Amendment To The Fma Fee Regulation

Original Language Title: Änderung der FMA-Gebührenverordnung

Read the untranslated law here: https://www.global-regulation.com/law/austria/2995737/nderung-der-fma-gebhrenverordnung-.html

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486th regulation of the financial market authority (FMA), modifies the FMA fee regulation

On the basis of § 19 paragraph 10 of the financial market Authority Act - FMABG, Federal Law Gazette I no. 97/2001, as last amended by the Federal Act Federal Law Gazette I no. 184/2013, is prescribed:

The FMA fee regulation FMA FR, Federal Law Gazette II No. 230/2004, as last amended by regulation Federal Law Gazette II No. 225/2013, is amended as follows:

1 part 2 section 2 reads:



"Part 2

Special fees







Accounting group 1 (banking supervision)

Bank intervention and restructuring Act







Euro









I.A. 1.





Grant an exemption from individual content requirements of a recovery plan or a reduced level of detail with regard to the information to be submitted (section 4 paragraph 3 of the Bank intervention and restructuring Act - BIRG, Federal Law Gazette I no. 160/2013)...





500







I.A. 2.





Waiver on create or update a recovery plan (§ 5 ABS. 1 BIRG)...





500







I.A. 3.





Granting an exception by each content request of a settlement plan or a reduced level of detail with respect to the submitted information (§ 11 ABS. 3 BIRG)...





500







I.A. 4.





Waiver of the creation or update of a settlement plan (section 12 paragraph 1 BIRG)...





500







Banking law and CRR (capital requirements regulation - Regulation (EU) No. 575/2013)







Euro









 





A licence for the operation of banking transactions (section 4, paragraph 1, of the law on banking - Banking Act, Federal Law Gazette no 532/1993, as last amended by Federal Law Gazette I no. 184/2013)...





10 000







 





Extension of the concession for the operation of banking transactions (article 4, paragraph 1 and 2 BWG)...





2 000







 





Approval for exceeding the mandate limit for Managing Director in accordance with article 5, paragraph 1 Z 9a BWG...





750







 







Exhibition a notice about not prohibiting the acquisition of a qualifying holding per interested purchaser (section 20a para)  2 BWG)...







750







 





Approval for the merger or Association of credit institutions or in a Member State authorised CRR credit institutions (§ 1a para 1 No. 1 BWG), where at least one of the participating credit institutions or CRR credit institutions is a credit institution pursuant to section 1 para 1 Banking Act (article 21, paragraph 1 Z 1 BWG); Approval for the change of the legal form (article 21, paragraph 1 Z 3 BWG); Approval for the establishment of branch offices in a third country (article 21, paragraph 1 Z 5 BWG); Approval for the Division of credit institutions (article 21, paragraph 1 Z 6 BWG); Approval for the merger or unification with non-banks (article 21, paragraph 1 Z 7 BWG)...





1 250







 





Approval for the reaching, exceeding or falling below the limits of the voting rights or of the capital (§ 21 para 1 Z 2 BWG); Approval for the extension of the subject of the business activities of insurance mediation pursuant to § 137 GewO (article 21, paragraph 1 Z 8 BWG); Approval for the extension of the business item by credit institutions authorised in Austria pursuant to § 21 para 1 Z 9 BWG...





500







 





Approval for the extension of the deadline for submission of the capital preservation plan in accordance with section 24a, para 1 Banking Act...





2 000







 





Approval of the capital preservation plan in accordance with section 24a, paragraph 3 BWG...





3 000







 





Approval for exceeding the mandate limit for supervisory boards pursuant to § 28a paragraph 5 Z 5 BWG...





750







 





Permit the formation of a credit institutions network (article 30a par. 3 Banking Act)...





3 000







 





Granting the exemption of group affiliated credit institutions and investment firms pursuant to article 7 of the Regulation (EU) No. 575/2013 on supervision requirements for credit institutions and investment firms and for amending the Regulation (EU) No. 646/2012, OJ No. L 176 of the 27.06.2013, p. 1, Institute-specific level (§ 30 BWG b)...





3 000







 





Granting the exemption of group affiliated credit institutions and investment firms and credit institutions and investment firms who belong to institutional security systems, in accordance with article 8 of the Regulation (EU) No. 575/2013 and the monitoring as liquidity Group (section 30 c BWG)...





3 000







 





Noting that a given Z 2 BWG pursuant to § 21 para 1 Banking Act or § 103e permit the determination of the tax base for the credit risk according to article 107 paragraph 1 of the Regulation (EU) No. 575/2013 according to the internal ratings-based approach in accordance with article 143 paragraph 1 of the Regulation (EU) No. 575/2013 is equivalent to (article 103q Z 2 BWG)...





