Change The Paging Ordinance, The Ordinance Of The Special Investment Provisions For Pension Funds, The Interest Konflikte-And Information For Customers Regulation, The Quartalsm...

Original Language Title: Änderung der Auslagerungsverordnung, der Verordnung über die besonderen Veranlagungsvorschriften für Pensionskassen, der Interessenkonflikte- und Informationen für Kunden-Verordnung, der Quartalsm...

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272. Regulation of the Financial Market Supervisory Authority (FMA), which includes the swap ordinance, the regulation on the special investment rules for pension funds, the conflicts of interest and information for the customer regulation, the The Quarterly Reporting Regulation, the Solvency Regulation, the Directory Regulation and the Capital Investment Regulation will be amended

Article 1

Amendment of the offload regulation

On the basis of Section 26 (3) of the Securities and Markets Act 2007-WAG 2007, BGBl. I n ° 60, as last amended by the Federal Law BGBl. I No 77/2011, shall be arranged:

The Regulation of the Financial Markets Authority (FMA) on the outsourcing of the management of retail portfolios to service providers established in a third country (offload regulation-exv), BGBl. II No 215/2007, shall be amended as follows:

1. § 1 (1) Z 3 reads as follows:

" 3.

Management companies according to § 3 paragraph 2 Z 1 InvFG 2011, which are entitled to provide the investment service performance of the individual management of portfolios according to § 5 Abs. 2 Z 3 InvFG 2011. "

2. In § 7 (1), after the word order " BGBl. I No 60 " the phrase " in the version of the Federal Law BGBl. I No 77/2011 " inserted.

3. In Section 7 (2), the word order shall be " BGBl. I No 60/2007 " through the phrase " BGBl. I No 77/2011 " replaced.

4. In Section 7 (3), the word order shall be " InvFG 1993 refer to the investment fund law, BGBl. No. 532/1993 Type. II, in the version of the Federal Law BGBl. I No 60/2007 " through the phrase " InvFG 2011 refer to the investment fund law 2011-InvFG 2011, BGBl. I Nr. 77 " replaced.

5. In § 8, the previous text receives the sales designation "(1)" and shall be added to the following paragraph 2:

" (2) § 1 (1) (3) and (7) (1) to (3) in the version of the BGBl Regulation. II No 272/2011 shall enter into force on 1 September 2011. '

Article 2

Amendment to the Regulation on special provisions for the assessment of pension funds

On the basis of § 25 (10) of the Pensionskassengesetz-PKG, BGBl. No. 281/1990, as last amended by the Federal Law BGBl. I No 77/2011, shall be arranged:

The Ordinance of the Financial Markets Authority (FMA) on the special provisions for the assessment of pension funds (special investment rules for pension funds-BVV-PK), BGBl. II No 361/2006, shall be amended as follows:

1. In § 2 para. 4, the word order shall be " Directive 85 /611/EEC, or the provisions of Section I and Ia of the Investment Fund Act (InvFG 1993), BGBl. No. 532/1993, as last amended by the Federal Law BGBl. I No 134/2006 " through the phrase " Directive 2009 /65/EC or the provisions of Hauptpiece 3, Section 3 of the Investment Fund Act 2011-InvFG 2011, BGBl. I Nr. 77 " replaced.

2. § 4 reads:

" (4) § 2 (4) in the version of the BGBl Regulation. II No. 272/2011 shall enter into force on 1 September 2011. "

Article 3

Change of conflicts of interest-and information for customers-Regulation

On the basis of § 35 (4) and § 41 (3) of the Securities and Markets Act 2007-WAG 2007, BGBl. I n ° 60, as last amended by the Federal Law BGBl. I No 77/2011, shall be arranged:

The Regulation of the Financial Markets Authority (FMA) on standards for procedures and measures to deal with conflicts of interest and on information for clients in the provision of investment services (conflicts of interest and interests) Information for customers-Regulation-IIKV), BGBl. II No 216/2007, shall be amended as follows:

1. § 1 (1) Z 2 reads:

" 2.

Management companies according to § 3 paragraph 2 Z 1 InvFG 2011 in accordance with § 5 Abs. 2 Z 3 InvFG 2011; "

2. In § 7 (1), after the word order " BGBl. I No 60 " the phrase " in the version of the Federal Law BGBl. I No 77/2011 " inserted.

3. In Section 7 (2), the word order shall be " BGBl. I No 60/2007 " through the phrase " BGBl. I No 77/2011 " replaced.

4. In Section 7 (3), the word order shall be " InvFG 1993 refer to the investment fund law, BGBl. No. 532/1993 Type. II, in the version of the Federal Law BGBl. I No 60/2007 " through the phrase " InvFG 2011 refer to the investment fund law 2011-InvFG 2011, BGBl. I Nr. 77 " replaced.

