Amendment To The Fma Fee Regulation

Original Language Title: Änderung der FMA-Gebührenverordnung

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486. Regulation of the Financial Markets Authority (FMA) amending the FMA Fees Regulation

Pursuant to Section 19 (10) of the Financial Market Supervisory Authority Act-FMABG, BGBl. I n ° 97/2001, as last amended by the Federal Law BGBl. I No 184/2013, shall be arranged:

The FMA Fee Ordinance-FMA-GebV, BGBl. II No 230/2004, as last amended by the BGBl Regulation. II No 225/2013, shall be amended as follows:

Part 2 Section 2 reads as follows:

" 2. Section

Special charges

Accounting Circle 1 (Banking Supervision)

Banking intervention and restructuring law

Euro

I.A.1.

Approval of an exception to the individual requirements of a refurbishment plan or a reduced level of detail with regard to the information to be submitted (Section 4 (3) of the Banking Intervention and Restructuring Act-BIRG) BGBl. I No 160/2013) ................................

500

I.A.2.

Renunciation of the creation or updating of a refurbelling plan (§ 5 para. 1 BIRG) ..........................................................................................

500

I.A.3.

Approval of an exception to individual content requirements of a settlement plan or a reduced level of detail with regard to the information to be submitted (§ 11 para. 3 BIRG) ........................................

500

I.A.4.

Waiver of the preparation or updating of a settlement plan (§ 12 para. 1 BIRG) ........................................................................................

500

Banking Law and CRR (Capital Requirements Regulation-Regulation (EU) No. 575/2013)

Euro

Granting of the concession for the operation of banking transactions (Section 4 (1) of the Banking Act-BWG, BGBl. No. 532/1993, as last amended by the Federal Law BGBl. I No 184/2013) ........................................................

10 000

Extension of the concession for the operation of banking transactions (§ 4 para. 1 and 2 BWG) ............................................................................................

2 000

Authorisation to exceed the limit of the mandate for directors pursuant to § 5 (1) (9a) of the BWG ........................................................

750

Issuance of a decision on the non-compliance of the acquisition of a qualifying holding per interested acquirer (§ 20a para. 2 BWG) .........

750

Authorization for the merger or association of credit institutions or CRR credit institutions authorised in a Member State (Article 1a (1) (1) of the Federal Elections Act), in which at least one of the credit institutions or CRR credit institutions involved in the credit institution is a Credit institution pursuant to Article 1 (1) of the Federal Elections Act (BWG) (Section 21 (1) (1) of the Federal Elections Act); authorization to change the legal form (Article 21 (1) (3) of the Federal Elections Act); authorization for the establishment of branches in a third country (Article 21 (1) (Z) (BWG)); authorization for the division of Credit institutions (§ 21 para. 1 Z 6 BWG); approval for merger or association with non-banks (§ 21 1 (1) (7) of the BWG) ........................................................................................................................

1 250

Authorization to reach, exceed or fall below the limits of voting rights or capital (Section 21 (1) (2) of the Federal Elections Act); permit for the extension of the business object for the activities of insurance mediation in accordance with § 137 GewO (§ § § 137). 21 (1) (8) of the Federal Elections Act (BWG); authorization for the extension of the business object by credit institutions authorised in Austria pursuant to Article 21 (1) (9) of the Federal Elections Act (BWG) ................................

500

Authorization for the extension of the deadline for the submission of the capital conservation plan in accordance with § 24a para. 1 BWG ........................................................

2 000

Approval of the capital conservation plan according to § 24a para. 3 BWG ....................

3 000

Authorisation to exceed the limit of the mandate of the Supervisory Board pursuant to Section 28a (5) (5) of the Federal Elections Act (BWG) ...........................................................

750

Approval of the formation of a credit institution-association (§ 30a para. 3 BWG) ......

3 000

Approval of the exemption of group members of credit institutions and investment firms in accordance with Article 7 of Regulation (EU) No 575/2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 646/2012, 1. No. 1., at the institute's level (§ 30b BWG) ...................................................

3 000

Approval of the exemption of group members of credit institutions and investment firms and of credit institutions and investment firms belonging to institute-related security systems, in accordance with Article 8 of Regulation (EU) No 575/2013 and of the Supervision as a liquidity group (§ 30c BWG) ......

3 000

Determination that an authorisation to determine the basis of assessment for the credit risk according to Article 107 (1) of Regulation (EU) No 575/2013 based on internal assessments based on Article 107 (1) of the Federal Elections Act (BWG) pursuant to Article 21a (1) of the Federal Elections Act (BWG) Approach in accordance with Art. 143 (1) of Regulation (EU) No 575/2013 (§ 103q Z 2 BWG) ................................................

