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Bank Supervision | Bank Set-up Procedure and Issuing of Operating Licences and Consents

Licensing Manual

IN THE PROCEDURES RELATING TO BANK FOUNDING, ACQUISITION OF OWNERSHIP IN A BANK AND APPOINTMENT OF MEMBERS OF THE MANAGING AND EXECUTIVE BOARDS

(aligned with the provisions of the Law on Banks, RS Official Gazette, Nos 107/2005, 91/2010 and 14/2015, and the Decision on Implementing the Provisions of the Law on Banks Relating to Granting of a Preliminary Bank Founding Permit, Bank Operating Licence and Consents and Approvals by the National Bank of Serbia, RS Official Gazette, No 82/2015 and 29/2018 – hereinafter: Decision)

1. GUIDELINES FOR FILING AN APPLICATION WITH THE NATIONAL BANK OF SERBIA FOR PRELIMINARY BANK FOUNDING PERMIT, BANK OPERATING LICENCE AND CONSENT TO ACTS OF THE FOUNDING ASSEMBLY

1) Annexes to application for preliminary bank founding permit:

  • Annex 1 – Application for preliminary bank founding permit (prescribed by the Decision and integral thereto)
  • Annex 2 – Questionnaire for natural persons acquiring/increasing ownership in the bank (prescribed by the Decision and integral thereto)
  • Annex 3 – Questionnaire for legal persons acquiring/increasing ownership in the bank (prescribed by the Decision and integral thereto)
  • Annex 5 – Questionnaire for the person nominated as member of managing and executive board of the bank (prescribed by the Decision and integral thereto)
  • Annex – Statement
  • Annex – Letter of authorisation
  • Annex 1.1 – Founding act
  • Annex 1.2 – Articles of association
  • Annex 1.3 – Proposed business policy and strategy of the bank for the period of three years
  • Annex 1.4 – Programme of activities
  • Annex 1.5 – Proposed risk management strategy and policy and capital management strategy
  • Annex 1.6 – Proposal template of the decision on appointment/selection of president and members of the bank’s managing board
  • Annex 1.7 – Proposal of decision on appointment of president and members of the bank’s executive board
  • Annex 1.8 – Composition of the managing board
  • Annex 1.9 – Instruction for payment of fee and tax for processing the application for preliminary bank founding permit
  • Annex 1.10 – Professional biography form for natural persons – founders
  • Statement Form 1
  • Statement Form 2

2) Annexes to application for bank operating licence:

  • Annex – Specification of IT resources
  • Annex – Proposed organisational structure, job classification and planned staffing schedule
  • Annex 1.11 – Instruction for payment of fee and tax for processing the application for bank operating licence

2. GUIDELINES FOR FILING AN APPLICATION WITH THE NATIONAL BANK OF SERBIA FOR PRIOR CONSENT TO THE ACQUISITION OF OWNERSHIP IN A BANK – “PURCHASE” OF A BANK LICENSED BY THE NATIONAL BANK OF SERBIA

Annexes:

  • Annex 2 – Questionnaire for natural persons acquiring/increasing ownership in the bank (prescribed by the Decision and integral thereto)
  • Annex 3 – Questionnaire for legal persons acquiring/increasing ownership in the bank (prescribed by the Decision and integral thereto)
  • Annex – Programme of activities (acquisition of ownership)
  • Annex 1.12 – Instruction for payment of fee and tax for processing the application for prior consent to acquisition of ownership in a bank
  • Statement Form 1
  • Statement Form 2

3. GUIDELINES FOR FILING AN APPLICATION WITH THE NATIONAL BANK OF SERBIA FOR PRIOR CONSENT TO THE APPOINTMENT OF MEMBERS OF THE MANAGING AND/OR EXECUTIVE BOARD
 

Annexes:

  • Annex 1.6. to the Guidelines for consent to appointment of members of the bank’s managing and/or executive board – Proposal template of the decision on the appointment/selection of the president and members of the bank’s managing board
  • Annex 1.7. to the Guidelines for consent to appointment of members of the bank’s managing and/or executive board – Proposal template of the decision on the appointment/selection of the president and members of the bank’s executive board
  • Annex 1.8 – Composition of the managing board
  • Annex 1.13 – Instruction for payment of fees for processing the application for granting prior consent to the appointment of members of a bank’s managing and/or executive board 
  • Prilog 5 – Questionnaire for the person nominated as member of managing and executive board of the bank (prescribed by the Decision and integral thereto)
  • Statement Form 1
  • Statement Form 2
  • Form of Statement for the reappointment of members of the Bank’s Managing or Executive Board