Decree No. 73 / 2003 Coll.
Ordinance on the solvency reporting of a securities dealer that is not a bank or branch of a foreign bank
Valid
Effective from 01.04.2003
73
DECLARATION
of 17 January 2003
on the reporting of the capital adequacy of a securities dealer that is not a bank or branch of a foreign bank
According to Section 46d (3) 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 decree sets out the form, scope and method of reporting, as well as the deadline for reporting the capital adequacy of a securities dealer, which is not a bank or branch of a foreign bank, as determined under the special legislative act ("capital adequacy '), to the Securities Commission (" Commission').
Form, scope and method of reporting and reporting deadline
(1) The securities dealer shall report to the Commission on solvency 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 this decree.
(2) The report shall be sent by the securities dealer to the Commission by e-mail, on the recording medium or on the basis of a connection via a fixed telecommunications circuit. 3)
(3) The electronic form of the report must be accompanied by a guaranteed electronic signature (4) based on a qualified certificate issued by an accredited certification service provider. 5)
(4) The securities dealer shall submit the report referred to in paragraph 1 to the Commission no later than the twentieth day following the end of each calendar month, on the solvency situation at the end of the last day of that calendar month; the December report must be submitted by 10 February of the following calendar year.
Transitional provision
The report referred to in Article 2 (1) for April, May and June 2003 shall be submitted by the securities dealer by 31 July 2003.
Efficacy
This Decree shall take effect on 1 April 2003.
Chairman:
Ing. Jakub v. r.
Annex to Decree No 73 / 2003 Coll.
Annex adjusting the standardised solvency reporting form
10 _ Kapital primerenost
10 _ 01 Capital structure
| Popis | CR | Ucetni hodnota | Upravena hodnota |
|---|---|---|---|
| A | B | 001 | 002 |
| Tier 1 | 001 | ||
| Splaceny zakladni kapital zapsany v obchodnim rejstriku | 002 | ||
| Splacene emisni azio | 003 | ||
| Povinne rezervni fondy | 004 | ||
| Ostatni rezervni fondy | 005 | ||
| Nerozdeleny zisk z predchozich obdobi | 006 | ||
| Mezitimni zisk bezneho obdobi | 007 | ||
| Neuhrazena ztrata z predchozich obdobi | 008 | ||
| Ztrata bezneho obdobi | 009 | ||
| Nehmotny majetek s vyjimkou goodwillu | 010 | ||
| Goodwill | 011 | ||
| Vlastni | 012 | ||
| Tier 2 | 013 | ||
| Rezervy na kryti obecnych rizik | 014 | ||
| Podrizeny dluh A | 015 | ||
| Ostatni kapitalove fondy | 016 | ||
| Tier 3 | 017 | ||
| Omezeny tier 3 (1. omezeni dle § 7 odst. 8 vyhlasky o kapitalove primerenosti) | 018 | ||
| Omezeny tier 3 (2. omezeni dle § 7 odst. 9 vyhlasky o kapitalove primerenosti) | 019 | ||
| Vyuzitelny tier 3 | 020 | ||
| Nevyuzitelny tier 3 | 021 | ||
| Vyuzity tier 3 | 022 | ||
| Nevyuzity tier 3 | 023 | ||
| Odecitatelne polozky (odst. 5) | 024 | ||
| Kapitalove investice do | 025 | ||
| Kapitalove investice do | 026 | ||
| Ostatni kapitalove investice | 027 | ||
| Hmotny majetek | 028 | ||
| Vklady se zbytkovou splatnosti nad 90 dnu | 029 | ||
