capital investment company pursuant to § 2 para 1 ImmoInvFG as AIFM in accordance with § 4 para 1 have AIFMG or as AIFM in accordance with § 1 para 5 Z 1 AIFMG are registered, also in accordance with § 36 para 2 InvFG 2011 or in accordance with § AIFMG (collective Portfolio Manager); 33 AIFMG built branches and non-EU AIFM in accordance with article 39, paragraph 3
(g) that as a central securities depository in accordance with article 2 para 1 No. 1 CSDR established domestically are (CSD);
4. paid pursuant to § 35 PKG, who possess a licence to operate of a pension fund pursuant to § 8 PKG.
(2) the reporting obligation is also if the conditions referred to in paragraph 1 during the entire FMA financial year.
(3) deficiencies and claims from the is costing previous FMA financial years that have to be written off on the basis of partial or complete recovery in the financial statements of the FMA are the costs of the respective accounting group (§ 19 para 1 Z 1 to 4 FMABG) or of the respective sub accounting group (§ 10 Z 1-3, § 13 No. 1 to 7) to be added for the following year.
Cost notices of payment due
4. (1) the FMA has in accordance with article 3, paragraph 1 Z 1 to 4 paid to prescribe each attributable to them is costs a FMA financial year by decision. The notices of payment due has until December 31 of the year in which the annual financial statements of the FMA is published, to be carried out.
(2) the cost notices of payment due may, provided that the legal personality of the paid has gone down and there are the preconditions to a notices of payment due when the successor in title, made up to March 31 of the following year.
§ 5. Too prescriptive cost amounts are loosened on a full euro amount or round up. This amounts rounded up including 49 cents and amounts from 50 cents rounded up.
6. (1) the data messages to the FMA to be reimbursed according to the applicable regulatory laws; are calculating cost basis These are:
1 for the controlling area 1: a) § 69 para 2 BWG in conjunction with article 99 CRR, b) article 60 par. 2 ZaDiG in conjunction with § 20 para 2 ZaDiG, c) section 22 par. 2 Bspg 2010 in conjunction with § 60 para 2 ZaDiG, d) section 160, paragraph 1 BaSAG in conjunction with § 69 para 2 BWG and article 99 CRR, e) § 56 ESAEG in conjunction with § 69 para 2 BWG and article 99 CRR , 2 for the accounting group 2: § 271 par. 2 VAG 2016 in conjunction with a) § 248 par. 2, 4 and 8 in conjunction with § 1 VAG 2016 Z 1 of the insurance companies reporting regulation - VU-MV, Federal Law Gazette II No. 217/2015, b) § 79 par. 3 VAG 2016 in conjunction with § 1 of the small mutual associations of accounting regulation - kV-RLV, Federal Law Gazette II No. 168/2015, 3 for the accounting group 3 : a) § § 2 par. 2 and 3, 64, 73, 74 and 90 WAG 2007 in conjunction with section 16, paragraph 2 and article 17, paragraph 1 and 2, b) § 5 para 2 ZGVG in conjunction with § 18 para 2, c) § 56 paragraph 6 AIFMG, § 45a para 2 BMSVG, section 144, paragraph 2 InvFG 2011 and § 2 par. 13 ImmoInvFG in conjunction with § 20 para 2 , d) § 11 ABS. 3 ZvVG in connection with section 21, para. 3 and 4 for the controlling area 4: § 35 para 1 in conjunction with article 30a, paragraph 1 PKG.
(2) by the paid pursuant to § 3 para 1 are Z 1 to 4 for Rapporteur data reported in accordance with paragraph 1 or the relevant provisions of previous for the previous fiscal year to calculate the costs referred to in article 4 and the advance payments in accordance with § 9 of the FMA within up to 30 June of the following year to submit.
(3) the financial year of the fee differs from the calendar year, the fiscal year of the paid is the previous fiscal year, which ends December 31 that FMA financial year for the cost calculation is performed; several years of paid end December 31 that FMA financial year for the cost calculation is carried out, these are considered previous fiscal year in accordance with paragraph 2.
(4) correction messages by reporting institutions regarding data of the previous financial year has to take into account the FMA, where she until no later than 10 June of the following year at the FMA received.