3 000







 





Granting of the derogation from the application of the regulatory requirements on the parent institution in accordance with article 7 paragraph 3 of the Regulation (EU) No. 575/2013...





3 000







 





Approval for the exemption from the application of liquidity requirements on an individual basis in accordance with article 8 para 3 in conjunction with article 8 paragraph 1 of the Regulation (EU) No. 575/2013 (cross-border)...





7 000







 





Approval of the joint application of the criteria of part 3, title II, Chapter 3, section 6 of the Regulation (EU) No. 575 / 2013 (internal ratings-based approach, IRB approach) through a CRR parent institution and its subsidiaries pursuant to article 20 paragraph 6 of Regulation (EU) No. 575/2013...





12 000







 





Approval of the joint application of the criteria of articles 321 and 322 of Regulation (EU) No. 575/2013 (advanced measurement approach) by mother and daughters in accordance with article 20 para. 6 of the Regulation (EU) No. 575/2013...





18 000







 





Permit the return to a less complex approach for operational risk in accordance with article 313 para 3 lit. (b) of Regulation (EU) No. 575/2013...





2 000







 





Permit the use of an alternative relevant indicator for the business segments "Retail business" and "Corporate" (art. 312 para 1 of the Regulation (EU) No. 575/2013)...





5 500







 





Approval for the exemption from the application of the requirements at the level of the aggregate liquidity subgroup in accordance with article 8 paragraph 5 of the Regulation (EU) No. 575/2013...





2 000







 





Permit the incorporation of subsidiary in the calculation of the regulatory requirements by parent institutions on an individual basis in accordance with article 9 paragraph 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the exception of the central body on an individual basis by the requirements laid down in parts 2 to 8 of the Regulation (EU) No. 575/2013 in accordance with article 10 paragraph 2 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the exemption from the application of capital requirements on a consolidated basis for value paper companies in accordance with article 15 paragraph 1 of the Regulation (EU) No. 575/2013...





2 000







 





Authorization to the proportional consolidation referred to in article 18 paragraph 2 of the Regulation (EU) No. 575/2013...





3 000








 





Permission for the non-incorporation of companies included in the consolidation pursuant to article 19 paragraph 2 of the Regulation (EU) No. 575/2013...





3 000







 





Approval for the classification of instruments as a hard core capital pursuant to article 26 (3) of Regulation (EU) No. 575/2013...





2 000







 





Approval for the classification of instruments drawn in case of emergency as hard core capital pursuant to article 31 paragraph 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for reducing the deductions of assets from pension funds with a guarantee in accordance with article 41 paragraph 1 lit. (b) of Regulation (EU) No. 575/2013...





1 500







 





Approval for the exemption from deduction in the case of consolidation or additional supervision in accordance with article 49 paragraph 1 of the Regulation (EU) No. 575/2013...





3 000







 





Approval for the exemption from deduction in the case of institutional security systems in accordance with article 49 paragraph 3 of Regulation (EU) No. 575/2013...





2 000







 





Approval for the classification of instruments as instruments of hard core capital, of additional core capital and supplementary capital in accordance with article 73 para 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the conservative estimate of the risk position of capital instruments included in indexes in accordance with article 76 para. 2 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for actions referred to in article 77 in conjunction with article 78 of the Regulation (EU) No. 575/2013...





2 000







 





Permit for the temporary exception by the deduction of own funds in the event of a financial support action for the rehabilitation and rescue a company in accordance with article 79 paragraph 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the placement of a qualified instrument of a special purpose company as an equity instrument in accordance with article 83 para 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the exception of a parent financial holding company, the application of the rules to minority shareholdings pursuant to art. 84 para 5 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the zero weighting of risk positions in the standardised approach to credit risk within a group of credit institutions in accordance with article 113 paragraph 6 of Regulation (EU) No. 575/2013...





2 000







 





Approval for the zero weighting of risk positions in the credit risk standard approach within an institutional scheme in accordance with article 113 paragraph 7 of the Regulation (EU) No. 575/2013...





3 000







 





Permit the use of internal models for the calculation of the fully adjusted value of risk position (article 221 section 1 of the Regulation (EU) No. 575/2013); as well as Lombard business (article 221 section 2 of Regulation (EU) No. 575/2013)...





5 500







 





Permit the use of own estimates of collateral and claims (article 225 § 1 of the Regulation (EU) No. 575/2013)...





5 500







 





Permit the calculation of risk-weighted amounts of the position on the basis of the internal ratings-based approach (IRB approach) in accordance with article 143 paragraph 1 of the Regulation (EU) No. 575/2013...





6 000







 





Permit substantial change in the article 143 paragraph 1 Regulation (EU) No. 575/2013 approved on internal reviews-based approach or in its application (article 143 (3) of the EU Regulation No. 575/2013)...





