Amendment Of The Registration Ordinance Zabil 1/2013 Of The Austrian National Bank (Zabil 1/2016)

Original Language Title: Novellierung der Meldeverordnung ZABIL 1/2013 der Oesterreichischen Nationalbank (ZABIL 1/2016)

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10. Regulation of the National Bank of Oesterreichische Nationalbank (Oesterreichische Nationalbank), with which the registration regulation ZABIL 1/2013 of the Oesterreichische Nationalbank (Oesterreichische Nationalbank) is amended

ZABIL 1/2016)

The Reporting Ordinance ZABIL 1/2013 of the Oesterreichische Nationalbank, published in the Official Journal of the Vienna newspaper on 19 April 2013, is published in accordance with Section 6 of the Foreign Exchange Act 2004, BGBl.  I n ° 123/2003 idF BGBl.  I n ° 4/2015, as amended:

1. In Section 1.1, the phrase " § 6 (1) of the Foreign Exchange Act 2004, BGBl.  I n ° 123/2003 idF BGBl.  N ° 36/2010 (DevG 2004) " by the phrase " § 6 (1) of the Foreign Exchange Act 2004, BGBl.  I n ° 123/2003 idF BGBl.  I No. 4/2015 (DevG 2004) " .

2. Section 3.1.1 is:

" 3.1.1 Meldeinhalt

The contents of the report are stocks of securities and transactions in securities, according to the P1 document (Appendix 4).

Regardless of the location of the securities,

all Equity holdings (excluding foreign branches), whether they are held by themselves, or are held by third parties for safekeeping.

the inventory and Securities depository and exit securities of securities held by non-resident non-custodians and securities and

by non-custodians

the inventory and Securities depository and outflows of securities held by foreigners.

to report along pre-defined depot groups.

In a reporting period, it shall be replaced by securities depository or -exits a change in the amount of depoc group (a security) brought to zero shall be reported for that security for the corresponding month in which the depositary stock reaches zero. "

3. In Section 3.1.4, the turn "7 Bankwerktagen" is replaced by the phrase "10 Bankwerktages" .

4. Section 3.2 "Reporting of real repurchase agreements with securities and securities lending operations" is deleted.

5. Section 3.3 "Depotinhaber message" is omitted.

6. Section 4.1.2.2 is:

" 4.1.2.2 More Specific Rules

Einlagen Receiving undertakings as referred to in Article 1 lit.  a Z 2 sublit.  a of Regulation (EU) No 1071/2013 of the European Central Bank of 24 June 2013 09.2013 on the balance sheet of the monetary financial institutions sector (ECB/2013/33) OJ L 327, 28.12.2013, p.  OJ L 297, 7.11, 2013- in the following ECB-Monetar Statistics-VO -is subject to the special scheme for reporting Other investments in accordance with section 4.3.

Countries and communities, According to the Regulation of the Federal Minister of Finance on the statistics of the building in the public sector (Gebarungsstatistics-VO 2014, BGBl. II no. 345/2013, idgF) Reporting timely, complete and correct reporting to the Bundesanstalt Statistik Austria, hereby fulfil its reporting obligation in accordance with Section 4.

Management Companies (§ 3 paragraph 2 Z 1 Investment Fund Act 2011, BGBl.  I n ° 77/2011 idgF) as well as capital investment companies for real estate (§ 2 Real Estate Investment Fund Act, BGBl.  I No 80/2003 (idgF), adopted by the European Central Bank in accordance with Regulation (EC) No 1073/2013 of 27 July 2007 on the statistics on assets and liabilities of investment funds, OJ L 378, 27.11.2007, p.  OJ L 211, 11.8.2007, are exempted from the reporting of cross-border investments by investment funds in accordance with Appendices 9 and 10. Other investments , on their own account and names, should be reported. "

7. In Section 4.2.2, before the abbreviation "MFIs" , the phrase "Monetary Financial Institutions" is inserted.

8. In Section 4.2.4, the following sentence is added: "MFIs, subject to the specific provisions of Section 4.3, must submit the notifications within 10 banking days from the month of sultimo.".

