{"id":15165,"date":"2020-12-16T10:40:48","date_gmt":"2020-12-16T09:40:48","guid":{"rendered":"https:\/\/ebi.sefin.it\/?page_id=15165"},"modified":"2024-09-30T10:33:14","modified_gmt":"2024-09-30T08:33:14","slug":"supervisory-reporting-securities-investment-firms-sim","status":"publish","type":"page","link":"https:\/\/ebi.sefin.it\/en\/supervisory-reporting-securities-investment-firms-sim\/","title":{"rendered":"Supervisory reporting for Securities Investment firms (SIM)"},"content":{"rendered":"<p><em>SIMs (securities investment firms) are investment firms authorized to carry out investment services or activities pursuant to the Consolidated Law on Finance (TUF). Investment services and activities refer to the following functions, relating to financial instruments:<\/em><\/p>\n<ul>\n<li><em>dealing on own account<\/em><\/li>\n<li><em>execution of orders on behalf of customers<\/em><\/li>\n<li><em>underwriting and\/or placement on a firm commitment basis or with the provision of a guarantee to the issuer<\/em><\/li>\n<li><em>placement not on a firm commitment basis nor with the provision of a guarantee to the issuer<\/em><\/li>\n<li><em>portfolio management<\/em><\/li>\n<li><em>reception and transmission of orders<\/em><\/li>\n<li><em>investment advice<\/em><\/li>\n<li><em>management of multilateral trading facilities.<\/em><\/li>\n<\/ul>\n<p><em>SIMs are subject to supervision by the Bank of Italy and by Consob and are entered in a register held by Consob. In accordance with Article 11 of the TUF, SIM groups are entered in a register held by the Bank of Italy and are subject to consolidated supervision<\/em> (from <a href=\"https:\/\/www.bancaditalia.it\/compiti\/vigilanza\/intermediari\/index.html?com.dotmarketing.htmlpage.language=1\">https:\/\/www.bancaditalia.it\/compiti\/vigilanza\/intermediari\/index.html?com.dotmarketing.htmlpage.language=1<\/a> ).<\/p>\n<p>&nbsp;<\/p>\n<h2>VIP ERMES: the solution for your supervisory reporting<\/h2>\n<p>SEFIN is able to handle the supervisory reporting of the Securities investment firms:<\/p>\n<ul>\n<li>SURVEY T \u2013 assets, liabilities and income statement<\/li>\n<li>SURVEY S \u2013 portfolio financial instruments and repurchase (if dealing on own account)<\/li>\n<li>SURVEY U \u2013 investment services reporting<\/li>\n<li>COREP_PRUI_IND \u2013 prudential reporting (own funds, credit risk, capital requirement, etc.)<\/li>\n<li>COREP_LEXI_IND \u2013 prudential reporting (big exposures)<\/li>\n<li>COREP_LCR_IND \u2013 liquidity coverage reporting<\/li>\n<\/ul>\n<h3><\/h3>\n<h2><strong>CONTACT US FOR ANY INFORMATION<\/strong><\/h2>\n<!--noptimize--><div class=\"rmagic rm_theme_matchmytheme rm_layout_label_top\"><style><style> #form_20_1 ::-webkit-input-placeholder {color:#ffffff;} #form_20_1 ::-moz-placeholder { color: red; 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}span.help-inline, span.help-block { color: #888; font-size: .9em; font-style: italic; }<\/style><form novalidate onsubmit=\"return gotonext_form_20_1()\" autocomplete=\"off\"  action id=\"form_20_1\" method=\"post\" class=\"rmagic-form rmagic-form-btn-center form-horizontal\" name=\"rm_form\" number=\"1\" style=\"border-color: rgb(44, 187, 255); border-width: 1px; border-style: none; padding: 20px; background-repeat: no-repeat; border-radius: 2px; background-color: rgb(249, 249, 249); background-image: url(&quot;https:\/\/ebi.sefin.it\/wp-content\/uploads\/2020\/11\/CONVEGNO-ASSILEA-SALES-DIGITAL-TRASFORMATION-scaled.jpg&quot;);\"><fieldset><input type=\"hidden\" name=\"rm_form_sub_id\" value=form_20_1><input type=\"hidden\" name=\"rm_form_sub_no\" value=1><input type=\"hidden\" name=\"rm_cond_hidden_fields\" id=\"rm_cond_hidden_fields\" value=\"\"><div id=\"rm_stat_container\"><div class=\"rmrow\"><div class=\"rmfield\" for=\"form_20_1-element-1\" style=\"\"><label>RM_Stats<\/label><\/div><div class=\"rminput\"><input type=\"text\" name=\"stat_id\" value=\"__uninit\" style=\"display:none\" id=\"form_20_1-element-1\"\/><\/div><\/div><\/div><div class=\"rm_form_page rmformpage_form_20_1\" id=\"rm_form_page_form_20_1_1\"><fieldset class='rmfieldset'><div class=\"rmrow\"><div class=\"rmfield\" for=\"form_20_1-element-5\" style=\"color: rgb(51, 51, 51);\"><label><span><i class=\"material-icons rm_front_field_icon\" style=\"padding:3px;font-size:18px;color:#43AEE5;background-color:#FFFFFF;border-radius:100px\" id=\"id_show_selected_icon\" data-opacity=\"1\">&#xe150;<\/i><\/span>Name<sup class=\"required\">&nbsp;*<\/sup><\/label><\/div><div class=\"rminput\"><input type=\"text\" name=\"Textbox_152\" required style=\"border-width: 0px; border-style: none; color: rgb(51, 51, 51); background-color: rgb(255, 255, 255); outline: rgb(255, 255, 255) solid 1px; border-color: rgb(255, 255, 255); border-radius: 0px;\" labelstyle=\"color: rgb(51, 51, 51);\" id=\"form_20_1-element-5\"\/><\/div><\/div><div