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Capital market Investment funds Investment firms Pension system Insurance market Anti-money laundering and counter-terrorist financing Leasing market Factoring market Resolution Act on Hanfa

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Note: the provisions of this Ordinance governing the preparation, content and delivery of the CCP's recovery plan, adopted in accordance with Article 555 (6) of the Capital Market Act, ceased to be valid on 12 February, when the provisions of the Regulation (EU) 2021/23 of the European Parliament and of the Council of 16 December 2020 on a framework for the recovery and rehabilitation of CCPs and amending Regulations (EU) 1095/2010, (EU) 648/2012, (EU) 600/2014, (EU) 806/2014 and (EU) 2015/2365 and Directive 2002/47/EC, 2004/25/EC, 2007/36/EC, 2014/59/EU and (EU) 2017/1132 (OJ L 22, 22.1.2021.) became applicable

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1. Hanfa, as the competent authority of the CCP in accordance with Article 18 (2) points (b), (d) and (f) of EMIR
ESMA (the Chair or any independent member of the CCP Supervisory Committee referred to in Article 24.a (2) points (a) and (b) of EMIR), in accordance with Article 18 (2) point (a) of EMIR
the Croatian National Bank, in accordance with Article 18 (2) points (c) and (h) of EMIR, and
the European Central Bank, in accordance with Article 18 (2)point (c) of EMIR.

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with regard to regulatory technical standards specifying the content of recovery plans, resolution plans and group resolution plans, the minimum criteria that the competent authority is to assess as regards recovery plans and group recovery plans, the conditions for group financial support, the requirements for independent valuers, the contractual recognition of write-down and conversion powers, the procedures and contents of notification requirements and of notice of suspension and the operational functioning of the resolution colleges (text with EEA relevance)

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with regard to regulatory technical standards for non-delta risk of options in the standardised market risk approach and correcting commission delegated regulation (EU) no 604/2014 supplementing directive 2013/36/EU of the European parliament and of the council with regard to regulatory technical standards with respect to qualitative and appropriate quantitative criteria to identify categories of staff whose professional activities have a material impact on an institution's risk profile (text with EEA relevance)

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for the determination of the principal venue for a share according to Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps (Text with EEA relevance)

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and with regard to the format of the records to be maintained by central securities depositories in accordance with Regulation (EU) No 909/2014 of the European Parliament and of the Council

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Note: Guidelines, Questions and Answers, Opinions and other documents, news and information published by ESMA are available on the ESMA website at www.esma.europa.eu.

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Note: Guidelines, Questions and Answers, Opinions and other documents, news and information published by EBA are available on the EBA website at www.eba.europa.eu.

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Capital Market Act (Official Gazette, No 65/18) (available in Croatian only)

Act on Amendments to the Capital Market Act (Official Gazette, No 17/2020) (available in Croatian only)

Opinions

1. Opinion on the application of the provisions of Articles 93 to 99 of the Capital Market Act, relating to tied agents (Available in Croatian only)

2. Decision on audited reports on capital adequacy of investment firms (Available in Croatian only)

3. Opinion on delivering audited reports on the adequacy of measures referred to in Article 42 of the Capital Market Act and audited reports on capital adequacy to the Agency (Available in Croatian only)

4. Opinion on the application of the provision of Article 116 paragraph 8 of the Capital Market Act (Available in Croatian only)

Corporate governance

Corporate Governance Code

Ordinance on corporate governance-related data that need to be submitted by issuers to the Croatian Financial Services Supervisory Agency, and on the form and manner of and time limits for their submission (Official Gazette No 59/20) (Available in Croatian only)

Ordinance on corporate governance-related data that need to be submitted by issuers to the Croatian Financial Services Supervisory Agency, and on the form and manner of and time limits for their submission (Official Gazette No 12/23) (Available in Croatian only)

Tehnical instructions and forms

1. Corporate governance practice questionnaire for issuers of shares (GIKU_UOP_DION_ENG)

2. Corporate governance practice questionnaire for issuers of bonds (GIKU_UOP_OBV_ENG)

3. Compliance questionnaire for issuers of shares (GIKU_UOU_DION_ENG)

Ordinances

Investor Protection Fund

1. Ordinance on the structure and contents of semi-annual and annual financial reports of the Investor Protection Fund (Official Gazette 41/16) (Available in Croatian only)

Ordinance amending the Ordinance on the structure and contents of semi-annual and annual financial reports of the Investor Protection Fund (Official Gazette 128/17) (Available in Croatian only)

2. Ordinance on the calculation, methods and time frames for the payment of regular contributions by members of the Investor Protection Fund (Official Gazette 81/09)

Trading venues

1. Ordinance on the structure and contents of annual financial reports of the stock exchange (Official Gazette 41/16) (Available in Croatian only)

Ordinance amending the Ordinance on the structure and contents of annual financial reports of the stock exchange (Official Gazette 2/17) (Available in Croatian only)

Ordinance amending the Ordinance on the structure and contents of annual financial reports of the stock exchange (Official Gazette 128/17) (Available in Croatian only)

2. Ordinance on the conditions for performing the function and on the procedure for granting approval for the position of a member of the management board of the stock exchange (Official Gazette 32/14) (Available in Croatian only)

3. Ordinance on the form, content, deadlines and manner of submitting reports on transactions and trading in financial instruments executed on the regulated market managed by the stock exchange (Official Gazette 155/13) (Available in Croatian only)

4. Ordinance on the content of the application and documents for granting authorisation to the stock exchange (Official Gazette 117/13) (Available in Croatian only)

5. Ordinance amending the Ordinance on the content of the application and documents for granting authorisation to the stock exchange (Official Gazette 32/14) (Available in Croatian only)

