Licensing

Regulatory technical standards

  SL EN
Commission Delegated Regulation (EU) No 1151/2014 of 4 June 2014 supplementing Directive 2013/36/EU of the European Parliament and of the Council with regard to regulatory technical standards on the information to be notified when exercising the right of establishment and the freedom to provide services (OJ L 309 of 30 October 2014)

 

Implementing technical standards

  SL EN
Commission Implementing Regulation (EU) No 926/2014 of 27 August 2014 laying down implementing technical standards with regard to standard forms, templates and procedures for notifications relating to the exercise of the right of establishment and the freedom to provide services according to Directive 2013/36/EU of the European Parliament and of the Council (OJ L 254 of 28 August 2014)

 

Bank of Slovenia regulations

  SL EN
Regulation on the holders of qualifying holdings of banks and savings banks (Official Gazette of the Republic of Slovenia, No. 50/17)

- List of documentation and information for assessment of suitability of future qualifying holder

- KVALI questionnaire
- FIN form

Regulation on the documentation for demonstrating fulfilment of the conditions for appointment as a member of the management body of a bank or savings bank (Official Gazette of the Republic of Slovenia, No. 33/17)


 

 
- KAN questionnaire
- BAN questionnaire
Regulation on the documentation for the granting of authorisations to provide banking and financial services and for status changes (Official Gazette of the Republic of Slovenia, No. 73/15)
Regulation on the documentation for the granting of an authorisation to establish a branch of a third-country bank (Official Gazette of the Republic of Slovenia, No. 73/15)

 

 

EBA guidelines, joint guidelines of European supervisory authorities (EBA, ESMA, EIOPA) and corresponding Bank of Slovenia regulations

  SL EN
Guidelines on the assessment of the suitability of members of the management body and key function holders (EBA/GL/2017/12; 21 March 2018)

Regulations on the application of the Guidelines on the assessment of the suitability of members of the management body and key function holders (Official Gazette of the Republic of Slovenia, No. 33/18)
Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector (JC/GL/2016/01; 20 December 2016)
Regulation on the application of the Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector (Official Gazette of the Republic of Slovenia, No. 34/17)

 

ECB bylaws

  SL EN
ECB Guide to assessments of fintech credit institution licence applications (23 March 2018)                                                      
ECB Guide to assessments of licence applications – Licence applications in general (23 March 2018)  
Guide to fit and proper assessments (May 2018)
Privacy statements (30 December 2014):
- Fit and proper assessments
- Qualifying holdings
- Right of establishment by significant supervised entities in the territory of another participating Member State
- Right of establishment by significant supervised entities in the territory of another non-participating Member State
- Licensing

 

Advisory documents and pre-publication documents

  SL EN
Final report on Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU (EBA/GL/2017/12; 26 September 2017) /
Final report on
- Draft Regulatory Technical Standards under Article 8(2) of Directive 2013/36/EU on the information to be provided for the authorisation of credit institutions, the requirements applicable to shareholders and members with qualifying holdings and obstacles which may prevent the effective exercise of supervisory powers (EBA/RTS/2017/08; 14 July 2017) (status: final draft submitted to the European Commission)
- Draft Implementing Technical Standards under Article 8(3) of Directive 2013/36/EU on standard forms, templates and procedures for the provision of the information required for the authorisation of credit institution (EBA/ITS/2017/05; 14 July 2017) (status: final draft submitted to the European Commission)
/

 

Ostalo

  SL EN
EBA Report on the peer review of the RTS on the passport notifications (10 July 2018) /
ECB: Fit and Proper Questionnaire (15 May 2019) /
ECB: What is a qualifying holding? (18 March 2016)
ECB: What is fit and proper supervision? (18 March 2016)
EBA Report On the peer review of the Guidelines on the assessment of the suitability of members of the management body and key function holders (EBA/GL/2012/06) (16 June 2015) /