5. In § 8, the previous text receives the sales designation "(1)" and shall be added to the following paragraph 2:

" (2) § 1 (1) (2) and (7) (1) to (3) in the version of the BGBl Regulation. II No 272/2011 shall enter into force on 1 September 2011. '

Article 4

Amendment of the Quarterly Reporting Regulation

On the basis of § 36 (4) of the Pensionskassengesetz-PKG, BGBl. No. 281/1990, as last amended by the Federal Law BGBl. I No 77/2011, shall be arranged:

The Regulation of the Financial Market Supervisory Authority (FMA) concerning the breakdown of quarterly statements in accordance with Section 36 (4) of the Pensionskassengesetz (Quarterly Reporting Ordinance), BGBl. II No 382/2005, shall be amended as follows:

1. In Section 3, Section 1, Z 3, the phrase "Investment Fund Act (InvFG 1993) or Directive 85 /611/EEC (UCITS)" through the phrase "Investment Fund Act 2011 or Directive 2009 /65/EC" replaced.

2. In § 7, the previous text receives the sales designation "(1)" and shall be added to the following paragraph 2:

" (2) § 3 para. 1 Z 3 in the version of the BGBl Regulation. II No. 272/2011 shall enter into force on 1 September 2011. "

Article 5

Amendment of the Solvency Regulation

Pursuant to section 21d (6), section 21f (4), § 22 (7), § 22a (5) Z 5, § 22a (7), § 22b (10) and (11), § 22d (5), § 22e (5) and (6), § 22f (2), § 22g (9), § 22h (7), § 22j (2), § 22k (4) and (9), § 22l (4), § 22n (5), § 22o (5), § 22e (4) Paragraph 5 and Section 22p (5) of the Banking Act-BWG, BGBl. No. 532/1993, as last amended by the Federal Law BGBl. I n ° 77/2011, is ordered with the approval of the Federal Minister for Finance:

The Regulation of the Financial Markets Authority (FMA) on the Solvency of credit institutions (Solvency Regulation-SolvaV), BGBl. II No 374/2006, as last amended by the BGBl Regulation. II No 335/2010, shall be amended as follows:

1. In Section 18 (1), the phrase " § 20 sec. 3 Z 7 Investment fund Act-InvFG 1993, BGBl. No. 532 " through the phrase " § 74 Paragraph 4 Investment Fund Act 2011-InvFG 2011, BGBl. I Nr. 77 " replaced.

2. In § 87 (1) Z 6 the phrase "§ 20b InvFG" through the phrase "§ 75 InvFG 2011" replaced.

3. The following paragraph 3 is added to § 265:

" (3) § 18 (1) and § 87 (1) (1) (6), as amended by the BGBl Regulation. II No 272/2011 shall enter into force on 1 September 2011. '

Article 6

Amendment of the Directory Regulation

Pursuant to Section 79b (1) of the Insurance Supervision Act (VAG), BGBl. No 569/1978, as last amended by the Federal Law BGBl. I No 77/2011, shall be arranged:

The Regulation of the Financial Markets Authority (FMA) on the management of lists of assets used to cover technical provisions by enterprises of the contract insurance (Directory Regulation- VerzVVU), BGBl. II No 505/2002, as last amended by the BGBl Regulation. II No 354/2009, shall be amended as follows:

1. In Z 23 of the Appendix D the phrase " § 20a (1) Z 3 of the Investment Fund Act-InvFG, BGBl. No. 532/1993, in the version of the Federal Law BGBl. I No 69/2008 " through the phrase " § 166 (1) Z 3 Investment Fund Act 2011-InvFG 2011, BGBl. I Nr. 77 " replaced.

2. In the Z 27 of the Appendix D the phrase "§ 20a (1) Z 4 InvFG" by "§ 166 para. 1 Z 4 InvFG 2011" replaced.

3. The following paragraph 6 is added to § 7:

" (6) Z 23 and Z 27 of the Appendix D in the version of the BGBl Regulation. II No 272/2011 shall enter into force on 1 September 2011. '

Article 7

Amendment of the Capital Investment Regulation

Due to § § 78 (3) and 79 (3) of the Insurance Supervision Act (VAG), BGBl. No 569/1978, as last amended by the Federal Law BGBl. I No 77/2011, shall be arranged:

The Regulation of the Financial Markets Authority (FMA) on capital investments to cover the technical provisions by companies of the contract insurance (capital investment regulation-KAVO), BGBl. II No 383/2002, as last amended by the BGBl Regulation. II No 149/2009, shall be amended as follows:

1. In § 2 para. 1 Z 3 lit. a becomes the phrase " 85/611/EEC or sections I and Ia of the Investment Fund Act (InvFG 1993), BGBl. No. 532/1993, as last amended by the Federal Law BGBl. I No 69/2008 " through the phrase " 2009/65/EC or UCITS according to § 2 or special funds according to § 163 or special assets pursuant to § 166 para. 1 or pension fund fund according to § 168 of the investment fund law 2011 (InvFG 2011), BGBl. I Nr. 77 " replaced.