9. Section 4.3 is:

" 4.3 Special arrangements for reporting of other investments by MFIs

4.3.1 " Reported

Reporting obligations shall be subject to deposits pursuant to Article 1 lit.  a Z 2 sublit.  a of the ECB Monetary Statistics-VO, which has its head office in Germany or operates domestily through a branch.

4.3.2 Announcement of DI lending and DI deposits MFIs

4.3.2.1 Meldeinhalt

The contents of the message are all those claims and obligations under the categories of loans and deposits against foreign creditors and/or creditors. Debtors, other than foreign MFIs and foreign banks, exist with which there are direct investment relationships in accordance with Section 2.

The definitions and limits of the asset card (VERA-V in accordance with § 74 of the Federal Elections Act) for the determination of the reporting-relevant foreign holdings and share rights are to be applied. In this case, the foreign creditors or creditors are affected. Debtors who are reported as cross-border shareholding and shareholding rights within the scope of the asset card.

The message is divided into reporting claims and obligations of MFIs, from Other investments against foreign group companies, divided into Deposits and lending, according to Appendix 14.

4.3.2.2 Reported Limit

The reporting of FDI lending and DI deposits by MFIs is not subject to a reporting limit.

4.3.2.3 Reporting Period

The message is to be reported on a monthly basis. The Meldestichtag is the last day of the month. The notification shall be at the latest by 10. The Bank's Day of the Folgemonate.

4.3.3 Notification of additional content for purposes of external economic statistics "

4.3.3.1 Meldeinhalt

You must report the content listed in Appendix 15.

4.3.3.2 Reported Limit

The reporting of this content is not subject to a reporting limit.

4.3.3.3 Reporting Period

The message is to be reported on a monthly basis. The Meldestichtag is the last day of the month. The notification shall be at the latest by 10. The Bank's Day of the Folgemonate. "

10. In Section 5.2.2, the phrase "the phrase used to calculate its solvency in accordance with Article 22 (6) of the Federal Elections Act" shall be replaced by the phrase " which shall be used for the calculation in accordance with Article 274 of Regulation (EU) No 575/2013, OJ L 327, 31.12.2013, p.  OJ L 176 of 26 June 2013 of the European Parliament and of the Council-hereinafter referred to as CRR-"

.

11. Appendix A in the definition "Depot Group" :

)

the second paragraph of the clip expression "and related securities inputs and exits"

)

third paragraph the depot group " D03- Depots to (own) real repurchase agreements with securities and securities lending operations "

c)

the last sentence in the penultimate paragraph and the last paragraph

12. In Annex A, as defined in "Direct investment" , the word order " in part A1b (participations and shareholders) of the asset, success and risk pass (§ 74 BWG) " is replaced by the phrase " in Art. 4 paragraph 1 Z 35 CRR " .

13. In Annex A, as defined in "financial derivatives" , the phrase "special off-balance-sheet financial transactions pursuant to Appendix 2 to Section 22 of the BWG" shall be replaced by the word order "Derivatives according to Appendix 2 of CRR" .

14. In Appendix A, as defined in "Inshore Depository Guide" , the enumeration

" Inshore custodian leaders:

Inshore MFIs, excluding money market funds

Inshore Credit institutions within the meaning of § 1 BWG, which are not MFIs but perform the safekeeping and management of securities for others (custodian business-§ 1 (1) (1) Z 5 BWG)

Inshore Branches of investment firms in accordance with Section 9a of the BWG

Inshore Branches of credit and financial institutions from Member States (§ § 9 and 11 BWG), which carry out the safekeeping and administration of securities for others (custodian business-§ 1 para. 1 (1) Z 5 BWG). "

by enumeration

" Inshore custodian leaders:

Inshore MFIs, except money market funds.

Inshore Credit institutions within the meaning of § 1 BWG, which are not MFIs but perform the safekeeping and administration of securities for others (custodian business-§ 1 paragraph 1 (1) Z 5 BWG).

degrading units according to § 2 Z 56 BaSAG, which carry out the safekeeping and management of securities.

Inshore Branches of investment firms according to § 12 WAG, which carry out the safekeeping and administration of securities for others (custodian business-§ 1 para. 1 (1) Z 5 BWG).

