User manual - PDF
Contents
1. By selecting a report which has a Corrected status the original report is accessed but without the possibilityof correcting it From here the user has the possibility via the link The communication has been corrected To see the details of the new communication press here to access the correctable version and then correct the latter 23 6 Data on tied agents operations 6 1 SN SS 6 2 CONSOB COMMISSIONE NAZIONALE y PER LE SOCIETA E LA BORSA PERIODIC DOCUMENTATION A Select the file containing data of the communication Sfoglia JOC ITATIOI VENT BASIS Send File STRUCTURED DATA DELETED Logout Y Figure 17 Data on main tied agents operations Available Functions Send XML File Check XML File Search Rectify Send XML File V See paragraph 3 4 Send XML File 6 3 Check XML File V See paragraph 3 5 Check XML File 6 4 Search V See paragraph 3 6 Search 6 5 Rectify V See paragraph 3 7 Rectify 24 7 Commencement interruption and resumption of investment service provisions 7 1 Available Functions Complete Online Search Rectify Copy from historical list 7 2 Complete Online By activating this function from the menu the system proposes the heading page in which it is possible to enter general information about the report Figure 18 The system automatically displays the data of the Sender Legal pers2. Figure 2 Exiting the System 3 General Functions The system s main functions are briefly described on the Welcome Page Figure 3 that is organised into three frames like all the pages The upper part contains the Consob logo the left part contains the main menu with links to accessible information obligations built dynamically according to the authorisations that the connected user has been granted the right part is the operating area where the user system interaction pages are shown CONSO COMMISSIONE NAZIONALE PER LE SOCETX ELA BORSA PARIO DOCUMENTATION DOCUMENTA TICA ON AM EVENT BARS STRUCTURES DATA DELETED Lage Available Functions Cami bets Chole E t parda e a eee E risma oeaan r Soret hie w e Y Sa bo t wr Check Kie gt Ser JM Ve iv te Check XEM fie A shoes te et Tee dra Search T shows D eud on Re hian df tere parseseters nd Saga De eco Pal tae Berry f stems to select on Be Las cf rome pranuat and Sapi Pe sara Matt Copy trom historical Tabost 040 a A repr FENG Port Pe COMED of a apot Heed Beet oh be wa 1 e ha Logout Mr 19 ant Be Current a bet i Figure 3 Welcome Page The main functions available are as follows Complete Online Send File Check File Send XML File Check XML File Search Rectify SN RCS Y Copy from historical list General Notes The following graphic symbols are used in the description of the system Y
3. An asterisk next to the field indicates that the field is mandatory v A red triangle next to the field indicates that the system has found a formal error in the field e g syntax error mandatory field not filled out etc The associated error message can be seen by passing the mouse over the triangle 3 1 Complete OnLine The function Complete Online allows information regarding the specific report to be entered using electronic models that reproduce the paper statements described by the attachments to Resolution 14015 It is also possible to forward the information to CO N SO B and obtain the relative receipt Please refer to the specific chapters on reports for detailed information on these functions 3 2 Send File The function Send File which is only available for structured reports allows a file containing information about a specific report to be sent to CO N SO B and the relative communication receipt to be received By selecting the menu item Send File the page Send File Figure 4 is then displayed from where it is possible Browse button to select the file contained on one s own workstation and then send it Send File button to CO N SO B This function is equivalent to the Complete Online one 9 CONSO COMMISSIONE NAZIONALE 1 PER LE SOCIETA E LA BORSA Select the file containing data of the communication e Browse Send Fite CONSO COMMISSIONE
4. be seen Link details shows the report that has been sent Report Type of information obligation Transmission Complete the web form Online or sending the file Upload Date The date and time of receipt Status This indicates whether the report has been corrected or not If it has been corrected it is possible to view the correction by selecting the link corrected Result This indicates whether the report has been processed and the relative result The possible values are as follows V Received Indicates that the report has been acquired by the System 12 Y Y Refused Indicates that during processing some irregularities in the report were found the description of the irregularities found if present can be seen by keeping the mouse over the red triangle next to the word Refused Substituted This is a result associated with a report corrected by the user The word Substituted indicates that the system has substituted the data present in the report with the data in the relative correcting report 13 3 7 Rectify The Rectify function allows the reports sent to CO N SO B based on some parameters see Search to be selected and then viewed with the possibility of carrying out corrections modifying contents and the transmission information By selecting the menu item Rectify the Search for Rectify page appears where it is possible to select the reports acco