3 000

Approval of the derogation from the application of the supervisory requirements to the parent institute pursuant to Article 7 (3) of Regulation (EU) No 575/2013 ...........

3 000

Authorization for the exemption from the application of the liquidity requirements on a single basis pursuant to Art. 8 (3) in conjunction with Article 8 (1) of Regulation (EU) No 575/2013 (cross-border) ........................................

7 000

Approval of the common application of the criteria of Part 3, Title II, Chapter 3, Section 6 of Regulation (EU) No 575/2013 (approach based on internal assessments, IRB approach) by a CRR parent institution and its subsidiaries in accordance with Article 20 (6) of Regulation (EU) No 575/2013 ........................................................................................

12 000

Authorisation 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 (6) of Regulation (EU) No 575/2013....

18 000

Authorisation of a return to a less complex approach to operational risk under Article 313 (3) (3). b of Regulation (EU) No 575/2013 ........................................................................................

2 000

Approval of the use of an alternative relevant indicator for the business units "Private customer business" and "Corporate customer business" (Art. Article 312 (1) of Regulation (EU) No 575/2013) ............................................................

5 500

Authorization for the derogation from the application of the requirements at the level of the combined liquidity subgroup pursuant to Article 8 (5) of Regulation (EU) No 575/2013 ..............................................................

2 000

Approval of the inclusion of subsidiaries in the calculation of supervisory requirements by parent institutions on a single basis in accordance with Article 9 (1) of Regulation (EU) No 575/2013 ..........................................................

2 000

Authorization for the exception of the central organisation on a single basis from the requirements laid down in Parts 2 to 8 of Regulation (EU) No 575/2013 in accordance with Article 10 (2) of Regulation (EU) No 575/2013 ................................

2 000

Approval for the exemption from the application of the own resources requirements on a consolidated basis for securities company groups in accordance with Article 15 (1) of Regulation (EU) No 575/2013 ..............................................................

2 000

Authorisation for partial consolidation in accordance with Article 18 (2) of Regulation (EU) No 575/2013 ..............................................................

3 000

Authorisation for the non-inclusion of undertakings in the consolidation pursuant to Article 19 (2) of Regulation (EU) No 575/2013 ................................

3 000

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

2 000

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

2 000

Approval for the reduction of deductions from assets from pension funds with a performance commitment in accordance with Art. 41 (1) (lit). b of Regulation (EU) No 575/2013 ..............................................................................

1 500

Authorization for the exemption from the request for removal in the case of consolidation or supplementary supervision pursuant to Article 49 (1) of Regulation (EU) No 575/2013 ..............................................................

3 000

Authorization for the exemption from the collection requirement in the case of institutional security systems pursuant to Art. 49 (3) of Regulation (EU) No 575/2013 ........................................................................................

2 000

Authorization for the classification of capital instruments as instruments of the hard core capital, the additional core capital or the supplementary capital in accordance with Article 73 (1) of Regulation (EU) No 575/2013 ........................................................

2 000

Appropriation for the conservative estimate of the risk position from capital instruments included in indices pursuant to Article 76 (2) of Regulation (EU) No 575/2013 ........................................................................................

2 000

Authorisation for acts in accordance with Article 77 in conjunction with Article 78 of Regulation (EU) No 575/2013 ..............................................................

2 000

Authorisation for the temporary derogation from the deduction of own resources in the event of a financial support action for the reorganisation and rescue of a company pursuant to Article 79 (1) of Regulation (EU) No 575/2013 ............

2 000

Authorisation for the classification of a qualified instrument of a special purpose vehicle as an instrument of own resources in accordance with Article 83 (1) of Regulation (EU) No 575/2013 ........................................................................................

2 000

Authorisations for the exemption of a parent financial holding company from the application of the rules on minority shareholdings in accordance with Article 84 (5) of Regulation (EU) No 575/2013 ..............................................................

2 000

Authorization for the zero weighting of risk positions in the credit risk standard rate within a credit institution group according to Art. 113 (6) of Regulation (EU) No 575/2013 ..............................................................

2 000

Approval for the zero weighting of risk positions in the credit risk standard rate within an institute-related security system in accordance with Art. 113 (7) of Regulation (EU) No 575/2013 ..............................................................

3 000

Approval of the use of internal models for the calculation of the fully adjusted risk position value (Art. 221 (1) of Regulation (EU) No 575/2013); and Lombards (Art. Article 221 (2) of Regulation (EU) No 575/2013) .......................................................................................

5 500

Approval of the use of own volatility estimates for collateral and receivings (Art. Article 225 (1) of Regulation (EU) No 575/2013)...

