Decree No. 232 / 2009 Coll.
Decree amending Decree No. 605 / 2006 Coll., on certain information obligations of a securities dealer, as amended
Valid
Order
Effective from 01.01.2010
Contents
Čl. I
㤠3
㤠6
§ 7
Část 1: Přehled obhospodařovaného majetku
Část 2: Počet a struktura zákazníků (jen pro obchodníky s cennými papíry, kteří nejsou bankou)
Část 1: Základní údaje o obchodníkovi s cennými papíry
Část 2: Členové orgánů obchodníka s cennými papíry
Část 3: Řídící a kontaktní osoby obchodníka s cennými papíry
Část 5: Kvalifikované účasti obchodníka s cennými papíry
Čl. II
232
DECLARATION
of 21 July 2009
amending Decree No 605 / 2006 Coll., on certain information obligations of a securities dealer, as amended
The Czech National Bank provides pursuant to Article 199 (2) of Act No. 256 / 2004 Coll., on Capital Market Enterprise, as amended by Act No. 230 / 2008 Coll., and § 41 (4) of the Act No. 6 / 1993 Coll., on the Czech National Bank, as amended by Act No. 57 / 2006 Coll.:
Decree No. 605 / 2006 Coll., on certain information obligations of a securities dealer, as amended by Decree No. 242 / 2007 Coll. and Decree No. 234 / 2008 Coll., is amended as follows:
1. In Article 2, at the end of point (d), the dot is replaced by a comma and the following point (e) is added:
"(e) the security mark shall be electronically affixed to the data report and shall comply with the following requirements:
1. are clearly linked to the designating person and allow its identification by means of a certificate issued;
2. have been created and connected to the data message by means of means for the creation of security marks which the tagging person can keep under his sole control;
3. they are connected to the data message to which they relate in such a way that any subsequent change of data can be identified. ';
2.
A securities dealer who is not a bank shall submit an annual report and a consolidated annual report to the Czech National Bank in the manner set out in Section 6 (2). "
3. in Article 4, point (b) is deleted;
Points (c) to (e) shall be renumbered (b) to (d).
4. in Article 4 (d):
"(d) the instructions adopted and the closed transactions referred to in Article 13 of the Act, in the manner set out in Section 7, in the scope and structure set out in Annex 5 to this Decree and within 23 calendar days of the end of the relevant calendar month by sending MKT (ČNB) 41-12, MKT (ČNB) 42-12, MKT (ČNB) 43-12 and MKT (ČNB) 44- 12, prepared according to the data files MOKAS41, MOKAS42, MOKAS43 and MOKAS44,"
5. in Article 4, point (e) is deleted;
Point (f) shall be renumbered as point (e).
6. in Article 5 (g):
"(g) the organisational structure and persons with qualifying holdings, as referred to in Section 7, to the extent and structure set out in Annex 6 to this Order and within 1 month of the end of the relevant calendar quarter by sending the OCP (CNB) 48-04 statement drawn up on the basis of the DOCOS48 data file, ';
7. In Article 5 (h), "paper-based 'is deleted and" paragraph 2' is replaced by "paragraph 1 ';
8. In Article 5, at the end of point (h), the dot is replaced by a comma and the following points (i) and (j) are added:
"(i) changes in the facts on the basis of which he has been authorised to operate a securities dealer, with the exception of the information sent under point (g), by sending the report in accordance with Article 6 (1), to the extent and structure referred to in Annex 18 to this Regulation, without undue delay;
(j) that it has ceased to be authorised under a specific legislation for the exercise of an activity which has been registered under § 6a of the Act by sending a report in the manner referred to in § 6 (1), to the extent and structure referred to in Annex 19 to this Decree, without undue delay. "
9. Sections 6 and 7, including the title and footnotes Nos 3 to 8, read:
Method of sending certain information
(1) The report referred to in § 5 (h) to (j) is sent by the securities dealer to the Czech National Bank in electronic form in the form of a data message to the e-mail office or in paper form to the address of the Czech National Bank, with a clear indication of the information obligation. The data report shall be provided with a guaranteed electronic signature) of a contact person based on a qualified certificate (4). Reporting in paper form shall be accompanied by the signature of the person authorised to act on behalf of or on behalf of the securities dealer.
(2) The information referred to in Section 3 will be sent by the securities dealer in electronic form, as provided for in the specific legislation on the digitisation of the commercial register (5), to the e-mail office of the Czech National Bank. The data message shall be accompanied by a guaranteed electronic signature of the contact person. If the size of the data message does not allow sending by e-mail, the securities dealer shall send the annual report and the consolidated annual report in electronic form on a fixed medium.
