Decision on the Method and Deadlines for Submitting Lists of Connected Persons

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Based on the provisions of Article 15(4) and Article 8(1) of the Act on the Croatian Financial Services Supervisory Agency (Official Gazette nos. 140/05 and 12/12), Article 512 of the Capital Markets Act (Official Gazette nos. 65/18, 17/20, 83/21 and 151/22), and Articles 1 and 2 of Commission Implementing Regulation (EU) 2022/1210 of 13 July 2022 laying down implementing technical standards with regard to the application of Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards formats for lists of connected persons and their updates, the Croatian Financial Services Supervisory Agency (Hanfa) at its Management Board meeting held on 19 January 2023 adopts DECISION ON THE METHOD AND DEADLINES FOR SUBMITTING LISTS OF CONNECTED PERSONS TO THE CROATIAN FINANCIAL SERVICES SUPERVISORY AGENCY

General Provisions
Article 1.
This Decision prescribes the method and deadlines for submitting to the Croatian Financial Services Supervisory Agency lists of connected persons, which are compiled and updated in accordance with Article 18 of Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (Market Abuse Regulation), repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC, and Commission Implementing Regulation (EU) 2022/1210 of 13 July 2022 laying down implementing technical standards with regard to the application of Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards formats for lists of connected persons and their updates.

Meaning of Certain Terms
Article 2.
The following terms have the specified meanings for the purposes of this Decision:

1. Hanfa means the Croatian Financial Services Supervisory Agency.
2. Market Abuse Regulation means Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (Market Abuse Regulation), repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC.
3. Implementing Regulation (EU) 2022/1210 means Commission Implementing Regulation (EU) 2022/1210 of 13 July 2022 laying down implementing technical standards with regard to the application of Regulation (EU) No 596/2014 of the European Parliament and of the Council as regards formats for lists of connected persons and their updates.
4. Issuer means a legal entity as defined in Article 3(1)(21) of the Market Abuse Regulation.
5. List of connected persons means a list that issuers or any persons acting in their own name but on behalf of the issuer are required to compile and update in accordance with Article 18 of the Market Abuse Regulation and Implementing Regulation (EU) 2022/1210.

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List of Connected Persons
Article 3.
The issuer shall compile the list of connected persons in the content prescribed by Implementing Regulation (EU) 2022/1210, which consists of:
– Template 1 - Format for the list of connected persons referred to in Article 1(1) of Implementing Regulation (EU) 2022/1210, and – Template 2 - Format for the section on permanent connected persons in lists of connected persons referred to in Article 1(2) of Implementing Regulation (EU) 2022/1210.

Deadlines for Submitting Lists of Connected Persons
Article 4.
The issuer is required to submit the current list of connected persons and any amendments thereto to Hanfa within the following deadlines:

1. no later than 15 January of the current year for the period from 1 October to 31 December of the preceding year;
2. no later than 15 April of the current year for the period from 1 January to 31 March of the current year;
3. no later than 15 July of the current year for the period from 1 April to 30 June of the current year;
4. no later than 15 October of the current year for the period from 1 July to 30 September of the current year.

Form of Submission for Lists of Connected Persons
Article 5.
(1) The issuer is required to submit the list of connected persons referred to in Article 3 of this Decision to Hanfa as a file in XML format.
(2) Hanfa publishes the submission form for the list of connected persons referred to in Article 3 of this Decision in XLS format on its website. The issuer may use the relevant XLS form to create an XML file, following the instructions for creating the XML schema from the XLS file available on Hanfa's website.

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Method of Submission for Lists of Connected Persons
Article 6.
(1) The issuer is required to submit the list of connected persons referred to in Article 3 of this Decision to Hanfa's reporting system using the appropriate interface on Hanfa's website (https://reports.hanfa.hr/), in accordance with Hanfa's rules governing the content, form and method of submitting prescribed information to Hanfa and to the Official Register of Prescribed Information (SRPI), as well as with the corresponding technical instructions issued by Hanfa for obligated parties submitting prescribed information to SRPI and Hanfa, which are published on Hanfa's website. (2) To submit the list of connected persons to Hanfa's reporting system (https://reports.hanfa.hr/), the issuer uses the authorizations granted to it for submitting data to SRPI.

Transitional and Final Provisions
Article 7.
(1) The issuer is required to compile and submit the initial data referred to in Article 3 of this Decision in accordance with the provisions of this Decision for the period commencing on 1 January 2023.
(2) This Decision enters into force on the day of its adoption and shall be published on Hanfa's website.
(3) Upon entry into force of this Decision, the Decision on the Method and Deadlines for Submitting Lists of Connected Persons dated 13 December 2018 (CLASS: 011-02/18-01/15, REG. NO.: 326-01-60-61-18-1) ceases to apply.
CLASS: 011-01/23-01/04
REG. NO.: 326-01-60-62-23-1
Zagreb, 19 January 2023.
CHAIRMAN OF THE MANAGEMENT BOARD
Dr. Ante Žigman, PhD