5 500

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

6 000

Approval of major changes in the internal evaluation-based approach or in its application, approved in accordance with Article 143 (1) Regulation (EU) No 575/2013. Article 143 (3) of Regulation EU No 575/2013)...

4 000

Approval of the transition from an internal assessment based approach in accordance with Part 3, Title II, Chapter 3 of Regulation (EU) No 575/2013 to the credit risk standard rate referred to in Part 3, Title II, Chapter 2 of Regulation (EU) No 575/2013 (Art. 1 lit. b of Regulation (EU) No 575/2013)...

2 000

Approval of the termination of the use of own estimates of the loss rate and conversion factors referred to in Article 151 (9) of Regulation (EU) No 575/2013 (Art. 2 lit. b of Regulation (EU) No 575/2013) ......

2 000

Authorisation for a permanent partial application of the standard rate referred to in the second subparagraph of Article 150 (1) of Regulation (EU) No 575/2013 ............................

3 000

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

2 000

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

4 000

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

2 000

Approval of the recognition of a collateralisation without security by adjusting the probability of default (PD) or the loss rate in case of failure (LGD) in accordance with Art. 161 (3) of Regulation (EU) No 575/2013 ...........

2 000

Approval of the recognition of a non-security guarantee for the submission of a single risk position or a risk position-pool by adjusting the PD or LGD estimates in accordance with Article 164 (2) of Regulation (EU) No 575/2013 ..............................................................

2 000

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

2 000

Authorisation for an originator to consider a significant credit risk as transferable (traditional securitisation), in accordance with Article 243 (4) of Regulation (EU) No 575/2013 ........................................................................................

4 000

Authorisation for an originator to consider a significant credit risk as transferable (synthetic securitisations), in accordance with Article 244 (4) of Regulation (EU) No 575/2013 ..............................................................................................

4 000

Authorisation to determine the conversion factor for securitisation with early repayment clause (quantity business) pursuant to Article 256 (7) of Regulation (EU) No 575/2013 ..............................................................

4 000

Authorization for the use of the supervisory formula approach for institutions which are not originators, in accordance with Art. 259 (1) lit. b of Regulation (EU) No 575/2013 .......................................................................................

4 000

Approval of the use of the internal design approach in accordance with Art. 259 (1) lit. c of Regulation (EU) No 575/2013 ............................................................

4 000

Approval of the calculation of the risk weight of an undivided position in a secured money market paper programme (ABCP programme) in accordance with Art. 259 (1) (lit). e of Regulation (EU) No 575/2013 (EU) ............................................................

2 000

Authorisation to return to other methods for an institution which has been authorised to use the internal design approach, pursuant to Art. 259 (5) lit. b of Regulation (EU) No 575/2013 ............................................................

4 000

Authorisation to use the simplified supervisory formula approach for securitisation (quantity business) in accordance with Article 262 (2), second subparagraph, of Regulation (EU) No 575/2013 ..............................................................

4 000

Authorisation for the temporary alternative method of calculating risk-weighted position amounts for the securitised exposures within the framework of liquidity facilities in accordance with Article 263 (2) of Regulation (EU) No 575/2013 ...........................................................................

2 000

Approval of the method (IMM) based on an internal model for the calculation of the risk position value according to Art. 283 (1) of Regulation (EU) No 575/2013) ..............................................................................................................

6 000

Authorisation to end the use of the IMM approved in accordance with Article 283 (1) and (2) of Regulation (EU) No 575/2013 in accordance with Article 283 (5) of Regulation (EU) No 575/2013 ............................................................

2 000

Authorisation for the alternative treatment of trade risk positions and contributions to the default fund of a central counterparty (ZGP) in accordance with Article 311 (2), second subparagraph, of Regulation (EU) No 575/2013 ..........................................................

4 000

Approval of the calculation of the minimum resource requirement for the operational risk according to the advanced approach referred to in Part 3, Title III, Chapter 4 of Regulation (EU) No 575/2013 by a credit institution pursuant to Art. 312 (2) of the Regulation (EU) No 575/2013 .......................................................

12 000

Approval of major changes in the advanced approach adopted pursuant to Article 312 (2) of Regulation (EU) No 575/2013 in accordance with Article 312 (2), second subparagraph, of Regulation (EU) No 575/2013 ............................................................

4 000

Authorisation for the modified calculation of the basic indicator approach in accordance with Article 315 (3) of Regulation (EU) No 575/2013 ........................................................

4 000

Authorisation for the modified calculation of the standard rate in accordance with Article 317 (4), second subparagraph, of Regulation (EU) No 575/2013 ..........................................................

4 000

Approval of the allocation of positions within the institute group on a consolidated basis in accordance with Art. 325 (2) of Regulation (EU) No. 575/2013 .....