Official establishment of the data base
7. (1) the FMA has set the basis for the calculation of costs, if the required for the cost assessment data messages in accordance with § 6
1 in the absence of baseline data could not be refunded or had to be not refunded due to lack of reporting obligations pursuant to the provisions referred to in article 6, paragraph 1 or the relevant provisions of predecessor or 2 legal does not, not timely or not fully been submitted.
(2) the requirements of paragraph 1 are available, the FMA
1. a calculation of the share of costs on the basis of last vorliegenden notification according to § 6 or predecessor legislation plus a surcharge or 2. in the alternative to assess the cost share of the amounts referred to in paragraph 4 or § 14 para 3 Z 3 to make.
(3) Z 1 the surcharge referred to in paragraph 2 is calculated as follows:
where the following applies: 1. n is the number of consistently consecutive years for the FMA to set the basis for the calculation of costs on the basis of the last vorliegenden data message is;
2. b is contain for the last period for the respective fee basis of assessment.
(4) any data messages in accordance with § 6 or previous legislation from prior periods are available for a fee, the FMA has the cost share
1 a credit institution or other paid pursuant to § 3 para 1 No. 1 with the minimum amount in accordance with § 69 para 4 BWG, 2. a payment institution with the minimum amount referred to in article 60 par. 4 ZaDiG, 3. an E money institution with the minimum amount referred to in article 60 par. 4 ZaDiG, 4. a fee pursuant to section 3 para 1 Z 2 meet minimum costs pursuant to § 12 para 1, 5. a pension fund with the resulting from article 35, paragraph 1 Z 1 amount resulting PKG , 6 a reportable Institute with the minimum fee pursuant to § 14 para 3 Z 1, 7 an issuer with the minimum fee pursuant to § 14 para 3 Z 2, 8 a central counterparty with the minimum fee pursuant to § 14 para 3 Z 4, 9 a clearing member with the minimum fee pursuant to § 14 para 3 Z 5, 10 one which in section 3 para 1 No. 3 lit. f mentioned paid with the minimum fee pursuant to § 14 para 3 Z 6 or 7 to set 11 a CSD with the minimum fee pursuant to § 14 para 3 Z 8.
(5) in the case of paragraph 4, the FMA is entitled, the share of cost a fee, which a licence for the provision of investment services pursuant to section 3 para 2 WAG 2007 was granted based on the part of the concession in accordance with § 3 para 8 WAG 2007 in conjunction with § 4 para 3 Z to set budget bill to be submitted to 3 BWG. This does not affect article 17.
The amounts that are prescribed pursuant to section 4 are section 8 (1) within one month of the notification of the decision to reimburse.
(2) the FMA within one month after the cost decision and after written notification of the bank account through the paid to repay balances in accordance with § 19 para 5 FMABG.
Clearing of advances
§ 9 (1) to provide advance payment amounts for a FMA financial year those costs are required, which fulfil the conditions referred to in article 3, paragraph 1 Z 1 to 4 on 30 September of the preceding year of the FMA.
(2) the FMA has referred to in paragraph 1 Vorauszahlungspflichtigen the they each relating to the prepayment amount by decision to prescribe. The dates laid down in article 4, paragraph 1 and 2, as well as the rounding of the prescribed cost contribution scheme laid down in article 5 are here to apply.
(3) section 7 applies to the notices of payment due by advance payment amounts, if any is cost amounts for the preceding fiscal year of the FMA were netted for the calculation of the amount of advance payment for a respective fee.
Sub accounting groups
§ 10. The accounting group 1 (banking supervision) consists of following paid, each forming a sub account circle:
1 sub accounting group 1, where the legal entity pursuant to § 3 para 1 subpara 1 lit. a are associated with;
2. Sub accounting group 2, where the legal entity pursuant to § 3 para 1 subpara 1 lit. b are associated;
3. Sub accounting group 3, which the member institutions pursuant to § 3 para 1 subpara 1 lit. c are associated with.
Payment requirement of CSDs
§ 11. Is a licence for the provision of banking type of ancillary services in accordance with § 12 ZvVG a central securities depository has been granted, is BWG concession holder within the meaning of article 4 on the apportionment of costs in the accounting group 1 in accordance with section 69 BWG to participate.
Accounting group 2
Countries minimum costs and package deals
Section 12 (1) that by any paid pursuant to § 3 para 1 No. 2 lit. a or b at least to load-bearing meet minimum costs pursuant to § 271 par. 3 VAG 2016 with 250 euros be fixed.
