Decision on Documentation for Proving Compliance with Conditions for Appointment of a Member of the Management Body and Holder of a Key Function of a Bank and Deposit Fund

OFFICIAL GAZETTE OF THE REPUBLIC OF SLOVENIA No. 1163/2026 OF 9. 7. 2026 2026-01-1823

On the basis of points 2, 3, and 4 of Article 78 of the Banking Act (Official Gazette of the RS, No. 15/26; hereinafter: ZBan-4) and paragraph 1 of Article 31 of the Act on the Bank of Slovenia (Official Gazette of the RS, No. 72/06 – consolidated text, 59/11, 55/17 and 15/26 – ZBan-4), the Council of the Bank of Slovenia issues

Decision on Documentation for Proving Compliance with Conditions for Appointment of a Member of the Management Body and Holder of a Key Function of a Bank and Deposit Fund

Article 1 (Content of the Decision) (1) This Decision determines the detailed content of the documentation with which:

1. a bank, on behalf of and for the account of a member of the management board of a bank and deposit fund (hereinafter: bank) in a two-tier management system or an executive director of a bank in a one-tier management system, for a liquidator of a bank, or for the manager of a branch of a third-country bank (hereinafter: candidate for a member of the management board), proves compliance with the conditions for appointment of a member of the management board from Article 47 of ZBan-4, or
2. a bank, on behalf of and for the account of a candidate for a member of the supervisory board of a bank in a two-tier management system or a non-executive director of a bank in a one-tier management system (hereinafter: candidate for a member of the supervisory board), proves compliance with the conditions for appointment of a member of the supervisory board from Article 62 of ZBan-4, or
3. a bank, on behalf of and for the account of a holder of a key function, proves compliance with the conditions for appointment of a holder of a key function from Article 72 of ZBan-4. (2) This Decision shall apply mutatis mutandis to proving compliance with conditions for appointment of a member of the management of a financial holding company or a mixed financial holding company from Article 429 of ZBan-4. (3) Where this Decision refers to provisions of other regulations, those provisions shall apply in their currently valid text.

Article 2 (Use of Terms) The terms used in this Decision have the same meaning as in ZBan-4 or in Regulation (EU) No 575/2013 and regulations issued on their basis.

Article 3 (Attachments regarding proving compliance with conditions) (1) The bank must, within fifteen days after the appointment of a member of the management board, submit to the Bank of Slovenia a request for the issuance of a consent from paragraph 1 of Article 49, or in connection with Article 123 or paragraph 2 of Article 312 of ZBan-4, and attach: a) a completed questionnaire of the European Central Bank for assessing competence and fit and properness, which is an attachment to this Decision; b) a copy of an identity document; c) a curriculum vitae; č) copies of evidence of acquired professional education; d) a copy of any employer recommendations; e) an extract from the criminal record, which is not older than 6 months from the date of submission of the request, for each country in which the candidate for a member of the management board resided in the last ten years, and evidence that no final indictment has been filed against that person for a criminal offense prosecuted ex officio and for which a prison sentence of one year or more may be imposed (condition from point 2 of paragraph 1 of Article 47 of ZBan-4) or other suitable evidence, if such a record does not exist; f) a decision of the supervisory board or the general meeting on the appointment as a member of the management board of a bank from paragraph 3 of Article 48 of ZBan-4; g) an extract from the system for exchange of information on customer creditworthiness (SISBON) or other suitable collection of personal data from abroad, if it exists; h) an assessment by the bank on the suitability of the candidate for a member of the management board; i) the strategy for managing the bank's business and managing associated risks, taking into account banking legislation in the area for which the candidate will be responsible in the bank's management, and the relation of this area to the banking system in the territory of the Republic of Slovenia, taking into account current developments in this area (e.g., ESG risks, digitalization, PPDFT …).