5. operations from this page Change Heading link allows the user to return to the heading page Figure 22 and change the previously entered data Addition of UCI ISIN link This allows the user to access the UCI ISIN page Figure 24 and enter the UCI ISIN code UCI ISIN UCI ISIN CODE AA3456789012 Cancel Confirm Figure 24 Entry of UCI ISIN code It is possible to carry out the following operations from this page Cancel button returns the user to the summary page Figure 23 without making changes to the report s general data Confirm button this carries out the checks on entered data highlighting any errors found if the communication is correct it is saved and then the summary page appears Figure 25 updated with the UCI ISIN code entered UCI ISIN UCI ISIN CODE AA3456789012 Placement Data No Placement has been entered yet Modify UCI Add Placement Legal Entity Add Placement Individual Figure 25 Summary of UCI ISIN code 30 It is possible to carry out the following operations from this page Modify UCT link allows the user to return to the heading page Figure 24 and change the previously entered data about the UCI ISIN code Add Placement Legal Entity Link This link accesses the Placement agent page Figure 26 where it is possible to enter the information on the legal entity placement agent Add Place
6. the report Figure 22 The system automatically displays the data of the Sender Legal person who carried out authentication CONSO COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA List of the placement agents Sender Legal person T TA Companys Name THE COMPANY PAEO t mna feancm ARMAS D Commencementimerruonon and nee Os VICTORIAS STREET 625 LONDON Registered omoes province way ENGLAND Telephone 0044110063113 Notes m t D Data on nancial promotera secos DELETED Contem Logoss Figure 22 Heading of list of the placement agents By selecting the Confirm button the system carries out controls on the entered data highlighting any errors found in the event that the report is correct it is saved and the summary page is then displayed Figure 23 29 List of the placement agents Sender Legal person Company s Name THE COMPANY Corporate Legal Form LTD Abbreviation Tax Code Bank Code Date of incorporation 06 03 1906 dd mmiyyyy Chamber of 111 Registration wm Commerce s Chamber of Registration Number Commerce s Province Street area VICTORIA S STREET 525 Postcode 10222 Registered office s LONDON Registered office s WM Municipality province Country ENGLAND Telephone 0044110063113 Notes No UCI ISIN has been entered yet Change Heading Addition of UCI ISIN Figure 23 Summary of list of the placement agents It is possible to carry out the following
7. 7 Dataonmainticedagents operallons eee 24 Figure 18 Heading of commencement interruption and resumption of investment service PROVISIONS e E Ee eat 20 Figure 19 Summary of commencement interruption and resumption of investment service PROVISIONS acces ee ie cee a ees Sie e se 26 Figure 20 EY Services ad dde 26 Figure 21 Summary with services entered cuiaiciniala ida 27 Figure22 Headingoflistoftheplacementagenits 29 Figure23 Summaryoflistoftheplacementagents 30 Figure 24 Entry of UCI ISIN Code aa il aaa da laa a la b daga l in 30 Figure 25 Summary of UCI ISIN Codes ici 30 Figure26 Entryofplacementagent legalEntiy 31 Figure27 Entr yofplacementagent Individual 31 Figure 28 SummaryofUC ISINCodewithplacementagent 32 Figure 29 Summaryoflistoftheplacementagentsrepor 33 1 Introduction The herein document describes the use of the Remote Data Collection System Access to this system is only permitted for enabled parties and stockbrokers for forwarding reports as foreseen by the Consob resolution no 14015 and later updates The system can only be used by authorised users who have identification codes Username and Pa
8. It is possible to carry out the following operations on this page Change Heading link allows the user to return to the heading page Figure 18 and change the previously entered data Remove Service link removes the entered service Services Management link allows the user to return to the List of Services page Figure 20 and change the previously entered data Send Report button sends the data shown on the summary page to Consob If the sending is successful the Communication completed Figure 8 page appears where by selecting the HTML link the transmission receipt is obtained in the HTML format on which it is possible to carry out the usual operations view print save etc allowed by the browser 27 IMPORTANT The Send Report button only appears when the general information and document required for information obligations have been entered 7 3 Search V See paragraph 3 6 Search 74 Rectify V See paragraph 3 7 Rectify 7 5 Copy from historical list V See paragraph 3 8 Copy from historical list 28 8 List of the placement agents 8 1 Available Functions Complete Online Send XML File Check XML File Search Rectify KS NN NNN Copy from historical list 8 2 Complete Online By activating this function from the menu the system proposes the heading page in which it is possible to enter general information about
9. NAZIONALE 1 PER LE SOCIETW E LA BORSA Select the file containing data of the communication Browse Figure 4 Send File If the file contains formal errors such as inconsistencies in the types of data incorrect or missing values compared to what is set out in Resolution 14015 an error page appears Figure 5 and the relative report is not sent to CO N SO B It is therefore necessary to correct these errors and repeat sending The report contains the following errors IDEGEN tonan OTOR s a1 s st gt 20031006 ONTRi MEGOTLATOSZ 20031004 scii cossos cs SPA 1999010 ALLIIARAIAA 030 2525 poma VIA G B MARTINI Figure 5 Example of incorrect reporting 3 3 Check File The function Check file allows the formal correctness of the file to be sent to CO N SO B to be checked without proceeding with sending it The checks carried out are the same as the ones used in the Send File function If the file is found to be formally correct the message The file is correctly formatted appears Operational modes are similar to the ones described for the Send File function 10 3 4 Send XML File The function Send XML File which is only available for structured reports allows a file containing information about a specific report to be sent to CO N SO B and the relative communication receipt to be received By selecting the menu item Send XML File the page S
