Licensing
Regulatory technical standards
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| 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) – unofficial consolidated text from 6. march 2022 |  |
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ANNEX I - Branch passport notification form |
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| ANNEX II - Form for the communication of branch passport notification | |
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| ANNEX III - Form composition own funds and own fund requirements | |
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| ANNEX IV - Form for the termination of the operation of a branch | |
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| ANNEX V - Form for the submission of services passport notification | |
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Implementing technical standards
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| Commission Implementing Regulation (EU) 2017/461 of 16 March 2017 laying down implementing technical standards with regard to common procedures, forms and templates for the consultation process between the relevant competent authorities for proposed acquisitions of qualifying holdings in credit institutions as referred to in Article 24 of Directive 2013/36/EU of the European Parliament and of the Council (OJ L 72 of 17 March 2017) | |
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| Commission Implementing Regulation (EU) 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 | / | / |
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Bank of Slovenia regulations
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| 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. 82/22) – in force since 16 June 2022 | |
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| - FAP questionnaire | |
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| - Mandatory annex to the FAP questionnaire - National specificites | |
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| Regulation on the holders of qualifying holdings of banks and savings banks (Official Gazette of the Republic of Slovenia, No. 50/17) | |
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- List of documentation and information for assessment of suitability of future qualifying holder |
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| - KVALI questionnaire | |
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| - FIN form | |
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| 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) – in force until 17. July 2023 | |
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| Regulation on the documentation for the granting of authorisations to provide banking and financial services (Official Gazette of the Republic of Slovenia, No. 55/23) – in force from 18. July 2023 | |
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| Regulation on the documentation for the granting of authorisations for status changes (Official Gazette of the Republic of Slovenia, No. 55/23) – in force from 18. July 2023 | |
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| 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) | |
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EBA guidelines, joint guidelines of European supervisory authorities (EBA, ESMA, EIOPA) and corresponding Bank of Slovenia regulations
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| Guidelines on a common assessment methodology for granting authorisation as a credit institution under Article 8(5) of Directive 2013/36/EU (EBA/GL/2021/12; 11 November 2021) | |
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| Regulation on the application of the Guidelines on a common assessment methodology for granting authorisation as a credit institution under Article 8(5) of Directive 2013/36/EU (Official Gazette of the Republic of Slovenia, No. 49/22) – in force since 18 July 2023 | |
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| - Notice on the entry into force of the Regulation on the application of the Guidelines on a common assessment methodology for granting authorisation as a credit institution under Article 8(5) of Directive 2013/36/EU | |
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| Guidelines on the assessment of the suitability of members of the management body and key function holders (EBA/GL/2021/06; 2 July 2021) – in force since 31 December 2021 |
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| - Annex I – Template for a matrix to assess the collective competence of members of the management body | |
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| Regulation 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. 184/21) – in force since 31 December 2021 | |
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| Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector (JC/GL/2016/01; 20 December 2016) | |
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| 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) | |
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ECB bylaws
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| ECB Guide to fit and proper assessments (December 2021) | |
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| ECB Guide on qualifying holding procedures (March 2023) | |
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| ECB Guide to assessments of fintech credit institution licence applications (March 2018) | |
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| ECB Guide to assessments of licence applications – Licence applications in general (Second revised edition - January 2019) | |
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| ECB Guide on the supervisory approach to consolidation in the banking sector (January 2021) | |
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| Privacy statements - 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 |
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Advisory documents and pre-publication documents
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| EBA Final Report on Draft regulatory technical standards on the provision of information for the effective monitoring of the credit institution thresholds under Article 55(5) of Regulation (EU) 2019/2033 (EBA/RTS/2021/18; 20 December 2021) | / | |
| EBA Final Report on Draft Regulatory Technical Standards on the reclassification of investment firms as credit institutions in accordance with Article 8a (6)(b) of Directive 2013/36/EU (EBA/RTS/2021/17; 20 December 2021) | / | |
| EBA Final draft amending Regulatory Technical Standards and Implementing Technical Standards on Passport Notifications under Articles 35, 36 and 39 of Directive 2013/36/EU (EBA/RTS/2020/06; EBA/ITS/2020/03; 18 June 2020) | / | |
| 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) |
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Other
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| Joint ESA Report on the withdrawal of authorisation for serious breaches of AML/CFT rules (ESAs 2022 23; 31 May 2022) | / | |
| EBA Report on the peer review of Joint ESAs Guidelines on the prudential assessment of the acquisition of qualifying holdings, JC/GL/2016/01 (EBA/REP/2021/24; August 2021) | / | |
| Opinion of the European Banking Authority on appropriate supervisory and enforcement practices for the process of authorising investment firms as credit institutions under Article 8a of Directive 2013/36/EU (EBA/Op/2021/08; 1 July 2021) | / | |
| EBA Report on the peer review of the RTS on the passport notifications (10 July 2018) | / | |
| ECB: Kaj je kvalificirani delež? (18. marec 2016) | |
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| ECB: Kaj je preverjanje sposobnosti in primernosti? (18. marec 2016) | |
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| 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) | / | |