Resolution 18426⁽¹⁾

Determination, pursuant to Article 40 of Law 724/1994, of the persons required to pay fees for the 2013 fiscal year

THE ITALIAN COMPANIES AND STOCK EXCHANGE COMMISSION (CONSOB)

Having regard to Law 216 of 7 June 1974 as amended;

Having regard to Article 40 of Law 724 of 23 December 1994 as amended, which, inter alia, provides for Consob, with a view to its funding, to determine each year the amount of the fees it is to be paid by the persons subject to its supervision;

Having regard to Consob Resolutions n. 18050 and n. 18051 dated 28 December 2011 which provided, pursuant to aforementioned Article 40, respectively persons required to pay fees for year 2012 and the amount of the fees for the same year;

Whereas it is necessary to determine for the 2013 fiscal year the persons required to pay fees;

RESOLVES

Article 1
Persons required to pay fees

1. The following are required to pay Consob a "supervision fee" for the 2013 fiscal year:

a) SIMs entered, on 2.1.2013, in the register referred to in Article 20.1 of Legislative Decree 58/1998, including those entered in the special section of such register provided for in Article 60.4 of Legislative Decree 415/1996;

b) Non – EU investment companies entered, on 2.1.2013, in the register referred to in Article 20.1 of Legislative Decree 58/1998;

c) EU investment companies with branches in Italy entered, on 2.1.2013, in the special section of the register referred to in Article 20.1 of Legislative Decree 58/1998;

d) Italian banks authorized, on 2.1.2013, to engage in investment services and activities referred to in Article 1.5 a), 1.5 b), 1.5c) and 1.5 c-bis), 1.5 d), 1.5 e) and 1.5. f) of Legislative Decree 58/1998;

e) EU banks with branches in Italy and non-EU banks authorized, on 2.1.2013, to engage in investment services and activities referred to in Article 1.5 a), 1.5 b), 1.5c) and 1.5 c-bis), 1.5 d), 1.5 e) and 1.5. f) of Legislative Decree 58/1998;

f) Asset management companies and harmonised asset management compagnie with branch in Italy authorized, on 2.1.2013, to engage in the investment service of management on a client-by-client basis of investment portfolios and/or investment consultancy referred to in Article 1.5 d) and 1.5 f) of Legislative Decree 58/1998;

g) Financial intermediaries entered, on 2.1.2013, in the special register referred to in Article 107.1 of Legislative Decree 385/1993 that are authorized, under Article 19.4 of Legislative Decree 58/1998, to engage in investment services referred to Articles 1.5 a), 1.5 b), 1.5c) and 1.5 c-bis) of such Decree;

h) Poste Italiane – Division Services BancoPosta, authorized to engage in investment services referred to Article 2.1 f), of Presidential Decree 144/2001;

i) Stockbrokers entered in the single national roll referred to in Article 201.5 of Legislative Decree 58/1998 on 2.1.2013;

j) Asset management companies entered on 2.1.2013 in the register referred to in Article 35.1 of Legislative Decree 58/1998, SICAVs entered at the same date of 2.1.2013 in the register referred to in Article 44.1 of such decree and collective investment undertakings, at the same date of 2.1.2013, subject to Articles 42.1 and 42.5 of such Decree;

k) Insurance companies authorized, on 2.1.2013, to operate in the sectors on Life III and/or V according to Article 2, subsection 1, of Legislative Decree 209/2005;

l) Financial salesmen entered on 2.1.2013 in the register referred to in Article 31.4 of Legislative Decree 58/1998;

m) Borsa Italiana s.p.a.;

n) MTS s.p.a.;

o) Monte Titoli s.p.a.;

p) Cassa di Compensazione e Garanzia s.p.a.;

q) Persons - other than the Italian government, local government, foreign governments and international organizations of a public nature – as follow:

q1) Italian or foreign issuers (EU and non-EU) that, on 2.1.2013, issue financial instruments admitted to trading on Italian regulated markets;

q2) Italian issuers that, on 2.1.2013, issue financial instruments admitted to trading on any EU regulated markets (different from Italian regulated markets) and who have adopted Italy as the home Member State;

r) Issuers of shares or bonds widely-distributed among the public that are entered in Section A of the list published pursuant to Article 108.5 of Consob Regulation 11971/1999, in force on 2.1.2013;

s) Persons - other than those referred to in subparagraph j) and k) – that:

s1) having the intention to make a solicitation of public savings, have transmitted to Consob the disclosure in accordance with Article 94.1 or by Article 102.1 of Legislative Decree 58/1998, and have obtained the approval of the offering prospectus – as a complete prospectus or as separates documents – either of the bid document, but have not completed, between 2 January 2012 and first January 2013, the solicitation of public savings or of the takeover bids and/or exchange tender offer;

s2) having completed a public offering of financial products or a takeover bid and/or an exchange tender offer in the period between 2 January 2012 and first January 2013, are subject on 2.1.2013, to Article 97 or Article 103.2 of Legislative Decree 58/1998;

t) Persons entered, on 2.1.2013, in the register referred to Legislative Decree 39/2010 that at the same date perform statutory auditing on financial statement of public entities;

u) SIMs, banks and market management company authorized, on 2.1.2013, to manage multilateral trading systems referred to in Article 1.5 g) of Legislative Decree 58/1998;

v) Systematic internaliser that are entered in the list published pursuant to Article 22.1 of Consob Regulation no. 16191/2007, in force on 2.1.2013;

w) Regulatory Body of financial salesmen referred to in Article 31.4 of Legislative Decree 58/1998.

Article 2
Final provisions

1. This resolution shall be published in the Gazzetta Ufficiale della Repubblica Italiana and Consob's Bulletin.

Rome, 21 December 2012 

THE CHAIRMAN
Giuseppe Vegas

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Footnote:
 

1. Given effect by a decree issued by the Prime Minister on  21 January 2013.