4 000

Authorization for the autonomous calculation of the delta factor in the context of options and warrants pursuant to Art. 329 (1) of Regulation (EU) No 575/2013 ........................................................................................

2 000

Authorisation for the use of sensitivity models concerning the interest rate risk of derivatives pursuant to Article 331 (1) of Regulation (EU) No 575/2013 ........................................................................................

2 000

Approval of the exclusion of certain positions in the calculation of open net foreign currency positions in accordance with Article 352 (2) of Regulation (EU) No 575/2013 as well as any changes to the conditions for their exclusion .......................................................................................

2 000

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

4 000

Approval of the calculation of the own resources requirements for risk categories by means of an internal model in accordance with Article 363 (1) of Regulation (EU) No 575/2013 .. ........................................................................................

6 000

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

4 000

Approval for the calculation of the own resources requirement for the risk related to the adjustment of the credit score (CVA risk) for the non-IMM netting rates pursuant to Art. 383 (4) of Regulation (EU) No 575/2013 .....................................................................................

4 000

Authorisation for the alternative calculation of the own resources requirement for the CVA risk according to Article 385 of Regulation (EU) No 575/2013...................

2 000

Authorisation to exceed the large credit limit laid down in Article 395 (1) in accordance with Article 396 (1), first subparagraph of Regulation (EU) No 575/2013...

2 000

Authorisation to exceed the limit of 100% in respect of the institution's eligible own resources in accordance with Article 396 (1), second subparagraph, of Regulation (EU) No 575/2013 ..............................................................

2 000

Authorization to take into account the effect of financial collateral on the calculation of the risk position value for the purposes of Art. 395 (1) pursuant to Article 401 (2) of Regulation (EU) No 575/2013 ..................................................

2 000

Authorisation for the less frequent reporting of liquidity positions in accordance with Article 414 of Regulation (EU) No 575/2013 ............................................................

2 000

Authorization for the replacement of a lower outflow percentage pursuant to Art. 422 (8) or (9) of Regulation (EU) No 575/2013 ..............................

3 000

Authorization for the exemption from the scheme for the limitation of inflows to 75% of the cash flows pursuant to Article 425 (1) of Regulation (EU) No 575/2013 ........................................................................................

2 000

Authorisation to apply higher inflows for credit and liquidity facilities in accordance with Articles 425 (4) and (5) of Regulation (EU) No 575/2013 ........................................................................................

3 000

Authorization for the calculation of the debt ratio at the end of the quarter according to Art. 499 (3) of Regulation (EU) No 575/2013 ........................................................

2 000

Authorisation for alternative compliance with own resources requirements within the framework of the Basel I lower limit according to Art. 500 (2) and (3) of Regulation (EU) No 575/2013 ........................................................................................

3 000

Authorization for the exemption from the requirements of Art. 500 (1) (lit). b Own resources requirements under the Basel I lower limit laid down in Article 500 (5) of Regulation (EU) No 575/2013 ........................................................................

3 000

Bausparkassengesetz

Euro

Approval of the faithful acceptance of building savings deposits (Section 6 (1) of the Bausparkassengesetz-BSpG, BGBl. No. 532/1993 Type. III, as last amended by the Federal Law BGBl. I No 184/2013) ..........................................................

500

Approval of the modification of the business plan of a building savings bank and the general conditions for the building savings business (§ 7 para. 1 BSpG) ...............

500

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

1 250

Mortgage Bank Law

Euro

I.D.1.

Approval of the amendment of the Articles of Association (§ 1 of the Mortgage Bank Act, dRGBl. 375/1899, as last amended by the Federal Law of the Federal Republic of Germany (BGBl). I No 29/2010) ........................................................................................

210

Pfandbrief Act

Euro

I.E.1.

Burial of the management of special registers (§ 3 para. 2 of the Pfandbrief Act, dRGBl. 492/1927, as last amended by the Federal Law of the Federal Republic of Germany (BGBl). I No 29/2010) ..........................................................................

210

Payment Services Act

I.F.1.

Granting of the concession for the provision of payment services (§ 5 para. 1 in conjunction with 7 para. 3 of the Payment Services Act-ZaDiG, BGBl. I n ° 66/2009, as last amended by the Federal Law BGBl. I No 184/2013) ..............................................................................................

8 000

I.F.2.

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

1 750

I.F.3.

Exhibition of a decision on the non-refusal of the acquisition of a qualifying holding by an interested acquirer (§ 11 paragraph 2 of the ZaDiG in conjunction with Section 20a (2) of the Federal Elections Act) ........................................................

500

I.F.4.