6. Ordinance on the type of admitted financial instruments and value of transactions subject to the obligation to report OTC transactions to the stock exchange (Official Gazette 85/13) (Available in Croatian only)

7. Ordinance on the list of documents required for the assessment of the application for granting approval for the acquisition of a qualifying holding (Official Gazette 5/09)

Depository, clearing and settlement

Central Depository

1. Ordinance on the manner of obtaining data, the content of reports and deadlines for the submission of data from the central depository (Official Gazette 107/2019) (Available in Croatian only)

3. Ordinance on periodic, statistical and capital reporting by the central securities depository and reporting by the central securities depository from another Member State (Official Gazette 91/2019) (Available in Croatian only)

Ordinance amending the Ordinance on periodic, statistical and capital reporting by the Central Securities Depository and reporting by the Central Securities Depository from another Member State (Official Gazette 144/2021) (Available in Croatian only)

5. Ordinance on organizational requirements for a settlement system operator, and minimum standards applicable to the risk management system and information system of that operator (Official Gazette 7/2021) (Available in Croatian only)

Central counterparty

1. Ordinance on the recovery plan, materiality criteria and trend indicators that indicate the impossibility of continuous fulfillment of working conditions and the allocation of significant activities and processes of the CCP (Official Gazette 77/2019) (Available in Croatian only)

2. Ordinance on the content, format and manner of submission of applications for the issuance of approvals for the operation of the CCP (Official Gazette 77/2019) (Available in Croatian only)

3. Ordinance on the structure, content, manner and deadlines for the submission of annual financial statements and audit reports and the application of the chart of accounts for CCPs (Official Gazette 77/2019) (Available in Croatian only)

Instructions for the application of the chart of accounts for CCPs (SDUS)

4. Ordinance on supervisory reports of the CCP (Official Gazette 82/2019) (Available in Croatian only)

Ordinance amending the Ordinance on supervisory reports of the CCP (Official Gazette 144/2021) (Available in Croatian only)

Issuer transparency

Ordinance on the contents and structure of issuers’ annual report and on the form and manner of its submission to the Croatian Financial Services Supervisory Agency (Official Gazette, No 114/18) (available in Croatian only)

Ordinance on the contents and structure of issuers’ interim reports and on the form and manner of their submission to the Croatian Financial Services Supervisory Agency (Official Gazette, No 114/18) (available in Croatian only)

Officially appointed mechanism for the central storage of regulated information

Ordinance on maintaining the Officially Appointed Mechanism for the Central Storage of Regulated Information (Official Gazette, No 114/18) (available in Croatian only)

Ordinance on the contents, form and manner of submitting regulated information to the Croatian Financial Services Supervisory Agency and to the Officially Appointed Mechanism for the Central Storage of Regulated Information (Official Gazette, No 114/18) (available in Croatian only)

Corporate governance

Corporate Governance Code

Market abuse

1. Ordinance on disclosure of inside information which directly concerns the issuer and on determining the legitimate interests of the issuer for the delay in disclosure (Official Gazette 5/09)

Ordinance amending the Ordinance on disclosure of inside information which directly concerns the issuer and on determining the legitimate interests of the issuer for the delay in disclosure (Official Gazette 85/13) (Available in Croatian only)

2. Instruction on the form and contents of public disclosures of inside information pursuant to the Capital Market Act (Available in Croatian only)

3. Guidelines for issuers of municipal bonds (Available in Croatian only)

4. Ordinance on manipulation and obligation of informing on suspicion of market abuse (Official Gazette 5/09)

5. Ordinance on accepted market practices (Official Gazette 5/09)

Prospectuses

1. Ordinance on the abolishment of the Ordinance on the form, type and number of copies of mandatory attachments to the application for the approval of the prospectus and on mandatory content of the application (Official Gazette No 67/16) (Available in Croatian only)

Short selling

1. The Act implementing Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March 2012 on short selling and certain aspects of credit default swaps (Official Gazette 54/13) (Available in Croatian only)

2. European Securities And Markets Authority decision of 16 March 2020

European Market Infrastructure Regulation - EMIR

1. 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 54/13)

2. Decision on the method of notification in accordance with Regulation (EU) Regulation (EU) 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, CCPs and the trade repository (Available in Croatian only)

3. Decision on the documentation to be attached to the notification of the intention to apply the intragroup exemption from the settlement obligation referred to in Article 4 (2) of Regulation (EU) 648/2012 (Available in Croatian only)

4. Decision on the manner and form of notification of disputes between the contracting parties within the meaning of Article 15 (2) of Regulation (EU) 149/2013 (Available in Croatian only)

7. Decision on the documentation to be attached to the notification of the intention to apply the exemption from the reporting obligation referred to in Article 9(1) of Regulation (EU) 648/2012 for intragroup transactions (Available in Croatian only)

8. The list of members of the SKDD-CCP college referred to in Article 18 of EMIR established on 16 August 2021:

CSDR

1. The Act implementing Regulation (EU) No 909/2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (Official Gazette 44/16) (Available in Croatian only)

3. Ordinance on settlement fails and internalized settlement reporting (Official Gazette 47/18) (Available in Croatian only)

Ordinance on amendments to the Ordinance on reporting on failed settlements and on internalized settlement (Official Gazette 13/2022) (Available in Croatian only)

4. Ordinance on reporting of possible or actual infringements of the Regulation (EU) No 909/2014 (Official Gazette 47/18) (Available in Croatian only)

SFTR

1. The Act implementing Regulation (EU) 2015/2365 on transparency of securities financing transactions and of reuse (Official Gazette 12/18) (Available in Croatian only)

Guidelines

1. Guidelines on carrying out the audit of supervised entities' information systems by audit firms (Available in Croatian only)

2. Guidelines on adequate management of risks pertaining to supervised entities' information systems (Available in Croatian only)