2. In § 2 para. 1 Z 3 lit. a sublit. aa will be the phrase "Capital Investment Fund within the meaning of § 20a InvFG 1993" through the phrase "Special assets within the meaning of § 166 InvFG 2011" and the phrase "§ 20a (1) Z 3 InvFG 1993" through the phrase "§ 166 para. 1 Z 3 InvFG 2011" replaced.

3. In § 2 para. 1 Z 3 lit. a sublit. bb becomes the phrase "§ 21 para. 3 InvFG 1993" through the phrase "§ 73 Abs. 5 InvFG 2011" replaced.

4. In § 2 para. 1 Z 3 lit. c will be the phrase " BGBl. I No 69/2008 " through the phrase " BGBl. I No 77/2011 " replaced.

5. In § 2 para. 1 Z 7 lit. a sublit. bb becomes the phrase "within the meaning of § 20a InvFG 1993" through the phrase "within the meaning of § 166 InvFG 2011" and the phrase "§ 20a (1) Z 3 InvFG 1993" through the phrase "§ 166 para. 1 Z 3 InvFG 2011" replaced.

6. In § 2 para. 5 Z 1 the word order shall be "85/611/EEC or sections I and Ia InvFG 1993" through the phrase "2009/65/EC or UCITS pursuant to § 2 or special funds according to § 163 or special assets pursuant to § 166 para. 1 or pension fund fund according to § 168 InvFG 2011" replaced.

7. In § 2 para. 5 Z 2 the word order shall be " BGBl. I No 69/2008 " through the phrase " BGBl. I No 77/2011 " replaced.

8. In Section 3, Section 1, Z 3, the phrase "§ 20a (1) (3) and Real Estate Investment Funds pursuant to § 20a (1) Z 4 InvFG" through the phrase "§ 166 (1) (3) and Real Estate Investment Funds pursuant to § 166 (1) Z 4 InvFG 2011" and the phrase "Capital investment fund according to § 20a (1) of the InvFG" through the phrase "Special assets pursuant to § 166 (1) InvFG 2011" replaced.

9. In § 3 para. 1 Z 8 lit. d becomes the word sequence "Capital investment fund according to § 20a (1) Z 4 InvFG" through the phrase "Special assets pursuant to § 166 (1) Z 4 InvFG 2011" replaced.

10. In § 3 (1) Z 9, the phrase " § 20a para. Z 3 InvFG " through the phrase "166 Abs. 1 Z 3 InvFG 2011" replaced.

11. In § 3 para. 1 Z 13 lit. b becomes the phrase "Capital investment fund according to § 20a (1) of the InvFG" through the phrase "Special assets pursuant to § 166 (1) InvFG 2011" replaced.

12. In Section 3, Section 1, Z 14, the phrase "§ 20 (3a) InvFG 1993" through the phrase "§ 74 paragraph 7 InvFG 2011" replaced.

13. In § 3c (1) the word order shall be " BGBl. I No 22/2009 " through the phrase " BGBl. I No 77/2011 " replaced.

14. In Section 3c (2), the word order shall be " BGBl. I No "27/2009" by the phrase " BGBl. I No 41/2011 " replaced.

15. In Section 3c (3), the phrase " BGBl. I No 70/2008 " through the phrase " BGBl. I No 111/2010 " replaced.

16. In Section 3c (4), the phrase " Investment fund law (InvFG 1993) is referred to, if nothing else is determined in the regulation, in the version of the Federal Law BGBl. I No 69/2008 " through the phrase " Investment fund law 2011 (InvFG 2011) is referred to, if nothing else is determined in the regulation, in the version of the Federal Law BGBl. I No 77/2011 " replaced.

(17) The following paragraph 3 is added to § 10:

" (3) § 2 para. 1 Z 3 lit. a 1. Half-sentence, § 2 para. 1 Z 3 lit. a sublit. aa and sublit. bb, § 2 para. 1 Z 3 lit. c, § 2 para. 1 Z 7 lit. a sublit. bb, § 2 para. 5 Z 1 and 2, § 3 para. 1 Z 3, Z 8 lit. d and Z 9, § 3 (1) Z 13 lit. b, Z 14 and § 3c (1) to (4) in the version of the BGBl Regulation. II No 272/2011 shall enter into force on 1 September 2011. '

Ettl Pribil