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Resolution Of 23 July 2014, By The Secretariat, That Approve New Procedures, Procedures, And Communications In The Field Of Competence Of The Electronic Register Of The Ministry Of Economy And Competitiveness.

Original Language Title: Resolución de 23 de julio de 2014, de la Subsecretaría, por la que se aprueban nuevos procedimientos, trámites y comunicaciones del ámbito de competencia del registro electrónico del Ministerio de Economía y Competitividad.

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TEXT

The final provision of the ECC/523/2013 Order of 26 March 2013 establishing and regulating the electronic register of the Ministry of Economy and Competitiveness enables the holder of the Ministry of Economy and Competitiveness to include new procedures, procedures and communications to which the provisions of the Order will apply. As regards the procedures of the Directorate-General for Insurance and Pension Funds, and as a result of the start of the period of adaptation to Directive 2009 /138/EC of the European Parliament and of the Council of 25 In November 2009, on life insurance, access to insurance and reinsurance business and its financial year (Solvency II Directive) as of 1 January 2014, the rules specifically applicable for insurance and reinsurance undertakings and their financial institutions consolidated groups the obligation to send different information to the Directorate-General for Insurance and Funds Pensions to allow for the supervision of your activity.

On the other hand, the final disposition of the consolidated text of the Audit of Accounts Law, approved by Royal Legislative Decree 1/2011 of 1 July, which refers to the coordination mechanisms with organs or institutions public with control or inspection powers, establishes for auditors the obligation to send to the supervisory authorities the audit report of the annual accounts of the entities subject to such supervision when not they are satisfied that they have done so themselves within the time limit laid down by the legislation (a) It is therefore necessary to enable a specific procedure for the telematic presentation of the audit report to be submitted by the auditors when the target supervisory authority is the Directorate-General for Insurance and Funds Pensions.

In addition to the above, it has been considered appropriate that the identification of the procedures, procedures and communications referred to in this Resolution should be in accordance with the names contained in the Information Centre. Administrative of the Ministry of Finance and Public Administrations, so each of them appears, in the relation of the Annex, with their respective identification code (SIA).

In its virtue, in accordance with the provisions of the final provision of the ECC/523/2013 Order of 26 March 2013 establishing the Electronic Register of the Ministry of Economy and Competitiveness, I have:

First paragraph. Approval of new procedures, procedures and specific communications to be included in the scope of the ECC/523/2013 Order of 26 March, creating and regulating the Electronic Register of the Ministry of Economy and Competitiveness.

The inclusion in the scope of the ECC/523/2013 Order of 26 March 2013 establishing and regulating the Electronic Register of the Ministry of Economy and Competitiveness of the following new procedures and regulations is approved. Procedures for the field of competence of the Directorate-General for Insurance and Pension Funds:

1. Reference for the monitoring, statistical and quantitative accounting information of entities and groups of insurance and reinsurance entities in Solvency II.

2. Reference for the monitoring, statistical and qualitative accounting information of entities and groups of insurance and reinsurance entities in Solvency II.

3. Referral of the internal risk assessment report and the solvency of institutions and groups of insurance and reinsurance entities in Solvency II.

4. Referral of the audit report of the annual accounts of the entities and groups of insurance and reinsurance entities by the Auditors and the Accounts Audit Companies.

Second paragraph. Publication of the complete and updated relationship of procedures, procedures and electronic communications in the specific area of competence of the Directorate-General for Insurance and Pension Funds.

For information purposes, the full and updated relationship of procedures, formalities and electronic communications in the specific field of competence of the Directorate-General of the European Union is published in the Annex to this resolution. Insurance and Pension Funds with the identification (SIA) for each of them.

Third paragraph. Entry into force.

This Resolution shall enter into force on the day following that of its publication in the "Official State Gazette".

Madrid, July 23, 2014. -Undersecretary of Economy and Competitiveness, Miguel Temboury Redondo.

ANNEX

Procedure

SIA Code

201655

Remission of the quantitative accounting, statistical and accounting information of entities and groups of insurance entities and reinsurers in Solvency II

201656

Rissue of the monitoring information, statistical and qualitative accounting of entities and groups of insurers and reinsurers in Solvency II

201608

Issuance of the report of the internal risk assessment and solvency of entities and groups of insurers and reinsurers in Solvency II

201657

Rissue of the audit report of the entities 'and groups' annual accounts insurers and reinsurers by Audit Auditors and Accounts Audit Societies

991602

Certification of solvency data entities and groups of insurers and reinsurers.

