Derivatives Reporting System Regulation 2011 - 2011 Dmv

Original Language Title: Derivate-Meldesystemverordnung 2011 – DMV 2011

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267. Regulation of the financial market authority (FMA) on the nature of electronic transmission of message of derivatives (derivatives reporting system regulation 2011 - 2011 DMV)

On the basis of § 152 of the Investment Fund Act - InvFG 2011, Federal Law Gazette I no. 77, is prescribed:

Delivery

1. (1) management companies have the credential sets according to the 4 derivatives and derivative instruments reporting regulation, Federal Law Gazette II to send no. 266/2011, to the email address "derivate@fma.gv.at".

(2) there is no acknowledgement of receipt in the case of transferring the registration rates by the FMA. Wrong messages are returned the registration file to the management company. For this purpose is was the FMA address of the management company to announce an E-Mail, as far as such not already communicated. Changes to this address are to immediately report.

Sign-in format

The registration rates are 2. (1) in the comma-separated values (CSV) - format with a semicolon than to deliver address list separator to the E-Mail referred to in § 1. The whole message of a management company must be in a file (file). In the first line of the registration file, the name and the bank code of the management company are separated by a semicolon, to report as follows,: 1. the name of the management company, max. 150 digits, alphanumeric;

2. bank code of the management company, max. 5 digits numeric.

(2) for each investment fund is a separate reporting line to use. In this line of reporting following data in the prescribed order must be indicated: 1 international securities identification number (ISIN) of the investment funds, maximum 12 characters, alphanumeric;

2. name of the investment fund, more than 100 characters, alphanumeric;

3. risk information in percent, max. 3 digits, numeric;

4. maximum risk specifying the period in percent, max. 3 digits, numeric;

5. application of the relative VaR approach, a point, "J" / "j" or "N" "n";

6. application of the absolute VaR approach, a point, "J" / "j" or "N" "n";

7 special investment limits according to fund regulations, max. 300 digits, alphanumeric;

Delimiter between fields is a semicolon. Followed by a carriage return/line feed (CRLF) at the end of each investment fund. A pretty good privacy (PGP) encryption is the management companies.

(3) in the case of empty messages transmitted only ISIN, name of the mutual funds and risk information.

Entry into force and expiry

§ 3 (1) is this regulation on 1 September 2011 in force and shall apply for the first time on messages to September 30, 2011.

(2) the regulation of the financial market authority (FMA) on the nature of electronic transmission of the message of derivatives (derivatives reporting system regulation), Federal Law Gazette II No. 239/2005, as amended by regulation BGBl. II No. 170/2008, occurs at the end of the August 31, 2011 except force.

Ettl Pribil