Determination, Pursuant To Art. 40 Of Law No 724/1994, Deisoggetti Required Contribution For The Year 2015. (Resolution # 19086).

Original Language Title: Determinazione, ai sensi dell'art. 40 della legge n. 724/1994, deisoggetti tenuti alla contribuzione per l'esercizio 2015. (Delibera n.19086).

Read the untranslated law here: http://www.gazzettaufficiale.it/atto/serie_generale/caricaArticoloDefault/originario?atto.dataPubblicazioneGazzetta=2015-02-18&atto.codiceRedazionale=15A01148&elenco30giorni=false&atto.tipoProvvedimento=DECRETO

The NATIONAL COMMISSION for companies and the stock market having regard to law No 216 June 7, 1974 and subsequent modifications and integrations; Visto l'art. December 23, 1994 Law 40, n. 724 and subsequent modifications and integrations, in which it is intended, among other things, that Consob, for the purposes of their own funding, determines in each year the amount of the contributions payable by persons subject to its supervision to it; Having regard to its resolutions # 18,753 and n. the December 23, 2013 18,754 bearing determination, pursuant to art. 40, respectively, of the entities required to measure the contribution for the year 2014 and contribution for the same period; Given the need to determine, for the year 2015, the subjects required contribution;
Resolution: Art. 1 Subject required contribution 1. Are required to pay to Consob, for the year 2015, a contributor named ┬źsupervisory┬╗ contribution: a) securities companies, trust companies under art. 60, paragraph 4, first sentence, of the Legislative Decree 415/1996, authorized as of January 2, 2015, to provide services and investment activities under art. 1, paragraph 5, point a), b), c) and c-bis), d), e) and f) of Legislative Decree 58/1998;
b) investment firms with branch in Italy and investment firms outside the community with or without branch in Italy, authorized as of January 2, 2015, to provide services and investment activities under art. 1, paragraph 5, point a), b), c) and c-bis), d), e) and f) of Legislative Decree 58/1998;
c) Italian banks, the company Poste Italiane-BancoPosta Services Division under art. 2, paragraph 1, point f), of the Decree of the President of the Republic March 14, 2001, n. 144, authorized as of January 2, 2015, to provide services and investment activities under art. 1, paragraph 5, point a), b), c) and c-bis), d), e) and f) of Legislative Decree 58/1998;
d) community banks with branches and offices in Italy and banks outside the community with or without branch in Italy, authorized as of January 2, 2015, to provide services and investment activities under art. 1, paragraph 5, point a), b), c) and c-bis), d), e) and f) of Legislative Decree 58/1998;
and asset management companies) under art. 1, comma 1, letter o), of Legislative Decree No. 58/1998, the EU management companies with branches and offices in Italy under art. 1, letter o-bis) of Legislative Decree n. 58/1998, EU alternative investment fund managers (FIA EU) with branch in Italy, under art. 1, comma 1, letter p) of Legislative Decree No. 58/1998, authorized on the date of January 2, 2015 in the service of portfolio management and/or the service of investment advice and/or receive and transmit orders service under art. 1, paragraph 5, letter d), e) and f) of Legislative Decree No 58/1998;
f) financial intermediaries included in the special list under art. 107, paragraph 1, of Legislative Decree No. 385/1993, authorized as of January 2, 2015, in accordance with art. 19, comma 4, of Legislative Decree No 58/1998 to perform the services and activities under art. 1, paragraph 5, point a), b), c) and c-bis), of Legislative Decree 58/1998;
g) stockbrokers enrolled as of January 2, 2015, in the special role of art. 201, paragraph 5, of Legislative Decree No 58/1998;
h) asset management companies registered as of January 2, 2015, the register under art. 35, paragraph 1, of Legislative Decree No. 58/1998, the investment company with variable capital and investment company with fixed capital registered on the same date of January 2, 2015, in Albi under art. 35-ter, paragraph 1, of Legislative Decree 58/1998, collective investment undertakings subject, at the same date of January 2, 2015, the application of articles 43 and 44, 42 of Legislative Decree 58/1998, the handlers that the date of January 2, 2015 market in Italy European venture capital funds (EuVECA) and social entrepreneurship Fund (EuSEF) in accordance with art. 4-d to Legislative Decree 58/1998;
I) insurance undertakings authorised, on January 2, 2015, with the exercise of life III and/or V under art. 2, paragraph 1, of Legislative Decree No 209/2005;
j) financial advisors enrolled as of January 2, 2015, the register under art. 31, paragraph 4, of Legislative Decree No 58/1998;
k)-several Italian State, local authorities, foreign States and public international bodies-below: k1) Italian and foreign issuers (community and extra-Community) which, on January 2, 2015, have financial instruments admitted to trading on regulated markets;
K2) issuers as of January 2, 2015, have financial instruments admitted to trading on EU regulated markets (other than the Italian ones) and for which the Member State of origin is the Italy;
l) issuers financial instruments disclosed in the audience significantly the list subscribers, under art. 108, paragraph 5, of Consob Regulation n. 11,971/1999, being valid on the date of January 2, 2015;
m) persons other than those referred to in point h) and i) that: m1) intending to make a solicitation to invest, following prior notification according to art. 94, paragraph 1, or of article. 102, paragraph 1, of Legislative Decree No 58/1998, they got the approval of the prospectus-unique tripartite or-or base prospectus, but have not concluded for the period January 2, 2014 and 1 January 2015 the solicitation of investment or the takeover bid;
M2) having concluded a solicitation to invest, or a takeover bid and/or Exchange, for the period January 2, 2014 and 1 January 2015, shall be submitted on the date of January 2, 2015 the application of the provisions of art. 97 or in art. 103, paragraph 2, of Legislative Decree No 58/1998;