991603

Statutory modifications of insurance entities.

991604

High Request and High Charges modifications.

991605

Significant Participations in Entities insurers.

991606

Initial communication of organizations and pools for risk distribution

991607

Group Enrollment consolidables

991608

Renunciation of administrative authorization by branches of insurance entities.

991611

Authorization of new insurance entities

991615

Modification of pension fund management entities ' records.

991620

Handling and resolving complaints and complaints

991635

Authorization for the transmission of shares or significant shareholdings of insurance brokerage societies

991636

Request for authorization and enrollment of pension funds

991638

Authorization of insurance entities merge operations.

991639

Request to enroll in the insurance broker and reinsurance broker registry, except for unique agents

997955

Request for authorization and enrollment of pure pension fund manager entity.

997956

Request for authorization and enrollment as a pension fund manager for an insurance entity.

997957

Request for authorization and enrollment of pension funds deposit entity

997993

Authorization of the activity extension insurer

997994

Authorization of portfolio disposal operations of insurance entities.

997995

Authorization of insurance entities transformation operations

997996

Clearance operations authorization of insurance entities.

997997

Application for enrollment for unique insurance agents in the insurance broker registry

997998

Modification of pension fund depository entity registry data

997999

Modifying pension fund cash data

998000

Pension plan integration communication in a pension fund

998001

Managing entity replacement or pension fund depository communication

998002

Communication designation of the pension scheme participant advocate

998003

Presentation of actuarial revisions of pension plans

998004

Certificate of Registration Data for Insurance Entities.

998005

Certification of log data from insurance brokers and reinsurance brokers.

998006

Certification of pension funds and plan records

998007

Modification of organizations and pools for risk distribution

998008

Modification of data Consolidable group registers.

998018

Presentation of insurance contract-related queries.

998019

Communication from legal representative for the automobile industry

998020

Communication of designation of the client defender of insurance entities.

998021

Request to exercise as a insurance or reinsurance mediator in free service delivery or through permanent establishment

998023

Communication of economic interest groups or temporary unions of insurance entities

998053

Rissue of the annual statistical-accounting documentation of insurance entities.

998054

Rissue of the quarterly statistical-accounting documentation of insurance entities.

998055

Rissue of the annual statistical-accounting documentation of insurance entity groups

998056

Rissue of semi-annual statistical accounting documentation of groups of insurance entities.

998057

Issuance of annual statistical-accounting documentation of managing entities and plans and funds of pensions

998078

Issuance of quarterly statistical-accounting documentation of managing entities of plans and funds pensions

998079

Rissue of the annual statistical-accounting documentation of insurance brokers and brokerage societies

998080

Rissue of annual accounts, management report, and audit report of entities and groups of insurers and reinsurers.

998082

Rissue of the special and supplementary audit report of the annual accounts of entities and groups of insurers and reinsurers.

998162

Modifying the registration data contained in the registry special administrative of insurance mediators, reinsurance brokers and their senior positions

998425

Publication of criteria and queries insurance and pension plans and funds

998426

Request for organization of training courses and aptitude tests for group A.

998427

Single point of information for private insurance and reinsurance mediators

998518

Revoking and lowering the register of pension fund managers

998519

Pension plan termination

998520

Acquisition of significant shareholdings in the social capital of a pension fund manager

998521

Authorization for the Merge and Split of Pension Funds Manager.

998522

Revocation of authorization and low registration of depository entities

998523

Revocation of pension fund authorization

998525

Issuance of annual accounts, report management and audit report of the managing entity and pension funds

998526

Rissue of the report on the effectiveness of the internal control procedures of the pension fund management entities

998527

Issuance by pension fund management entities belonging to the same group as the depository of the pension funds managed by the report on the degree of compliance with the rules of separation between the managing body and the depository.

998528

Rissue of report on effectiveness of internal control procedures of entities and groups insurance and reinsurance entities.

998530

Issuance by pension fund management entities of models 101 and 101T of the Accounting statistical documentation as regulated in Order EHA/251/2009 of 6 February 2009 approving the statistical documentation system accounting of pension fund management entities

998819

Issuance of the documentation of the Annual business of linked secure banking agents and operators

998878

Request for enrollment of auxiliary advisors.

998879

Communication from the management and depot commissions of the managing and depository entities of pension plans