Decision on the Method and Type of Files for Submitting Data Maintained by Central Counterparties in Accordance with Articles 12 to 16 of Commission Delegated Regulation (EU) No 153/2013

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1
Pursuant to Article 15(1) of the Act on the Croatian Financial Services Supervisory Agency (Official Gazette Nos. 140/05 and 12/12), the Croatian Financial Services Supervisory Agency, at a meeting of its Governing Board held on 21 December 2022, adopts DECISION on the method and type of files for submitting data maintained by central counterparties in accordance with Articles 12 to 16 of Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards regulatory technical standards on requirements for central counterparties
Article 1.
(1) For the purposes of this Decision, certain terms shall have the following meanings:

1. EMIR means Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories.
2. Regulation (EU) No 153/2013 means Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards regulatory technical standards on requirements for central counterparties.
3. Act means the Act implementing Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (Official Gazette No. 54/13).
4. HANFA means the Croatian Financial Services Supervisory Agency, whose competences and scope of work are defined by the Act on the Croatian Financial Services Supervisory Agency, the Act, and other laws.
5. HNB means the Croatian National Bank, the central bank of the Republic of Croatia, whose tasks and competences are defined by the Act on the Croatian National Bank, the Act, and other laws.
6. ESMA means the European Securities and Markets Authority, established by 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.
7. Other terms used in this Decision shall have the same meaning as the terms used in Regulation (EU) No 648/2012 and the Act.
   Article 2.
   This Decision prescribes the method and types of files for submitting data maintained by central counterparties in accordance with Articles 12 to 16 of Regulation (EU) No 153/2013, in order to fulfill the requirement under Article 12 of Regulation (EU) No 153/2013 that central counterparties must maintain records on a durable medium enabling the submission of record data to HANFA, ESMA, and relevant members of the European System of Central Banks (ESCB). This Decision does not affect the general requirements and deadlines for submitting record data prescribed by Article 12 of Regulation (EU) No 153/2013, which are presumed to be fulfilled by central counterparties. This Decision simultaneously constitutes the 'competent authority's request' for making record data available within the meaning of Article 29(3) of EMIR, or the 'competent authority's request' for submitting record data within the meaning of Article 12 of Regulation (EU) No 153/2013, which request the central counterparty fulfills by submitting to HANFA record data from Articles 13 to 16 of Regulation (EU) No 153/2013, in electronic form via direct access to HANFA's computer system through the electronic data submission system (reports.hanfa.hr), in files and deadlines prescribed for each specific type of record in accordance with Articles 3 to 6 of this Decision. Submission of record data in accordance with this Decision is deemed to grant HANFA direct access to the record data from Articles 13 and 14 of Regulation (EU) No 153/2013, in accordance with Article 12(7) of Regulation (EU) No 153/2013.
   Article 3.
   The central counterparty shall submit record data on transactions under Article 13 of Regulation (EU) No 153/2013 in the manner set out in Article 2(3) of this Decision, relating to each individual transaction accepted for clearing in the central counterparty's system, immediately upon updating the data in accordance with Article 13(2) of Regulation (EU) No 153/2013, and no later than the end of the next working day, using the prescribed form in XML format.
   Article 4.
   The central counterparty shall submit record data on positions under Article 14 of Regulation (EU) No 153/2013 in the manner set out in Article 2(3) of this Decision, relating to each individual position held by every clearing system member, immediately upon recording the data in accordance with Article 14(2) and (3) of Regulation (EU) No 153/2013, which is performed at the end of the working day, and no later than the end of the next working day, using the prescribed form in XML format.
   Article 5.