4 000







 





Approval of the transfer from the internal ratings-based approach in accordance with part 3, title II, Chapter 3 of the Regulation (EU) No. 575/2013 on the standardised approach to credit risk according to part 3, title II, Chapter 2 of Regulation (EU) No. 575/2013 (art. 149 par. 1 lit. b of Regulation (EU) No. 575/2013)...





2 000







 





Permit the termination of the use of own estimates of the loss ratio and the conversion factors in accordance with article 151 paragraph 9 of Regulation (EU) No. 575/2013 (article 149 para 2 lit. b of Regulation (EU) No. 575/2013)...





2 000







 





Permit for a permanent part of application of the standard approach in accordance with article 150 para 1 of subpara. 2 of the Regulation (EU) No. 575/2013...





3 000







 





Approval for the calculation of risk-weighted amounts of position for the credit risk according to the approach under article 155 para. 3 in accordance with article 151 paragraph 4 of Regulation (EU) No. 575/2013...





2 000







 





Approval for the calculation of risk-weighted amounts of position for the credit risk according to the approach under article 155 para 4 in accordance with article 151 paragraph 4 of Regulation (EU) No. 575/2013...





4 000







 





Approval for the exemption from the calculation and recognition of risk-weighted position amounts for dilution risk in accordance with article 157 § 5 of the Regulation (EU) No. 575/2013...





2 000







 





Permit the recognition of a security without safety performance by adjusting the probability of default (PD) or of the loss rate of default (LGD) in accordance with article 161 (3) of Regulation (EU) No. 575 / 2013. ………





2 000







 





Approval of the recognition of an unfunded to the adequacy of an individual exposure or a pool of risk positions by adjusting PD or LGD estimates in accordance with article 164 para 2 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the use of physical collateral in the approach based on internal assessments as security pursuant to article 199 para. 6 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for an originator, significant credit risk as transferred to consider (traditional securitizations), in accordance with article 243 para. 4 of Regulation (EU) No. 575/2013...





4 000







 





Approval for an originator, significant credit risk as transferred to consider (synthetic securitisation), in accordance with article 244 paragraph 4 of Regulation (EU) No. 575/2013...





4 000







 





Approval for the determination of the conversion factor for securitizations with early redemption clause (mass market) in accordance with article 256 paragraph 7 of the Regulation (EU) No. 575/2013...





4 000







 





Approval to use the supervisory formula method for institutions that are not originators, in accordance with article 259, paragraph 1 lit. (b) of Regulation (EU) No. 575/2013...





4 000







 





Permit the use of the internal assessment approach in accordance with article 259 paragraph 1 lit. c of the Regulation (EU) No. 575/2013...





4 000







 






Permit the calculation of the risk weight of a unbeurteilten position in a collateralized money market paper (ABCP programme) in accordance with article 259 paragraph 1 lit. e of Regulation (EU) No. 575/2013 (EU)...





2 000







 





Authorization for return to other methods for an Institute which was permitted to use the internal assessment approach, in accordance with article 259, paragraph 5 lit. (b) of Regulation (EU) No. 575/2013...





4 000







 





Permit for use of simplified supervisory formula method in securitisations (mass market) in accordance with article 262 para 2 of subpara. 2 of the Regulation (EU) No. 575/2013...





4 000







 





Permit for the temporary alternative method for the calculation of risk-weighted amounts of position for the exposures securitised in the context of liquidity facilities in accordance with article 263 para. 2 of the Regulation (EU) No. 575/2013...





2 000







 





Approval of an internal model-based method (IMM) for the calculation of the risk position value in accordance with article 283 paragraph 1 of the Regulation (EU) No. 575/2013)...





6 000







 





Permit the termination of the use of article 283 § 1 and 2 of Regulation (EU) No. 575/2013 approved IMM pursuant to article 283 para 5 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the alternative treatment of trading risk positions and contributions to the default Fund of a central counterparty (ZGP) in accordance with article 311 para 2 of subpara. 2 of the Regulation (EU) No. 575/2013...





4 000







 





Permit the calculation of the minimum capital requirement for operational risk under the advanced approach according to part 3, title III, Chapter 4 of Regulation (EU) No. 575/2013 by a credit institution in accordance with article 312 paragraph 2 of Regulation (EU) No. 575/2013...





12 000







 





Approval of significant changes in the article 312 paragraph 2 of Regulation (EU) No. 575/2013 approved advanced approach in accordance with article 312 para 2 of subpara. 2 of the Regulation (EU) No. 575/2013...





4 000







 





Approval for the modified calculation of the basic indicator approach under article 315 (3) of Regulation (EU) No. 575/2013...