Inshore Branches of credit and financial institutions from Member States (§ § 9 and 11 BWG), which carry out the safekeeping and administration of securities for others (custodian business-§ 1 para. 1 (1) Z 5 BWG). "

replaced.

15. In Annex A, as defined in "Moneary Financial Institutions (MFIs)" , the enumeration

" Monetary financial institutions (MFIs) include:

in the euro area -established credit institutions within the meaning of Article 4 (1) of Directive 2006 /48/EC and of the electronic money institutions as defined in Directive 2000 /46/EC

all others in Euro area resident financial institutions within the meaning of Community law, the economic activity of which consists of deposits or deposits. To receive deposit substitutes in the narrower sense from other economic entities than MFIs, and to grant loans on their own account (at least in the economic sense) and/or to invest in securities. "

by enumeration

" Moneary Financial Institution (MFI) refers to a resident company in one of the following sectors:

1.

Central banks;

2.

Other MFIs; these include

)

Companies receiving deposits:

i)

Credit institutions pursuant to Article 4 (1) (1) of Regulation (EU) No 575/2013 of the European Parliament and the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms, and

)

Other deposits receiving companies other than credit institutions that

-

Other financial institutions within the meaning of Union law, which are financial in their main function Performing intermediate activities and carrying out their business activities are deposits or Single-layer substitutes in the narrow sense of institutional units, not only to receive MFIs (their association with MFIs is determined by the substitution capacity between the financial instruments issued by other MFIs and the financial instruments issued by other MFIs) credit institutions), and to grant loans on its own account, at least in the economic sense, and/or to make investments in securities; or

E-Money Institutes, the main function of which is to provide financial intermediaries in the form of the issue of electronic money;

)

Money market funds within the meaning of Regulation (EC) 1071/2013 Article 2 of the ECB's Monet Statistics Regulation.

"Reporting agents" and "residents" have the same meaning as in Article 1 of Regulation (EC) No 2533/98 ".

replaced.

16. In Annex B, Appendix 2 shall be replaced by the following Appendix:

"

root data active DI participations abroad

D2
Attachment 2

Inlander/Melder:

OeNB-Ident Number

word according to lt. Company Book/First Name, Zuname and Date of Birth

(street, post code, location)

about the foreign DI company:

OeNB-Ident Number

word loud

(street, post code, location)

country

or Company Book Number

Form

NACE 2008

function description

Type

details:

it a direct or indirect participation?

Theme

this participation a re-establishment of the company?

of first participation

If it is the purchase of shares in a foreign company, here is the To specify domestic sellers:

Name/First Name, Zuname

(street, post code, location)

country

or Company Book Number

"

17. In Annex B, Appendix 3 shall be replaced by the following Appendix:

"

Root Data Passive DI participations from abroad

D3
Attachment 3

Inlander/Melder:

OeNB-Ident Number

word loud

(street, post code, location)

Direct Investor Information:

OeNB-Ident Number

Word/First Name, Zuname and Date of Birth

(street, post code, location)

country

or Company Book Number

NACE 2008

function description

Type

details:

it a direct or indirect participation?

Theme

this participation a re-establishment of the company?

of first participation

If it is the purchase of shares in a domestic company, here is the foreign sellers:

Name/First Name, Zuname

(street, post code, location)

country

or Company Book Number

"

18. In Annex B, Appendix 4 shall be replaced by the following Appendix:

"

Depository Reporting for domestic custodians

P1
Attachment 4

Inlander/Melder:

OeNB-Ident Number

details:

Period

Substitute-/

Complete message

depot group

Depotinhaber Seed Country

1

2

3

4

securities identification number-ISIN code

Internal Identification Number

 

Nominal/piece identifier

 

Inputs with Countervalue *

Nominal/Piece

Eurovalue

Pisces

Inputs without Countervalue *

Nominal/Piece

Inputs without static change *

Eurovalue

Outputs with Countervalue *

Nominal/Piece

Eurovalue

Pisces

Outputs with no equivalent *

Nominal/Piece

Outputs without change *

Eurovalue

Groups Stand

Nominal/Piece

Nominal/piece-

hievon-Short

value in Euro

securities nominal currency

* One or more Outputs are notifiable only for customer depots

"

19. Annex B shall not apply to Appendix 6 (reporting of securities holdings and exits and of holdings for genuine repurchase agreements with securities and securities lending operations, P3).