   The central counterparty shall submit record data on business operations under Article 15 of Regulation (EU) No 153/2013 in the manner set out in Article 2(3) of this Decision, relating to specific business activities or documents concerning the operations and internal organization of the central counterparty, immediately upon significant data changes or upon adoption of a new or amended document under Article 15(1) of Regulation (EU) No 153/2013, and no later than within seven working days, in electronic form as PDF files (maximum 20 separate PDF files per submission via reports.hanfa.hr, with submissions exceeding 20 files requiring repeated submissions through reports.hanfa.hr). Exceptionally from the preceding paragraph, record data on business operations under Article 15 of Regulation (EU) No 153/2013, which are subject to intraday changes, shall be submitted by the central counterparty in the manner set out in Article 2(3) of this Decision, quarterly and within five working days following the end of each calendar quarter. Exceptionally from the first paragraph of this Article, record data on business operations under points (j) and (m) of paragraph 2 of Article 15 of Regulation (EU) No 153/2013, for which the submission method and deadlines are prescribed by the current Rules on Supervisory Reports of Central Counterparties and the current Rules on the Structure, Content, Method and Deadlines for Submission of Annual Financial Reports and Audit Report as well as the Application of the Chart of Accounts for Central Counterparties, shall be submitted to HANFA in the manner and deadlines prescribed by those rules. In addition to the data and documents from the preceding paragraph, for the purposes of preparing assessments and evaluations of central counterparty operations under Article 21 of EMIR, HANFA may request the submission of other data and documents from Article 15 of Regulation (EU) No 153/2013, which the central counterparty must submit to HANFA independently of such requests in accordance with this Decision at least once a year by 31 January for the preceding calendar year.
   Article 6.
   The central counterparty shall submit record data on data submitted to trade repositories in accordance with Article 16 of Regulation (EU) No 153/2013, where applicable, in the manner set out in Article 2(3) of this Decision, immediately upon submitting transaction reports to trade repositories in accordance with Article 9 of EMIR under Article 15(1) of Regulation (EU) No 153/2013, in electronic form as PDF files (maximum 20 separate PDF files per submission via reports.hanfa.hr, with submissions exceeding 20 files requiring repeated submissions through reports.hanfa.hr).
   Article 7.
   The central counterparty is required to prepare data files submitted in accordance with Articles 3 and 4 of this Decision in XML format according to HANFA's prescribed XML schema. The procedure for converting report data into this specified form is determined and executed by the central counterparty itself. The XML schemas for preparing data submitted in accordance with Articles 3 and 4 of this Decision are published at the following internet address: http://reports.hanfa.hr/Documentation
   Article 8.
   Data files submitted in accordance with Articles 5 and 6 of this Decision in PDF format are intended for the submission of data, notices, and other free-text documents.
   Article 9.
   The signing of files that the central counterparty is required to submit in accordance with this Decision shall be carried out in accordance with the current Technical Instruction for the Application of Electronic Signatures in the Reporting Procedure of the Croatian Financial Services Supervisory Agency.
   Article 10.
   Submission of record data or documents from Articles 3 to 6 of this Decision in electronic form is carried out via direct access to HANFA's computer system through the electronic data submission system (reports.hanfa.hr). Access to HANFA's computer system is conducted in accordance with the Technical Instruction for Login and Operation with the Interface of the Electronic Data Submission System. In justified cases of technical inability to submit via the aforementioned method, the submitter must deliver reports under this Decision in one of the following ways to ensure timely reporting: a) via HANFA's Electronic Contact Point in electronic form, b) through postal service providers, or c) by personal delivery. The submitter is required to deliver 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.
   Article 11.
   Upon the entry into force of this Decision, the Decision on the method and type of files for submitting data maintained by central counterparties in accordance with Articles 12 to 16 of Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council as regards regulatory technical standards on requirements for central counterparties, dated 20 October 2021 (CLASS: 011-02/21-01/09, REFERENCE NO: 326-01-60-61-21-02) shall cease to apply. This Decision will be published on HANFA's website and enters into force on 1 January 2023. CLASS: 011-01/22-01/06 REFERENCE NO: 326-01-60-61-22-8 Zagreb, 21 December 2022. CHAIRMAN OF THE GOVERNING BOARD Dr. sc. Ante Žigman