4 000







 





Approval for the calculation of the standard approach in accordance with article 317 modified paragraph 4, subpara. 2 of the Regulation (EU) No. 575/2013...





4 000







 





Approval of the offsetting of positions within the Group of institutions on a consolidated basis in accordance with article 325 paragraph 2 of Regulation (EU) No. 575/2013...





4 000







 





Approval for the separate calculation of the Delta factor within the framework of options and warrants in accordance with Article 329 paragraph 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the use of sensitivity models relating to interest rate risk derivatives pursuant to article 331 para 1 of the Regulation (EU) No. 575/2013...





2 000







 





Permit the exclusion of certain positions when calculating the net open foreign exchange positions in accordance with article 352 para. 2 of the Regulation (EU) No. 575/2013, as well as any changes in the conditions for their exclusion...





2 000







 





Approval of zero weighting in perfectly positively correlated currencies in accordance with article 354 para. 6 of the Regulation (EU) No. 575/2013...





4 000







 





Permit the calculation of capital requirements for risk categories using an internal model in accordance with article 363 para. 1 of the Regulation (EU) No. 575/2013....





6 000







 





Approval of significant changes in the article 363 para. 1 of the Regulation (EU) No. 575/2013 approved internal model in accordance with article 363 para. 3 of the Regulation (EU) No. 575/2013...





4 000







 





Approval for the calculation of the own funds requirement for risk in connection with the adjustment of the credit valuation (CVA risk) for the non IMM netting sets in accordance with art. 383 paragraph 4 of Regulation (EU) No. 575/2013...





4 000







 





Approval for the alternative calculation of the own funds requirement for CVA risk according to article 385 of the Regulation (EU) No. 575/2013...





2 000







 





Approval of exceeding the large credit limit under Article 395 paragraph 1 in accordance with article 396 para 1 of subpara. 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for exceeding the upper limit of 100% of the own funds of the Institute in accordance with article 396 para 1 of subpara. 2 of the Regulation (EU) No. 575/2013...





2 000







 





Permit for taking into account the effects of financial collateral on the calculation of the risk position value for the purposes of Article 395 paragraph 1 in accordance with article 401 para. 2 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the less frequent messages of liquidity positions in accordance with art. 414 of Regulation (EU) No. 575/2013...





2 000







 





Approval for the appointment of a lower drain percentage in accordance with article 422 paragraph 8 or 9 of Regulation (EU) No. 575/2013...





3 000







 





Approval for the exemption from the scheme for reducing the inflows to 75% of the cash outflows, according to article 425 par. 1 of the Regulation (EU) No. 575/2013...





2 000







 





Approval for the appointment of higher inflows for credit and liquidity facilities pursuant to article 425 par. 4 and 5 of the Regulation (EU) No. 575/2013...





3 000







 





Approval for the calculation of the shipping debt ratio at the end of the quarter in accordance with Article 499 (3) of Regulation (EU) No. 575/2013...





2 000







 





Approval for alternative compliance with the capital requirements in the framework of the Basel I bound in accordance with article 500 (2) and 3 of Regulation (EU) No. 575/2013...





3 000







 





Approval for the exemption from the requirements according to article 500 par. 1 lit. b capital requirements within the framework of the Basel I bound in accordance with article 500 para 5 of the Regulation (EU) No. 575/2013...





3 000







Building society law







Euro









 





Permit the trust and acceptance of deposits (section 6, paragraph 1, of the building societies Act - BSpG, BGBl. No. 532/1993 article III, as last amended by Federal Law Gazette I no. 184/2013)...





500







 





Approval of the change of the business plan of a building society and the policies for the home savings business (§ 7 para 1 BSpG)...





500







 





Approval of the stock transfer (§ 13 para 2 BSpG)...





1 250







Mortgage Bank Act







Euro










I.D.. 1.





Approval of the amendment of the statutes (§ 1 of mortgage banking law, dRGBl. S. 375/1899, as last amended by Federal Law Gazette I no. 29/2010)...





210







Pfandbrief Act







Euro









I.E. 1.





Permission of the management of special registers (article 3 para 2 of the Pfandbrief law, dRGBl. I S. 492/1927, last amended by Federal Law Gazette I no. 29/2010)...





210







Payment services act





 







I.F. 1.





A licence for the provision of payment services (§ 5 para 1 in conjunction with 7 para 3 of the payment Services Act - ZaDiG, Federal Law Gazette I no. 66/2009, last amended by Federal Law Gazette I no. 184/2013)...





8 000







I.F. 2.





Extension of the concession for the provision of payment services (§ 5 ABS.)  1 in conjunction with § 7 para 3 ZaDiG)...





1 750







I.F. 3.





Exhibition a notice about not prohibiting the acquisition of a qualifying holding per interested buyers (§ 11 ABS. 2 ZaDiG in conjunction with section 20a para 2 BWG)...