| Poskytnute uvery a ostatni pohledavky se zbytkovou splatnosti nad 90 dnu | 030 | ||
| Zasoby | 031 | ||
| Kapital | 032 |
10 _ Kapital primerenost
10 _ 02 Kapitala requests
| Popis | CR | Hodnota |
|---|---|---|
| A | B | 001 |
| Kapitalovy pozadavek A | 001 | |
| Kapitalovy pozadavek B | 002 | |
| Kapitalovy pozadavek k uverovemu riziku obchodniho portfolia | 003 | |
| Kapitalovy pozadavek k riziku angazovanosti obchodniho portfolia | 004 | |
| Kapitalovy pozadavek k obecnemu urokovemu riziku | 005 | |
| Kapitalovy pozadavek k obecnemu akciovemu riziku | 006 | |
| Kapitalovy pozadavek k menovemu riziku | 007 | |
| Kapitalovy pozadavek ke komoditnimu riziku | 008 |
10 Capital primerenost
10 _ 03 Computation of capitalist primacy
| Popis | CR | Hodnota |
|---|---|---|
| A | B | 001 |
| Kapitalova primerenost | 001 | |
| Kapitalova primerenost nevyuziteho tier 3 | 002 |
10 Capital primerenost
10 _ 04 Calculation of risk-bearing assets of the investment portfolio
| Popis | CR | Souhrn ucetnich hodnot a uverovych ekvivalentu | Vazena hodnota |
|---|---|---|---|
| A | B | 001 | 002 |
| Aktiva investicniho portfolia celkem vc. uverovych ekvivvalentu | 001 | ||
| Pokladni hodnoty a jina aktiva zajistena penezi | 002 | ||
| Pohledavky za centralnimi vladami statu zony A a ES | 003 | ||
| Pohledavky za centralnimi | 004 | ||
| Pohledavky za centralnimi vladami statu zony B | 005 | ||
| Pohledavky za centralnimi | 006 | ||
| Realne hodnoty pevnych terminovych a opcnich kontraktu | 007 | ||
| Pohledavky zajistene zastavnim pravem k dluhopisům | 008 | ||
| Odecitatelne polozky | 009 | ||
| Pohledavky za | 010 | ||
| Pohledavky za | 011 | ||
| Pohledavky za mezinarodnimi financnimi institucemi | 012 | ||
| Pohledavky za vladami uzemnich celku statu zony A | 013 | ||
| Pohledavky za organy uzemni samospravy statu zony A | 014 | ||
| Pohledavky za institucemi podporovanymi centralnimi vladami statu zony A | 015 | ||
| Pohledavky za obchodniky zony A | 016 | ||
| Pohledavky za osobami provadejicimi vyporadani | 017 | ||
| Financni nastroje v procesu inkasa a podobne nastroje | 018 | ||
| Kapitalove investice do | 019 | ||
| Kapitalove investice do pravnickych a fyzickych osob krome bank a financnich instituci | 020 | ||
| Pohledavky za pravnickymi a fyzickymi osobami krome bank a financnich instituci | 021 | ||
| Pohledavky za centralnimi vladami zemi B, kterym neprislusi rizikova vaha 0 | 022 | ||
| Pohledavky za centralnimi | 023 | ||
| Pohledavky za vladami uzemmnich celku a organu samospravy zemi B | 024 | ||
| Pohledavky za | 025 | ||
| Pohledavky za | 026 | ||
| Nesplacena cast emise | 027 | ||
| Pohledavky za pravnickymi osobami - finanacnimi institucemi, kterym neprislusi rizikova vaha 0,2 | 028 | ||
| Naklady a prijmy pristich obdobi a dohadne ucty aktivni | 029 | ||
| Ostatni aktiva investicniho portfolia | 030 |
10 Capital primerenost
10 _ 05 Conversion of selected off-balance-sheet assets of the investment portfolio
| Popis | CR | Ucetni hodnota | Uverovy ekvivalent |
|---|---|---|---|
| A | B | 001 | 002 |
| Vybrana podrozvahova aktiva investicniho portfolia celkem | 001 | ||
| Poskytnute odvolatelne uverove prisliby | 002 | ||
| Poskytnute uverove prisliby ostatni | 003 | ||
| Poskytnute platebni zaruky | 004 | ||