Authorization for the amendment of the legal form; authorization for the division of payment institutions; authorization for the merger or association of payment institutions or of payment institutions with other companies (§ 11 para. 2 ZaDiG in Connection with § 21 (1a) to (3) BWG) ............................

900

I.F.5.

Approval of a change of method according to § 16 (1) of the ZaDiG for the calculation of own resources (§ 16 para. 3 ZaDiG) ........................................

500

E-Money Act 2010

Euro

I.G.1.

Granting of the concession to issue e-money (Section 3 (1) in conjunction with Section 4 (4) of the E-Money Act 2010, Federal Law Gazette (BGBl)). I n ° 107/2010, as last amended by the Federal Law BGBl. I No 184/2013) ...................................................

9 000

I.G.2.

Extension of the concession of an E-money-Institute for the provision of payment services (§ 3 para. 1 in connection with § 4 paragraph 4 E-Money Act 2010) ....

1 750

I.G.3.

Exhibition of a decision on non-compliance with the acquisition of a qualifying holding for each acquirer of interest (Section 8 (1) of the German Money Act 2010 in conjunction with Section 20a (2) of the Federal Elections Act)...................

500

I.G.4.

Approval of the amendment of the legal form; approval of the division of e-money institutions; approval of the merger or association of electronic money institutions or of electronic money institutions with other companies (Section 8 (4) of the E-Money Act 2010 in conjunction with the with Section 21 (1a) to (3) of the Federal Elections Act.

900

I.G.5.

Approval of a change in the method pursuant to § 16 (1) of the ZaDiG for the calculation of own resources (Section 11 (3) of the E-Money Act 2010 in conjunction with § 16 (3) and (4) of the ZaDiG) ..............................................................

500

I.G.6.

Approval of a determination of the own resources requirement for the issueof e-money on the basis of estimation (§ 11 paragraph 4 of the E-Money Act 2010) ........................

500

Accounting circuit 2 (Insurance supervision)

Insurance Supervision Act

Euro

II.A.1.

Granting of the first concession for the operation of the contract insurance (Section 4 (1) of the Insurance Supervision Act-VAG, BGBl. No 569/1978, as last amended by the Federal Law BGBl. I No 184/2013)

a)

To a small mutual insurance association in the sense of § 62 VAG

250

b)

to another insurance undertaking .............................................................

10 000

II.A.2.

Granting of the consequential concession for one or more new classes of insurance (§ 4 para. 1 VAG)

a)

To a small mutual insurance association in the sense of § 62 VAG

150

b)

to another insurance undertaking .............................................................

3 000

II.A.3.

Extension of the concession to the operation of the contract insurance (§ 4 para. 2 VAG)

a)

A small mutual insurance association within the meaning of § 62 VAG

50

b)

of another insurance undertaking within an insurance branch

2 000

II.A.4.

Approval of the amendment of the Articles of Association (§ 10 para. 1 VAG)

a)

A small insurance company on a reciprocal basis in the sense of § 62 VAG

50

b)

of another insurance undertaking .....................................................

500

II.A.5.

Issuance of a decision on the non-compliance of the acquisition of a qualifying holding per interested acquirer (§ 11c Abs. 5 VAG) ........

750

II.A.6.

Approval of the transfer of the stock and succession (Section 13a (1) of the VAG)

a)

A small insurance company on a reciprocal basis in the sense of § 62 VAG

50

b)

of another insurance undertaking .....................................................

1 250

II.A.7.

Approval of Breakdown Contracts (Section 17a (1) of the VAG)

a)

A small insurance company on a reciprocal basis in the sense of § 62 VAG

50

b)

of another insurance undertaking .....................................................

1 250

II.A.8.

Approval of the application for inspection of the requirement of internal revision (§ 17b para. 3 VAG) ...........................................................................

420

II.A.9.

Approval of the use of undeclared amounts to cover losses (§ 18 para. 5 VAG) .................................................................

280

II.A.10.

Approval of the distribution of the increase in the cover provision for several years (§ 19 para. 3 VAG) ......................................................................

280

II.A.11.

Exemption from the formation of a foundation fund (§ 34 para. 3 VAG) ................

a)

for a small insurance association on reciprocity in the sense of § 62 VAG

50

b)

for another insurance undertaking ............................................................

280

II.A.12.

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

a)

for a small insurance association on reciprocity in the sense of § 62 VAG

50

b)

for another insurance undertaking ............................................................

280

II.A.13.

Approval of the dissolution (§ 56 para. 3 VAG)

a)

A small mutual insurance association within the meaning of § 62 VAG

50

b)

of another insurance undertaking .....................................................

420

II.A.14.

Approval of the merger (§ 59 para. 3 VAG)

a)

A small insurance company on a reciprocal basis in the sense of § 62 VAG

50

b)

of another insurance undertaking .....................................................

