Decree No. 605 / 2006 Coll.
Ordinance on certain information obligations of a securities dealer
Valid
Effective from 01.01.2007
Contents
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605
DECLARATION
of 19 December 2006
on certain information obligations of a securities dealer
Pursuant to Article 199 (2) (b) and (g) of Act No. 256 / 2004 Coll., on Capital Market Business, as amended, (hereinafter referred to as "the Act") and § 41 (4) of the Act No. 6 / 1993 Coll., on the Czech National Bank, as amended, (hereinafter referred to as "the Act on the Czech National Bank"):
INTRODUCTORY PROVISIONS
Subject matter
This decree provides
(a) the scope and form of the annual report and the consolidated annual report of the trader in securities (1) and their presentation to the Czech National Bank;
(b) the scope, form and structure of certain other information obligations of the securities dealer vis-à-vis the Czech National Bank and the manner and deadlines for their fulfilment;
(c) the scope, form and structure of the data on the types and scope of investment services provided by the securities dealer and the manner and time limits for the publication of such data;
(d) the form and manner in which the securities dealer informs the Czech National Bank of the closed transactions in listed investment vehicles;
(e) data which, under the conditions laid down directly by the applicable regulation of the European Communities implementing the Directive of the European Parliament and of the Council regulating markets in financial instruments (2), form part of the information on trade referred to in (d);
f) The formalities, deadlines and method of sending reports to the Czech National Bank of an external auditor or audit firm on the adequacy of the measures taken to protect the customer's assets.
Definition of terms
For the purposes of this decree:
(a) a report of a structured set of data created by a securities dealer;
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(c) a trade cancelled, the legal reason for which is no longer valid;
(d) the contact person of the person or persons who submit the statements to the Czech National Bank on behalf of the securities dealer,
(e) the security mark shall be electronically affixed to the data message 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. are connected to the data message to which they relate in such a way that any subsequent change of data can be identified.
ANNUAL REPORT
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).
FURTHER INFORMATION
Information obligations of the securities dealer
Securities dealer informs the Czech National Bank about
(a) the types and scope of investment services provided in the relevant calendar quarter in the manner set out in Section 7, to the extent and structure referred to in Annex 2 to this Order and within 1 month of the end of the relevant calendar quarter by sending a statement
1. OCP (CNB) 30-04 drawn up according to DOCOS30 data file in the case of a non-bank dealer; or
2. OCP (CNB) 31-04 drawn up according to DOCOS31 data file in the case of a securities dealer who is a bank,
(b) the volume of the customer's assets at the last day of each month of the calendar quarter concerned, as specified in Section 7, to the extent and structure referred to in Annex 4 to this Order and within 1 month of the end of the calendar quarter concerned by sending the statement
1. OCP (CNB) 34-04 prepared according to DOCOS34 data file in the case of a non-bank dealer; or
2. OCP (CNB) 35-04 drawn up according to DOCOS35 data file in the case of a securities dealer who is a bank,
(c) 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 (CNB) 41-12, MKT (CNB) 42-12, MKT (CNB) 43-12 and MKT (CNB) 44- 12, prepared according to MOKAS41, MOKAS42, MOKAS43 and MOKAS44,
(d) closed transactions in listed investment vehicles, their cancellation or modification, by sending the MKT (CNB) statement 40@-@ 97, drawn up according to the MOKAS40 data file, as specified in Section 7. The scope and structure of the statement and the method of recording the trade change data are set out in Annex 16 to this Regulation.
