Based on the provisions of art. para. (2), art. 2, art. 3 para. (1) and art. 6 of the Government Emergency Ordinance no. 93/2012 on the establishment, organization and operation of the Financial Supervisory Authority, approved with subsequent amendments and supllementations by Law no. 113/2013,
taking into account the provisions of
having regard to Articles 5 and 6 of Government Emergency Ordinance no. 38/2020 on the use of electronic documents by public authorities and institutions,
following the deliberations of the Board of the Financial Supervisory Authority during its meeting held on 15 December 2021,
The Financial Supervisory Authority issues this Instruction
Art. 1. - This instruction regulates the transmission of correspondence, reports, including monthly/quarterly statements, information and other documents in electronic format to the Financial Supervisory Authority, hereinafter referred to as A.S.F., by entities authorised/approved/registered, regulated and/or supervised by A.S.F., by other natural or legal persons appearing in the A.S.F. Registers or by persons applying to the A.S.F. for the first time for the issuance of an individual document.
Art. 2. - The terms, abbreviations and expressions used in this instruction have the meanings set out in the legislation specific to entities authorised/approved/registered, regulated and/or supervised by A.S.F.
Art. 3. - (1) The entities and natural or legal persons referred to in Article 1 that send correspondence, reports, monthly/quarterly statements, information and other documents provided for by the applicable legislation in electronic format to A.S.F. shall use the following format:
(2) The documents of the entities and natural and legal persons referred to in art. (1) addressed to A.S.F. in accordance with this instruction shall be signed in handwriting, photocopied/scanned in PDF format or signed with a qualified electronic signature by the person entitled to do so, and in the case of documentation submitted in accordance with the provisions of para. (1) it shall be accompanied by the accompanying address and the opis of the documentation; the accompanying address shall be sent with the registration number.
(3) The documentation submitted to the A.S.F. pursuant to para. (1) and (2) shall be kept at the entity's registered office and shall be available for verification at the request of the A.S.F. whenever necessary.
Art. 4. - (1) Entities and natural or legal persons referred to in Article 1 shall send correspondence, reports, monthly/quarterly statements, information and other documents in accordance with the provisions of Article 3, including where other regulations provide for their transmission on paper; entities shall comply with the deadlines for sending reports and other documents to the A.S.F. established by the applicable legislation.
(2) At A.S.F.’s request or if the legislation applicable to the entities and natural or legal persons referred to in Article 1 provides for the transmission of documents in original, they shall also be sent in original.
Art. 5. – This Instruction shall be published in the Official Gazette of Romania, Part I, and shall enter into force on the date of its publication.
Art. 6. - On the date of entry into force of this Instruction, the Financial Supervisory Authority's Instruction no. 3/2020 on how to submit reports and other documents in electronic format to the Financial Supervisory Authority, published in the Official Gazette of Romania, Part I, no. 388 of 14 May 2020, as amended, is hereby repealed.
on behalf of the President of the Financial Supervisory Authority,
Elena Doina Dascălu
Bucharest, 16 December 2021