1 250

II.A.15.

Approval of the conversion of an insurance association on a reciprocal basis into a joint-stock company (§ 61 paragraph 4 VAG) ................................................

1 250

II.A.16.

Approval of the introduction of a mutual insurance association into a joint-stock company (§ 61a (4) VAG) ...................................................

1 250

II.A.17.

Approval of the conversion of an insurance company on a reciprocal basis into a private foundation (§ 61e para. 2 VAG) ............................................................

1 250

II.A.18.

Approval of the absolute limitation of the carrying of dangerous goods (§ 64 VAG)

50

II.A.19.

Consent to credit granted (§ 68 para. 4 VAG) ..................................

50

II.A.20.

Approval of the allocation of silent reserves to own funds (Section 73b (5) of the VAG) ........................................................................................

500

II.A.21.

Approval of the addition of parts of the non-paid share capital to own funds (§ 73b Abs. 8 VAG) ...........................................................

500

II.A.22.

Approval of early repayment of supplementary capital with fixed term (Section 73c (5) of the VAG) .................................................................

280

II.A.23.

Approval of early repayment of supplementary capital without a fixed term (§ 73c paragraph 6 VAG) .................................................................

280

II.A.24.

Approval of the allocation procedures of own resources (§ 73e para. 1 VAG) .......

280

II.A.25.

Reimbursement of own resources changing assets (§ 73e para. 4 VAG) .............................................................................................

500

II.A.26.

Approval of the use of other assets to cover the technical provisions or to exceed the limits laid down in a regulation adopted pursuant to Section 78 (3) of the VAG (Section 78 (2) and (4) of the VAG)

a)

A small insurance company on a reciprocal basis in the sense of § 62 VAG

50

b)

of another insurance undertaking .....................................................

500

II.A.27.

Approval of exemptions from the assets to cover the technical provisions in domestic or other Contracting States (Section 79a (1) of the VAG) ............................................................

a)

A small insurance company on a reciprocal basis in the sense of § 62 VAG

50

b)

of another insurance undertaking .....................................................

500

II.A.28.

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

280

II.A.29.

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

280

II.A.30.

Approval of the solvency plan or the financing plan (Section 104a (1) and (2) of the VAG)

a)

A small insurance company on a reciprocal basis in the sense of § 62 VAG

50

b)

of another insurance undertaking .....................................................

500

Accounting circuit 3 (supervision of securities)

Stock exchange law 1989

Euro

III.A.1.

Granting of a concession to the management and administration of a regulated market or other stock exchange (Section 2 (2) of the Austrian Stock Exchange Act-BörseG, BGBl. N ° 555/1989, as last amended by the Federal Law BGBl. I No 184/2013) ...........................................................................

15 000

III.A.2.

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

1 250

III.A.3.

Authorisation to reach, exceed or fall below the limits of voting rights or capital (Section 7 (1) (2) BörseG) ................................

1 250

III.A.4.

Authorization for the establishment of branches in a third country (§ 7 para. 1 Z 3 BörseG) ..........................................................................................

1 250

III.A.5.

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

3 500

III.A.6.

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

800

III.A.7.

Order on the stock exchange (§ 32 para. 2 BörseG) ........................................

500

Securities Supervision Act 2007

Euro

III.B.1.

Granting of the concession for the provision of investment services in accordance with Section 3 (2) of the Securities and Markets Act 2007-WAG 2007, BGBl. I n ° 60, as last amended by the Federal Law BGBl. I No. 184/2013, without § 3 para. 2 Z 4 WAG 2007 ........................................................................................

3 000

III.B.2.

Granting of the concession for the provision of investment services in accordance with § 3 (2) WAG 2007 without § 3 para. 2 Z 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 § 3 paragraph 2 Z 4 WAG 2007 ....................................................

1 000

III.B.4.

Concession granted for the provision of investment services in accordance with § 3 para. 2 Z 4 WAG 2007 ..................................................................

10 000

III.B.5.

Authorization for the merger or association of investment firms and investment service undertakings; authorization to modify the legal form; authorisation to split investment firms and investment service undertakings; Authorization for the merger or association with companies not authorized to the WAG 2007; authorization for the establishment of branches in a third country (§ 6 WAG 2007, § 21 para. 1 BWG) ..............................................................

1 000

III.B.6.

Issuance of a decision on non-compliance with the acquisition of a qualifying holding for each acquirer of interest (Section 11a (2) WAG 2007).

500

Investment Fund Act 2011

Euro

III.C.1.