Method and form of reporting
(1) The securities dealer sends the Czech National Bank reports pursuant to Sections 4 and 5 (a) to (g) in electronic form as a data report6) and in the structure and form of the data files available through
(a) the application of the Czech National Bank for data collection from non-bank entities (SDNS), which is available in a way that allows remote access;
(b) own applications of a securities dealer allowing electronic exchange of information (EDI / EDIFACT); or
(c) own applications of a securities dealer using the Czech National Bank's data collection (SDNS- WS) web-service statement.
(2) Data messages sent through the applications referred to in paragraph 1 (a) and (c) shall be provided by a securities dealer guaranteed by an electronic signature of a contact person based on a qualified certificate or an electronic mark based on the use of a qualified system certificate (7).
(3) Data messages sent through the application referred to in paragraph 1 (b) shall be marked by a security trader based on a certificate issued by the Czech National Bank.
(4) A securities dealer is not obliged to provide information pursuant to Article 4 (1) of Directive 2009 / 138 / EC. (e) to the Czech National Bank in the manner referred to in paragraph 1, provided that it ensures that it is part of the information on closed transactions under the special legislation on information obligations of the organiser of the regulated market and operator of the multilateral trading system8).
3) § 2 (b) of Act No. 227 / 2000 Coll., on Electronic Signature and on the Amendment of Certain Other Acts (Act on Electronic Signature), as amended by Act No. 440 / 2004 Coll.
4) § 2 (l) of Act No. 227 / 2000 Coll., as amended by Act No. 440 / 2004 Coll.
5) Article 2 of Decree No. 562 / 2006 Coll., which provides for the method of converting the documents into electronic form, the way in which the transferred documents are handled and the binding electronic form of the documents (Ordinance on the Digitisation of the Commercial Register).
6) § 2 (d) of Act No. 227 / 2000 Coll., as amended by Act No. 440 / 2004 Coll.
7) § 2 (m) of Act No. 227 / 2000 Coll., as amended by Act No. 440 / 2004 Coll.
8) Paragraph 3 (1) (b) of Decree No. 236 / 2008 Coll., on the information obligations of the operator of the regulated market and the operator of the multilateral trading system. '
10. in Article 7 (4), "(e)" is replaced by "(d)";
11. Annex No 1 shall be deleted;
12. Annex 2 shall read as follows:
"Annex No 2 to Decree No 605 / 2006 Coll.
Types and scope of investment services provided
OCP (CNB) reports 30-04, OCP (CNB) 31-04 with DODOOS30 data file code, DOCOS31 contain data on the volume of assets managed by individual investment vehicles and include the total number of customers, the number of customers by type of contract relationship, customer activity, customer's claim to compensation from the Guarantee Fund of securities dealers and the seat or place of residence of the customer. Data shall be broken down into two parts, structured into data areas.
Data area: Volume of securities managed (for non-bank securities dealers only)
The data area shall contain data on the volumes of managed investment vehicles pursuant to § 3 (1) (a) to (c) of the Act. The summary shall include a breakdown by type of investment instrument. The total fair value of investment vehicles shall be reported on the last day of the reference period.
Data area: Volume of derivatives managed
The data area shall contain data on the volumes of managed derivatives. The summary shall include a breakdown by type of derivative and category of underlying asset. The reported figure is the total fair value of derivatives at the last day of the reference period and the total value of the underlying asset at the last day of the reference period.
Data area: Volume of funds managed
The data area shall contain data on the amount of funds managed.
Data area: Customer structure
The data area shall include information on the total number of customers and the number of customers according to the type of contractual relationship, the activity of the customer, the volume of transactions differentiated into active and inactive customers, the customer's claim for compensation from the Securities Dealers Guarantee Fund and the seat or place of residence of the customer. Where the customer is in multiple contractual relationships, data shall be reported for each type of contractual relationship. The number of customers may not agree with the sum of the number of customers per contractual relationship. The data area also contains information on the number of new customers. '
13. Annex 3 shall be deleted;
14. Annexes 5 and 6 shall read as follows:
"Annex No 5 to Decree No 605 / 2006 Coll.