10. V CONSO COMMISSIONE NAZIONALE RAY PER LE SOCIETA E LA BORSA Remote Data Collection System SITRAIN Users Manual 22 03 2011 Remote Data Collection System Users Manual C O N SO B Amendment History Date Version Type of amendment 28 01 2011 1 0 Document creation 25 02 2011 1 1 Amendment to the name of the function Complete Online Amendment to the name of the section Documentation on an event basis Update of images 22 03 2011 Remote Data Collection System Users Manual C O N SO B 1 2 Contents Summary troduction a A td es ol yi ohh uses idee abi ade 5 Acc ssing Exiting the Systemerne neip eA oea ae OE NE lets treo 6 2 1 Accessing the Systems alamam Mente Gein Ge Beds leet 6 252 Exiting the Systems siii tit eiii ilce amp i 7 General Functions ii A eee sae aaa es a ah ise ee 8 3 1 Complete OnLine selaml k dee sen cet Ae te alt ae US oct Sark ede e e nda 9 32 Send Ple eee ileal elek lies teat set sab sakala apikal eli ida EEA A 9 3 3 Check hilenin a palm sille dl geleni sa la silisli alli in eons 10 3 4 Send XME Bale ei ae el A A a eee Ee ea 11 359 Check XML Piles sic Sen situs sii nd eee et eiA 11 3 6 CALC O O 11 3 7 REC L Y esses resesyon esi Baa staat se cast totems sess alandada ll den ers ae 14 3 8 Copy from historical Se ia 14 3 9 Report Receipt ciren nected haa ni been aay ean tie 15 List of communications issued withintheho
11. against financial promoters Sender Legal person Company Name THE COMPANY Corporate Abbreviation Legal Form LTD Tax Code Bank Code Date of incorporation 06 03 1906 dd mmiyyyy Chamber of Commerce s 111 Province of Chamber of WM Registration Number Commerce s Registration Streevarea VICTORIA S STREET 525 Postcode 10222 Registered office s LONDON Registered office s province WM Municipality Country ENGLAND Telephone 0044110063113 Notes Provision Change headina Provision Management Send Report Figure 16 Summary of information on provisions taken against tied agents with a provision entered It is possible to carry out the following operations on this page Change Heading link allows the user to return to the heading page Figure 13 and change the previously entered data Provision Management link this allows the user to access the page Figure 15 for entering information about the tied agent and the provisions Send Report button sends the data shown on the summary page to Consob If the sending is successful the Communication completed Figure 8 page appears where by selecting the HTML link the transmission receipt is obtained in the HTML format on which it is possible to carry out the usual operations view print save etc allowed by the browser IMPORTANT The Send Report button only appears when the general information and document requir
12. alse informations Cold Calling and promotion on behalf of unqualified subject Noncompliance with right to privacy art 107 comma 2 RJ a AWA A Ay Missed release of contracts regulations and any other act or document to A AAA al the subscribing customer albeit yet potential art 108 comma 4 second period Ri comma 6 R I and about the registration of orders Jart 109 R 1J Other Al Al Al Compensations or finance funds by customers albeit yet potential art 108 Noncompliance with obligations about the conservation of the documents al 7 Other Specify Noncompliance with exhibition rules and with informative and identifying obligations art 108 commi 1 2 3 e 4 primo period RI Acceptance of ways of payment different from the admitted terms art 108 comma 5 R Receipt or Use of on line access codes to the Customers relevant relationships art 107 comma 1 e 108 comme 7 R I Noncompliance with obligations by d lgs n 231 2007 Provisions taken by the broker Recall El other Specify Suspension Commencement date ddimmiyyyy Suspension End date dd mm yyyy Date of the provision taken by broker dd mm yyyy 01 01 2009 Start year of irregularities 2008 Number of customers involved in Broker s irregularities 2 End year of irregularities Customers Complaint 2009 Yes C No Verifications with the financial
13. ation 01 01 2010 Placement Agent Bank Code Province of Birth Gender Province of Chamber of Commerce s Registration Postcode Province of Residence Telephone Placement data Placement interruption dd mm yyyy Channels Yes No By Remote Extraordinary Events Other Specify Cancel Confirm Yes No Figure 27 Entry of placement agent Individual 31 It is possible to carry out the following operations from these pages Cancel button allows the user to return to the summary page with the code entered Figure 25 Confirm button this checks the data entered highlighting any errors found if the communication is correct the data is saved and then the UCI ISIN summary page appears Figure 28 updated with the placement agent entered UCI ISIN UCI ISIN CODE AA3456789012 Placement Data PLACEMENT AGENTS Remove ROBERT BROWN Remove Modify UCI Add Placement Legal Entity Add Placement Individual Confirm Figure 28 Summary of UCI ISIN Code with placement agent It is possible to carry out the following operations from this page Company Name link This link accesses the Placement agent page Figure 26 where it is possible to modify the information on the legal entity placement agent Name Surname link This link accesses the Placement agent page Figure 27 where it is possible to modify the data entered on the