(2) the allowance referred to in § 271 par. 2 VAG 2016 for amounts paid pursuant to § 3 paragraph 1 Z 2 lit. c to f 1 000 euro. The lump sum is to impose in the case of the advance payment, as well as in the case of is costing only once per fiscal year, even if the chargeable under several cases pursuant to § 3 para 1 subpara 2 lit. c falls to f.
Accounting group 3
§ 13. The 3 (securities) accounting group consists of following paid, each forming a sub account circle:
1 sub accounting group 1, the reporting institutions pursuant to § 3 para 1 No. 3 lit. a are associated with;
2. Sub accounting group 2, which the issuer with the exception of the Covenant pursuant to § 3 para 1 No. 3 lit. b are associated;
3. Sub accounting group 3, which the providers of investment services pursuant to § 3 para 1 No. 3 lit. c are associated with;
4. Sub accounting group 4, where the central counterparties in accordance with § 3 para 1 No. 3 lit. d are associated with;
5. Sub accounting group 5, which the clearing members pursuant to § 3 para 1 No. 3 lit. e are associated with;
6 sub account area 6, the administrators of collective portfolios pursuant to § 3 para 1 No. 3 lit. f associated;
7 Sub accounting group 7, where the central securities depository pursuant to § 3 para 1 No. 3 lit. associated with g.
A to write above cost, located under the specified minimum lump sum for the fee in accordance with paragraph 3 resulting in share section 14 (1) on the basis of the cost assessment prepared in accordance with the provisions of this regulation, the minimum flat fee is the fee so to prescribe.
(2) the FMA is entitled to use the regulated in § 3 minimum flat fee ever paid in annual cost-sharing. The calculated surpluses resulting from notices of payment due from minimum lump sum is to compensate so that the compensation gradually takes place within the Group of paid, where notifiable institutions referred to in article 13 are connected to a Central Institute No. 1, on the one hand and other reporting institutions in accordance with § 13 No. 1 on the other hand each considered a group of paid.
1 notifiable Institute pursuant to § 13 Z 1 500 euro;
2. issuer in accordance with § 13 Z 2 500 euro;
3. providers of investment services in accordance with § 13 Z 3 500 euro;
4. central counterparties in accordance with § 13 Z 4 1 000 euro;
5. clearing members pursuant to § 13 Z 5-500 euro;
6 administrators of collective portfolios in accordance with § 13 No. 6, as far as this not only registered AIFM in accordance with § 3 para 1 No. 3 lit. f are EUR 1 000;
7 registered AIFM in accordance with § 3 para 1 No. 3 lit. f 500 euro;
8th Central securities depository pursuant to § 13 Z 7 1 000 euro.
Sub accounting group 1 (notifiable Institute)
Reported transactions and cancellation messages are 15 (1) for the purposes of determining costs for weight. A weight of 100 is the reported transactions and cancellation messages % associate, so far as no special weighting factors apply for individual types of business under paragraph 2 and 3. Cancellation and the underlying messages are separately than to deal with fee-based businesses.
(2) in the case of credit institutions, which are affiliated to a central institution and who are entitled, in accordance with § 27a of the Banking Act to solve the connection to the Central Institute applies instead of the weight referred to in paragraph 1 a weight of 6.9%, unless the direct customer a customer pursuant to § 6 section 3 of the securities registration regulation 2007 - WPMV 2007, Federal Law Gazette II No. 217 / 2007, in conjunction with article 13, paragraph 4 is MiFID DVO and as a counterparty in accordance with § 5 WPMV 2007 in conjunction with Annex I table 1 number 20 MiFID DVO that competent Central Institute or another credit institution attached to the same competent Central Institute is specified. The weighting applies to intra-sectoral transactions between affiliated banks but according to para 1 and 3. The intra-sectoral local businesses with the exception of transactions between affiliated credit institutions apply for purposes of determining costs as a paid business, estimated cost to prescribe that sector Institute are, that intra-sectoral no longer forwards the reportable business. The competent Central Institute and the affiliated credit institutions have to provide the necessary reference data of the FMA until 30 June of the following year.
(3) the reported business completes BörseG by the declarants Institute within the framework of its activity as a market maker in accordance with article 56, paragraph 1, thus reduces the weight referred to in paragraph 1 to 2.9 VH.
