Instructions for Preparing and Submitting Notifications of Intent to Apply for Intragroup Exemption from Clearing Obligation and Dispute Reports

1
Based on Article 15, point 7 of the Act on the Croatian Financial Services Supervisory Agency ("Narodne novine", No. 140/05 and 12/12.), the Croatian Financial Services Supervisory Agency, at the meeting of the Board of Directors held on December 21, 2022, adopts INSTRUCTIONS FOR PREPARING AND SUBMITTING NOTIFICATIONS OF INTENT TO APPLY FOR INTRAGROUP EXEMPTION FROM CLEARING OBLIGATION UNDER ARTICLE 4(2) OF REGULATION (EU) NO. 648/2012 AND REPORTS OF DISPUTES BETWEEN CONTRACTING PARTIES UNDER ARTICLE 15(2) OF REGULATION (EU) NO. 149/2013

1. Introduction
   These Instructions for preparing and submitting:

• notifications of intent to apply for the intragroup exemption from the clearing obligation under Article 4(2) of 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,
• reports of disputes between contracting parties within the meaning of Article 15(2) of Regulation (EU) No. 149/2013 supplementing Regulation (EU) No. 648/2012 of the European Parliament and of the Council regarding regulatory technical standards on indirect clearing arrangements, clearing obligations, public registers, access to trading venues, non-financial counterparties and risk mitigation techniques for OTC derivative contracts not cleared through a central counterparty,
  determine the format and method of submission thereof.

2. Types of Notifications
   The types of notifications submitted in electronic form are:

• scanned version of the notification under Article 5 of the Decision on the documentation to be attached to the notification of intent to apply for the intragroup exemption from the clearing obligation under Article 4(2) of Regulation (EU) No. 648/2012,
• IGT-EMIR: Form for submitting the notification of intent to apply for the exemption under Article 4(2)(a) of Regulation (EU) No. 648/2012, or the request under Article 4(2)(b) of Regulation (EU) No. 648/2012,
• scanned version of the notification under Article 5 of the Decision on the manner and form of reporting disputes between contracting parties within the meaning of Article 15(2) of Regulation (EU) No. 149/2013,
• PS-EMIR - Form for reporting disputes between contracting parties within the meaning of Article 15(2) of Regulation (EU) No. 149/2013.

3. Submission of Notifications
   Notifications are submitted in electronic form in the following format and files:
    the file in XLS format refers to the IGT-EMIR form - Form for submitting the notification of intent to apply for the exemption under Article 4(2)(a) of Regulation (EU) No. 648/2012, or the request under Article 4(2)(b) of Regulation (EU) No. 648/2012, signed in accordance with point 6 of these Instructions. This file contains the form - Form for submitting the notification of intent to apply for the exemption under Article 4(2)(a) of Regulation (EU) No. 648/2012, or the request under Article 4(2)(b) of Regulation (EU) No. 648/2012, which is submitted as part of the notification of intent to use intragroup exemptions under Regulation (EU) No. 648/2012.  the file in XLS format refers to the PS-EMIR form - Form for reporting disputes between contracting parties within the meaning of Article 15(2) of Regulation (EU) No. 149/2013, signed in accordance with point 6 of these Instructions. This file contains the form - for reporting disputes between contracting parties within the meaning of Article 15(2) of Regulation (EU) No. 149/2013, which is submitted as part of the report of open disputes of contracting parties in OTC derivative transactions exceeding the value of 15 million EUR.  the file in PDF format encompasses the notifications from point 2 of these Instructions, signed by the submitter in accordance with point 6 of these Instructions; This file contains notifications submitted together with the notification of intent to apply for the intragroup exemption from the clearing obligation under Article 4(2) of Regulation (EU) No. 648/2012 and together with the report of disputes between contracting parties within the meaning of Article 15(2) of Regulation (EU) No. 149/2013.

4. Description of the Notification File in PDF Format.
   Notification files in PDF format are intended for the submission of notifications with free text.

5. Report File in XLS Format
   The form files that supervised entities are required to submit to HANFA in XLS format are published on the website:
   http://www.hanfa.hr/HR/nav/129/ztk---tehnicke-upute-i-obrasci.html

6. Signing of Files
   The signing of files that supervised entities are required to submit is carried out in accordance with the current Technical Instruction for the application of electronic signature in the reporting procedure of the Croatian Financial Services Supervisory Agency.

7. Submission of Reports
   Notifications from point 2 of these Instructions are submitted in accordance with the current Technical Instruction for reporting and working with the interface of the system for submitting data in electronic form.
   In justified cases of technical impossibility of submission in the manner described above, the submitter is obliged to submit the reports from these Instructions in one of the following ways for the purpose of timely reporting:
   a) via the HANFA Electronic Contact Point in electronic form b) via postal service providers or c) by personal delivery.
   The submitter is obliged to submit data through reports.hanfa.hr as soon as the reasons for the impossibility of such delivery cease, and no later than within 8 days from the cessation of the circumstances that caused the technical impossibility of such delivery.

8. Final Provisions
   With the entry into force of these Instructions, the Technical Instruction for preparing and submitting notifications of intent to apply for the intragroup exemption from the clearing obligation under Article 4(2) of Regulation (EU) No. 648/2012 and reports of disputes between contracting parties within the meaning of Article 15(2) of Regulation (EU) No. 149/2013 of July 1, 2016, CLASS: 011-02/16-07/01, REFERENCE NO.: 326-01-770-771-16-1, ceases to be valid. These Instructions will be published on the HANFA website and enter into force on February 1, 2023. CLASS: 011-01/22-01/06 REFERENCE NO.: 326-01-60-61-22-5 Zagreb, December 21, 2022 CHAIRMAN OF THE BOARD OF DIRECTORS dr. sc. Ante Žigman