500







I.F. 4.





Approval for the change of the legal form; Approval for the cleavage of payment institutions; Approval for the merger or unification of payment institutions or payment institutions with other companies (§ 11 ABS. 2 ZaDiG in conjunction with § 21 para 1a to 3 BWG)...





900







I.F. 5.





Permit a change of method in accordance with article 16, paragraph 1 ZaDiG to the calculation of own funds (§ 16 ABS. 3 ZaDiG)...





500







E-money law 2010







Euro









I.G.. 1.





A licence to issue E money (section 3 para 1 in conjunction with § 4 para 4 of the E-money law 2010, Federal Law Gazette I no. 107/2010, as last amended by Federal Law Gazette I no. 184/2013)...





9 000







I.G.. 2.





Extension of the concession of an E money institution for the provision of payment services (section 3 para 1 in conjunction with § 4 para 4 E-money law 2010)...





1 750







I.G.. 3.





Exhibition a notice about not prohibiting the acquisition of a qualifying holding per interested buyers (§ 8 ABS. 1 E-money law in conjunction with section 20a para 2 BWG 2010)...





500







I.G.. 4.





Approval of the change of the legal form; Approval of Division of E money institutions; Approval of the merger or unification of E money institutions or by electronic money institutions with other companies (§ 8 para 4 Bspg 2010 in conjunction with § 21 para 1a to 3 BWG)...





900







I.G.. 5.





Permit a change of method in accordance with article 16, paragraph 1 ZaDiG to the calculation of own funds (§ 11 ABS. 3 Z 1 E-money Act 2010 in conjunction with § 16 para 3 and 4 ZaDiG)...





500







I.G.. 6.





Permit a determination of the own funds requirement for the issuance of E-money by estimate (§ 11 par. 4 E-money law 2010)...





500







Accounting group 2 (insurance supervision)





 







Insurance supervision law







Euro









II.A. 1.





First a licence for the operation of the insurance (§ 4 ABS. 1 of the insurance supervision Act - VAG, BGBl. No. 569/1978, as last amended by Federal Law Gazette I no. 184/2013)





 







a)





on a small Versicherungsverein auf Gegenseitigkeit within the meaning of § 62 VAG





250







b)





to a different insurance company...





10 000







II.A. 2.





Order a licence for one or more new insurance branches (§ 4 ABS. 1 VAG)





 







a)





on a small Versicherungsverein auf Gegenseitigkeit within the meaning of § 62 VAG





150







b)





to a different insurance company...





3 000







II.A. 3.





Extension of the concession for the operation of the insurance (§ 4 ABS. 2 VAG)





 







a)





a small Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company within an insurance branch





2 000







II.A. 4.





Approval of the amendment of the statutes (§ 10 para 1 VAG)





 







a)





a small Insurance Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





500







II.A. 5.





Exhibition a notice about not prohibiting the acquisition of a qualifying holding per interested buyers (§ 11 c para 5 VAG)...





750







II.A. 6.





Approval of the stock transmission and universal (section 13a, paragraph 1 VAG)





 







a)





a small Insurance Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





1 250







II.A. 7.





Approval of outsourcing contracts (section 17a, paragraph 1 VAG)





 







a)





a small Insurance Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





1 250







II.A. 8.





Approval of the application see the requirement of audit (article 17 b (3) VAG)...





420







II.A. 9.





Authorization of use not yet declared amounts to cover losses (§ 18 par. 5 VAG)...





280







II.A. 10.





Approval of the distribution increase the aggregate policy reserves for several years (§ 19 para 3 VAG)...





280







II.A. 11.





Exemption from establishing a Foundation Fund (§ 34 paragraph 3 VAG)...





 







a)





for a small Versicherungsverein auf Gegenseitigkeit within the meaning of § 62 VAG





50







b)





for a different insurance company...





280







II.A. 12.





Exemption from the requirement of the security reserve (§ 41 para 2 VAG)





 







a)





for a small Versicherungsverein auf Gegenseitigkeit within the meaning of § 62 VAG





50







b)





for a different insurance company...





280







II.A. 13.





Approval of the resolution (§ 56 para 3 VAG)





 







a)





a small Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





420







II.A. 14.





Approval of the merger (article 59 paragraph 3 VAG)





 







a)





a small Insurance Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





1 250







II.A. 15.






Approval of conversion of the Association mutual into a joint stock company (§ 61 para 4 VAG)...





1 250







II.A. 16.





Approval of the introduction of an insurance Association mutual in a stock Corporation (sec. 61a para 4 VAG)...





1 250







II.A. 17.





Approval of conversion of an insurance Association mutual into a private Foundation (section 61e para 2 VAG)...