M3) have obtained the approval of the prospectus for the listing of financial instruments in accordance with art. 113, paragraph 1, of Legislative Decree No 58/1998, for the period January 2, 2014 and 1 January 2015;
M4) having obtained the admission to trading of financial instruments as a result of corporate integration operations (mergers or demergers) for which it was issued a judgement of equivalence at the prospect of a document already available pursuant to art. 57, paragraph 1, point d) of Consob regulation 11,971/1999 (implementing Directive 2003/71/EC No.) in the period January 2, 2014 and 1 January 2015, shall be submitted on the date of January 2, 2015 the application of the provisions laid down in articles 5 and 6, paragraphs 114 and 115 of Legislative Decree No 58/1998;
n) Yorkies, on January 2, 2015, the register referred to in Legislative Decree No. 39/2010, which at the same time were found to perform duties of statutory audits of public interest entities budgets;
o) the Borsa Italiana s.p.a.;
p) the MTS s.p.a.;
q) Monte Titoli s.p.a.;
the Cassa di Compensazione e Garanzia s.p.a. r);
s) societies of securities firms, banks and the companies that manage regulated markets authorised, on January 2, 2015, with the exercise of the activity of managing MTFs under art. 1, paragraph 5, point g) of Legislative Decree No 58/1998;
t) systematic internalisers enrolled in the list under art. 22, paragraph 1, of Consob regulation. 16,191/2007, being valid on the date of January 2, 2015;
u) the operators of regulated markets abroad (outside the EU) applicants for recognition in Italy pursuant to art. 67, paragraph 2, of Legislative Decree No 58/1998;
v) transmission portals to the collection of risk capital for innovative start-ups included in ordinary section and in the special section of the register, pursuant to art. 50-d, paragraph 2, of Legislative Decree 58/1998, on January 2, 2015;
w) dissemination of regulated information services managers (SDIR) and transmission of regulated information storage mechanisms authorized pursuant to art. 113-ter, paragraph 4, of Legislative Decree No. 58/1998 and listed in the appropriate lists, under art. 116-septies, paragraph 3, of Legislative Decree 58/1998, on January 2, 2015;
x) the body of financial planners under art. 31, paragraph 4, of Legislative Decree No 58/1998.