Decree No. 235 / 2008 Coll.
Order on the information obligations of the settlement system operator and CSD
Valid
Order
Effective from 01.07.2008
Text versions:
01.07.2008
30.06.2008
235
DECLARATION
of 23 June 2008
on the information obligations of the settlement system operator and the CSD
Pursuant to § 199 (2) of Act No. 256 / 2004 Coll., on the Capital Market Business, as amended by Act No. 230 / 2008 Coll., (hereinafter "the Act '), the Czech National Bank provides for the implementation of § 87 and § 108 (1):
Subject matter
This decree sets out the deadlines for the transmission of information and supporting documents to the Czech National Bank necessary for the exercise of supervision, details of their content, form and manner of transmission by the settlement system operator and by the CSD (hereinafter referred to as "CSD ').
Definition of terms
For the purposes of this decree:
(a) a structured data set established by the settlement system operator or CSD;
b) data set of data collection with predefined data structures, which are described and accessible as a whole in the information system of the Czech National Bank,
(c) acceptance of the transaction to settle the delivery of all the orders necessary for settlement of the transaction to the settlement system;
(d) the contact person of the person or persons who submit the statements to the Czech National Bank on behalf of the settlement system operator or CSD.
Information obligations
(1) The settlement system operator shall inform the Czech National Bank, in the form and manner specified in Section 4, of:
(a) the transaction received for settlement, the manner and status of settlement, changes to the transaction received for settlement and changes to the manner and status of settlement by sending the MKT (CNB) 80-97 "Information on settlement of transactions" drawn up according to the MOKAS80 data file, to the extent and structure referred to in point 1 of the Annex to this Regulation, no later than the end of the working day following the date on which the transaction was accepted for settlement or the change;
(b) participants in the settlement system by sending the MKT (CNB) statement 65-97 "Information on participants" drawn up according to the MOKAS65 data file, to the extent and structure referred to in point 2 of the Annex to this Decision, by the end of the working day in which:
1. any participant has become or has ceased to be a participant in the settlement system; or
2. has been informed of a change in the data provided by the participant in the settlement system;
(c) investment instruments received for settlement by sending the MKT (CNB) statement 82-97 "Information on settlement instruments received" drawn up in accordance with the MOKAS82 data file, to the extent and structure referred to in point 3 of the Annex to this Regulation, no later than the end of the working day preceding the date on which the data or their amendment are subject; any change shall require the provision of a complete statement.
(2) The settlement system operator and the CSD shall inform the Czech National Bank, in the form and manner specified in Section 5, of the financial situation and the results of their management in the last quarter on the last day of the relevant calendar quarter to the extent and structure in accordance with another accounting legislation, no later than 1 month after the end of the relevant calendar quarter.
(3) The settlement system operator shall inform the Czech National Bank in the form and manner specified in Section 5 of:
(a) the operating days of the settlement system at the latest 2 working days before the first day of the period to which it relates
1. calendar of operating days; or
2. change in the calendar of operating days,
(b) the code lists used by the settlement system operator in the statements referred to in paragraph 1 no later than 2 working days before the operational date to which the change in the data relates.
(4) The settlement system operator and the CSD shall transmit to the Czech National Bank in the form and manner specified in Section 5
(a) the annual report and the consolidated annual report within six months of the end of the financial year; and
(b) details of persons who had qualified participants in them at the time of the general meeting (1), within 1 month of the general meeting; specify the nature of the relationship with those persons.
(5) Where the settlement system operator or CSD has only one shareholder, it shall transmit the details of that shareholder referred to in paragraph 4 (b) within 1 month of the shareholder's decision in the performance of the general meeting.
(6) The settlement system operator does not transmit the information referred to in paragraphs 2, 4 and 5 if it provides it to the Czech National Bank under another legal regulation2) to a comparable extent.
Sending information through an automated data collection system
(1) The settlement system operator sends the Czech National Bank the reports referred to in Article 3 (1) in electronic form in the form of data messages through the Czech National Bank's data collection application, which is available in a way that allows remote access.
(2) The data reports referred to in paragraph 1 and the reporting dates shall be provided by the settlement system operator
(a) by a guaranteed electronic signature of the contact person based on a qualified certificate3); or
(b) an electronic mark based on a qualified system certificate (4).
Sending information by e-mail
(1) The information referred to in § 3 (2) to (5) is sent by the settlement system operator and the CSD to the Czech National Bank in electronic form in the form of a data message to the e-mail address of the e-mail office with a clear indication of the information obligation or on a fixed data medium (CD, DVD). The data message shall be accompanied by a guaranteed electronic signature of the contact person based on a qualified certificate.