(4) a cumulative application of par. 2 and 3 does not occur even if the reported business meets the requirements of the two aforementioned paragraphs.
(5) the FMA has calculated the amounts on the fee pursuant to § 13 attributable Z 1 in particular, according to their share of the reported transactions in the total number of reported transactions to determine where the shops compared to the ratios in accordance with paragraphs 1 to 3 are weighted.
Sub accounting group 2 (issuers)
Section 16 (1) has calculated the amounts on the fee pursuant to § 13 attributable Z 2 in particular, the FMA after its share of the domestic exchange money transactions of notifiable instruments, to determine which were approved in the respective calendar year on a regulated market or other stock-exchange listing in accordance with section 2 BörseG. The FMA is entitled to determine of the posts details of pursuant to section 2 BörseG to operate of a regulated market or other stock-exchange listing of licensed Exchange operating company of approved instruments are to obtain and to use the cost calculation, whereby transactions in reportable financial instruments, which shares and equity-like securities are, with 100 per cent, to weight shops in all other reportable financial instruments with 1.2%.
(2) that pursuant to section 2 BörseG to operate of a regulated market or a stock exchange in other licensed Exchange operating company of the FMA has the corresponding reference data up to June 30 of the following year, taking into account new initial public admissions to the official or semi-official (initial public offerings, IPOs), as well as any that has occurred in the meantime changes, especially changes the ISI numbers, sell-out and capital measures (in particular rights) to rows from and into the official market or semi-official , to provide.
Sub accounting group 3 (providers of investment services)
Section 17 (1) the fee pursuant to § 13 No. 3 are required to submit reference data audited by auditors of the previous fiscal year up to June 30 of the following year the FMA. At investment services providers pursuant to section 4 WAG 2007 eliminates the need for examining the reference data.
(2) revenue from investment services are considered reference data referred to in paragraph 1 for the FMA business year in question. Of these revenues those revenues are not covered by a paid pursuant to § 13 No. 3 on other paid pursuant to § 13 were redirected Z 3 and to be reported by the latter as reference data in accordance with paragraph 1. Any foreign currency amounts are to the exchange rate, which has been valid at the time of the collection of the revenues, to be converted into euro.
(3) the costs of an investment firm or a value investment service providers for an FMA financial year results from the ratio of revenue from value securities services operations of the individual firm or of individual investment services providers to the total revenues of all investment firms and investment service providers. Companies to the insurance only 67 vH of revenues from intermediary activities pursuant to article 6 paragraph 3 are VAG 2016 to take into account. When management companies only 67 vH of revenues from services pursuant to § 5 para 2 Z 3 and 4 InvFG this 2011 and of AIFM are just 67 per cent of revenues from services in accordance with § 4 para 4 Z 1 and 2 lit. a and c to be considered AIFMG. CSDs are the revenues from provision of services to be considered legally 18 CSDR paragraph 5 in conjunction with article have been provided in accordance with article 17.
Sub accounting group 4 (central counterparties)
The FMA has 18 (1) the amounts on the fee pursuant to § 13 attributable Z 4 in particular, calculated according to their share of the domestic provided clearing services, to determine. The percentage is calculated based on the ratio of the total volume of all transactions in financial instruments pursuant to section 1 No. 6 WAG 2007, which the individual paid pursuant to § 13, accounted for no. 4 in the FMA financial year concerned to the total volume of all transactions in financial instruments pursuant to section 1, no. 6 WAG 2007, which handled all paid in accordance with § 13 No. 4 in the FMA financial year concerned.
(2) the fee pursuant to § 13 No. 4 the FMA have each reference data
1. go to the total volume of all transactions in financial instruments pursuant to section 1, flattened by them no. 6 WAG 2007 and 2nd to the absolute proportion Z 6 each of its clearing members, the total volume of all transactions in financial instruments pursuant to section 1, reported by you in accordance with subpara 1 WAG 2007 to transmit up to 30 June of the following year. Any foreign currency amounts are to the exchange rate, which has been valid at the time of the conclusion of the transaction, to be converted into euro.
§ 19. The FMA has calculated the amounts on the fee pursuant to § 13 attributable Z 5 in particular, according to their share of the clearing services adopted by them as a clearing member of one or more central counterparties established in the domestic service of the total volume of the clearing services provided by these central counterparties, to determine. Here, the reference data for the relevant financial year of the FMA submitted pursuant to § 18 para 2 be based the total volume of clearing services. Article 18, paragraph 1 shall apply for the calculation of the percentage of the total volume of the clearing service provided second sentence according to.