Instructions received and closed transactions (securities dealer's diary)
MKT (ČNB) 41-12, MKT (ČNB) 42-12 MKT (ČNB), 43-12 and MKT (ČNB) 44-12 with the code of the data files MOKAS41, MOKAS42, MOKAS43 and MOKAS44 contain information on the received instructions for the purchase, sale or other transfer of investment instruments, information on transactions concluded on the basis of these instructions to the customer account or to the account of the trader of securities for the relevant period, information on investment instruments which are the subject of the order or trade and persons whose identification is indicated in the information on the instructions and transactions.
The customer shall always be identified in the statements by the original number, legal person identification number or replacement identification assigned to the customer by the person leading the central securities register instead of that number, or by the unique number assigned to the customer in a manner specified by the internal rules of the securities dealer, unless the legal person identification number or replacement identification has been assigned to him.
The securities dealer is always identified in the statements by the BIC.
MKT (CNB) statement 41-12 - MOKAS41 data file: Information on instructions
The statement shall include a record of orders for the purchase, sale or other transfer of investment vehicles. All orders submitted, including those not carried out, indicating all details of the order, in particular the order number, price notation, type of relationship, type of order, method of receiving the order, date and time of receipt of the order, interconnection number of the order, identification of the contracting authority, customer identification, date of validity of the order, identification of the investment instrument, indicator of purchase / sale, limit price, limit volume, required quantity / nominal value, notation of the amount, required settlement date, requested counterparty, further disposition to execute the order, amount and currency of payment to the trader of the order, date and time of delivery of the order to third party, date and time of receipt of receipt of the order, date and time of receipt of the cancellation of the order, reason for cancellation, request for failure to disclose of the limit order, non-standard requirement for execution of the order, date and time of publication of the order, date and time of the order, date and time of payment of payment of the order, date and time of the receipt of the order, date and time of the order, date and time of receipt of the order, date and time of the receipt of the order, time of the date of the
MKT (CNB) statement 42-12 - MOKAS42 data file: Trade Information
The statement shall include a record of transactions carried out on the basis of the orders received and of transactions concluded by the securities dealer for its own account. All executed transactions, specifying all relevant facts, in particular price notation, type of transaction, client category under the MiFID Directive, order number, trade reference number, trade number author, purchase / sale date and time, position, identification of the investment instrument, customer identification, unit price in currency or percentage, quantity / nominal value, counterparty of the transaction, location identification, expected and actual settlement date, volume of trade, amount and currency of payment to the securities dealer, amount and currency of payment to a third party, date and time of cancellation of the transaction and identification of persons who have performed trade-related professional business.
MKT (ČNB) statement 43-12 - MOKAS43 data file: Tool information
The statement shall contain information on investment vehicles the identification of which has been used in the statements Information on instructions and Information on transactions other than quoted investment securities pursuant to § 3 (2) (a) and (b) of the Act. In particular, the currency of the denomination / implementation price, the type of investment instrument according to the ČNB code list, the type of underlying asset, the distinction by issuer's registered office, the identification and name of the investment instrument, the type of investment instrument according to ISO 10962 (optional), the maturity / execution date, the implementation price, the price multiplier / point value, the current denomination and the explanatory note.
MKT (ČNB) statement 44-12 - MOKAS44 data file: Information about persons
The statement shall contain details of all the procuring entities of the order, customers, counterparties to the transaction, persons who have performed professional business activities related to the order and trade and tied agents present in the statements Information on instructions and Information on transactions. In particular, the identification of the person, the economic sector of the person, the author of the identification of the person, the date of birth, the identification number of the person, the name or surname, the name and address of the place of permanent residence or registered office shall be reported. Information about persons identified by the Market Identifier Code (MIC) according to ISO 10383 is not required.
Příloha č. 6
Annex No 6 to Decree No 605 / 2006 Coll.
Organisational structure and persons with qualifying holdings
The OCP (CNB) report 48-04 with the data file code DOCOS48 contains basic identification data on the reporting entity, core capital data, number of employees, number of organisational units, identification data on branches abroad, and data on members of the statutory and supervisory authority and management bodies of the reporting entity, as well as contact persons for defined areas of activity. The statement shall also include an overview of the shareholder structure and information on all persons with qualifying holdings in a securities dealer. The statement is divided into 5 parts structured into data areas.
Data area: DIS60 _ 01 Identification of the reporting entity
The data area shall include the name, identification number, address of the registered office and correspondence (delivery) address, telephone and fax connections, e-mail address and the website of the securities dealer.
Data field: DIS60 _ 06 Data on the branch founder
The data area shall include the name of the branch founder, the identification number, the address of the head office, telephone and fax connections and the e-mail address of the head office of the branch founder (organisational units).
