Regulation on the Register of Financial Conglomerates

Evidentiary Data

Collection of Regulations Regulation on the Register of Financial Conglomerates Official Gazette of the Republic of Slovenia, No. 45/07 ID: PRAV8103 EVA: 2007-1611-0049 SOP: 2007-01-2466 Adopted: 10. 5. 2007 Published: 24. 5. 2007 Effective from: 8. 6. 2007 Type of Act: Regulation Responsible Body: Ministry of Finance Adopting Body: Ministry of Finance

Forms The electronic edition of the Official Gazette is the official edition from 1 January 2006. Prior to this date, official editions were published in paper form.

Text

Pursuant to the third paragraph of Article 18 of the Financial Conglomerates Act (Official Gazette of the Republic of Slovenia, No. 43/06), the Minister of Finance issues

REGULATION

on the Register of Financial Conglomerates

1. GENERAL PROVISIONS

Article 1

(content of the regulation)

(1) This Regulation determines:

• the detailed content of the Register of Financial Conglomerates,
• the procedure for entering a financial conglomerate into the Register of Financial Conglomerates,
• the procedure for deleting a financial conglomerate from the Register of Financial Conglomerates, and
• the method of access to and transmission of data from the Register of Financial Conglomerates.

(2) The Register of Financial Conglomerates is maintained by the Ministry of Finance (hereinafter: the Ministry).

(3) The Register is maintained in electronic form as a database, in accordance with the provisions of this Regulation.

Article 2

(meaning of terms)

The terms used in this Regulation have the same meaning as in the Financial Conglomerates Act (Official Gazette of the Republic of Slovenia, No. 43/06; hereinafter: FCA).

Article 3

(publicity of the register)

Data entered in the register are public.

2. CONTENT OF THE REGISTER OF FINANCIAL CONGLOMERATES

Article 4

(content of the register)

The following data are entered into the Register of Financial Conglomerates:

1. the unique sequential identification number of the identified financial conglomerate,
2. the date of entry of the financial conglomerate into the Register of Financial Conglomerates,
3. the name of the financial conglomerate,
4. the date of issuance of the decision on the identification of the financial conglomerate and the date of legal finality of the decision,
5. the firm and seat of the parent entity at the top of the financial conglomerate or the controlled entity with the largest total assets in the most important sector from the financial sector in the financial conglomerate,
6. the firm and seat of the subsidiaries and other entities from the financial sector in the financial conglomerate,
7. the name and seat of the coordinator,
8. the name and seat of other competent supervisory authorities defined in point 16 of Article 2 of the FCA,
9. the date of issuance of the decision on the termination of the financial conglomerate and the date of legal finality of the decision,
10. the date of deletion of the financial conglomerate from the Register of Financial Conglomerates.

3. TRANSMISSION OF INFORMATION ON THE FINANCIAL CONGLOMERATE

Article 5

(transmission of information on the identification of the financial conglomerate)

In accordance with the second paragraph of Article 18 of the FCA, the coordinator must transmit the following data to the Ministry within ten days of receiving the message regarding the name of the financial conglomerate:

• the name of the financial conglomerate,
• the date of issuance of the decision on the identification of the financial conglomerate and the date of legal finality of the decision,
• the firm and seat of entities in the financial conglomerate,
• the name and seat of the coordinator and other competent supervisory authorities.

Article 6

(transmission of information on the termination of the financial conglomerate)

The coordinator must notify the Ministry of the termination thereof within ten days, calculated from the date of legal finality of the decision on the termination of the financial conglomerate.

4. PROCEDURE FOR ENTRY INTO THE REGISTER AND PROCEDURE FOR DELETION FROM THE REGISTER OF FINANCIAL CONGLOMERATES

Article 7

(time limits for entering data on the financial conglomerate into the register)

The Ministry must enter or delete a financial conglomerate and other data from Article 4 of this Regulation within two working days, calculated from the receipt of the data based on this Regulation and the FCA.

5. METHOD OF ACCESS TO DATA IN THE REGISTER OF FINANCIAL CONGLOMERATES

Article 8

(methods of viewing the register)

The register is accessible to the public on the Ministry's website.

Article 9

(issuance of an official extract from the register)

(1) The Ministry must issue an official extract from the Register of Financial Conglomerates to anyone upon a written application.

(2) The Ministry provides the official extract from the Register of Financial Conglomerates by means of a computer printout of the entered data relating to a specific financial conglomerate.

Article 10

(filing of an application for the issuance of an official extract from the register)

(1) The right to obtain an official extract from the Register of Financial Conglomerates belongs to any person who previously files an application with the Ministry for the issuance of an official extract from the register (hereinafter: application).

(2) The application must contain:

• data enabling the identification of the applicant, and
• data enabling the identification of the financial conglomerate for which data are requested.

Article 11

(filing of the application)

(1) The application may be filed in written or electronic form.

(2) A written application is a document signed by hand in physical form, which does not require information technology for the reproduction of its content.

(3) An electronic application is an electronic record transmitted to the Ministry on an electronic data carrier or via a secure electronic path.

Article 12

(special requirements for electronic applications)

An application transmitted in electronic form must be securely electronically signed, and the signature of the applicant must be certified with a qualified digital certificate.

6. FINAL PROVISION

Article 13

(entry into force of the regulation)

This Regulation enters into force on the fifteenth day after its publication in the Official Gazette of the Republic of Slovenia.

No. 007-210/2007/

Ljubljana, 11 May 2007

EVA 2007-1611-0049

dr. Andrej Bajuk, m. Minister for Finance