Decree No. 63 / 2004 Coll.
Order laying down rules for the fulfilment of the information obligation of the securities dealer
Valid
Effective from 01.04.2004
63
DECLARATION
of 21 January 2004
laying down rules on the fulfilment of the information obligation of a securities dealer
According to Section 47c (8) of Act No. 591 / 1992 Coll., on Securities, as amended by Act No. 362 / 2000 Coll. and Act No. 308 / 2002 Coll.:
Subject matter
This Order provides for more detailed rules for the procedure of a securities dealer
(a) the submission of the annual report and the consolidated annual report (hereinafter referred to as the annual report) 1) by the securities dealer to the Securities Commission (hereinafter referred to as the Commission);
(b) notification of changes in the facts referred to in Section 45 (4) of Act No. 591 / 1992 Coll., on securities, as amended, (hereinafter referred to as "the Act"),
(c) informing the Commission of its economic situation, of the transactions it has concluded or procured and of the extent of the investment services provided;
(d) the presentation of an overview of all public markets and persons he has used to receive and execute orders from customers, transactions which he has concluded or procured through them on behalf of customers, factors affecting the choice of such persons and any benefits or benefits he may have received from them as remuneration for the use of their services;
(e) informing the Commission of all persons having qualifying holdings in a securities dealer; and
(f) informing the Commission of the state of the customer property and the insured customer property.
Article 47c (1) of the Law
Form, formalities and method of submission of the annual report
(1) The securities dealer shall submit to the Commission an annual paper report in duplicate and in electronic form in the form of a data report2) drawn up in accordance with the standardised data form (paragraph 4).
(2) The annual report in electronic form shall be sent by the securities dealer to the Commission by e-mail, on the recording medium or on the basis of connection via a fixed telecommunications circuit. 3)
(3) The paper form of the annual report must be accompanied by the signature of the person authorised to act on behalf of the securities dealer. The electronic form of the annual report shall be accompanied by a guaranteed electronic signature (4) based on a qualified certificate issued by an accredited certification service provider. 5)
(4) The model of the standardised data form of the annual report shall be published by the Commission no later than one month after the end of the calendar year in a way that allows remote access (e.g. internet).
Article 47c (3) of the Law
Notification of changes in the facts referred to in § 45 (4) of the Act, information on the economic situation, scope of investment services provided and other facts
(1) Changes in the facts referred to in Article 45 (4) of the Act are notified to the Commission in electronic form in the form of a data report2), drawn up in accordance with the standardised data form, the model of which is annexed to No 1 of this Decree.
(2) A securities dealer who is not a bank or a branch of a foreign bank shall inform his or her economic situation in electronic form in the form of a data report2) drawn up in accordance with a standardised data form, the model of which is Annex 2 to this Decree.
(3) A securities dealer who is a bank or branch of a foreign bank, or the Czech consolidation agency, shall inform its economic situation in electronic form in the form of a data report2) drawn up in accordance with the standardised data form, the specimen of which is annexed to No 3 of this Decree. A securities dealer who is a bank or branch of a foreign bank shall also comply with the obligation to inform its economic situation by informing the Commission in electronic form of the fact that the data on the economic situation in electronic form in the form of a data report2) drawn up in accordance with the standardised data form, the model of which is annexed to No 3 of this Decree, has been sent to the Czech National Bank within the period laid down by the Act; the information must be sent to the Commission immediately after sending the data to the Czech National Bank.
(4) The securities dealer shall inform of the transactions he has concluded or procured in the form of a data report2) drawn up in accordance with the standardised data form, the model of which is Annex 4 to this Regulation.
(5) The securities dealer shall inform the extent of the investment services provided in electronic form in the form of a data report2) drawn up in accordance with the standardised data form, the model of which is Annex 5 to this Regulation.
(6) The securities dealer shall submit to the Commission an overview of all public markets and persons he has used to receive and execute orders from customers, transactions that he has concluded or procured through them on behalf of customers, factors affecting the choice of such persons, and of any benefits or benefits received from them as remuneration for the use of their services, in electronic form in the form of data reports (2) drawn up in accordance with the standardised data form, the model of which is Annex 6 to this Regulation.
(7) Paragraph 2 (2) and (3) of the second sentence shall apply mutatis mutandis to the fulfilment of the obligations referred to in paragraphs 1 to 6.
Article 47c (4) of the Law
Commission information on all persons with qualifying holdings in a securities dealer
(1) The securities dealer shall inform the Commission of all persons qualified to participate in the securities dealer in electronic form in the form of a data report2) drawn up in accordance with the standardised data form, the model of which is annexed to No 7 of this Decree.
(2) Paragraph 2 (2) and (3) of the second sentence shall apply mutatis mutandis to the fulfilment of the obligation referred to in paragraph 1.
Article 47c (7) of the Law
Commission information on the status of customer and insured customer assets
(1) The securities dealer shall inform the Commission of the status of customer property and insured customer property in electronic form in the form of a data report2), drawn up in accordance with the standardised data form, the model of which is annexed to No 8 of this Decree.
(2) Paragraph 2 (2) and (3) of the second sentence shall apply mutatis mutandis to the fulfilment of the obligation referred to in paragraph 1.
Efficacy
This Decree shall take effect on 1 April 2004.
Chairman:
Ing. Jakub v. r.
Příloha č. 1
Annex No 1 to Decree No 63 / 2004 Coll.
Notification of changes in selected facts referred to in § 45 (4) of the Act
Příloha č. 2
Annex No 2 to Decree No 63 / 2004 Coll.
Information on the economic situation for securities dealers not being a bank or branch of a foreign bank
Příloha č. 3
Annex No 3 to Decree No 63 / 2004 Coll.
Information on the economic situation for securities dealers who are a bank or branch of a foreign bank
Příloha č. 4
Annex No. 4 to Decree No. 63 / 2004 Coll.
Information on closed and procured transactions
Příloha č. 5
Annex No 5 to Decree No 63 / 2004 Coll.
Information on the scope of investment services provided
Příloha č. 6
Annex No 6 to Decree No 63 / 2004 Coll.
Overview of all public markets and persons used to receive and execute customer orders and of transactions concluded or procured through them on behalf of customers
Příloha č. 7
Annex No 7 to Decree No 63 / 2004 Coll.
Information on all persons with qualifying holdings in a securities dealer
Příloha č. 8
Annex No 8 to Decree No 63 / 2004 Coll.
Information on the state of customer property and insured customer property
1) Articles 21 (1) and 22 (7) of Act No. 563 / 1991 Coll., on Accounting, as amended.
2) § 2 (c) of Act No. 227 / 2000 Coll., on electronic signature and on the amendment of certain other laws.
3) Paragraph 2 (14) of Act No 151 / 2000 Coll., on Telecommunications and on the amendment of other laws, as amended by Act No 274 / 2001 Coll.
4) § 2 (b) of Act No. 227 / 2000 Coll.
5) § 11 of Act No. 227 / 2000 Coll.
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Regulation Information
| Citation | Decree No. 63 / 2004 Coll., laying down rules on the fulfilment of the information obligation of a securities dealer |
|---|---|
| Regulation Type | - |
| Author | - |
| Collection | Code of Laws |
| Date of Promulgation | 19.02.2004 |
|---|---|
| Effective from | 01.04.2004 |
| Effective until | - |
| Status | Valid |
The regulation text is for informational purposes only.
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