Regulation on the Content and Method of Keeping Registers for Pension Management Companies Managing Mandatory Pension Funds and Mandatory Pension Funds – Unofficial Consolidated Text (NN, No. 52/14, 39/17 and 34/22)

REGULATION ON THE CONTENT AND METHOD OF KEEPING REGISTERS FOR PENSION MANAGEMENT COMPANIES MANAGING MANDATORY PENSION FUNDS AND MANDATORY PENSION FUNDS (Official Gazette No. 52/2014, 39/2017, 34/2022 – Unofficial Consolidated Text)

INTRODUCTORY PROVISIONS Article 1. This Regulation governs the content and method of keeping registers for pension management companies managing mandatory pension funds to which the Croatian Financial Services Supervisory Agency (HANFA) has issued a license for establishment and operation, as well as the register of mandatory pension funds managed by said companies.

Article 2. Certain terms used in this Regulation have the following meanings:

1. Agency means the Croatian Financial Services Supervisory Agency (HANFA).
2. Act means the Mandatory Pension Funds Act (Official Gazette No. 19/2014).
3. Pension management company means a company managing mandatory pension funds.
4. Pension fund means a mandatory pension fund.

REGISTRATION OF DATA AND MAINTENANCE OF REGISTERS Article 3. (1) The registration and amendment of data in the registers referred to in Article 1 of this Regulation are carried out based on received data and notifications from pension management companies, as well as ex officio. (2) The registers referred to in Article 1 of this Regulation are maintained electronically in accordance with the provisions of this Regulation, and the data are available on the Agency’s official website.

DATA TO BE REGISTERED Article 4. (1) The following data shall be registered in the pension management companies register referred to in Article 1 of this Regulation:

1. company name,
2. registered office,
3. OIB (Personal Identification Number),
4. entity registry number (MBS),
5. date of issuance of the operating license,
6. date of withdrawal of the operating license,
7. share capital,
8. business activities,
9. date of issuance of the operating license concerning the activities under Article 7(1)(b) of the Act,
10. date of withdrawal of the operating license concerning the activities under Article 7(1)(b) of the Act,
11. date of adoption of the decision establishing the expiration of the operating license for a pension management company,
12. contact details (email address, website, telephone, fax),
13. management board (first and last name, position and authorization for representation, OIB, place of residence, date of license issuance, date of appointment, date of termination, date of license withdrawal, date of birth, telephone, email),
14. authorized signatories (first and last name, position and authorization for representation, OIB, place of residence, date of appointment, date of termination, date of birth, telephone, email),
15. supervisory board (first and last name, position, OIB, place of residence, date of license issuance, date of appointment, date of termination, date of license withdrawal, date of birth, telephone, email),
16. members of the pension management company (company name or first and last name, OIB, registered office or place of residence, ownership share in percentage, date of birth, telephone, email),
17. deregistration of the pension management company,
18. auditor of the pension management company (company name, registered office, OIB, telephone, email).
19. unique identifier (LEI) (2) The data listed in paragraph 1, items 1, 2, 3, 8, 12, and 19 of this Article shall be published in accordance with Article 3(2) of this Regulation.

Article 5. (1) The following data shall be registered in the pension funds register referred to in Article 1 of this Regulation:

1. name of the pension fund,
2. category of the pension fund,
3. company name of the pension management company,
4. OIB (Personal Identification Number),
5. ISIN code (number),
6. date of approval for the establishment and management of pension funds,
7. date of withdrawal of approval for the establishment and management of pension funds,
8. date of cessation of operations of the pension fund,
9. custodian of the pension fund (company name, registered office, OIB),
10. auditor of the pension fund (company name, registered office, OIB, telephone, email),
11. deregistration of the pension fund,
12. status change of the fund.
13. unique identifier (LEI) (2) The data listed in paragraph 1, items 1, 2, 3, 4, and 13 of this Article shall be published in accordance with Article 3(2) of this Regulation.

SUBMISSION OF DATA Article 6. (1) A pension management company to which the Agency has issued an operating license must, without delay after registration in the court register, submit to the Agency the data referred to in Article 4 of this Regulation that are not registered ex officio by the Agency. (2) The pension management company registers accurate and up-to-date data from Article 4 of this Regulation electronically and submits them on the prescribed form set out in Annex 1 to this Regulation. The Agency will publish the form from Annex 1 on its website. (3) When submitting data under Article 4 of this Regulation, the last page of the form from Annex 1 must be signed by persons authorized to represent the pension management company. (4) The pension management company must, without delay from the date of knowledge, submit to the Agency the data referred to in Article 5(1), items 4, 5, 8, 10, and 12 of this Regulation, in the manner prescribed by Article 8a of this Regulation.