| Poskytnute zaruky z prevedenych smenek | 005 | ||
| Poskytnuta smenecna rukojemstvi | 006 | ||
| Poskytnuta prijeti smenek | 007 | ||
| Pohledavly na vklady, uvery, dluhopisy, smenky a | 008 |
10 Capital primerenost
10 _ 06 Kapital's requests for inclusion in the trading book risk
| Popis | CR | Pozice | Kapitalovy pozadavek |
|---|---|---|---|
| A | B | 001 | 002 |
| Kapitalovy pozadavek ke specifickemu urokovemu riziku | 001 | ||
| Vladni nastroje | 002 | ||
| Kvalifikovane natroje se zbytkovou splatnosti do 6 mesicu vcetne | 003 | ||
| Kvalifikov. nastroje se zbytkovou splatnosti od 6 do 24 mesicu vcetne | 004 | ||
| Kvalifikovane nastroje se zbytkovou splatnosti vyssi nez 24 mesicu | 005 | ||
| Ostatni nastroje | 006 | ||
| Opcni kontrakty ke specifickemu urokovemu riziku | 007 | ||
| Kapitalovy pozadavek ke specifickemu akciovemu riziku | 008 | ||
| Hruba akciova pozice narodnich trhu zemi OECD | 009 | ||
| Hruba akciova pozice ostatnich narodnich trhu | 010 | ||
| Hruba akciova pozice diverzifikovaneho portfolia | 011 | ||
| Opcni kontrakty ke specifickemu akciovemu riziku | 012 | ||
| Kapitalovy pozadavek k vyporadacimu riziku | 013 | ||
| Kapitalovy pozadavek k reverznim repo operacim a repo operacim, vypujckam a pujckam CP a komodit | 014 | ||
| Kapitalovy pozadavek k pevnym terminovym kontraktum a opcim | 015 | ||
| Kapitalovy pozadavek ke zbyvajicim nastrojum obchodniho portfolia | 016 |
10 Capital primerenost
10 _ 07 Capital. requests for general interest risk of the portfolio
| Popis | CR | Hodnota |
|---|---|---|
| A | B | 001 |
| Kapitalovy pozadavek k obecnemu urokovemu riziku | 001 | |
| Kapitalovy pozadavek k CZK | 002 | |
| Kapitalovy pozadavek k EUR | 003 | |
| Kapitalovy pozadavek k USD | 004 | |
| Kapitalovy pozadavek k ostatnim menam | 005 | |
| Kapitalovy pozadavek zbytkovych men | 006 | |
| Kapitalovy pozadavek k urokovym futures | 007 | |
| Kapitalovy pozadavek k opcnim kontraktum k obecnemu urokovemu riziku | 008 |
10 Capital primerenost
10 _ 08 Capit.Request for general equity risk of the portfolio
| Popis | CR | Pozice | Kapitalovy pozadavek |
|---|---|---|---|
| A | B | 001 | 002 |
| Kapitalovy pozadavek k obecnemu akciovemu riziku | 001 | ||
| Cista akciova pozice narodnich trhu zemi OECD | 002 | ||
| Cista akciova pozice ostatnich narodnich trhu | 003 | ||
| Kapitalovy pozadavek k akciovym fufures | 004 | ||
| Kapit. pozad. k opcnim kontraktum (k obecnemu akciovemu riziku) | 005 |
10 Capital primerenost
10 _ 09 Kapital requests for menus risk
| Popis | CR | Pozice | Kapitalovy pozadavek |
|---|---|---|---|
| A | B | 001 | 002 |
| Kapitalovy pozadavek k menovemu riziku | 001 | ||
| Kompenzovane pozice silne korelovanych men | 002 | ||
| Celkova menova pozice | 003 | ||
| Kapitalovy pozdavek k menovym futures | 004 | ||
| Kapitalovy pozadavek k opcnim kontraktum (k menovemu riziku) | 005 |
10 Capital primerenost
10 _ 10 Kapital's request for commodity risk
| Popis | CR | Hodnota |
|---|---|---|
| A | B | 001 |
| Kapitalovy pozadavek ke komoditnimu riziku | 001 | |
| Kapitalovy pozadavek ke komoditnimu riziku bez futures a opcnich kontraktu | 002 | |
| Kapitalovy pozadavek ke komoditnim futures | 003 | |
| Kapital, pozadavek k opcnim kontraktum (ke komoditnimu riziku) | 004 |
