Guidance on the Preparation and Submission of Intra-Group Collateral Exemption Notices under Regulation (EU) No 648/2012

Based on Article 15(7) of the Act on the Croatian Financial Services Agency (Official Gazette Nos. 140/05 and 12/12), the Croatian Financial Services Agency, at a meeting of its Management Board held on 21 December 2022, adopts GUIDANCE ON THE PREPARATION AND SUBMISSION OF NOTICES REGARDING THE INTENTION TO APPLY THE INTRA-GROUP EXEMPTION FROM THE OBLIGATION TO EXCHANGE COLLATERAL UNDER ARTICLE 11(7) AND (9) OF REGULATION (EU) NO 648/2012, OR THE REQUEST FOR APPROVAL OF THE INTENTION TO APPLY THE INTRA-GROUP EXEMPTION UNDER ARTICLE 11(6), (8) AND (10) OF REGULATION (EU) NO 648/2012

1. Introduction This Guidance on the preparation and submission of notices regarding the intention to apply the intra-group exemption from the obligation to exchange collateral under Article 11(7) and (9) of Regulation (EU) No 648/2012, or the request for approval of the intention to apply the intra-group exemption under Article 11(6), (8) and (10) of Regulation (EU) No 648/2012, specifies the format, signing, and method of submission.

2. Types of Notices The types of notices submitted in electronic form are:

• the scanned version of the notice under Article 5 of the Decision on Documentation Attached to Notices Regarding the Intention to Apply the Intra-Group Exemption from the Obligation to Exchange Collateral under Article 11(7) and (9) of Regulation (EU) No 648/2012, or the request for approval of the intention to apply the intra-group exemption under Article 11(6), (8) and (10) of Regulation (EU) No 648/2012,
• IGT-IM-VM-EMIR: Form for Submitting Notices Regarding the Intention to Apply the Intra-Group Exemption from the Obligation to Exchange Collateral under Article 11(7) and (9) of Regulation (EU) No 648/2012, or the request for approval of the intention to apply the intra-group exemption under Article 11(6), (8) and (10) of Regulation (EU) No 648/2012.

3. Submission of Notices Notices are submitted electronically in the following formats and files:

• an XLS format file relates to the IGT-IM-VM-EMIR form: Form for Submitting Notices Regarding the Intention to Apply the Intra-Group Exemption from the Obligation to Exchange Collateral under Article 11(7) and (9) of Regulation (EU) No 648/2012, or the request for approval of the intention to apply the intra-group exemption under Article 11(6), (8) and (10) of Regulation (EU) No 648/2012, signed in accordance with point 6 of this Guidance. This file contains the form for submitting notices regarding the intention to apply the intra-group exemption from the obligation to exchange collateral under Article 11(7) and (9) of Regulation (EU) No 648/2012, or the request for approval of the intention to apply the intra-group exemption under Article 11(6), (8) and (10) of Regulation (EU) No 648/2012, which is submitted as part of the application for the use of intra-group exemptions under Regulation (EU) No 648/2012.
• a PDF format file covers the notice under point 2 of this Guidance, signed by the submitter. This file contains notices submitted alongside the notice regarding the intention to apply the intra-group exemption from the obligation to exchange collateral under Article 11(7) and (9) of Regulation (EU) No 648/2012, or the request for approval of the intention to apply the intra-group exemption under Article 11(6), (8) and (10) of Regulation (EU) No 648/2012.

4. Description of the PDF Report File PDF format notification files are intended for submitting free-text notifications.

5. XLS Report File The form files that supervised entities are required to submit to Hanfi in XLS format are published on the website: http://www.hanfa.hr/HR/nav/129/ztk---tehnicke-upute-i-obrasci.html

6. Signing of Files The signing of files that supervised entities are required to submit is carried out in accordance with the currently valid Technical Guidance for the Application of Electronic Signatures in the Reporting Process of the Croatian Financial Services Agency.

7. Submission of Reports Notices under point 2 of this Guidance are submitted in accordance with the currently valid Technical Guidance for Registration and Operation with the Data Submission System Interface in electronic form. In justified cases of technical inability to submit via the previously described method, the submitter is required to submit reports under this Guidance for timely reporting via one of the following methods: a) through Hanfi's Electronic Contact Point in electronic form, b) via postal service providers, or c) by personal delivery. The submitter is required to transmit data through reports.hanfa.hr as soon as the reasons for such inability cease, and no later than within 8 days from the cessation of circumstances causing the technical inability to submit.

8. Final Provisions Upon the entry into force of this Guidance, the Technical Guidance on the Preparation and Submission of Notices Regarding the Intention to Apply the Intra-Group Exemption from the Obligation to Exchange Collateral under Article 11(7) and (9) of Regulation (EU) No 648/2012, or the Request for Approval of the Intention to Apply the Intra-Group Exemption under Article 11(6), (8) and (10) of Regulation (EU) No 648/2012, dated 24 March 2017, CLASS: 011-02/17-07/01, CLASS: 011-02/17-07/01, ceases to apply.

This Guidance will be published on Hanfi's website and enters into force on 1 January 2023. CLASS: 011-01/22-01/06 REFERENCE NO: 326-01-60-61-22-6 Zagreb, 21 December 2022. CHAIRMAN OF THE MANAGEMENT BOARD dr. sc. Ante Žigman