14. ecta la an Ge eet si laa li li Juli elle alaz N 34 8 7 Copy trom historical lucia e sr senli nene ai 34 Summary of Figures Fig re 5 Accessing MESS ias 6 Figure 2 Exiting the SSA a ei 7 Pipure 3 Welcome Pas e e da e e e 8 Figure 4 Send Fue ad YE MY a A AA e 10 Figure 5 Example of incorrect reporting sindicados 10 A G Searches dso ea ode Aaa ite eat RM A e le oats Stet ty 12 Figure Search Res ulti etter A A A ie ses A ial a eee 12 Figure 8 Communication Completed a di 15 Figure 9 Heading of list of communicationsissuedwithinthehomeState 16 Figure 10 Summary of list of communications issued within the home State without a document attache daori ceases O tes irae aa cee FA 17 Figure 11 Document attached to list of communications issued within the home State 17 Figure 12 Summary of list of communications issued within the home State with a document attached O e 18 Figure 13 Heading of information on provisionstakenagainst ecdagents 19 Figure 14 Summary of information on provisionstakenagainsttiedagents 20 Figure 13 Add POTS A ynam ln mmaz dl iS 21 Figure 16 Summary of information on provisions taken against tied agents with a provision SANE 4 5 Sesscssdebonsacutalassntunegas eaatantodets Saasdoaegerbeatunatatsatanandaneasstaamiadcabetpstadnehanie ka kasis Ke ili Sasi ll 22 Figure 1
15. ed for information obligations have been entered 5 3 Search V See paragraph 3 6 Search For all the reports that so require if the user enters an Italian subject and does not fill out the field Tax Code which is mandatory for Italian persons the system does not send the report and shows the corresponding error message 22 5 4 Rectify The Rectify function allows the reports sent to CO N SO B based on some parameters see Search to be selected and then viewed with the possibility of carrying out corrections modifying contents and the transmission information By selecting the menu item Rectify the Search for Rectify page appears where it is possible to make the selection based on the following optional search parameters V Period of sending report Y Communication mode Filling out the web form On line o invio file Upload The Search button activates the search based on the set parameters and the relative results can be seen on the Search Result page Figure 7 By selecting the details link it is possible to access the original report By using the Prepare Correction button the same report shows the provision details page Figure 15 N B It is possible to correct one report only using the same communication mode Online or Upload used for the original report 5 5 Copy from historical list V See paragraph 3 8 Copy from historical list
16. end XML File is then displayed from where it is possible Browse button to select the file contained on one s own workstation and then send it Send File button to CO N SO B If the file contains formal errors such as inconsistencies in the types of data incorrect or missing values compared to what is set out in Resolution 14015 an error page appears and the relative report is not sent to CO N SO B It is therefore necessary to correct these errors and repeat sending 3 5 Check XML File The function Check XML File allows the formal correctness of the file to be sent to CO N SO B to be checked without proceeding with sending it The checks carried out are the same as the ones used in the Send XML File function If the file is found to be formally correct the message The file is correctly formatted appears Operational modes are similar to the ones described for the Send XML File function 3 6 Search The Search function works to select based on some parameters and then view the reports sent to CO N SO B with the possibility of printing the contents and transmission information By selecting the menu item Search the search page appears Figure 6 where it is possible to select the reports according to the following optional parameters V Period of sending report Y Communication mode Complete the web form on line or sending the file upload This function i
17. for investments SGCS SGSS e Commercialisation of UCIs e Portfolio management e Collective management e Pension funds SICAV e Commercialisation of UCIs Table 1 It is possible to enter the services reference data on this page and carry out the following operations Cancel button returns the user to the summary page Figure 19 without making any changes to the report s general data Confirm button This checks the data entered highlighting any errors found if the communication is correct the data is saved and then the summary page appears Figure 21 updated with the information entered Commencement interruption and new start up of investment service provisions Sender Legal person Company Name THE COMPANY Corporate Abbreviation Legal Form LTD Tax Code Bank Code Date of incorporation 06 03 1906 dd mm yyyy Chamber of Commerce s 111 Province of Chamber of wm Registration Number Commerce s Registration Street area VICTORIA S STREET 525 Postcode 10222 Registered office s LONDON Registered office s province WM Municipality Country ENGLAND Telephone 0044110063113 Notes List of Services Start Date Interruption Date Re start Date dd mmiyyyy Portfolio management 11 10 2010 Remove Service Consultancy services for investments 21 07 2010 Remove Service Pension funds 27 09 2010 Remove Service Change heading Services Management Send Report Figure 21 Summary with services entered
18. g page Figure 18 and change the previously entered data Services management link Allows the user to access the List of Services page Figure 20 and enter the reference dates start date interruption date re start up date concerning services and investment activities NOTE It is necessary to give a value to at least one of the services entering a reference date start interruption re start List of Services Service Start Date dd mm yyyy Interruption Date Re start Date ddimmiyyyy ddimmiyyyy Collective management Portfolio management 11 10 2010 Consultancy services for investments 21 07 2010 Commercialisation of UCIs Pension funds 27 09 2010 Cancel Confirm Figure 20 List of Services The services differ depending on the types of enabled subjects and are summarised in Table 1 Investment Companies e Consultancy services for investments BCA AGC IICCS e Own negotiations IECS TESS e Carrying out of orders on clients behalf e Receipt and transmission of orders e Management of multi lateral negotiation systems e Placement without firm underwriting or guarantee for issuing party e Portfolio management e Underwriting and or placement with firm underwriting or with guarantee for issuing party IFIN e Placement and cold calling e Own negotiations e Carrying out of orders for third parties 26 Saving Companies e Consultancy services