1 250







II.A. 18.





Approval amount moderate limitation of risk assumption (§ 64 VAG)





50







II.A. 19.





Consent to the provision of credit (§ 68 para 4 VAG)...





50







II.A. 20.





Approval of adding hidden reserves to own resources (article 73 (b) para 5 VAG)...





500







II.A. 21.





Approval of the additional parts of the unpaid share capital to own resources (article 73 b 8 VAG)...





500







II.A. 22.





Approval of the early redemption of capital with a fixed maturity (section 73 c paragraph 5 VAG)...





280







II.A. 23.





Approval of the early redemption of capital without fixed term (section 73 c para 6 VAG)...





280







II.A. 24.





Approval of assignment procedures of own resources (section 73e subsection 1 VAG)...





280







II.A. 25.





Permission changing capital assets re-allocating (section 73e subsection 4 VAG)...





500







II.A. 26.





Permit the use of other assets covering the technical provisions or of exceeding the VAG adopted in pursuant to article 78, paragraph 3 regulation set limits (section 78, paragraph 2 and paragraph 4 VAG)





 







a)





a small Insurance Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





500







II.A. 27.





Approval of exceptions to the localisation of the assets covering the technical provisions in domestic or in another Contracting State (Section 79a para 1 VAG)...





 







a)





a small Insurance Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





500







II.A. 28.





Approval of a different financial year (§ 81 para 5 VAG)...





280







II.A. 29.





Approval of the renunciation of the inclusion of a company in the supplementary supervision (§ 86 para 2 VAG)...





280







II.A. 30.





Approval of the Solvabilitätsplanes or of the funding plan (article 104 para 1 and 2 VAG)





 







a)





a small Insurance Association on reciprocity in the sense of § 62 VAG





50







b)





an other insurance company...





500







Accounting group 3 (securities)





 







Stock Exchange Act 1989







Euro









III.A. 1.





Granting a concession for the management and administration of a regulated market or other stock-exchange listing (§ 2 para 2 of the Exchange Act - Austrian Stock Exchange Act, Federal Law Gazette No 555/1989, as last amended by Federal Law Gazette I no. 184/2013)...





15 000







III.A. 2.





Approval of the merger (§ 7 para 1 Z 1 BörseG)...





1 250







III.A. 3.





Approval for the reaching, exceeding or falling below the limits of the voting rights or of the capital (§ 7 para 1 Z 2 BörseG).





1 250







III.A. 4.





Approval for the establishment of branch offices in a third country (article 7, paragraph 1 Z 3 BörseG)...





1 250







III.A. 5.





Approval of the terms and conditions of a public company (§ 13 para 1 BörseG)...





3 500







III.A. 6.





Approval of amendment of the terms and conditions of a public company (§ 13 para 1 BörseG)...





800







III.A. 7.





Order form for the Börsesensal (§ 32 para 2 BörseG).





500







Securities supervision Act 2007







Euro









III.B. 1.





A licence for the provision of investment services pursuant to section 3 para 2 of the securities supervision Act 2007 - WAG 2007, Federal Law Gazette I no. 60, as last amended by Federal Law Gazette I no. 184/2013, no section 3 para 2 No. 4 WAG 2007....





3 000







III.B. 2.





A licence for the provision of investment services pursuant to section 3 para 2 WAG 2007 without section 3 para 2 No. 2 and 4 WAG 2007...





2 000







III.B. 3.





Extension of the concession for the provision of investment services except for the concession pursuant to section 3 para 2 WAG 2007 Z 4...





1 000







III.B. 4.





A licence for the provision of investment services pursuant to section 3 para 2 WAG 2007 Z 4...





10 000







III.B. 5.





Approval for the merger or unification of investment firms and investment service providers; Approval for the change of the legal form; Approval of the Division of investment firms and investment service providers; Approval for the merger or association with, not after the WAG 2007 licensed companies; Approval for the establishment of branch offices in a third country (article 6 WAG 2007, § 21 para 1 Banking Act)...





1 000







III.B. 6.





Exhibition a notice about not prohibiting the acquisition of a qualifying holding per interested buyers (§ 11a paragraph)  2 WAG 2007)...





500







Investment Fund Law 2011







Euro









III.C. 1.





Issuing of an authorisation for the provision of activities a management company (§ 6 paragraph 2 in conjunction with § 5 para 1 and 2 of the investment fund law 2011 - InvFG 2011, Federal Law Gazette I no. 77, as last amended by Federal Law Gazette I no. 184/2013)...





6 000







III.C. 2.





Extension of the concession for the provision of activities a management company (§ 5 paragraph 2 No. 2 to 4 InvFG 2011)...





1 500







III.C. 3.