(2) The bank must, within fifteen days after the appointment of a member of the supervisory board at the general meeting, submit to the Bank of Slovenia a request for the issuance of a consent from paragraph 1 of Article 64 of ZBan-4, and attach: a) a completed questionnaire of the European Central Bank for assessing competence and fit and properness, which is an attachment to this Decision; b) a copy of an identity document; c) a curriculum vitae; č) copies of evidence of acquired professional education; d) a copy of any employer recommendations; e) an extract from the criminal record, which is not older than 6 months from the date of submission of the request, for each country in which the candidate for a member of the supervisory board resided in the last ten years, and evidence that no final indictment has been filed against that person for a criminal offense prosecuted ex officio and for which a prison sentence of one year or more may be imposed (condition from point 2 of paragraph 1 of Article 62 of ZBan-4) or other suitable evidence, if such a record does not exist; f) a decision of the general meeting on the appointment of a member of the supervisory board from paragraph 3 of Article 63 of ZBan-4; g) an extract from the system for exchange of information on customer creditworthiness (SISBON) or other suitable collection of personal data from abroad, if it exists; h) an assessment by the bank on the suitability of the candidate for a member of the supervisory board; i) a strategy for supervising the bank's business, taking into account banking legislation in the area for which the candidate will be responsible in the bank's supervisory board, and the relation of this area to the banking system in the territory of the Republic of Slovenia, taking into account current developments in this area (e.g., ESG risks, digitalization, PPDFT …).

(3) The bank must, within five days after the appointment of a holder of a key function, submit to the Bank of Slovenia a notice of appointment of the holder of a key function together with the bank's internal assessment of suitability from Article 74 of ZBan-4, and attach to it:

1. for heads of internal control functions and chief financial officers of large institutions (significant holders of key functions) from Article 77 of ZBan-4: a) a completed questionnaire of the European Central Bank for assessing competence and fit and properness, which is an attachment to this Decision, except for points 5 to 7 of the questionnaire and the part of the questionnaire relating to national specifics; b) a copy of an identity document; c) a curriculum vitae; č) copies of evidence of acquired professional education; d) an extract from the criminal record, which is not older than 6 months from the date of submission of the request, for each country in which the significant holder of a key function resided in the last five years, and evidence that no final indictment has been filed against that person for a criminal offense prosecuted ex officio and for which a prison sentence of one year or more may be imposed (condition from point 1 of paragraph 1 of Article 72 of ZBan-4) or other suitable evidence, if such a record does not exist; e) an extract from the system for exchange of information on customer creditworthiness (SISBON) or other suitable collection of personal data from abroad, if it exists;
2. for a holder of a key function who is not a significant holder of key functions from Article 77 of ZBan-4 (other holders of key functions), the bank shall attach a completed questionnaire of the European Central Bank for assessing competence and fit and properness, which is an attachment to this Decision, except for points 5 to 7 of the questionnaire and the part of the questionnaire relating to national specifics.

(4) For holders of key functions from Article 509 of ZBan-4, the bank shall submit the documentation from point 2 of the previous paragraph.

Article 4 (Termination of Validity of the Decision) (1) With the entry into force of this Decision, the Decision on Documentation for Proving Compliance with Conditions for Appointment of a Member of the Management Body of a Bank and Deposit Fund (Official Gazette of the RS, No. 42/25 and 15/26 – ZBan-4) ceases to be valid. (2) Proceedings that began before the entry into force of this Decision shall be concluded in accordance with the provisions of the Decision on Documentation for Proving Compliance with Conditions for Appointment of a Member of the Management Body of a Bank and Deposit Fund, which was valid at the time of submission of the application.

Article 5 (Entry into Force of the Decision) This Decision shall enter into force on the fifteenth day after its publication in the Official Gazette of the Republic of Slovenia.

No. 021/2026 Ljubljana, 7 July 2026 EDA 2026-5023912000-0028 Primož Dolenc President of the Council of the Bank of Slovenia

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Revised Questionnaire for Assessing Competence and Fit and Properness – ECB Proposal

Supervised entities and appointed persons may also use the national questionnaire, which is available on the IMAS portal (i.e., in the information management system). The link to the portal is available on the website of the competent national authority1 and on the website of the European Central Bank (ECB) regarding the ECB Questionnaire.

Questionnaire for Assessing Competence and Fit and Properness – ECB Proposal

The document is an ECB proposal, which the Supervisory Board adopted on 25 November 2021 as a proposal for use by competent national authorities. They shall prepare their questionnaires on the basis of the content and format of the proposal, taking into account national specificities and observing the technical implementation guidelines that will be provided. This proposal serves as a template for the information that the ECB and competent national authorities must receive in order to assess the competence and fit and properness of appointed persons.