class=\"rmrow\"><div class=\"rmfield\" for=\"rm_reg_form_email_20_1\" style=\"color: rgb(51, 51, 51);\"><label><span><i class=\"material-icons rm_front_field_icon\" style=\"padding:3px;font-size:18px;color:#43AEE5;background-color:#FFFFFF;border-radius:100px\" id=\"id_show_selected_icon\" data-opacity=\"1\">&#xe158;<\/i><\/span>Email<sup class=\"required\">&nbsp;*<\/sup><\/label><\/div><div class=\"rminput\"><input type=\"email\" name=\"Email_153\" class=\"rm_form_default_fields\" required style=\"border-width: 0px; border-style: none; color: rgb(51, 51, 51); background-color: rgb(255, 255, 255); outline: rgb(255, 255, 255) solid 1px; border-color: rgb(255, 255, 255); border-radius: 0px;\" labelstyle=\"color: rgb(51, 51, 51);\" id=\"rm_reg_form_email_20_1\"\/><\/div><\/div><div class=\"rmrow\"><div class=\"rmfield\" for=\"form_20_1-element-7\" style=\"color: rgb(51, 51, 51);\"><label><span><i class=\"material-icons rm_front_field_icon\" style=\"padding:3px;font-size:18px;color:#43AEE5;background-color:#FFFFFF;border-radius:100px\" id=\"id_show_selected_icon\" data-opacity=\"1\">&#xeb3f;<\/i><\/span>Company<\/label><\/div><div class=\"rminput\"><input type=\"text\" name=\"Textbox_154\" style=\"border-width: 0px; 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border-style: none; color: rgb(51, 51, 51); background-color: rgb(255, 255, 255); outline: rgb(255, 255, 255) solid 1px; border-color: rgb(255, 255, 255); border-radius: 0px;\" labelstyle=\"color: rgb(51, 51, 51);\" id=\"form_20_1-element-9\"><\/textarea><\/div><\/div><div class=\"rmrow\"><div class=\"rmfield\" for=\"form_20_1-element-10\" style=\"color: rgb(51, 51, 51);\"><label><span><i class=\"material-icons rm_front_field_icon\" style=\"padding:3px;font-size:18px;color:#000000;background-color:#FFFFFF;border-radius:0px\" id=\"id_show_selected_icon\" data-opacity=\"1\">&#xe88e;<\/i><\/span>Privacy Policy<sup class=\"required\">&nbsp;*<\/sup><\/label><\/div><div class=\"rminput\"><ul class=\"rmradio\" style=\" color: rgb(51, 51, 51)\";><li><span class=\"rm-pricefield-wrap\"> <input id=\"form_20_1-element-10-0\" type=\"checkbox\" name=\"Checkbox_1325[]\" required rm_textbox=\"User Input\" style=\"border-width: 0px; border-style: none; color: rgb(51, 51, 51); background-color: rgb(255, 255, 255); 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\n\t\t});            \n                   \n                   jQuery(\"#rm_reg_form_email_20_1\").change(function(){\n                   var data = {\n                           'action': 'rm_user_exists',\n                           'rm_sec_nonce': '598e6d5360',\n                           'rm_slug': 'rm_user_exists',\n                           'email': jQuery(this).val(),\n                           'attr': 'data-rm-valid-email',\n                           'form_id':\"20\"\n                   };\n                   \n                   rm_user_exists(this,rm_ajax_url,data);\n                  \n                 });\n           }); <\/script><\/pre>        <noscript>\n            <div class=\"rm-js-disabled\"><b>Note: It looks like JavaScript is disabled in your browser. 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JavaScript settings are usually found in Browser Settings or Browser Developer menu.<\/b><\/div>\n            <style>\n                .rm_next_btn {display:none !important}\n                .rm_noscript_btn {display: block !important}\n            <\/style>\n        <\/noscript>\n    <\/div><\/div><!--\/noptimize-->\n","protected":false},"excerpt":{"rendered":"<p>SIMs (securities investment firms) are investment firms authorized to carry out investment services or activities pursuant to the Consolidated Law&#8230; <\/p>\n<div class=\"clear\"><\/div>\n<p><a href=\"https:\/\/ebi.sefin.it\/en\/supervisory-reporting-securities-investment-firms-sim\/\" class=\"excerpt-read-more\">Read More \u2192<\/a><\/p>\n","protected":false},"author":777,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"class_list":["post-15165","page","type-page","status-publish","hentry","page_category-solutions"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.1.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Supervisory reporting for Securities Investment firms (SIM) - SEFIN s.p.a. | EBI - Easy Banca d&#039;Italia<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/ebi.sefin.it\/en\/supervisory-reporting-securities-investment-firms-sim\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Supervisory reporting for Securities Investment firms (SIM) - SEFIN s.p.a. | EBI - Easy Banca d&#039;Italia\" \/>\n<meta property=\"og:description\" content=\"SIMs (securities investment firms) are investment firms authorized to carry out investment services or activities pursuant to the Consolidated Law... 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