Approval of the order of the Custodian Bank (§ 41 para 1 and § 50 para. 2 Z 3 InvFG 2011)...





220







III.C. 4.





Approval of the change of the Custodian Bank (§ 61 para 2 InvFG 2011)...





220







III.C. 5.





Approval of the Fund regulations (§ 50 para 2 Nos. 1 and § 53 para 2 InvFG 2011)...





220







III.C. 6.





Permit the modification of the regulations of the Fund (section 53 para 4 InvFG 2011)...





220







III.C. 7.






Approval of management of UCITS by the applicant management company (§ 50 para. 2 Z 2 InvFG 2011)...





220







III.C. 8.





Approval of termination of management of UCITS (article 60, paragraph 1 InvFG 2011)...





220







III.C. 9.





Approval of the conferral of management of UCITS to another management company (article 61, paragraph 1 InvFG 2011)...





220







III.C. 10.





Approval of the conferral of management of UCITS by the custodian to another management company (§ 62 para 2 InvFG 2011)...





220







III.C. 11.





Approval of secession (article 65, paragraph 1 InvFG 2011)...





220







III.C. 12.





Approval of the merger of transmitting UCITS authorised in Austria (article 115, paragraph 1 InvFG 2011)...





1 250







III.C. 13.





Permit termination management of UCITS through transfer or merger of the non-Fund assets to (section 127, para 3 InvFG 2011)...





220







III.C. 14.





Approval of master-feeder structure (article 95 para. 1 InvFG 2011)...





1 250







III.C. 15.





Permit the investment of the assets of a feeder UCITS in units of another master UCITS in the event of a settlement of the master UCITS (article 101, paragraph 1 Z 1 InvFG 2011)...





1 250







III.C. 16.





Permit the conversion of a feeder UCITS into a UCITS which is not a feeder UCITS in the event of a settlement of the master UCITS (article 101, paragraph 1 Z 2 InvFG 2011)...





220







III.C. 17.





Approval of the fate of a feeder UCITS in the master UCITS in the event of a merger or Division of the master UCITS or the whereabouts of the feeder UCITS in other UCITS, that comes out of the merger or Division of the master UCITS (article 104, paragraph 1 Z 1 InvFG 2011)...





220







III.C. 18.





Approval of the change of a feeder UCITS in a different master UCITS in the event of a merger or Division of the master UCITS (article 104, paragraph 1 Z 2 InvFG 2011)...





1 250







III.C. 19.





Permit the conversion of a feeder UCITS into a UCITS which is not a feeder UCITS in the event of a merger or conversion of the master UCITS (article 104, paragraph 1 Z 3 InvFG 2011)...





220







III.C. 20.





Notification of transmission of the documents to the competent authorities of Member States in accordance with article 139 paragraph 2 InvFG 2011...





200







III.C. 21.





An attestation according to § 95 para 5 InvFG 2011...





200







Real estate investment Fund Act







Euro









III.D. 1.





Approval of the merger of the assets of real estate funds (§ 3 par. 2 of the real estate investment Fund Act ImmoInvFG, Federal Law Gazette I no. 80/2003, as last amended by Federal Law Gazette I no. 184/2013)...





220







III.D. 2.





Permit the termination of Administration (§ 15 ImmoInvFG)...





220







III.D. 3.





Permit the transfer of the management of a real estate fund to another capital investment company (§ 16 ABS. 2 ImmoInvFG)...





220







III.D. 4.





Approval of the Fund regulations (article 34, paragraph 1 ImmoInvFG)...





330







III.D. 5.





Permit the modification of the regulations of the Fund (section 34 paragraph 3 ImmoInvFG)...





220







III.D. 6.





Approval of the order and the change of the Custodian Bank (§ 35 par. 1 ImmoInvFG)...





330









Alternative investment funds Manager law









Euro









III.E. 1.





Editing the registry of an alternative investment fund managers (AIFM) (article 1 par. 5 Z 1 of alternative investment funds Manager law - AIFMG, Federal Law Gazette I no. 135/2013)...





2 500







III.E. 2.





Editing the registry from the second alternative investment funds (AIF) for each AIF (article 1, par. 5 Z 2 AIFMG)...





200







III.E. 3.





Editing the display of a (subsequent) edition of an AIF within the meaning of § 1 5 Z 5 AIFMG...





200







III.E. 4.





Granting of a licence as an AIFM (§ 6 para 1 in conjunction with § 4 para 1 AIFMG)...





6 000







III.E. 5.





Extension of the concession for the provision of services pursuant to § 4 para 4 AIFMG...





750







III.E. 6.





Exhibition a notice on restrictions or changes the licence (section 8 subsection 2 AIFMG)...





750







III.E. 7.





Permit the transfer of the management of AIF pursuant to § 9 para 3 AIFMG...