The questionnaire must be linked to the Capital Requirements Directive (CRD),2 with relevant indicators of the European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA), with relevant legislation on tax protection, and with relevant national legislation. The appointed person and the supervised entity are jointly responsible for providing the European Central Bank and the competent national authority with complete and accurate information regarding the proposed appointment. Submission of incomplete or inaccurate information may lead to delays in the assessment process and may prevent the issuance of a positive decision.

Furthermore, the appointed person and the supervised entity are responsible for disclosing to the competent national authority all matters that may be relevant for the assessment.

They must disclose and truthfully answer and transmit complete and accurate answers to all questions. If one is prevented from answering, or if a certain part of the questionnaire is not applicable, indicate this in the text field and provide additional information. Do not directly or indirectly disclose any personal data other than those necessary in the context of the questionnaire, especially not data relating to "special categories of personal data" (in accordance with Article 10 of Regulation (EU) 2018/1725). Such data are not necessary for the assessment of competence and fit and properness.3

3 For example, racial or ethnic origin, political opinions, religious or philosophical beliefs, trade union membership, or data relating to health, sexual life, or sexual orientation.

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Revised Questionnaire for Assessing Competence and Fit and Properness – ECB Proposal 2

Declaration of the Appointed Person

This declaration relates to the application or official notice regarding the appointment of textually key function in accordance with relevant national legislation. Reviewed by both the Bank of Slovenia and the European Central Bank (ECB).

The undersigned:

• confirms that the information provided in the questionnaire and in the attached documents is, to the best of my knowledge, complete and accurate;
• confirms that I will immediately inform [supervised entity] of all important changes to the provided information;
• authorizes the ECB and the Bank of Slovenia to conduct inquiries and obtain additional information, if necessary in accordance with European and national legislation, to verify and confirm information that is relevant for the assessment of competence and fit and properness;
• confirms that I am aware of the responsibilities arising from European and national legislation and international standards, including regulations, codes of conduct, guidelines, recommendations, and other rules or directives issued by the Bank of Slovenia and the ECB, the European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA), and those relevant for the function for which a positive assessment is required, and I also confirm that I intend to ensure continued compliance with such responsibilities;
• declare that I am aware of the processing and storage of personal data in accordance with applicable data protection regulations and with the ECB and Bank of Slovenia statement on privacy;
• declare that I am aware that the submission of incorrect or incomplete information may result in the refusal or withdrawal of consent for competence and fit and properness, without prejudice to any legal and/or administrative sanctions.

Name: Signature: Date:

4 Important changes are any changes that may affect the suitability assessment of the appointed person.

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Revised Questionnaire for Assessing Competence and Fit and Properness – ECB Proposal 3

Declaration of the Supervised Entity

This declaration relates to the application or official notice regarding the appointment of textually key function in accordance with relevant national legislation. Reviewed by both the Bank of Slovenia and the European Central Bank (ECB).

The undersigned:

• confirms that the information provided in the questionnaire and in the attached documents is, to the best of my knowledge, complete and accurate;
• confirms that the supervised entity will immediately inform the Bank of Slovenia of all important changes to the provided information;
• confirms that the supervised entity requests complete and up-to-date information necessary for the assessment of the suitability of the appointed person [in accordance with applicable regulations/statutory provisions...], and that it provides this information correctly, taking into account the determination of competence and fit and properness of the appointed person;
• confirms that the function for which a positive assessment is required currently exists within the supervised entity, for which the appointed person is presumed responsible;
• confirms that the supervised entity has conducted thorough and correct inquiries and obtained information that the appointed person provided, and that, in assessing competence and fit and properness, it took into account national and European legislation and international standards, including regulations, codes of conduct, guidelines, recommendations, and other rules or directives issued by the Bank of Slovenia or the ECB, the European Banking Authority (EBA) and the European Securities and Markets Authority (ESMA), and believes that the appointed person is competent and suitable for performing the function as described in the questionnaire;
• confirms that the supervised entity has informed the appointed person of the legal and regulatory responsibilities related to the function, as described in the questionnaire;
• confirms that the attachments contain copies of documents originally provided by the supervised entity or the appointed person and stored in the archive of the supervised entity;
• confirms that I am authorized to submit the official notice/application and transmit the declaration of the supervised entity, and that I sign this questionnaire on its behalf;
• declare that I am aware of the processing and storage of personal data in accordance with applicable data protection regulations and with the ECB and Bank of Slovenia statement on privacy.