19. inancial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Search Results Transmission On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line On Line Date Status 09 12 2010 11 55 10 Sent 07 12 2010 16 39 11 Corrected 07 12 2010 12 42 15 Sent 06 12 2010 16 35 56 Sent 03 12 2010 09 02 50 Sent 01 12 2010 09 36 20 Sent 01 12 2010 09 35 40 Corrected 01 12 2010 09 35 01 Corrected 01 12 2010 09 33 41 Corrected 01 12 2010 09 25 14 Sent 30 11 2010 14 30 13 Sent 29 11 2010 17 52 47 Sent 29 11 2010 17 04 14 Corrected 29 11 2010 15 59 29 Corrected 29 11 2010 15 04 16 Sent 29 11 2010 14 57 13 Sent 26 11 2010 14 14 36 Sent 24 11 2010 13 33 45 Sent 22 11 2010 14 58 45 Sent 22 11 2010 11 31 07 Sent 18 11 2010 19 23 33 Sent Result Received Received Received Received Received Received Received Received Received Received Received Received Received Received Received Received Received Received Received Received Received Figure 7 Search Result The following information about the selected communications can
20. individual placement agent Remove link removes the entered placement agent Modify UCT link allows the user to return to the heading page Figure 24 and change the previously entered data about the UCI ISIN code Add Placement legal entity Link This link accesses the Placement agent page Figure 26 where it is possible to enter the information on the legal entity placement agent Add Placement individual Link This link accesses the Placement agent page Figure 27 where it is possible to enter the information on the individual placement agent Confirm button this checks the data entered and then displays the report summary page Figure 29 updated with the UCI ISIN code entered 32 List of the placement agents Sender Legal person Company Name THE COMPANY Corporate Abbreviation Legal Form LTD Tax Code Bank Code Date of incorporation 06 03 1906 ddimmiyyyy Chamber of Commerce s 111 Province of Chamber of WM Registration Number Commerce s Registration Streevarea VICTORIA S STREET 525 Postcode 10222 Registered office s LONDON Registered office s province WM Municipality Country ENGLAND Telephone 0044110063113 Notes AA3456789012 Removel Change Heading Addition of UCIISIN Send Report Figure 29 Summary of list of the placement agents report It is possible to carry out the following operations from this page UCI ISIN Code link allows the user to retur
21. meState 16 4 1 Available Funct ons naa iris 16 4 2 _ Complete Online rt sh genele Sa aslen spesiyal slime ety akal atesi 16 4 3 SE A A N ts Ye e ANO 18 4 4 REG Y O RR IO 18 mformationonprovisionstakenagainsttiedagents 19 5 1 Available PUnCtons tivos iii sn sile dere 19 3 27 lt Complete Online ae ee ad eat adi eis 19 5 3 SEACH YY EE YE YMY e KY 22 o SRO A NI 23 5 5 Copy trom historical litio ii di 23 Data on tied agents Operations comio iia e l la Sl E siler Say cone 24 6 1 Available PONCE a Ge a 24 6 2 Send XM sy Pl A A AA E es ileal alani CA ae 24 63 Check XML Filete sats esto aamir ia R e 24 6 4 O A A O RON 24 6 5 RECULY 5 5001 Semer aleni el galaya A e nal dalla Sem elt hee ila aa 24 Commencement interruption and resumption of investment service pTovisions 25 7 1 Available Punch ons se a 8 seen ine asia 25 7 2 Complete Online x cesante an amasya bimer e alama yeleli miz 25 7 3 Car Cheese sie A e peel A le e A 28 O e A A O ilde sell eker belen Haebele il ili eee s z 28 7 5 Copy from historical toi iaa il nie airia ie linde 28 Histo the placement agents Sensini san E EAE Lil la a ET E E E ieee 29 8 1 Available Functions 41 lay a an le anla an te ee hee 29 82 Complete Online 29 8 3 Send XML P E scree A 33 5 4 Check XML Eleneren ies eli dai id 33 8 5 O YY NE KE A KE ee Ea eat 34 8 0 R
22. ment Individual Link This link accesses the Placement agent page Figure 27 where it is possible to enter the information on the individual placement agent Type Company Name Corporate Abbreviation Tax Code Date of incorporation dd mmiyyyy Chamber of Commerce s Registration Number Streetiarea Registered office s Municipality Country Placement Start dd mm yyyy In offices Starting date of validity dd mm yyyy PLACEMENT AGENTS Mandatory for Itslian Persons 06 01 2007 25 30 BANK STREET LONDON ENGLAND 21 07 2008 Yes No C Off site Liquidation m 12 07 2009 Placement Agent Legal Form Bank Code Province of Chamber of Commerce s Registration Postcode Registered office s province yyy Telephone Placement data Placement interruption dd mm yyyy Channels Yes No By Remote Extraordinary Events Other Specify Cancel Confirm 0044 020 7102 1000 Yes C No Figure 26 Entry of placement agent Legal Entity Name Type Surname Tax Code Place of Birth Date of Birth dd mm yyyy Place of Residence Country Placement Startiddimmiyyyy In offices Starting date of validity dd mm yyyy BROWN ROBERT Obbligatorio per soggetti italiani LONDON 21 11 1976 Chamber of Commerce s Registration Number Streevarea 25 30 BANK STREET LONDON ENGLAND 01 01 2009 Yes No Off site Liquid
