Decisions Adopted by the Board of the Financial Supervisory Authority

Bucharest, 5 January 2022 – During today's meeting, the Board of the Financial Supervisory Authority (A.S.F.) adopted measures on the functioning of the supervised non-bank financial markets - insurance, capital market, and private pensions, as follows:

A)  Regulation

Regulation amending and supplementing A.S.F. Regulation no. 15/2018 on the Public Register of the Financial Supervisory Authority (the Regulation will be sent for publication to the Official Gazette of Romania);

Rule for the application of the ESMA Guideline on written agreements between members of CCP colleges (the rule will be sent for publication to the Official Journal of Romania);

Draft Regulation amending and supplementing the Regulation of the Financial Supervisory Authority and the National Bank of Romania no. 10/4/2018 on the protection of financial instruments and funds belonging to clients, product governance obligations and rules applicable to the granting or receiving of fees, commissions or other types of pecuniary or non-pecuniary benefits, as amended and supplemented (the draft will be published on www.asfromania.ro for public consultation for 15 days).

B)  Authorization

Approval of the request of the market operator Bursa de Valori București S.A. to extend the mandate as manager for Mr. Tănase Adrian;

Approval of the request of SSIF Tradeville S.A. to authorize Ms. Andrei Miriam Elena as Manager of the company;

Approval of the application of STK Financial AFIA S.A. for authorisation of amendments to the documents of FIA AG Capital;

Approval of the application of S.A.I. Broker S.A. for authorization of changes in the documents of the Prosper Invest Open-ended Investment Fund;

Approval of the request of S.A.I. Globinvest S.A. for the authorization of amendments to the documents of FDI Napoca, FDI Transilvania, FDI TehnoGlobinvest, FDI SanoGlobinvest, FDI GlobUS BlueChips;

Approval of the contraction of the scope of activity of SSIF Interdealer Capital Invest S.A.;

Approval of Alpha Bank S.A. as a new indirect significant shareholder of Alpha Insurance Brokers - Societate de Brokeraj în Asigurare - Reasigurare S.R.L.;

Approval of the endorsement of the amendment to the Individual Membership Act of the Vital Private Pension Fund, managed by Aegon Pensii - Societate de Administrare a Fondurilor de Pensii Private S.A.;

Approval of the authorization to amend the Individual Membership Act of the Aegon Esențial Facultative Pension Fund, managed by Aegon Pensii - Societate de Administrare a Fondurilor de Pensii Private S.A.

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About the Financial Supervisory Authority

The Financial Supervisory Authority is the national authority, established in 2013 by GEO 93/2012 approved by Law 113/2013, for the regulation and supervision of the insurance markets, private pensions, as well as the capital market. The FSA contributes to strengthening the integrated functioning framework of the three sectors, amounting to over 10 million participants. More information can be found on www.asfromania.ro.