Name of the Supervised Entity: Name of the Signatory (or Signatories): Position in the Supervised Entity: Signature: Date:

1 Identity of the supervised entity and the appointed person IMPORTANT: In section 1 "A" the term "appointed person" means "appointed person".

Information about the Supervised Entity

Name of the Supervised Entity: Free text Legal Entity Identifier (LEI): Free text National Company Identifier: Is the supervised entity a "significant CRD institution"5 in accordance with national legislation6? ? Yes No Not Applicable

Management structure of the supervised entity7: One-tier structure Two-tier structure Other structure If "Other structure" is selected, specify what structure is meant. Free text

Contact person in the supervised entity (name/email/phone number): Free text

5 See section 3.4.1 in the Guide to Assessing Competence and Fit and Properness. 6 See point 24 of paragraph 7 of Article 7 of the Banking Act (ZBan-3). 7 One-tier structure in the case of supervised entities where one management board performs management and supervisory functions. Two-tier structure in the case of supervised entities where separate bodies perform different functions (e.g., management body in management functions, competent for executive/management functions, and management body in supervisory functions). Some supervised entities may also have a hybrid management structure.

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Revised Questionnaire for Assessing Competence and Fit and Properness 4

Information about the Appointed Person

A Name Gender: Male Female Other Surname: Free text First Name: Free text Middle Name (or Name): Free text Have you ever had or used another name? Yes No If "Yes" is selected, provide the following information, appropriately indicating all names that you have ever used (e.g., maiden name, other official names, adopted names). Gender: Male Female Other Surname: Free text First Name: Free text Middle Name (or Name): Free text Date of name change (YYYY-MM)

B Current Residence Address: Free text Postal Code and City: Free text Country: Free text Date of residence at this address (YYYY-MM) In the last five years, have you lived in a country other than the current country of residence? Yes No If "Yes" is selected, specify in which country (or countries) and for how long you resided there. Free text

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Revised Questionnaire for Assessing Competence and Fit and Properness 5

C Other Information about the Appointed Person Date of Birth (YYYY-MM-DD): Place of Birth: Free text Country: Free text Nationality (or Nationalities): Free text Number of currently valid identity documents or passports: Free text Country of Issuance: Free text Valid Until (YYYY-MM-DD): Contact Phone Number (including country code): Free text Email Address: Free text

D Previous Supervisory Assessments Have you previously been subject to supervisory assessment in the financial sector (including for functions outside8)? ? Yes No If "Yes" is selected, provide the following information about supervisory assessments, which the appointed person was subject to in the financial sector in the last five years, conducted by a financial sector supervisory authority. Relevant Competent Authority: Free text Relevant Institution: Free text Relevant Function: Free text Start Date of Mandate: (YYYY-MM) End Date of Mandate: (YYYY-MM) Date of Decision (if not relevant, date of submission of application for assessment): (YYYY-MM-DD) If the previous assessment resulted in a negative decision, withdrawal of consent, or positive assessment, however with conditions, recommendations, or obligations, explain and justify. Free text

8 The term "outside" means any role that is outside the scope of the competence of the ECB and the national authority, responsible for the supervised entity to which you are appointed.

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Revised Questionnaire for Assessing Competence and Fit and Properness 6

2 Function Subject to the Questionnaire Information about the Function Subject to the Questionnaire Provide the name of the function that the appointed person will perform. Free text

Select whether it is an executive function, non-executive function, holder of a key function, or branch manager.