Granting of a concession for the provision of activities of an administrative company (Section 6 (2) in conjunction with § 5 (1) and (2) of the Investment Fund Act 2011-InvFG 2011, BGBl. I n ° 77, as last amended by the Federal Law BGBl. I No 184/2013) ............................................................

6 000

III.C.2.

Extension of the concession for the provision of activities of a management company (§ 5 para. 2 Z 2 to 4 InvFG 2011) ............................

1 500

III.C.3.

Approval of the order of the custodian bank (§ 41 para. 1 and § 50 Abs. 2 Z 3 InvFG 2011) ..............................................................................................

220

III.C.4.

Approval of the exchange of the custodian bank (§ 61 para. 2 InvFG 2011) ..................

220

III.C.5.

Approval of the fund provisions (§ 50 para. 2 Z 1 and § 53 para. 2 InvFG 2011) ..............................................................................................

220

III.C.6.

Approval of the amendment of the fund provisions (§ 53 para. 4 InvFG 2011) ......

220

III.C.7.

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

220

III.C.8.

Approval of the termination of the management of a UCITS (§ 60 para. 1 InvFG 2011) ..............................................................................................

220

III.C.9.

Approval of the transfer of the management of a UCITS to another management company (§ 61 paragraph 1 InvFG 2011) .......................................

220

III.C.10.

Approval of the transfer of the management of a UCITS from the custodian bank to another management company (§ 62 para. 2 InvFG 2011) ........................

220

III.C.11.

Approval of the secession (§ 65 (1) InvFG 2011) ..................................

220

III.C.12.

Approval of the merger of a transferring UCITS approved in Austria (§ 115 para. 1 InvFG 2011) .........................................................

1 250

III.C.13.

Approval of the termination of the management of a UCITS by transfer or merger of assets belonging to the fund assets (§ 127 para. 3 InvFG 2011) ...................................................................

220

III.C.14.

Approval of the master feeder structure (§ 95 para. 1 InvFG 2011) ....................

1 250

III.C.15.

Approval of the investment of the assets of a feeder UCITS into shares of another master UCITS in the case of a settlement of the master UCITS (§ 101 paragraph 1 Z 1 InvFG 2011) .......................................................................

1 250

III.C.16.

Approval of the conversion of a feeder UCITS into a UCITS, which is not a feeder UCITS, in the case of a settlement of the master UCITS (§ 101 para. 1 Z 2 InvFG 2011) ........................................................................................

220

III.C.17.

Approval of the stay 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 another UCITS, which emerges from the merger or division of the master UCITS (section 104 (1)). 1 Z 1 InvFG 2011) ..............................

220

III.C.18.

Approval of the exchange of a feeder UCITS into another master UCITS in the case of a merger or division of the master UCITS (§ 104 (1) Z 2 InvFG 2011) ........................................................................................

1 250

III.C.19.

Approval of 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 (§ 104 (1) Z 3 InvFG 2011) ............................................................

220

III.C.20.

Notification of the submission of documents to competent authorities of Member States pursuant to § 139 (2) of the InvFG 2011 ..........................................................

200

III.C.21.

Issue of a certificate according to § 95 Abs. 5 InvFG 2011 ........................

200

Real Estate-Investment Fund Law

Euro

III.D.1.

Approval of the merger of fund assets of real estate funds (§ 3 para. 2 of the Real Estate Investment Fund Act-ImmoInvFG, BGBl. I n ° 80/2003, as last amended by the Federal Law BGBl. I No 184/2013) ..............................................................................................................................

220

III.D.2.

Approval of the termination of the administration (§ 15 ImmoInvFG) ..............................

220

III.D.3.

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

220

III.D.4.

Approval of the Fund's provisions (§ 34 para. 1 ImmoInvFG) .......................

330

III.D.5.

Approval of the amendment of the Fund's provisions (§ 34 para. 3 ImmoInvFG) .......

220

III.D.6.

Approval of the order and the exchange of the depositary bank (§ 35 para. 1 ImmoInvFG) ....................................................................................

330

Alternative investment fund manager law

Euro

III.E.1.

Processing of the registration of an alternative investment fund manager (AIFM) (§ 1 paragraph 5 Z 1 of the Alternative Investment Fund Manager Law-AIFMG, BGBl. I No 135/2013) ..............................................................

2 500

III.E.2.

Processing of registration as of the second Alternative Investment Fund (AIF) for each AIF (§ 1 para. 5 Z 2 AIFMG) ..............................................................

200

III.E.3.

Processing of the display of a (retrospective) edition of an AIF within the meaning of § 1 paragraph 5 Z 5 AIFMG ........................................................................

200

III.E.4.

Granting of a concession as 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 in accordance with § 4 para. 4 AIFMG ............................................................................................

750

III.E.6.