Data area: DIS60 _ 02 Capital of the reporting entity
The data area shall include: Capital of the trader in securities (registered, paid up and registered), plus funds for paying up the capital, including the issue account, broken down by origin into the Czech Republic of the state and the Czech Republic of the private Republic, as well as EU Member States without the Czech Republic, other EEA States without the EU and other States without the EEA. The division of capital into domestic and foreign capital shall be indicated for legal persons according to the State of registration and for natural persons according to the permanent residence of the shareholder.
Data area: DIS60 _ 03 Number of voting rights of the reporting entity
The data area shall include the number of voting rights of the reporting entity, of which the number of voting rights held by own shares and applicable voting rights.
Data field: DIS60 _ 04 Status of staff of the reporting entity
The data area includes the recorded and recalculated average registered status of the employees of the dealer, broken down into the Czech Republic central and organisational units, EU Member States without the Czech Republic, other EEA States without the EU and other non-EEA States, always from the point of view of the organisational component.
Data area: DIS60 _ 05 Number of organisation units of the reporting entity
In this data area, organizational units are reported without the head office of a securities dealer, broken down into the Czech Republic EU Member States without the Czech Republic, other EEA States without the EU and other countries without the EEA.
Data area: DIS60 _ 07 Basic identification details of the branch abroad
The data area shall include the name of the branch abroad, the address of the registered office, telephone and fax links and the e-mail address of the central office of the branch of the securities dealer, the name and title of the head of the branch abroad.
Data field: DIS60 _ 11 Members of the reporting entity's statutory authority
The data area shall include a list of the members of the statutory authority of the securities dealer, indicating their name, surname, title, date of birth, telephone and fax connections, e-mail addresses, employment and date of entry into office.
Data field: DIS60 _ 12 Members of the supervisory authority of the reporting entity
The data area shall include a list of the members of the supervisory authority of the securities dealer, indicating their name, surname, title, date of birth, telephone and fax connections, e-mail addresses, employment and date of taking up office.
Data area: DIS60 _ 13 Reporting entity managing entities
The data area shall include a list of the managing persons of the securities dealer, indicating their name, surname, title, date of birth, telephone and fax connections, e-mail addresses, employment and date of taking up office, as well as the relationship of the managing person with the reporting entity and the main working area.
Data area: DIS60 _ 14 Contact persons of the reporting entity for defined areas
The data area contains a list of contact persons of the securities dealer for the defined areas (internal audit, statistics, reporting for the Czech National Bank, accounting, cooperation with financial market supervision and public relations), indicating their name, surname, title, date of birth, telephone and fax connections, e-mail addresses and job functions.
Part 4: Equity structure and qualifying holdings
Data field: DIS60 _ 42 Shareholders of the reporting entity - legal entities
The data area contains information on shareholders of a securities dealer - legal persons with an identification number, name of the legal person, country of residence, economic sector, economic activity, total nominal value of shares held by the shareholder in CZK, total number of voting rights held by the shareholder and application of significant influence. Only shareholders with a share in the capital of a securities dealer above 5% shall be reported.
Data area: DIS60 _ 43 Shareholders of the reporting entity - natural persons
The data area contains information on shareholders of the securities dealer - natural persons with their name, surname, title, date of birth, address of permanent residence, total nominal value of shares held by the shareholder in CZK, total number of voting rights held by the shareholder and application of significant influence. Only shareholders with a share in the capital of a securities dealer above 5% shall be reported.
Data field: DOCO48 _ 10 Qualified participation in reporting entity - legal entities
The data area shall contain data on qualified participants in a securities dealer who is not a bank. The statement shall record all legal persons having a direct or indirect share or the sum of such shares representing at least 10% of the capital or voting rights of the reporting entity or having significant influence on the management of the reporting entity. The indirect interest shall be indicated which degree of indirect interest is involved and the link to the person in whom that person is directly involved. The data area shall also contain data on persons acting in agreement and in this way together constitute a qualified participation in a securities dealer who is not a bank. For reported entities, the basic identification data and the value of the share in the linked entity and in the reporting entity shall be reported.
Data field: DOCO48 _ 20 Qualified participation in the reporting entity - natural persons
The data area shall contain data on qualified participants in a securities dealer who is not a bank. The statement shall record all natural persons having a direct or indirect share or the sum of such shares representing at least 10% of the capital or voting rights of the reporting entity or having significant influence on the management of the reporting entity. The indirect interest shall be indicated which degree of indirect interest is involved and the link to the person in whom that person is directly involved. The data area shall also contain data on persons acting in agreement and in this way together constitute a qualified participation in a securities dealer who is not a bank. For reported entities, the basic identification data and the value of the share in the linked entity and in the reporting entity shall be reported.