Section 20 (1) the fee pursuant to § 13 No. 6 are required to submit reference data audited by auditors of the previous fiscal year up to June 30 of the following year the FMA.
(2) as reference data in accordance with paragraph 1 withheld in administrative costs of corporate provision funds, withheld in Commission income of the management companies and investment companies for real estate and the revenues of the AIFM from the management of AIF for the FMA business year in question apply to Z 6 paid in accordance with § 13. These revenues those revenues are not covered, by a paid pursuant to § 13 No. 6 on other paid pursuant to § 13 were routed No. 6 and to be reported by the latter as reference data in accordance with paragraph 1. Any foreign currency amounts are to the exchange rate, which has been valid at the time of the collection of administrative costs, Commission income or revenues, to be converted into euro.
(3) the FMA has calculated the amounts on the fee pursuant to § 13 attributable Z 6 in particular, according to their share in the total volume of corporate provision funds administrative costs withheld in to determine the withheld in Commission income of the management companies and investment companies for real estate and the revenues of the AIFM from the management of AIF. The percentage is calculated according to the ratio of the total volume of all administrative costs, Commission income or revenue that the individual paid pursuant to clause 13 has levied Z 6 in the FMA financial year concerned, less those proceeds, which are to report according to article 17, paragraph 1, to the total volume of all administrative costs withheld in, Commission income and revenues, which have collected all paid in accordance with § 13 No. 6 in the FMA financial year concerned. Of registered AIFM only 50 per cent of withheld revenues revenues are taken into account.
Sub accounting group 7 (CSD)
21. (1) the FMA is the amounts on the fee pursuant to § 13 attributable No. 7 in particular for 50% of all paid in accordance with § 13 Z 7 to carrying costs, calculated according to their share of the number of all UN-touched securities, and for another 50% by all paid in accordance with § 13 No. 7 to carrying costs, calculated according to their share of the volume of all settled transactions , to determine. The number of held securities is to determine after December 31 of the particular FMA financial year. The volume of settled transactions is determined by the values of flattened businesses at the time of the settlement including all cancellations arising on the relevant FMA financial year total. Deliveries are freely settled by a payment, shall be valued at market prices. Any foreign currency amounts are to the exchange rate, which has been valid at the time of the completion of the respective transaction, be converted into euro.
(2) the FMA in the cost notices of payment due in accordance with article 4, paragraph 1, establishes that Z 7 for the relevant FMA financial year only a sole central securities depository was associated with the sub account District 7 in accordance with article 13, the allocation of all costs of this sub accounting group to this central securities depositories in the extent of 100 can be based solely on %.
(3) the fee pursuant to § 13 No. 7 are required to submit reference data to the number of securities held and the volume of settled transactions until 30 June of the following year the FMA.
Section 22 (1) for references to federal laws in this regulation the following shall apply:
1. to the extent that Federal Law Gazette I no. 97/2001, refers to regulations of the financial market supervisory authority - FMABG, this is no. in the version of Federal Law Gazette I apply 117/2015;
2. as far as banking Act, Federal Law Gazette No. 532/1993, referenced provisions of the Banking Act - this is I in the version of Federal Law Gazette No 117/2015 shall apply;
3. as far as Federal Law Gazette I no. 66/2009, refers to provisions of the payment Services Act - ZaDiG, this is no. in the version of Federal Law Gazette I apply 68/2015;
4. as far as 2010, Federal Law Gazette I no. 107/2010, refers to provisions of the E money, this is no. in the version of Federal Law Gazette I apply 68/2015;
5. to the extent that provisions of the rehabilitation and settlement Act - BaSAG, Federal Law Gazette I no. 98/2014, is referenced, this is no. in the version of Federal Law Gazette I apply 127/2015;
6. If Federal Law Gazette I no. 117/2015, referenced on provisions of the deposit guarantee and investor compensation act - ESAEG, this is in its original version to apply;
7. as far as VAG 2016, Federal Law Gazette I no. 34/2015, refers to provisions of the insurance supervision Act 2016 -, this is I in the version of Federal Law Gazette No 112/2015 shall apply;
8. as far as this regulation on provisions of the securities supervision Act 2007 - WAG 2007, Federal Law Gazette I no. 60/2007, referenced, this is in the version of Federal Law Gazette I no 117/2015 shall apply.