• Executive Function
• Non-Executive Function
• Holder of a Key Function
• Branch Manager

Select the specific function (or functions):

• Chairman of the Supervisory Board
• Deputy Chairman of the Supervisory Board
• Member of the Supervisory Board
• Non-Independent Member of the Supervisory Board
• Chairman of the Management Board
• Deputy Chairman of the Management Board
• Member of the Management Board
• Non-Independent Member of the Management Board
• Chairman of the Management Body in a Supervisory Function
• Chairman of the Management Body in an Executive Function
• Deputy Chairman of the Management Body in a Supervisory Function
• Deputy Chairman of the Management Body in an Executive Function
• Member of the Management Body in a Supervisory Function
• Member of the Management Body in an Executive Function
• Chief Executive Officer (CEO)
• Deputy Chief Executive Officer
• General Executive Director
• Executive Director
• General Director
• Chief Financial Officer (CFO)
• Chief Risk Officer (CRO)
• Chief Financial Reporting Officer (CFRO)
• Chief Information Officer (CIO)
• Chief Operating Officer (COO)
• Chairman of the Risk Committee
• Member of the Risk Committee
• Chairman of the Remuneration Committee
• Member of the Remuneration Committee
• Chairman of the Nomination Committee
• Member of the Nomination Committee
• Chairman of the Audit Committee
• Member of the Audit Committee
• Head of Risk Department
• Head of Compliance Department
• Head of Audit Department
• Head of Internal Audit Department
• Procurist

Provide a detailed description of the duties, responsibilities, and reporting lines related to the function. Indicate if the appointed person will also perform other functions in the supervised entity, and if so, which ones. Free text

Indicate if the appointed person has previously held a formal independent9 member role in the management body in a supervisory function. Yes No Not Applicable

9 See definitions in section 2, paragraph 15 (definition of terms) in the Joint Guidelines of ESMA and EBA on the Assessment of Fit and Properness of Members of the Management Body and Holders of Key Functions in accordance with Directive 2013/36/EU and Directive 2014/65/EU (EBA/GL/2021/06). 10 As defined by the Guidelines on the Assessment of Fit and Properness of Members of the Management Body and Holders of Key Functions (EBA/GL/2021/06), which are used from 31 December 2021 on the basis of the Decision of the Bank of Slovenia on the Use of Guidelines on the Assessment of Fit and Properness of Members of the Management Body and Holders of Key Functions (Official Gazette of the RS, No. 184/21).

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Revised Questionnaire for Assessing Competence and Fit and Properness 7

Is the proposal made for re-appointment? Yes No Additional information on the planned start date of the function and the duration of the mandate11 (Planned) Date of Formal Decision on Appointment by the Competent Management Body in the Supervised Entity: (YYYY-MM-DD) (Planned) Start Date of Mandate: (YYYY-MM-DD) (Planned) End Date of Mandate: (YYYY-MM) If the exact month is not known, estimate it in the text field, appropriately indicating specific, non-standardized agreements (e.g., approval of invoices, signing of contracts, etc.). Free text

Does the appointed person have a spouse? Yes No If "Yes" is selected, provide the name of the spouse and the reason for the connection. Free text

Is the application or official notice submitted within the period defined in national legislation?12 Yes No Not Applicable If "No" is selected, provide the reason. Free text

3 Experience A Education Official Diploma or Certificate/Evidence Level of Education Obtained: Undergraduate Master's Doctorate Certificate/Evidence Other Field of Study: Free text Date of Issue: (YYYY-MM) Educational Institution (e.g., university, study center, etc.): Free text

11 If the date is not yet known, provide an estimated date. 12 See point 2 of paragraph 4 of Article 71 of the Banking Act (ZBan-3).

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Revised Questionnaire for Assessing Competence and Fit and Properness 8

B Practical Experience in the Field of Banking and/or in the Financial Sector, Obtained in the Last Ten Years Position: Free text Main Responsibilities: Free text Level of Seniority of Position13 / Hierarchical Level: Senior Management Level Senior Operational Level Other Operational Level Other Free text

Approximate number of subordinates in the area for which the appointed person was responsible: Free text Area: Free text In Position From: (YYYY-MM) To: (YYYY-MM)

C Other Relevant Experience Outside the Banking and/or Financial Sector (e.g., academic positions, political mandates, other non-commercial mandates, or other specialized experience) Position: Free text Main Responsibilities: Free text Level of Seniority of Position / Hierarchical Level: Free text Name of Entity. Specify the nature of business and/or type of license: Free text

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Revised Questionnaire for Assessing Competence and Fit and Properness 9

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