Data field: DOCO48 _ 30 Qualified participation in the reporting entity - detail of persons acting in agreement
The data field shall contain data on both legal and natural persons acting in agreement and having a joint qualified participation in a securities dealer who is not a bank. The competence of a group of persons acting in agreement shall be indicated by a clear identification. For reported entities, the basic identification data and the value of the share in the linked entity and in the reporting entity shall be reported.
Data field: DIS60 _ 41 Qualified interests of the reporting entity in other legal entities
The data field shall contain information on the qualified interests of the securities dealer in other legal entities, indicating the identification number, the name of the legal person, the country of the registered office, the legal form, the economic sector, the sector, the economic result, the application of a significant influence, the capital entered in the commercial register, the total number of voting rights, the value of the direct and indirect shares of the securities dealer in CZK and the number of direct and indirect voting rights. '
15. In Annex 9, in the introductory part of the figure "8 'is replaced by" 7'.
16. In Annex 9, Part 2, including the title, is deleted.
The existing parts "3" to "8" are referred to as "2 to 7."
17. in Annex 9, Part 6 shall read:
"Part 6: Capital requirement for position and currency risk
Data field: Capital requirement for the interest rate risk of the trading book - STA
The data area shall include the calculation of the capital requirement for position risk, i.e. the general and specific interest rate risk of the trading book, the general and specific equity risk of the trading book and the currency risk, using the standardised approach.
Data field: Capital requirement for equity risk of the trading book - STA
The data area shall include the own funds requirement for the equity risk of the trading book established by the Standardised Approach. It includes the own funds requirement for specific and general equity risk and the own funds requirement for CIU equity positions.
Data area: Currency risk capital requirement - STA
The data area shall include the own funds requirement for the currency risk of the trading and investment portfolio established by the Standardised Approach. ';
18. In Annex 10, "of eight 'is replaced by" of seven';
19. Annex No 13 is deleted.
20. the following Annexes 18 and 19 are inserted after Annex 17:
"Annex No 18 to Decree No 605 / 2006 Coll.
Changes in the facts on the basis of which an authorisation was granted to operate a securities dealer
Information on changes in the facts on the basis of which authorisation for the activities of a securities dealer has been granted shall contain all relevant facts which are not the content of information on the organisational structure and persons with qualifying holdings sent through the OCP (CNB) report 48-04 drawn up according to the DOCOS48 data file.
Příloha č. 19
Annex No 19 to Decree No 605 / 2006 Coll.
Necessity of authorisation under a specific legal act to perform an activity which has been registered under § 6a of the Act
The information on the fact that the securities dealer has ceased to be authorised under a special legal act for the performance of an activity which has been registered under Section 6a of the Act shall contain all relevant facts, in particular the description and description of the other business activity which is the subject of the information sent, the reason for the expiry of the authorisation for such business, and, where appropriate, other relevant data and the date of effective decision of the competent authority. ';
Efficacy
This Decree shall take effect on 1 January 2010, with the exception of Article I (4), which shall take effect on 1 April 2010, and Article I (3), (10), (12) and (13), which shall take effect on 1 October 2010.
Governor:
Doc. Ing. Tůma, CSc.
Contents
Čl. I
㤠3
㤠6
§ 7
Část 1: Přehled obhospodařovaného majetku
Část 2: Počet a struktura zákazníků (jen pro obchodníky s cennými papíry, kteří nejsou bankou)
Část 1: Základní údaje o obchodníkovi s cennými papíry
Část 2: Členové orgánů obchodníka s cennými papíry
Část 3: Řídící a kontaktní osoby obchodníka s cennými papíry
Část 5: Kvalifikované účasti obchodníka s cennými papíry
Čl. II
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Regulation Information
| Citation | Decree No. 232 / 2009 Coll., amending Decree No. 605 / 2006 Coll., on certain information obligations of a securities dealer, as amended |
|---|---|
| Regulation Type | Order |
| Author | - |
| Collection | Code of Laws |
| Date of Promulgation | 30.07.2009 |
|---|---|
| Effective from | 01.01.2010 |
| Effective until | - |
| Status | Valid |
The regulation text is for informational purposes only.
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