20. Appendix 4a (Depotinhaber-notification for domestic custodians, P6) is deleted in Annex B.

21. In Annex B, Annex 14 shall be replaced by the following Appendix:

"

DI Lending and DI deposits MFIs


Asset 14

Inlander/Melder:

OeNB-Ident Number

foreigner information:

OeNB-Ident Number

details:

Period

currency

Replacement message identifier

Meldeposition type (type of loan or Non-transactional change)

Inventory at the end of the reporting period, or non-transactional change

-MFIs and/or non-MFIs. Non-banks with maturity up to 1 year

-MFIs and/or non-MFIs. Non-bank with maturity up to 1 year,

due on a daily basis

-MFIs and/or non-MFIs. Non-banks with maturity over one year to 5 years

-MFIs and/or non-MFIs. Non-bank with maturity over 5 years

-MFIs and/or non-MFIs. Non-banks, hievon Reverse Repos

-MFIs and/or non-MFIs. Non-banks, called overdue lending

-transactional changes from the previous month due to depreciation from all titles versus MFIs or banks

-transactional changes from the previous month due to depreciation from all titles to non-MFIs or Non-Banks

Melting position (type of insert or Non-transactional change)

Inventory at the end of the reporting period, or non-transactional change

Inlays of non-MFIs or Non-banks, daily deposits

Inlays of non-MFIs or Non-banks with a binding deadline of 1 year

Inlays of non-MFIs or Non-banks with agreed binding period of 1 year to 2 years

Inlays of non-MFIs or Non-banks with agreed binding period over 2 years

Inlays of non-MFIs or Non-banks with notice period up to 3 months

Inlays of non-MFIs or Non-banks with a notice period of 3 months to 1 year

Inlays of non-MFIs or Non-banks with a notice period of 1 year to 2 years

Inlays of non-MFIs or Non-banks with notice period over 2 years

Inlays of non-MFIs or Non-Banks, Repos

"

22. In Annex B, Appendix 15 shall be replaced by the following Appendix:

" Attachment 15

Additional content for purposes of external economic statistics

The following reporting positions are in the case of lending or lending. To report deposits:

Lending international organizations

with runtimes up to 1 year

due on a daily basis

over 1 year to 5 years

over 5 years.

as well as the Other subheadings

Reverse Repos

Overdue lending.

Reverse Repos (receivings from real repurchase agreements)

Each under the category "Other subheadings" in the blocks "Lending to MFIs in EU member countries", " Lending to non-MFIs in EU member countries "," lending to non-EU banks "," lending to non-EU banks in non-EU countries ".

Overdue Lending

Each under the category "Other subheadings" in the blocks "Lending to MFIs in EU member countries", " Lending to non-MFIs in EU member countries "," lending to non-EU banks "," lending to non-EU banks in non-EU countries ".

deposits of international organizations with the types of deposits

Daily Due Inlays

With agreed Binding deadline

to 1 year

over 1 year to 2 years

over 2 years

Notice period

to 3 months

over 3 months to 1 year

over 1 year to 2 years

over 2 years

Repos.

All Lending Or Lending Deposits shall be classified according to the double-digit ISO country code of the host country of the counterparty and after the three-digit ISO currency code. "

23. Entry into force:

The Novellation arrangements according to Z 1, Z 6 to 10, Z 12 to 17, and Z 21 and 22 will enter into force on 1.4.2016 and will be applied for the first time to reports on the reporting date 30.4.2016.

The Novellation arrangements according to Z 2 and 3 as well as Z 11 and 18 enter into force on 1.9.2016 and are to be applied for the first time to reports on the reporting date of 30.9.2016.

The Novellation arrangements according to Z 4 and 19 enter into force on 1.9.2016; notifications pursuant to section 3.2 of the registration regulation ZABIL 1/2013 in the main version are to be reimbursed for the last time at the reporting date 31.8.2016.

The Novellation arrangements according to Z 5 and 20 enter into force on 1.1.2017; notifications pursuant to section 3.3 of the Reporting Ordinance ZABIL 1/2013 in the main version are last for the reporting tichday 31.12.2016 .

Novotny Ittner