• Home Integrated regulations
    Instruction no.1 /2021 on how to submit reports and other documents in electronic format to the Financial Supervisory Authorit
Instruction no.1 /2021 on how to submit reports and other documents in electronic format to the Financial Supervisory Authorit

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

  • Law no. 237/2015 on the authorisation and supervision of insurance and reinsurance activities, as amended;
  • Law no. 236/2018 on insurance distribution, as amended;
  • Law no. 411/2004 on privately managed pension funds, republished, as amended and supplemented;
  • Law no. 204/2006 on voluntary pensions, as amended and supplemented;
  • Law no. 1/2020 on occupational pensions;
  • Law no. 243/2019 on the regulation of alternative investment funds and on the amendment and completion of certain regulatory acts;
  • Law no. 126/2018 on markets in financial instruments, as amended and supplemented;
  • Law no. 74/2015 on alternative investment fund managers, as amended and supplemented;
  • Law no. 24/2017 on issuers of financial instruments and market operations, as amended and supplemented;
  • Government Emergency Ordinance no. 32/2012 on undertakings for collective investment in transferable securities and investment management companies, as well as amending and supplementing Law no. 297/2004 on the capital market, approved with amendments and additions by Law no. 10/2015, as amended and supplemented;

   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:

  1. for the sender, the e-mail address of the entity or the e-mail address of the legal representative of the entity, respectively the e-mail address of the natural person if he/she addresses A.S.F. in his/her personal name;
  2. for the recipient, the e-mail address of A.S.F. - eregistratura@asfromania.ro, in compliance with the procedure for sending the documents set out in the guide, in application of this Instruction which is of an indicative nature and may be updated by A.S.F. according to best practices in the field;
  3. in the case of reports provided for by the applicable insurance legislation, the ASF-EWS or e-Hub applications, as appropriate
  4. in the case of reporting under capital market legislation, the applications provided for by the legislation in force applicable to each type of reporting shall be used;
  5. in the case of reporting required by the regulations specific to the private pension scheme, the computerised reporting system (CRS) shall be used;
  6. in the case of monthly/quarterly statements submitted in accordance with Article 35 of the A.S.F. Regulation no. 16/2014 on the revenues of the Financial Supervisory Authority, republished, as subsequently amended and supplemented, the A.S.F. e-mail address shall be used raportari_taxe@asfromania.ro.;
  7. applications for authorisation/approval processes accompanied by the necessary documents can be submitted by using the authorisation portal available at https://autorizari.asfromania.ro/.

 (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

No. 1.

 

 


28/12/2021
GDPR

www.asfromania.ro uses cookies to personalize and improve your experience on our website. Before continuing to browse www.asfromania.ro, please take the time to read and understand the content of the Cookie Policy. By continuing to browse our website you confirm your acceptance of the use of cookies according to the Cookie Policy. You can change the settings of these cookies at any time by following the instructions in Disclaimer