Decree of the Ministry of Finance No. 105 / 2001 Coll.
Decree of the Ministry of Finance on reporting transactions in investment instruments concluded outside the public market.
Valid
Order
Effective from 01.05.2001
Text versions:
01.05.2001
21.03.2001
105
DECLARATION
Ministry of Finance
of 9 March 2001
on the reporting of transactions in investment instruments concluded outside the public market
According to Article 15 (3) of Act No. 15 / 1998 Coll., on the Securities Commission and amending and supplementing other laws, the Ministry of Finance provides:
Reporting of investment instrument transactions
An institutional investor and a securities dealer (hereinafter referred to as "the obliged entity ') shall report to the Securities Commission (hereinafter referred to as" the Commission') on any trade in investment instruments admitted to trading on the public market which it has concluded outside the public market, irrespective of the type or volume of such trade.
Details and details of the scope, structure, manner and form of reporting
(1) The obliged person shall send the Commission, without undue delay, a post-trade notification by electronic mail to the extent that the information referred to in Article 3 (1) is provided, except for the information referred to in Article 3 (1) (b). By the end of the following working day following the closing date of the transaction, the obliged entity shall deliver a report to the extent of all the information referred to in Article 3 (1) on the technical data medium, if it adds to the report a guaranteed electronic signature based on a qualified certificate issued by an accredited certification service provider, (1) otherwise on the technical data medium and in printed form bearing a signature.
(2) If the obliged person sends a report without undue delay to the extent of all the information referred to in Paragraph 3 (1) and provides it with a guaranteed electronic signature based on a qualified certificate issued by an accredited certification service provider, (1) the obligation referred to in the second sentence of paragraph 1 shall not apply to him.
(3) Instead of the procedure referred to in paragraph 1 or 2, the obliged entity may report by means of a public market operator or a securities settlement person (hereinafter referred to as "third party ') electronically on the basis of a connection via a fixed telecommunications circuit, 2) without undue delay after the conclusion of the transaction and within the scope of all the information referred to in Article 3 (1). This provision shall not apply in the event of the closure or failure of third party reporting systems.
(1) The report shall contain:
(a) the compulsory identification number;
(b) identification of the seller and buyer or other party to the transaction;
(c) the code identifying the security (ISIN) that is the subject of the transaction or the code identifying another investment instrument admitted to trading on the public market that is the subject of the transaction; in the absence of an investment instrument admitted to trading on the public market, the report shall include the designation of the investment instrument subject to trade and its issuer;
(d) the number of units of investment instruments traded;
(e) the purchase price of the investment instrument or any other transaction value agreed by the Parties; for a derivative, also the implementation price;
(f) the date and time of the closing of the transaction, as indicated in the format of the day of the month. One year. minute,
(g) the estimated settlement date of the transaction as indicated in the format of the day-to-month. year,
(h) an internal reporting number enabling it to be identified at a later date;
(i) a description of the type of transaction; and
(j) an indication of whether the transaction has been concluded on its own account for the debtor or for another person or for the account of another person.
(2) The identification of persons referred to in paragraph 1 (b) shall be carried out by means of an identification or birth number. If they are not, identification shall be made by means of a specific identification number assigned in the manner laid down by the internal rules of the obliged entity or third party, provided that they report in accordance with Article 2 (3), or, where appropriate, through a trading firm or name or surname and surname.
(3) For the identification of the type of transaction referred to in paragraph 1 (i), one of the following abbreviations shall apply:
(a) "PRO" for prompt trade,
(b) "TER" for futures;
(c) "BUS" for a transaction consisting of the purchase and resale of an investment instrument (buy-and-sell-back) or a hedging transfer of an investment instrument (repos);
(d) "PUJ" for an investment instrument loan; or
(e) "IUU" for all other types of business.
(1) If any change is made to the information contained in the report, the obliged entity shall submit a new report in the manner and within the time limit set out in Section 2. The deadline for submitting a new report shall run from the moment the person concerned becomes aware of the change. The new reporting shall include the identification of the original reporting, in particular through the internal reporting number (Section 3 (1) (h)). When a new message is received, the original message shall not be taken into account.
(2) If there is no settlement of the reported transaction, the obligor shall submit a cancellation report within the time limit set out in Section 2. The time limit for the submission of the cancellation report shall run from the time when the obliged entity becomes aware that the transaction has not been or will not be settled. The cancellation report shall include, in addition to the information that the transaction has not been or will not be settled, the identification of the original message by means of the internal reporting number (Section 3 (1) (h)).
Transitional and final provisions
The mandatory person shall submit to the Commission, in the manner and to the extent set out in this Order, within seven days of the date of entry into force of this Order, a report on all transactions referred to in Section 1 which have not been settled before the date of entry into force of this Order.
Efficacy
This Decree shall take effect on 1 May 2001.
Minister:
Doc.
1) Paragraph 11 of Act No. 227 / 2000 Coll., on Electronic Signature and on the Amendment of Certain Other Acts (Act on Electronic Signature).
2) Paragraph 2 (14) of Act No. 151 / 2000 Coll., on Telecommunications and on the amendment of other laws.
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Regulation Information
| Citation | Decree of the Ministry of Finance No. 105 / 2001 Coll., on reporting transactions in investment instruments concluded outside the public market. |
|---|---|
| Regulation Type | Order |
| Author | - |
| Collection | Code of Laws |
| Date of Promulgation | 21.03.2001 |
|---|---|
| Effective from | 01.05.2001 |
| Effective until | - |
| Status | Valid |
The regulation text is for informational purposes only.
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