23. n the home State gt Apri DELETED Tipo file Tutti file C Anula Logout List of communications issued within the home State Sfoglia Attach File Figure 11 Document attached to list of communications issued within the home State In this page it is possible to e Attach the document by selecting the Browse button e Confirm the selected attachment by selecting the Attach file button 17 After selecting this button the system shows the summary page Figure 12 containing the summary of the general information about the report and the selected document Companys Name THE COMPANY List of communications issued within the home State Sender Legal person Corporate Abbreviation Legal Form LTD Tax Code Bank Code Date of incorporation 06 03 1906 dd mmiyyyy Chamber of Commerce s 111 Registration Chamber of WM Registration Number Commerce s Province Street area VICTORIA S STREET 525 Postcode 10222 Registered office s LONDON Registered office s province WM Municipality Country ENGLAND Telephone EH 004411006113 Y Administrative Reference ROBERT BROWN Reference Date 30 06 2009 Technical Reference PAUL WHITE Reference Year 2008 Notes Change heading List of communications issued within the home State List of communications issued within the home State doc Remove Attachment Send Report Figure 12 Summary of list of communications issued within the home State with a docume
24. n to the UCI ISIN page Figure 28 and change the previously entered data on the UCI ISIN and placement agent entered Remove link removes the UCI ISIN code entered Change Heading link allows the user to return to the heading page Figure 22 and change the previously entered data Addition of UCI ISIN link This allows the user to access the UCI ISIN page Figure 24 and enter a new UCI ISIN code Send Report button sends the data shown on the summary page to Consob If the sending is successful the Communication completed Figure 8 page appears where by selecting the HTML link the transmission receipt is obtained in the HTML format on which it is possible to carry out the usual operations view print save etc allowed by the browser IMPORTANT The Send Report button only appears when the general information and document required for information obligations have been entered 8 3 Send XML File V See paragraph 3 4 Send XML File 8 4 Check XML File V See paragraph 3 5 Check XML File 33 8 5 Search V See paragraph 3 6 Search 8 6 Rectify V See paragraph 3 7 Rectify 8 7 Copy from historical list V See paragraph 3 8 Copy from historical list 34
25. ns and technical explications send requests by email to the address teleraccolta consob it Login User Password Login SECURITY The communication system uses SSL protocol version 3 128 bit to encrypt the contents The minimum browser requirements for certificates with 128 bit SSL are as follows e Microsoft Internet Explorer 6 x e Mozilla Firefox 3 6 x Please check the browser type used and its level of encryption Figure 1 Accessing the system The Login button activates the access control function and if the parameters entered correspond to a valid system user the Welcome page then appears Figure 3 otherwise an error is reported with the message Account not valid try again and it is necessary to change the identification data to access the system 2 2 Exiting the System By selecting the item Logout from the menu the remote data collection system exit page then appears Figure 2 gt The Continue button allows the user to exit the work session and return to the System Access page Figure 1 to connect to the system with a new user The Cancel button allows the user to continue using the system for the current work session CONSO COMMISSIONE NAZIONALE D PER LE SOCIETA E LA BORSA You are about to leave Teleraccolta PERIODIC DOCUMENTATION DOCUMENTATION ON AN EVENT BASIS STRUCTURED DATA DELETED Logout
26. nt attached It is possible to carry out the following operations on this page Remove Attachment link this selection removes the relative document Change Heading link allows the user to return to the heading page Figure 9 and change the previously entered data Send Report button sends the data shown on the summary page to Consob If the sending is successful the Communication completed Figure 8 page appears where by selecting the HTML link the transmission receipt is obtained in the HTML format on which it is possible to carry out the usual operations view print save etc allowed by the browser IMPORTANT The Send Report button only appears when the general information and document required for information obligations have been entered 4 3 Search V See paragraph 3 6 Search 4 4 Rectify V See paragraph 3 7 Rectify 18 5 Information on provisions taken against tied agents 5 1 Available Functions Complete Online Search Rectify Copy from historical list 5 2 Complete Online By activating this function from the menu the system proposes the heading page in which it is possible to enter general information about the report Figure 13 The system automatically displays the data of the Sender Legal person who carried out authentication CONSO COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA ERIODIC DOCUMENTATION information on provisi
27. on who carried out authentication CONSO COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA PERIODIC DOCUMENTATION Commencementinterruption and new start up of investment service provisions Sender Legal person Notes P Laat of the the Slacement apena gt Data on financial promoters face ator DELETED Coram Logout gt Figure 18 Heading of commencement interruption and resumption of investment service provisions By selecting the Confirm button the system carries out controls on the entered data highlighting any errors found in the event that the report is correct 1t is saved and the summary page is then displayed Figure 19 25 Commencement interruption and new start up of investment service provisions Sender Legal person Company Name THE COMPANY Corporate Abbreviation Legal Form LTD Tax Code Bank Code Date of incorporation 06 03 1906 dd mmiyyyy Chamber of Commerce s 111 Province of Chamber of WM Registration Number Commerce s Registration Streetarea VICTORIA S STREET 525 Postcode 10222 Registered office s LONDON Registered office s province WM Municipality Country ENGLAND Telephone 0044110063113 Notes Change heading Services Management Figure 19 Summary of commencement interruption and resumption of investment service provisions It is possible to carry out the following operations from this page Change Heading link allows the user to return to the headin