Exhibition of a decision on restrictions or amendments to the concession (Section 8 (2) of the AIFMG) ...............................................................

750

III.E.7.

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

220

III.E.8.

Approval of the transfer of functions according to § 18 paragraph 1 Z 4 AIFMG ......

150

III.E.9.

Approval of the distribution of shares of EU-AIF in Austria as a member state of origin in accordance with § 29 para. 3 AIFMG ..............................................................

220

III.E.10.

Information on the dispatch of display documents to competent authorities of Member States pursuant to § 30 para. 3, § 32 para. 4, § 36 para. 4 or § 44 para. 4 AIFMG .......................................................................................................................

150

III.E.11.

Processing of the ad according to § 35 para. 2 AIFMG ........................................

400

III.E.12.

Approval of the distribution of an AIF in real estate or of a managed futures fund AIF to private customers pursuant to § 48 para. 5 or 7 AIFMG ..........................

220

III.E.14.

Authorisation to lower the own resources under Article 14 (4) of the delegated regulation (EU) No 231/2013 supplementing Directive 2011 /61/EU with regard to exceptions, the conditions for the performance of the activities, the depositaries, Leverage, transparency and supervision, OJ C 139, 30.4.2004, p. No. OJ L 83, 22.03.2013, p. 1 ..........................................................

300

Company employee and self-employment law

Euro

III.F.1.

Approval of the investment regulations (§ 29 para. 1 of the company employee and self-employment law-BMSVG, BGBl. No 100/2002, as last amended by the Federal Law of the Federal Republic of Germany (BGBl). I No 184/2013) ........................

330

III.F.2.

Approval of the amendment of the provisions of the assessment (§ 29 para. 1 BMSVG)

220

III.F.3.

Authorization of a securities to be used as a permanent facility (Section 31 (1) (3a) of the BMSVG) ..........................................................................................

300

III.F.4.

Approval of the order and the exchange of the depositary bank (§ 32 para. 1 BMSVG) ........................................................................................

330

III.F.5.

Approval of the transfer of assets allocated to an investment community to another BV cash register (§ 41 para. 1 BMSVG).....

300

EMIR (European Market Infrastructure Regulation-Regulation (EU) No. 648/2012)

Euro

III.G.1.

Examination of the exemption for risk mitigation techniques for intra-group transactions in accordance with Article 11 (7) of Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories OJ L 124, 20.4.2012, p. No. 1 OJ L 201, 27.7.2012, p. 1 ........................................................................................

1 500

III.G.2.

Granting of an authorisation for a central counterparty pursuant to Article 14 of Regulation (EU) No 648/2012 ................................................................

10 000

III.G.3.

Approval of the extension of services or activities, including the authorisation to clear additional OTC derivative categories in accordance with Article 15 of Regulation (EU) No 648/2012 ........................................................

1 500

III.G.4.

Assessment of the reporting of a change of shareholders or Acquisition of a qualifying holding pursuant to Art. 31 (2) to (7) of Regulation (EU) No 648/2012 ........................................................................................

1 500

III.G.5.

Approval of outsourcing of key activities related to risk management in accordance with Article 35 of Regulation (EU) No 648/2012 ..........................................................................................

1 000

III.G.6.

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

2 500

III.G.7.

Approval of an interoperability arrangement in accordance with Article 54 (1) of Regulation (EU) No 648/2012 ............................................................

2 500

Approval of prospectuses in accordance with the Capital Markets Act and the Austrian Stock Exchange Act 1989

Euro

III.H.1.

Approval of a supplement to the prospectus (Section 6 (1) of the Capital Markets Act-KMG, BGBl. 625/1991, as last amended by the Federal Law BGBl). I No 184/2013, § 74 BörseG) ..................................................................

500

III.H.2.

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

100

III.H.3.

Approval procedure (Section 8a (1) KMG, § 74 BörseG) ........................................

2 500

Accounting Circle 4 (Pensionskassensupervisor)

Pensionskassengesetz

Euro

IV.A.1.

Granting of the concession to the operation of a pension fund (§ 8 para. 1 of the Pensionskassengesetz-PKG, BGBl. No. 281/1990, as last amended by the Federal Law BGBl. I No 184/2013 ..........................................................

4 000

IV.A.2.

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

500

IV.A.3.

Authorization of the disposal of a securities dedicated as a permanent facility (§ 23 para. 1 Z 3a PKG) ..............................................................................

300

IV.A.4.

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

1 250 "

(2) The following paragraph 10 is added to § 6:

" (10) Part 2, Section 2, as amended by the BGBl Regulation. II No 486/2013 shall take place on 1 July 2013. Jänner 2014 in force. "

Ettl Kumpfmüller