Other information obligations of a securities dealer that is not a bank
A securities dealer who is not a bank shall also inform the Czech National Bank of:
(a) the financial situation and the results on an individual basis on the last day of the relevant calendar quarter by sending the OCP (CNB) reports 10- 04, OCP (CNB) 11-04 and OCP (CNB) 20- 04, drawn up on the basis of the data files ROCOS10, ROCOS11 and VyCOS20 as set out in Section 7, in the scope and structure set out in Annex 7 to this Regulation and within 1 month after the end of the relevant calendar quarter;
(b) the financial situation and results on a consolidated basis on the last day of the relevant calendar half-year by sending the OCP (CNB) reports 70- 02 and OCP (CNB) 71- 02 drawn up on the basis of the COCOS70 and COCOS71 data files in accordance with the manner set out in Section 7, in the scope and structure set out in Annex 8 to this Regulation and within 1 month after the end of the relevant calendar half-year;
(c) capital adequacy on an individual basis by sending an OCP (CNB) statement of 40-12 drawn up on the basis of the DOCOS40 data file in the manner set out in Section 7, to the extent and structure set out in Annex 9 to this Decree. A securities dealer who has an obligation to maintain capital under Section 8a (1) of the Act shall compile the information on the last day of the calendar month concerned and send it within 20 days of the end of the relevant calendar month. Other securities dealers shall compile the information on the last day of the relevant calendar quarter and send it within 1 month of the end of the relevant calendar quarter,
(d) capital adequacy on a consolidated basis on the last day of the relevant calendar half-year by sending the OCP (CNB) report 72- 02 drawn up on the basis of the COCOS72 data file in the manner set out in Section 7, to the extent and structure set out in Annex 10 to this Regulation and within 1 month of the end of the relevant calendar half;
(e) involvement on an individual basis by sending an OCP (CNB) statement 41-12 drawn up according to the DOCOS41 data file in the manner specified in Section 7, to the extent and structure set out in Annex 11 to this Decree. A securities dealer who has an obligation to maintain capital pursuant to Paragraph 8a (1) of the Act shall compile the information on the last day of the relevant calendar month and send it within 20 days of the end of the relevant calendar month. Other securities dealers shall compile the information on the last day of the relevant calendar quarter and send it within 1 month of the end of the relevant calendar quarter,
(f) involvement on a consolidated basis on the last day of the relevant calendar half-year by sending the OCP (CNB) statement 73- 02 drawn up according to the COCOS73 data file in the manner set out in Section 7, to the extent and structure set out in Annex 12 to this Regulation and within 1 month after the end of the relevant calendar half-year;
(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 according to the DOCOS48 data file;
(h) intra-group transactions by a mixed-holding person who has been negotiated by a securities dealer in a group of mixed-holding persons with a mixed-holding person or with a person controlled by a mixed-holding person in the relevant calendar year, by sending the report in the manner referred to in Article 6 (1), to the extent and structure set out in Annex 14 to this Regulation, no later than 1 month after the end of the relevant calendar year,
(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 the manner referred to in 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 special legislation for the exercise of an activity which has been registered in accordance with § 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.
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.
Audit report
(1) The securities dealer is obliged to ensure that his external auditor or audit firm submits to the Czech National Bank a report on the adequacy of the measures taken to protect the customer's assets in accordance with Article 6 (1) or (2) mutatis mutandis
(a) in the case of annual information, within 4 months of the end of the relevant accounting year;
(b) without undue delay after the deficiencies have been identified.
(2) The report referred to in paragraph 1 (a) contains at least the information set out in Annex 17 to this Decree. The report referred to in paragraph 1 (b) shall contain a description of the deficiency found.
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) The securities dealer shall not be obliged to provide information under Section 4 (1). (d) 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 a separate legal provision on the information obligations of the organiser of the regulated market and the operator of the multilateral trading system8).
Correction of incorrect and incomplete statements
If the securities dealer finds that the data of the statement transmitted to the Czech National Bank are incorrect or incomplete, the corrected statement and, if necessary, the related statements shall be submitted to the Czech National Bank without undue delay in a manner specified for the fulfilment of the information requirement and shall inform the Czech National Bank of the content and reason for the correction.
Contact persons
(1) The securities dealer will notify the Czech National Bank
(a) the name and surname of the contact person;
(b) the address of the workplace, telephone number, 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 securities dealer shall notify the Czech National Bank of any change in the data referred to in paragraph 1.