28. ons taken against financial promoters DOCUMENTATION ON AM EVENT Sender Legal person BASS eats Home THE COMPANY NCTORA S STREET 525 ENGLAND Telechone 0044110063113 Notes Contin Figure 13 Heading of information on provisions taken against tied agents By selecting the Confirm button the system carries out controls on the entered data highlighting any errors found in the event that the report is correct it is saved and the summary page is then displayed Figure 14 19 Company Name Corporate Abbreviation Tax Code Date of incorporation ddimmiyyyy Chamber of Commerce s Reaistration Number Street area Registered office s Municipality Country Notes Information on provisions taken against financial promoters Sender Legal person THE COMPANY 06 03 1906 111 VICTORIA S STREET 525 LONDON ENGLAND No Provision has been entered yet Change heading Legal Form Bank Code Province of Chamber of Commerce s Registration Postcode Registered office s province Telephone Provision Management LTD WM 10222 WM 0044110063113 Figure 14 Summary of information on provisions taken against tied agents It is possible to carry out the following operations from this page Change Heading link allows the user to return to the heading page Figure 13 and change the previously entered data Provision Management link this allows the user to acces
29. promoter M Minutes of the inspection performed where the documents are preserved a Meeting Minutes E Documents acquisition Type of Documents acquired Verifications with Customer A Meeting Minutes M Documents issued by Customers Type of Documents issued by Customers Damage complained about by Customers Yes C No Euro entity Damage caused to customers and verified by the broker yes No E Euro entity Compensation for damage or settlement paymentforthe yes No E Euro entity customers from the broker Compensation for damage or settlement paymentforthe yes No Euro entity customers from the broker Judicial Authority s report by the broker or customers o yes No C Information requests by judicial authorities Yes No C Report by broker pursuant to the Legislative Decree Yes C No nr 231 2007 ET Figure 15 Add Provision 21 It is possible to enter information about the tied agent and the provision on this page and carry out the following operations Cancel button returns the user to the summary page Figure 14 without making any changes to the report s general data Confirm button This checks the entered data highlighting any errors found if the communication is correct it is saved and then the summary page of the provisions taken against the tied agents appears Figure 16 updated with the information entered Information on provisions taken
30. rding to the following optional parameters V Period of sending report Y Communication mode Complete the web form On line or sending the file Upload The Search button activates the search based on the set parameters and the relative results can be seen on the Search Result Figure 7 By selecting the details link it is possible to access the original report By pressing the Prepare Correction button the same report appears to the user in a format wherein the data can be modified for correction purposes N B It is possible to rectify one report only using the same communication mode Online or Upload used for the original report 3 8 Copy from historical list The Copy from historical list function allows the reports sent to CO N SO B based on some parameters see Search to be selected and then viewed with the possibility of creating a new report starting with the contents of a previously sent report By selecting the menu item Copy from historical list the Search for Copy from historical list page appears where it is possible to select the reports according to the following optional parameters V Period of sending report Y Communication mode Complete the web form web On line or sending the file Upload The Search button activates the search based on the set parameters and the relative results can be seen on the Search Result page Figure 7 By selec
31. rovince WM Municipality Country ENGLAND Telephone G 004411006113 Y Administrative Reference ROBERT BROWN Reference Date 30 06 2009 Technical Reference PAUL WHITE Reference Year 2008 Notes Change heading List of communications issued within the home State Sfoglia Attach File Figure 10 Summary of list of communications issued within the home State without a document attached It is possible to carry out the following operations from this page Change Heading link allows the user to return to the report heading page Figure 9 and change the previously entered data To send the report it is necessary to attach a document It is possible to select the document to be attached Browse button cancel the selection Cancel button returning to the previous page or confirm the document entry Confirm button and view the summary page Figure 12 containing the summary of the general information of the report and the selected document Ge Bea ern es narn I Scegliere file caer a ree N resolutions doc Registered office s province WM recenti E Telephone EH 004411006113 Y P List of communications issuq Desktop Reference Date 30 06 2009 the home State Reference Year 2008 e Complete Online D i Search e Rectify DOCUMENTATION ON AN El Risorse del BASIS computer Change heading STRUCTURED DATA Risorse direte Nome file List of communications issued withi