10 Capital primerenost
10 _ 11 Investment and trading book assets
| Hodnota | ||
|---|---|---|
| A | B | 001 |
| Investicni portfolio (aktivni) | 001 | |
| Rozvahove polozky investicniho portfolia (aktivni) | 002 | |
| Podrozvahove polozky investicniho porfolia (aktivni) | 003 | |
| Obchodni portfolio (aktivni) | 004 | |
| Rozvahove polozky obchodniho portfolia (aktivni) | 005 | |
| Podrozvahove polozky obchodniho portfolia (aktivni) | 006 |
10 Capital primerenost
10 _ 12 Liabilities to investment and business portfolios
| Hodnota | ||
|---|---|---|
| A | B | 001 |
| Investicni portfolio (pasivni) | 001 | |
| Rozvahove polozky investicniho portfolia (pasivni) | 002 | |
| Podrozvahove polozky investicniho portfolia (pasivni) | 003 | |
| Obchodni portfolio (pasivni) | 004 | |
| Rozvahove polozky obchodniho portfolia (pasivni) | 005 | |
| Podrozvahove polozky obchodniho portfolia (pasivni) | 006 |
11 Interest
11 _ 01 Participation in physical and legal persons
| CR | Obchodni firma / Jmeno | IC/RC | Sidlo / Bydliste | Hruba angazovanost investicniho portfolia | Cista angazovanost investicniho portfolia |
|---|---|---|---|---|---|
| A | 001 | 002 | 003 | 004 | 005 |
| 001 |
| Pomer ciste angaz.investicniho portfoila ke kapitalu | Opravne polozky k hrube angazovanosti investicniho portf. | Angazovanost obchodniho portfolia | Angazovanost obchod, portfolia - soucet zbyv. dlouhych pozic |
|---|---|---|---|
| 006 | 007 | 008 | 009 |
11 Interest
11 _ 02 Angiveness to economic linked group of persons
| CR | Oznaceni ekon. spjate skupiny osob | Obchodni firma / Jmeno | IC/RC | Sidlo / Bydliste | Snizeny limit | Hruba angazovanost investicniho portfolia | Cista angazovanost investicniho portfolia |
|---|---|---|---|---|---|---|---|
| A | 001 | 002 | 003 | 004 | 005 | 006 | 007 |
| 001 | Celkem vuci skupine | ||||||
| 002 | Oznaceni skupiny | Clen skupiny | Clen skupiny | Clen skupiny | Clen skupiny |
| Pomer ciste angaz.investicniho portfoila ke kapitalu | Opravne polozky k hrube angazovanosti investicniho portf. | Angazovanost obchodniho portfolia | Angazovanost obchod, portfolia - soucet zbyv. dlouhych pozic |
|---|---|---|---|
| 008 | 009 | 010 | 011 |
1) Decree No. 64 / 2003 Coll., on the capital adequacy of a securities dealer who is not a bank or branch of a foreign bank, on an individual basis.
2) Paragraph 2 (c) of Act No. 227 / 2000 Coll., on Electronic Signature and on the Amendment of Certain Other Acts (Act on Electronic Signature), as amended.
3) Paragraph 2 (14) of Act No 151 / 2000 Coll., on Telecommunications and on the amendment of other laws, as amended.
4) Paragraph 2 (b) of the Electronic Signature Act.
5) Article 11 of the Electronic Signature Act.
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Regulation Information
| Citation | Decree No. 73 / 2003 Coll., on the reporting of the capital adequacy of a securities dealer that is not a bank or branch of a foreign bank |
|---|---|
| Regulation Type | - |
| Author | - |
| Collection | Code of Laws |
| Date of Promulgation | 17.03.2003 |
|---|---|
| Effective from | 01.04.2003 |
| Effective until | - |
| Status | Valid |
The regulation text is for informational purposes only.
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