9. as far as this regulation 48B, BGBl. No. 555/1989, refers to provisions of the BörseG 1989 -, this is no. in the version of Federal Law Gazette I 98/2015 to apply;
10. as far as this regulation ZGVG, Federal Law Gazette I no. 97/2012, referenced on the central counterparties Enforcement Act this is no. in the version of Federal Law Gazette I apply 69/2015;
11. as far as in this regulation Federal Law Gazette I no. 69/2015, referenced on the CSD-Enforcement Act ZvVG, this is in its original version to apply;
12. as far as in this regulation to the provisions of the investment funds act 2011 - InvFG 2011, Federal Law Gazette I no. 77/2011, referenced, this is in the version of Federal Law Gazette I no 117/2015 shall apply.
13. as far as this regulation investment funds Manager law - AIFMG, Federal Law Gazette I no. 135/2013, refers to provisions of the alternative, this is I in the version of Federal Law Gazette No 117/2015 shall apply;
14. as far as this regulation ImmoInvFG, Federal Law Gazette I no. 80/2003, referenced on the real estate investment Fund Act this is no. in the version of Federal Law Gazette I apply 115/2015;
15. to the extent that this regulation of managerial employees and self-employed persons Pension Act - BMSVG, Federal Law Gazette I no. 100/2002, refers to regulations, this is no. in the version of Federal Law Gazette I apply 79/2015;
16. as far as this regulation PKG, BGBl. No. 281/1990, referenced in regulations of the Pension Fund Act - this is no. in the version of Federal Law Gazette I apply 68/2015;
17. as far as this regulation FKG, Federal Law Gazette I no. 70/2004, refers to provisions of the financial conglomerate -, this is no. 68/2015 as amended by Federal Law Gazette I apply.
(2) for references to Union law in this regulation the following applies:
1. as far as no. 575/2013, called in this regulation of CRR, referenced in the Regulation (EU), so the Regulation (EU) is no. 648/2012, OJ No. 575/2013 on supervision requirements for credit institutions and investment firms and for amending the Regulation (EU) No. L 176 of the 27.06.2013 p. 1, as amended by the delegated Regulation (EU) 2015, 62, OJ No. apply L 11 of the 17.01.2015;
2. If on the Regulation (EU) No. 909/2014, in this regulation CSDR is known, referred that the Regulation (EU) is 909/2014 to improve the paper deliveries of value of and invoicing in the European Union and central securities depository as well as amending directives 98/26/EC and 2014/65/EC and the Regulation (EU) No. 236 No. / 2012, OJ No. apply L 257 of the 28.08.2014 to S. 1, in its original version;
3. as far as provisions of the Regulation (EU) No. 648/2012, in this regulation EMIR is called, referenced, so the Regulation (EU) is 648/2012 on OTC derivatives, central counterparties and trade repositories, OJ No. No. L 201 of the 27.07.2012 p. 1, as amended by the delegated Regulation (EU) 2015/1515, OJ No. L 239 of the 15.09.2015 p. 63, to apply;
4. as far as the Regulation (EU) No. 1287/2006 in this regulation of MiFID-DVO called, refers to regulations, to Regulation (EC) is 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, the admission of financial instruments to trading and certain terms in the directive no. , OJ No. L 241 of the 02.09.2006 to be applied to S. 1, in its original version.
Entry into force and expiry of transitional provisions
23. (1) effective this regulation with 1 January 2016.
(2) the regulation of the financial market authority (FMA) on the costs of the financial market authority (FMA cost regulation FMA-KVO), Federal Law Gazette II No. 340/2003, as amended by regulation BGBl. II Nr 265/2015 occurs with expiry of the 31 December 2015 override.
(3) for a FMA financial year ending before January 1, 2016, the following applies for the cost calculation: instead of § 3 para 1 subpara 2 and article 6, paragraph 1 Z 2 of this regulation are § 3 para 1 subpara 2 and § 6 para 1 No. 2 of the regulation referred to in paragraph 2 to apply; § 12 par. 1 of this regulation is to apply no. 2 of the regulation referred to in paragraph 2 only to pay within the meaning of article 3, paragraph 1; Section 12, paragraph 2, this regulation is not to apply.