32. s equivalent to the Complete OnLine one 11 FROM dd mm yyyy TO dd mmiyyyy CHANNEL SEARCH Search Parameters FORMWE UPLOAD Figure 6 Search The Search button activates the search based on the set parameters seen on the Search Result page Figure 7 and the relative results can be Report Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against financial promoters Details Information on provisions taken against f
33. s the page Figure 15 for entering information about the tied agent and the provisions 20 Financial promoter Sender Legal person Surname BROWN Name ROBERT Postcode Mandatory for Italian Persons Place of Birth LONDON E i Date of Birth ddmmiywy 01 01 1970 Chamber of Commerce s Registration Number Streevarea 25 30 BANK STREET Place of Residence LONDON Country ENGLAND Bank Code Province of Birth Gender MS Province of Chamber of Commerce s Registration Postcode Province of Residence Telephone Information about provisions Sole agent s violations art 31 comma 2 TUF Abusive exercise of the profession art 166 TUF al aa Noncompliance with limits of the activity field art 104 R 1 Irregularity Found ica E F Abusive reminder Part IV Title II Head TUF Failure to comply with obligations by Promoters towards the Organism art 103 RAJ Acquisition of exclusive qualities or exercise of exclusive activities art 106 Ral Noncompliance with general rules of diligence fairness and transparency art 107 comma 1 RI Completion ofinadequate operations Omitted transmission of investment operations Improvement of operations not authorized by customer Acquisition of customers relevant amount because of distraction too Receipt of pre signed blank forms Customer s signature forgery Communication off
34. see the receipt of the communication press HTML DOCUMENTATION ON AN EVENT BASIS ji AT DELETED Logout Figure Communication Completed 15 4 List of communications issued within the home State 4 1 Available Functions Y Complete Online V Search Y Rectify 4 2 Complete Online By activating this function from the menu the system proposes the heading page in which it is possible to enter general information about the report Figure 9 The system automatically displays the data of the Sender Legal person who carried out authentication CONSO COMMISSIONE NAZIONALE a PER LE SOCIETN E LA BORSA List of communications issued within the home State il NTATI Sender Legal person Cenan Figure 9 Heading of list of communications issued within the home State By selecting the Confirm button the system carries out controls on the entered data highlighting any errors found in the event that the report is correct 1t is saved and the summary page is then displayed Figure 10 16 List of communications issued within the home State Sender Legal person Companys Name THE COMPANY Corporate Abbreviation Legal Form LTD Tax Code Bank Code Date of incorporation 06 03 1906 dd mmiyyyy Chamber of Commerce s 111 Registration Chamber of WM Registration Number Commerce s Province Streetarea VICTORIA S STREET 525 Postcode 10222 Registered office s LONDON Registered office s p
35. ssword issued to them by Consob In order to use the remote data collection system a standard Internet browser is required with no other additional component The minimum browser requirements are as follows gt Mozilla Firefox 3 6 x gt Microsoft Internet Explorer 6 x The document below contains a description of the methods for using the various functions for each case of reporting The manual is set out as follows V Chapter 2 Accessing Exiting the system Describes the system access methods Y Chapter 3 General Functions Describes the management modes Send Search Display etc shared by all the reports V Chapter 4 and following Describes the management modes Send Search Display etc showed in detail in each report 2 Accessing Exiting the System 2 1 Accessing the system On opening the application the System Access page can be seen Figure 1 where the identification codes Username and Password provided by Consob must be entered SUPERVISED ENTITIES Teleraccolta System The access to the System is allowed to authorized persons and agents of change for the submission of communications estabilished by Resolution No 17297 To access the communications system it is necessary to get the access codes username and password issued by Consob In case you find some difficulties by using the communication system or if you need some informatio
36. ting the Details link it is possible to view the report that is to be used as the original for the copy By selecting a report which has a Corrected status the original report is accessed but without the possibilityof correcting it From here the user has the possibility via the link The communication has been corrected To see the details of the new communication press here to access the correctable version and then correct the latter The System does not allow the automatic re use of attachments found in the original report for the copy from historical list version This is in order to avoid incorrect sending of documents from previous reports 14 N B It is not possible to copy a report sent via upload in this case the system will send the following message The communication has been sent via file therefore it cannot be copied from the historical list 3 9 Report Receipt If the report sending was successful via the Complete OnLine Send File Rectify or Copy from historical list functions the Communication completed Figure 8 page appears where by selecting the HTML link the transmission receipt is obtained in the HTML format on which it is possible to carry out the usual operations view print save etc allowed by the browser f CONSO COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA the report has been sent successfully PERIODIC DOCUMENTATION To
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