Regulation on the Content and Method of Maintaining Registers for Pension Companies and Voluntary Pension Funds – Unofficial Consolidated Text (NN, No. 52/14, 41/17 and 34/22)

REGULATION ON THE CONTENT AND METHOD OF MAINTAINING REGISTERS FOR PENSION COMPANIES AND VOLUNTARY PENSION FUNDS (Official Gazette No. 52/2014, 41/2017, 34/2022 – Unofficial Consolidated Text)

INTRODUCTORY PROVISIONS Article 1. This Regulation governs the content and method of maintaining registers for pension companies to which the Croatian Financial Services Supervisory Agency (HANFA) has issued approval for conducting voluntary pension fund management activities, and registers for voluntary pension funds.

Article 2. For the purposes of this Regulation, certain terms have the following meanings:

1. Agency means the Croatian Financial Services Supervisory Agency.
2. Act means the Voluntary Pension Funds Act (Official Gazette No. 19/2014).
3. Pension company means a company that, based on the Agency's approval, conducts voluntary pension fund management activities.
4. Fund means a voluntary 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 companies and 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 register of pension companies referred to in Article 1 of this Regulation:

1. company name,
2. registered office,
3. Personal Identification Number (OIB),
4. entity registration number (MBS),
5. date of issuance of approval for operation,
6. date of withdrawal of approval for operation, list of European Union member states in which the pension company conducts its activities,
7. share capital,
8. activities,
9. date of issuance of approval for operation regarding the activity under Article 11(1)(b) of the Act,
10. date of withdrawal of approval for operation regarding the activity under Article 11(1)(b) of the Act,
11. date of the decision establishing the expiry of approval for operation,
12. contact details (email, website, telephone, fax),
13. management or executive directors (full name, position and authorization for representation, OIB, residence, date of approval issuance, date of appointment, date of termination, date of withdrawal of approval, date of birth, telephone, email),
14. authorized signatories (full name, position and authorization for representation, OIB, residence, date of appointment, date of termination, date of birth, telephone, email),
15. supervisory or administrative board (full name, position, OIB, residence, date of appointment, date of termination, date of birth, telephone, email),
16. members of the pension company (company name or full name, OIB, registered office or residence, ownership share in percentage, date of birth, telephone, email).
17. deletion of the pension company,
18. auditor of the pension company (company name, registered office, OIB, telephone, email).
19. unique identifier (LEI) (2) The data referred to in paragraph 1, items 1, 2, 3, 9, 13 and 20 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 fund register referred to in Article 1 of this Regulation:

1. fund name,
2. indication of open or closed fund,
3. company name of the pension company,
4. Personal Identification Number (OIB),
5. ISIN code (number),
6. date of approval for fund establishment and management,
7. date of withdrawal of approval for fund management,
8. date of fund cessation of operations,
9. fund depositary (company name, registered office, OIB),
10. fund auditor (company name, registered office, OIB, telephone, email),
11. deletion of the fund,
12. change in fund status.
13. unique identifier (LEI) (2) The data referred to 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 company to which the Agency has issued approval for operation and/or extension of approval for operation is obliged to submit without delay, after registration in the court register, the data referred to in Article 4 of this Regulation to the Agency, which the Agency does not register ex officio. (2) The pension company shall register accurate and up-to-date data from Articles 4 of this Regulation electronically and submit them on the prescribed form in Appendix 1 of this Regulation. The Agency will publish the form from Appendix 1 on its website. (3) When submitting data from Articles 4 of this Regulation, the last page of the form in Appendix 1 of this Regulation must be signed by persons authorized to represent the pension company. (4) The pension company is obliged to submit without delay from the date of knowledge the data referred to in Article 5(1), items 4, 5, 8, 10 and 12 of this Regulation to the Agency, in the manner prescribed by Article 8a of this Regulation.

DATA REGISTERED BY THE AGENCY EX OFFICIO Article 7. The Agency ex officio registers in the registers referred to in Article 1 of this Regulation data from Article 4(1), items 6, 10, 11, 12 and 18, as well as item 14 (date of withdrawal of approval), and data from Article 5(1), items 1, 2, 3, 6, 7, 9 and 11 of this Regulation.

CHANGE OF DATA Article 8. (1) Data registered in the registers referred to in Article 1 of this Regulation shall be accurate and up-to-date. If a change occurs in the data from Article 4 or Article 5 of this Regulation, which the Agency does not register ex officio, the pension company is obliged to notify the Agency without delay in the manner prescribed by Article 8a of this Regulation. Along with such notification, the pension company is obliged to submit documentation proving the stated change, in the manner prescribed by Article 8a of this Regulation. (2) The pension company is obliged to notify the Agency without delay of any identified incorrect data published in the registers and submit accurate data for registration in the registers with documentation proving the stated change, in the manner prescribed by Article 8a of this Regulation.

ELECTRONIC SUBMISSION Article 8a. (1) The pension company is obliged to submit data and documentation from Article 6(4) and Article 8 of this Regulation to the Agency in the manner and in accordance with the Technical Instruction for using the WEB form entry and electronic document submission service, the Instructions for completing WEB forms for pension companies, and the Instructions for completing WEB forms for funds. (2) It is deemed that the pension company has submitted data and documentation from Article 6(4) and Article 8 of this Regulation at the moment when the data and documentation are recorded on the server for sending such documentation. (3) In justified cases of technical inability to submit or improperly executed submission (e.g., system failure, inability to read received documentation, etc.) in the manner prescribed by paragraph 1 of this Article, the pension company is obliged to submit data and documentation in written form, directly or by post for timely reporting. The pension company is obliged to submit data and documentation in the manner prescribed by paragraph 1 of this Article as soon as the reasons for such submission 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 the pension company to submit certain documentation prescribed by this Regulation in original or certified copy, 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 companies are obliged to submit data from Article 4 and Article 5 of this Regulation to the Agency on the forms in Appendix 1 and Appendix 2 of this Regulation, in the manner prescribed by Article 6(2) and (3) of this Regulation.

FINAL PROVISIONS Article 10. This Regulation shall enter into force on the eighth day from the date of publication in the Official Gazette.

FORM MD_dmf APPENDIX 1 CROATIAN FINANCIAL SERVICES SUPERVISORY AGENCY REGISTER OF PENSION COMPANIES DATA FOR PENSION COMPANY: Company name: Registered office: Personal Identification Number (OIB): Entity registration number (MBS): LEI: List of EU member states in which the pension company conducts activities: Share capital: Activities: Contact details: (email) (website) (telephone) (fax) Management: 1 (full name) (position and authorization for representation) (OIB) (residence) (date of approval issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) 2 (full name) (position and authorization for representation) (OIB) (residence) (date of approval issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) 3 (full name) (position and authorization for representation) (OIB) (residence) (date of approval issuance) (date of appointment) (date of termination) (date of birth) (telephone) (email) Authorized signatories: 1 (full name) (position and authorization for representation) (OIB) (residence)

(date of birth) (telephone) (email) 2 (full name) (position and authorization for representation) (OIB) (residence) (date of appointment) (date of termination)

(date of birth) (telephone) (email) Supervisory board: 1 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) (date of birth) (telephone) (email) 2 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) (date of birth) (telephone) (email) 3 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) (date of birth) (telephone) (email) Executive directors: 1 (full name) (position and authorization for representation) (OIB) (residence) (date of appointment) (date of termination) 2 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) 3 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) Administrative board: 1 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) 2 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) 3 (full name) (position) (OIB) (residence) (date of appointment) (date of termination) Members of the pension company: Full name or company/name | OIB | Residence or registered office | Ownership share (%) | Date of birth | Telephone | Email

Auditor of the pension company: (company name) (registered office) (OIB) (telephone) (email) Note: If it is necessary to register more persons than rows and columns provide, they shall be registered by adding rows and columns for the aforementioned.

FORM DMF APPENDIX 2 CROATIAN FINANCIAL SERVICES SUPERVISORY AGENCY REGISTER OF VOLUNTARY PENSION FUNDS DATA FOR FUND: Fund name: Indication of open or closed fund: Company name of the pension company: Personal Identification Number (OIB): ISIN code (number): LEI: Fund depositary: (Company name) (OIB) (registered office) Fund auditor: (Company name) (OIB) (registered office)