DATA REGISTERED EX OFFICIO BY THE AGENCY Article 7. The Agency ex officio registers in the registers referred to in Article 1 of this Regulation the data from Article 4(1), items 6, 9, 10, 11, and 17, as well as items 13 and 15 (date of withdrawal of license), and the data from Article 5(1), items 1, 2, 3, 6, 7, 9, and 11 of this Regulation.

AMENDMENT OF DATA Article 8. (1) Data registered in the registers referred to in Article 1 of this Regulation must be accurate and up-to-date. If changes occur to the data under Article 4 or Article 5 of this Regulation that are not registered ex officio by the Agency, the pension management company must notify the Agency without delay in the manner prescribed by Article 8a of this Regulation. Along with such notification, the pension management company must submit documentation proving the change, as prescribed by Article 8a of this Regulation. (2) The pension management company must without delay notify the Agency of any identified inaccurate data published in the registers and submit the correct data for registration along with documentation proving the change, as prescribed by Article 8a of this Regulation.

ELECTRONIC SUBMISSION Article 8a. (1) The pension management company must submit to the Agency data and documentation under Article 6(4) and Article 8 of this Regulation in accordance with the Technical Instruction for Using the Web Form Entry Service and Electronic Document Submission, the Instructions for Filling Out Web Forms for Pension Management Companies, and the Instructions for Filling Out Web Forms for Funds. (2) The pension management company is deemed to have submitted data and documentation under Article 6(4) and Article 8 of this Regulation at the moment when such data and documentation are recorded on the server for sending such documents. (3) In justified cases of technical inability to submit or improperly executed submission (e.g., system failure, inability to read received documents, etc.) in the manner prescribed by paragraph 1 of this Article, the pension management company must submit data and documentation in written form, either directly or by post, for timely reporting. The pension management company must submit data and documentation in the manner prescribed by paragraph 1 of this Article as soon as the reasons for inability cease, and no later than within 8 days from the cessation of circumstances causing the technical inability. (4) The Agency may, if necessary, request a pension management company to submit specific documentation prescribed by this Regulation in original or certified copy form, regardless of the electronic submission already made.

FIRST PUBLICATION OF REGISTERS Article 9. Within 30 days from the date of entry into force of this Regulation, pension management companies must submit to the Agency data under Article 4 and Article 5 of this Regulation on the forms set out in Annex 1 and Annex 2 to this Regulation, in the manner prescribed by Article 6(2) and (3) of this Regulation.

FINAL PROVISIONS Article 10. This Regulation enters into force on the eighth day following its publication in the Official Gazette (Narodne novine).

Form OMD (Pension Management Company Form) – ANNEX 1 CROATIAN FINANCIAL SERVICES SUPERVISORY AGENCY REGISTER OF PENSION MANAGEMENT COMPANIES MANAGING MANDATORY PENSION FUNDS DATA FOR THE PENSION MANAGEMENT COMPANY: Company Name: Registered Office: OIB (Personal Identification Number): Entity Registry Number (MBS): LEI: Share Capital: Business Activities: Contact Details: (email) (website) (telephone) (fax) Management Board: 1 (first and last name) (position and authorization for representation) (OIB) (place of residence) (date of license issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) 2 (first and last name) (position and authorization for representation) (OIB) (place of residence) (date of license issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) 3 (first and last name) (position and authorization for representation) (OIB) (place of residence) (date of license issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) Authorized Signatories: 1 (first and last name) (position and authorization for representation) (OIB) (place of residence) (date of appointment) (date of termination) (date of birth) (telephone) (email) 2 (first and last name) (position and authorization for representation) (OIB) (place of residence) (date of appointment) (date of termination) (date of birth) (telephone) (email) Supervisory Board: 1 (first and last name) (position) (OIB) (place of residence) (date of license issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) 2 (first and last name) (position) (OIB) (place of residence) (date of license issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) 3 (first and last name) (position) (OIB) (place of residence) (date of license issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) Members of the Pension Management Company: First and last name or company/name OIB Place of residence or registered office Ownership share (%) Auditor of the Pension Management Company: (company name) (registered office) (OIB) (telephone) (email) Note: If more persons need to be registered than rows and columns allow, they shall be entered by adding the corresponding rows and columns.

Form OMF (Pension Fund Form) – ANNEX 2 CROATIAN FINANCIAL SERVICES SUPERVISORY AGENCY REGISTER OF MANDATORY PENSION FUNDS DATA FOR THE PENSION FUND: Name of the pension fund: Company name of the pension management company: OIB (Personal Identification Number): ISIN code (number): LEI: Custodian of the pension fund: (Company name) (OIB) (registered office) Auditor of the pension fund: (Company name) (OIB) (registered office)