Reference data for FMA Regulation on Costs

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In accordance with Article 90 para. 1 of the Securities Supervision Act 2007 (WAG 2007; Wertpapieraufsichtsgesetz 2007) investment firms and investment services providers are required to bear a part of the costs of the Financial Market Authority (FMA) in the accounting group for Securities Supervision. These supervision costs are split in accordance with the FMA’s cost accounting, taking into consideration the principle of costs by cause and the economic interest in having a functioning prudential supervision of investment services. The arrangements relating to the allocation of such costs and their being prescribed are determined by the FMA by means of a Regulation. The proceeds from investment services transactions as defined in Article 3 para. 2 WAG 2007 form the assessment base for the allocation of costs for investment firms, investment services providers, insurance undertakings (Article 2 para. 2 WAG 2007) and investment fund management companies (Article 2 para. 3 WAG 2007) in the previous financial year.

For capturing the required reference data (proceeds from investment services) the form that is available for download is used, which is required to be filled out by every investment firm and every investment services provider, that at any point between 1 January 2016 and 31 December 2016 held a licence, and to be submitted by 30 June 2017 at the latest via the FMA’s Incoming Platform for investment service providers (via the item “KVO-Datenmeldung”).

For the legally valid filing of electronic, spoken, telephonic and written submissions (Article 13 para. 1 AVG as amended) to the FMA, the business hours of the FMA shall apply.

Please find the form for entering the proceeds from investment services, pursuant to Article 15 of the FMA Regulation on Costs (FMA-KVO; FMA-Kostenverordnung), published in Federal Law Gazette II No. 340/2003 as amended, for the 2016 financial year: