Regulation on the application of the Guidelines on reporting under Articles 4 and 12 SFTR

THIS TEXT IS UNOFFICIAL TRANSLATION AND MAY NOT BE USED AS A BASIS FOR SOLVING ANY DISPUTE Page 1 of 2  Official Gazette of the Republic of Slovenia, No. 80/21 of 21 May 2021 (in force since 22 May 2021) Pursuant to the third paragraph of Article 13 of the Banking Act (Official Gazette of the Republic of Slovenia, Nos. 25/15, 44/16 [ZRPPB], 77/16 [ZCKR], 41/17, 77/18 [ZTFI-1], 22/19 [ZIUDSOL] and 44/19 [constitutional court decision]; hereinafter: the ZBan-2), and the first paragraph of Article 31 of the Bank of Slovenia Act (Official Gazette of the Republic of Slovenia, Nos. 72/06 [official consolidated version], 59/11 and 55/17), the Governing Board of the Bank of Slovenia hereby issues the following REGULATION on the application of the Guidelines on reporting under Articles 4 and 12 SFTR Article 1 (purpose and field of application of guidelines) (1) Pursuant to Article 16(1) of Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331 of 15 December 2010, p 84; hereinafter: Regulation (EU) No 1095/2010), on 29 March 2021 the European Securities and Markets Authority published the Guidelines on reporting under Articles 4 and 12 SFTR (ESMA70-151-2838; hereinafter: the guidelines) on its website. (2) The guidelines set out in detail the implementation of Regulation (EU) No 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 (OJ L 337 of 23 December 2015, p 1; hereinafter: Regulation (EU) No 2015/2365), with regard to the reporting obligation in respect of SFTs referred to in Article 4 of Regulation (EU) No 2015/2365, the obligations of trade repositories referred to in Article 5(7) and Article 12 of Regulation (EU) No 2015/2365, and the date of initial reporting referred to in Article 33(2) of Regulation (EU) No 2015/2365. (3) The guidelines are addressed to:

1. counterparties in SFTs referred to in Article 3(2) of Regulation (EU) No 2015/2365, and trade repositories referred to in Article 3(1) of Regulation (EU) No 2015/2365; and
2. competent authorities referred to in Article 16 of Regulation (EU) No 2015/2365. Article 2 (content of regulation and scope of application of guidelines) (1) By virtue of this regulation the Bank of Slovenia sets out the application of the guidelines and all their future amendments, unless stipulated otherwise by the Bank of Slovenia in respect of a particular amendment to the guidelines, to:
3. banks and savings banks for whose supervision the Bank of Slovenia is responsible in accordance with the ZBan-2 or Council Regulation (EU) No 1024/2013 of 15 October 2013 conferring specific tasks on the European Central Bank concerning policies relating to the prudential supervision of credit institutions (OJ L 28776 of 29 October 2013, p 63), and the second paragraph of Article 2 of the Act Implementing Regulation (EU) on the Transparency

THIS TEXT IS UNOFFICIAL TRANSLATION AND MAY NOT BE USED AS A BASIS FOR SOLVING ANY DISPUTE Page 2 of 2 of Securities Financing Transactions and of Reuse (Official Gazette of the Republic of Slovenia, No. 55/17; hereinafter: the ZIUPVP) (hereinafter: banks); and 2. the Bank of Slovenia, when in accordance with the ZBan-2 and the ZIUPVP in its role as the competent authority it is exercising supervisory powers and tasks over banks referred to in point 1 of this paragraph. (2) Banks referred to in point 1 of the first paragraph of this article shall take full account of the provisions of the guidelines in the parts addressed to banks. (3) In exercising its supervisory powers and tasks in accordance with the ZBan-2, the ZIUPVP and Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176 of 27 June 2013, p 1), the Bank of Slovenia shall take full account of the provisions of the guidelines in the parts relating to the exercise of the powers and tasks of the competent authority. Article 3 (entry into force) This regulation shall enter into force on the day after its publication in the Official Gazette of the Republic of Slovenia. Ljubljana, 18 May 2021 Boštjan Vasle President, Governing Board of the Bank of Slovenia