DISCLOSURE OF INFORMATION ON SPECIES AND SCOPE OF INVESTMENT SERVICES PROVIDED
(1) The securities dealer publishes information on the types and scope of the investment services provided to the extent set out in Annex 15 to this Regulation and within a period not later than 1 month after the end of the relevant calendar quarter.
(2) The securities dealer shall publish the information in the Czech language in a manner that allows remote access in full (Internet address), in particular by which securities dealers usually publish information on their activities, ensuring that:
(a) the internet address has been accessible to the public without restriction via the internet data network and can be easily accessed by a trading firm or the name of a securities dealer in a normal manner and the content of the internet address is provided free of charge by the securities trader;
(b) the information published takes the form of a data file suitable for download, in a commonly used format;
(c) the information disclosed has been made available in this manner continuously since publication for at least two years.
(3) The securities dealer will always publish the date on which he published the information. If it complements or corrects information already published, it shall always indicate the date on which it published the supplementary or corrected information.
(4) The securities dealer shall communicate to the Czech National Bank without undue delay the exact Internet address at which this information is available, including any updates of this address.
PROVISIONS TRANSITIONAL AND FINAL
Transitional provision
Information relating to the period until 31 December 2006 shall be provided by the securities dealer to the Czech National Bank in accordance with existing legislation.
Repeal
The following shall be deleted:
1. Decree No. 267 / 2004 Coll., on the content of the information obligations of the securities dealer and the manner in which they are implemented.
2. Decree No. 222 / 2005 Coll., amending Decree No. 267 / 2004 Coll., on the content of the information obligations of the securities dealer and the manner in which they are implemented.
Efficacy
This Decree shall take effect on 1 January 2007.
Governor:
Doc. Ing. Tůma, CSc.
Příloha č. 2
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.
Overview of asset management
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.
Number and structure of customers (for non-bank securities dealers only)
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.
Příloha č. 4
Annex No 4 to Decree No 605 / 2006 Coll.
Volume of customer assets
OCP (CNB) reports 34-04, OCP (CNB) 35-04 with DOCOS34 data file code, DOCOS35 contains data on the volume of customer assets broken down by corresponding records of individual securities dealers and data on balances on individual accounts in which the securities dealer conducts operations with customer assets of both passive and active nature. In summary, the state of the customer's assets held on-balance-sheet and off-balance-sheet passive accounts is reported. The data are broken down into Parts 1 to 3 which are further broken down into data areas.
Customer property recorded on the balance sheet
Data area: Volume of customer assets registered as balance sheet assets
The data area shall include the volume of customer assets recognised as on-balance-sheet assets, recorded in the securities dealer's analytical accounts, on which the movement and status of the customer's assets are accounted for.
Data area: Volume of customer assets registered as balance sheet liabilities
The data area shall include the amount of customer assets recognised as balance sheet liabilities, recorded in the securities dealer's analytical accounts, on which the movement and status of the customer's assets are charged.
Customer property recorded on the off-balance sheet
Data area: Volume of customer assets registered as off-balance sheet assets
The data area shall include the volume of customer assets recognised as off-balance-sheet assets, recorded in the securities dealer's analytical accounts, on which the movement and status of the customer's assets are charged.
Data field: Volume of customer assets registered as off-balance sheet liabilities
The data field shall include the amount of customer assets recognised as off-balance-sheet liabilities, recorded in the securities dealer's analytical accounts, on which the movement and status of the customer's assets are charged.
Total property of customers
Data area: Summary of customer assets
The data area shall include a summary of the customer's assets recognised as balance sheet and off-balance sheet liabilities.
Příloha č. 5
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.
Basic details of the securities dealer
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.
Members of the securities dealer's authorities
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.
Management and contact persons of the securities dealer
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
Contents
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Regulation Information
| Citation | Decree No. 605 / 2006 Coll., on certain information obligations of a securities dealer |
|---|---|
| Regulation Type | - |
| Author | - |
| Collection | Code of Laws |
| Date of Promulgation | 28.12.2006 |
|---|---|
| Effective from | 01.01.2007 |
| Effective until | - |
| Status | Valid |
The regulation text is for informational purposes only.
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