220







III.E. 8.





Granting of the transfer of functions in accordance with article 18, paragraph 1 Z 4 AIFMG...





150







III.E. 9.





Approval of sale of shares by EU AIF in Austria as home Member State in accordance with article 29, para. 3 AIFMG...





220







III.E. 10.





Notification regarding the despatch of display materials to competent authorities of Member States according to § 30 para 3, § 32 para 4, § 36 para 4 or § 44 par. 4 AIFMG...





150







III.E. 11.





Editing the display in accordance with § 35 par. 2 AIFMG...





400







III.E. 12.





Approval of distribution of AIF in real estate or a managed Futures Fund AIF to private customers in accordance with article 48 paragraph 5 or 7 AIFMG...





220







III.E. 14.





Approval for the below of the own resources referred to in article 14 paragraph 4 of no. 231/2013 to complement the policy 2011/61/EC with regard to exceptions, conditions for the pursuit of activities, depositaries, leverage, transparency and oversight, OJ delegated Regulation (EU) No. L 83 of the 22.03.2013, S. 1... ………………………………………...……..





300







Company employees and self-employed persons Pension Act







Euro









III.F. 1.





Approval of the investment provisions (§ 29 par. 1 of the operational staff and self-employed persons Pension Act - BMSVG, Federal Law Gazette I no 100/2002, as last amended by the Federal Act Federal Law Gazette I no. 184/2013)...





330







III.F. 2.





Approval of the change of the investment provisions (§ 29 para 1 BMSVG)





220







III.F. 3.





Permit available via a dedicated as a permanent investment securities (article 31, paragraph 1 Z 3a BMSVG)...





300







III.F. 4.





Approval of the order and the change of the Custodian Bank (§ 32 para 1 BMSVG)...





330







III.F. 5.






Permit the transmission of another BV Fund assets associated with a collective investment undertaking (§ 41 para 1 BMSVG)...





300







EMIR (European market infrastructure regulation - Regulation (EU) No. 648/2012)







Euro









III.G. 1.





Verification of the exemption for risk mitigation techniques for group-internal transactions in accordance with article 11 paragraph 7 of the Regulation (EU) No. 648/2012 on OTC derivatives, central counterparties and trade repositories OJ No. L 201 of the 27.07.2012, p. 1.





1 500







III.G. 2.





Authorisation for a central counterparty in accordance with article 14 of Regulation (EU) No. 648 / 2012. ………………………...………………………….





10 000







III.G. 3.





Approval of extension of services or activities including the approval for the clearing of other OTC derivative categories in accordance with article 15 of the Regulation (EU) No. 648/2012...





1 500







III.G. 4.





Assessment the message of a change of shareholders or acquisition of a qualifying holding pursuant to article 31 paragraph 2 to 7 of the Regulation (EU) No. 648/2012...





1 500







III.G. 5.





Permit the outsourcing of important, related to the risk management activities in accordance with article 35 of Regulation (EU) No. 648/2012...





1 000







III.G. 6.





Validation of significant changes of the models and parameters in accordance with article 49 paragraph 1 of the Regulation (EU) No. 648/2012...





2 500







III.G. 7.





Approval of an interoperability agreement pursuant to article 54 paragraph 1 of the Regulation (EU) No. 648/2012...





2 500







Approval of prospectuses in accordance with capital market and Stock Exchange Act 1989







Euro









III.H. 1.





Approval of a supplement to the prospectus (§ 6 para 1 of the capital market law - KMG, BGBl. 625/1991, as last amended by Federal Law Gazette I no. 184/2013, § 74 BörseG)...





500







III.H. 2.





Permit the non-inclusion of certain information in a prospectus (art. 7 par. 6 KMG, § 74 BörseG)...





100







III.H. 3.





Approval procedures (Article 8a, paragraph 1, KMG, § 74 BörseG)...





2 500







Accounting group 4 (pension company supervision)





 







Pension Fund Act







Euro









IV.A. 1.





A licence to operate of a pension fund (§ 8 (1) of the Pension Fund Act - PKG, BGBl. No. 281/1990, as last amended by Federal Law Gazette I no. 184/2013...)





4 000







IV.A. 2.





Approval of the business plan and the change of the business plan of a pension fund (section 20 para 4 PKG)...





500







IV.A. 3.





Permit available via a dedicated as a permanent investment securities (article 23, paragraph 1 Z 3a PCG)...





300







IV.A. 4.





Approval for the dissolution, merger or conversion of a pension fund (§ 40 PCG)...





1 250 "





10 the following paragraph is added to § 2. 6:

"(10) part 2 section 2 in the version of regulation BGBl. II Nr 486/2013 occurs on 1 January 2014 into force."

Ettl Kumpf Müller