(2) The annual report and the consolidated annual report, which, according to another accounting legislation (5), is deposited in a collection of commercial register documents through the Czech National Bank, shall be sent by the settlement system operator and the CSD to the Czech National Bank in electronic form, as provided for by another legislation on the digitisation of the trading register (6) in accordance with paragraph 1. If the size of the message does not allow sending by e-mail, the settlement system operator and the CSD shall send an annual report and a consolidated annual report to the Czech National Bank on a solid medium (CD, DVD).
Correction of incorrect and incomplete statements
If the settlement system operator and the CSD discover that the data of the statement transmitted to the Czech National Bank are incorrect or incomplete, they shall proceed in the manner specified in Section 3 and inform the Czech National Bank without delay of the contents and reasons for the corrections.
Contact persons
(1) The settlement system operator and the CSD shall communicate to the Czech National Bank:
(a) the name and surname of the contact person;
(b) the address of the workplace, telephone, fax number and e-mail address of the contact person;
(c) details of a qualified contact person certificate issued or an indication of a qualified system certificate.
(2) The settlement system operator and the CSD shall communicate to the Czech National Bank any change in the data referred to in paragraph 1.
Transitional provisions
1. The settlement system operator shall comply with the information obligations laid down in Article 3 (1) (a) of this Order as from 1 July 2009.
2. The settlement system operator shall comply with the information obligations under Articles 3 (1) (b) and (c) and 3 (3) for the first time before 1 July 2009.
Efficacy
This Decree shall take effect on 1 July 2008.
Governor:
Doc. Ing. Tůma, CSc.
Annex to Decree No 235 / 2008 Coll.
Content of information sent by the settlement system operator and by the CSD to the Czech National Bank
1. The MKT (CNB) statement 80-97 "Information on settlement of transactions" with the code Associated with the MOKAS80 data file contains the data contained in the settlement instructions and information on their processing by the settlement system. Such data shall include, in particular, the identification of the participant in the settlement system of the settlement transaction, the identification of the participant in the transaction, the date, time and place of execution of the transaction, the purchase / sale indicator, the closure of the transaction on own or foreign account (position), the identification of the investment instrument in currency or percentage, indicating the notation of the price, the amount or nominal value of the investment instrument, the identification of the counterparty of the transaction that settles the transaction for the counterparty, the external transaction number of the transaction, the identification of the customer, the volume of the transaction, the order taken from the trader's record of the transaction, the date and the time of the last change of the transaction by the settlement system, the transaction, the transaction status of the transaction and the type of the non-standard transaction, the owner and the number of the property account used to be settled in the investment instrument register of the transaction, and the identification of the transaction of the transaction of the transaction.
2. The MKT (CNB) report 65-97 "Participant Information" with the code of the Associated Data File MOKAS65 contains details of all participants in the settlement system, in particular the business name, identification of the participant, address, contact details and contact persons of the participant in the settlement system.
3. The MKT (CNB) report 82-97 "Information on settlement instruments" with the MKT code of the MKT data file "contains information on investment instruments accepted for settlement, in particular the name and identification of the investment instrument, the date from which the investment instrument data apply, the date on which the investor has acquired the instrument, the date of expiry of the data, the name and identification of the underlying instrument, the type of financial instrument, the maturity of the investment instrument, the transaction price of the investment instrument, the actual nominal value of the investment instrument, the date on which the investment instrument is payable, the date of the investment instrument, the date of payment of the investment instrument, the date of payment of the investment instrument's interest rate of interest rate of interest, the investment instrument, the standard for calculation of the investment instrument's interest rate of settlement, the financial instrument, the current rate of interest rate of interest rate of the money market expressed, the issue, the issue, the number of the first day in which the investment instrument, the investment instrument, the investment instrument, the first day in which the investor has no right to be entitled to be entitled to be entitled to be entitled to the latest, the
1) Paragraph 2 (1) (e) of Act No. 256 / 2004 Coll., on Capital Market Business, as amended.
2) For example Decree No. 605 / 2006 Coll., on certain information obligations of a securities dealer, as amended.
3) § 2 (l) 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 (m) of Act No. 227 / 2000 Coll., as amended by Act No. 440 / 2004 Coll.
5) Article 21a (4) of Act No. 563 / 1991 Coll., on Accounting, as amended.
6) 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).
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Regulation Information
| Citation | Decree No. 235 / 2008 Coll., on the information obligations of the settlement system operator and the CSD |
|---|---|
| Regulation Type | Order |
| Author | - |
| Collection | Code of Laws |
| Date of Promulgation | 30.06.2008 |
|---|---|
| Effective from | 01.07.2008 |
| Effective until | - |
| Status | Valid |
The regulation text is for informational purposes only.
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