Guideline on the Preparation and Submission of Reports on Transactions and Trading with Financial Instruments Executed at a Stock Exchange-Operated Trading Venue and Reports by Data Reporting Services Providers

1
Pursuant to Article 15, point 7 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 Management Board held on 24 March 2023, adopts GUIDELINE ON THE PREPARATION AND SUBMISSION OF REPORTS ON TRANSACTIONS AND TRADING WITH FINANCIAL INSTRUMENTS EXECUTED AT A STOCK EXCHANGE-OPERATED TRADING VENUE AND REPORTS BY DATA REPORTING SERVICES PROVIDERS

1. Introduction
   The stock exchange is required to submit the following reports to the Croatian Financial Services Supervisory Agency (hereinafter: Hanfa):

• daily reports containing data on transactions with financial instruments executed on the regulated market managed by the stock exchange, in accordance with the currently applicable Regulation on the form, content, deadlines and method of submission of reports on transactions and trading with financial instruments executed on the regulated market managed by the stock exchange,
• reports on transactions at the trading venue operated by the stock exchange, in accordance with Regulation (EU) No 600/2014,
• supervisory reports of the stock exchange as an Approved Publication Arrangement (APA) in accordance with the Regulation on the issuance of operating permits, organizational requirements and supervisory reports by data reporting services providers,
• reports of the stock exchange as an Approved Publication Arrangement (APA) in accordance with Regulation (EU) No 600/2014 and the Decision on the obligation to report transactions with debt financial instruments concluded outside the regulated market or MTF of 26 July 2018.
  This Guideline determines the format, signing and method of submission thereof.

2. Format of reports in electronic form submitted via reports.hanfa.hr
   Reports are submitted electronically as XML files and contain data on transactions and other market data in accordance with the prescribed scheme published on Hanfa's website.
   XML schemas for preparing reports are published on Hanfa's website:
   http://reports.hanfa.hr/Documentation
   The procedure by which the stock exchange converts report data into the specified format is determined and carried out by the stock exchange itself.

3. Signing of files
   The signing of files that the stock exchange is required to submit is carried out in accordance with the currently applicable Technical Guideline for the application of electronic signatures in the reporting procedure of the Croatian Financial Services Supervisory Agency.

2
4. Submission of reports
Reports under this Guideline are submitted by direct access to Hanfa's computer system in the electronic data submission system (reports.hanfa.hr). Access to Hanfa's computer system is carried out in accordance with the Technical Guideline for login and operation of the electronic data submission system interface. In justified cases of technical inability to submit in the manner described above, the stock exchange is required to submit reports under this Guideline for the purpose of timely reporting via one of the following methods:
a) via Hanfa's Electronic Contact Point in electronic form b) via postal service providers, or c) by personal delivery.
The stock exchange is required to submit 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 to submit.

5. Final provisions
   Upon the entry into force of this Guideline, the Technical Guideline on the preparation and submission of reports on transactions and trading with financial instruments executed on the regulated market managed by the stock exchange in electronic form dated 13 December 2013, CLASS: 011-02/13-04/68, REG. NO: 326-770-13-2 ceases to be valid. This Guideline will be published on Hanfa's website and enters into force on 3 April 2023. CLASS: 011-01/22-01/06 REG. NO: 326-01-60-61-23-9 Zagreb, 24 March 2023. CHAIRMAN OF THE MANAGEMENT BOARD dr.sc. Ante Žigman