58/2006 Sb.
The DECREE
of 23 December 2003. February 2006
about the way of keeping separate registers of investment instruments and recording
follow-up on separate registers of investment instruments
Change: 238/2008 Sb.
The Securities Commission shall determine pursuant to section 199, paragraph. 2 (a). (g)), and)
Act No. 256/2004 Coll., on business on the capital market, as amended by
Act No 56/2006 Coll. (hereinafter the "Act"):
PART THE FIRST
GENERAL PROVISIONS
§ 1
The subject of the edit
(1) this Ordinance regulates the way of keeping separate records
investment tools (hereinafter referred to as "the register") and registration
follow-up on separate registers of investment instruments (hereinafter referred to as
"follow-up records"), and details about how to send information
the person of the head of the registration.
(2) the records referred to in this Decree is evidence of follow-up on
the registration of securities, led by the Czech National Bank in accordance with § 93 of paragraph 1.
5 of the Act.
§ 2
Definition of terms
For the purposes of this Ordinance means
and a separate register or records) the follow-up record,
(b)) running record hardware and software resources
are created and maintained securities accounts, writes
(c)) use the Act authorized person specified by the person of the head of the registration,
for which the registration is to be in the register,
(d) the registration in the register of any), write the data to the securities account,
in particular, in the
1. the creation or cancellation of securities account
2. change the data on the person of the account owner,
3. release and cancellation of securities, zaknihovaného
4. crediting to the account or the write-off of account paper securities in
taking into custody or release from custody,
5. the crediting of foreign securities on the account opened abroad for
the person leading a record or writing off foreign securities from the account
maintained for the person leading the registration,
6. transfer or gradient of the investment instrument or co-ownership
share of the investment instruments,
7. the establishment, alteration or extinction of the lien to investment instruments,
8. cancellation of registration or suspension of the exercise of the right of the owner to dispose of the
book-entry investment instrument,
9. change of the nominal value or other elements of the investment
Tools,
e) document concerning the data entered in the register (hereinafter referred to as
"the document") command to write to the register and the documents proving the permissions
persons to submit the command; where or how to perform
the command depends on the other facts, and evidence of these facts
proving, in particular, information about the status of the account of the customer or
the account maintained by the foreign person,
(f)) by the staff member or any other person who performs for the persons head
registration of tasks arising from the management of the register,
g) accounts for the operating day moment of their entries in the register in
production date,
h) Treaty on the leadership of the securities account contract referred to in section 5 (3). 3
or 4,
I) rekonciliací checking the conformity of the data entered in the register with the actual
the status and the procedure for the removal of irregularities detected.
§ 3
Organizational and technical security record
(1) the register shall be in electronic form.
(2) the system of record
and retention of all data), assures, whose leadership in record stores
This Decree,
(b)) allows you to set individual access rights and authentication
users,
(c)) provides enough protection against the data held in the register
the unauthorized use,
d) records information about that user, the entry in the register,
e) allows you to back up your data regularly
f) allows complete and accurate reconstruction of the data.
(3) the person leading the register shall ensure the regular backup of data
where it is possible to reconstruct the information kept in the register. The carrier is
recorded backup data shall be kept outside the building in which they are
located the technical means of recording, which is used to
retention of data for the needs of normal operation. Backup is performed according to
the timesheet of a predetermined person head register, however,
without undue delay after the accounts of the operating day.
(4) the person leading the register shall ensure that carriers are recorded
backup data are secured from unauthorized intervention of third parties
and from loss and damage.
(5) the person shall ensure that the head register in case of malfunctions
the system of registration was secured by substitute traffic system. When
alternate operation of the system will ensure the fulfilment of the requirements referred to in
paragraph (2).
(6) the organizational and technical security record is adjusted for
person registration binding way in written form and shall set
at least
and user access to) the terms of registration, the scope of the
access rights and the process of setting up, including how to
deciding the scope of access rights for individual users and
decisions about their changes,
(b)) the procedure and the time schedule the backup of the data referred to in paragraph 3,
(c)) to the reconstruction of the data held in the register of the backup data
(d) retention of documents, method)
(e)) how to address situations where there is a fault management system features
evidence, including how to ensure the replacement operation,
(f) the procedure for the settlement of the situation) when the resources that are used for
keeping of the record on the basis of a contract with another person, it is not possible to continue to
enjoy,
(g)), the procedure for correcting errors in the records.
(7) the provisions of paragraphs 1 to 6 shall not apply to foreign persons
to enable supervisory authority of another Member State of the European Union to
the provision of investment services.
§ 4
(1) schedule of the reception and processing of commands during the operating day
(hereinafter referred to as "the operational schedule of the day") provided for the person leading
the register is published in a manner enabling remote access for
the duration of the recording. Part of the timetable is operating day
the determination of the accounts of the operating day.
(2) write to follow up evidence, resulting from a registration effected
on the customer's account shall be carried out without undue delay after the execution of the
write to the customer's account, and to the operational date to which an
write to the customer account. Similarly, when a separate management
registration of foreign securities.
(3) the registration receipt for safekeeping and custody of securities issue from documentary
securities shall be carried out without undue delay after receipt of documentary securities
securities in trust for, or the issue of such securities from escrow, and to
the production date on which securities were taken into custody or
released from custody.
§ 5
The establishment of a securities account
(1) the person leading the register when setting up the securities account verifies data on
the person entered in the register of the account owner. Similarly, verifies the information on the person
the owner of the account when you write the changes to the data in the register. This does not
without prejudice to obligations under other legislation ^ 1).
(2) the person leading a separate register shall set up account customers only
to the person who proves that it is entitled to conduct the follow-up recording ^ 2).
(3) a securities dealer or a foreign person established in the
State which is not a Member State of the European Union, and which provides for the
the territory of the Czech Republic investment services through organizational
folder under section 28 law or investment company in the custody of and
administration of securities issued by a collective investment fund ^ 3) (hereinafter referred to
"the mandatory person") hereby establishes asset account always
and if concluded) schovatel contract for custody of documentary securities
papers, if not already the custodian for this persons account set up required, and
(b)) when the contract for the provision of investment services within the limits of
the performance should be a mandatory person taken foreign securities by
§ 93 paragraph. 1 (a). (c)) of the Act, if the customer does not have this mandatory of the person
account set up.
(4) in cases other than those referred to in paragraph 3, shall
the person leading the registration of securities account on the basis of a contract with the owner
account or the issuer of the securities zaknihovaného, from whose content
It follows the person leading the commitment to register the account owners to establish and lead
securities account.
§ 6
Particulars of property accounts
(1) the owner of the Account contains, in particular,
and the designation of the account) of the account in the uniquely identifies,
(b)) an indication that the account owner is,
c) details of the person according to § 2 (2). 1 (a). j) of the Act, for which the
is kept,
(d)) data on investment instruments referred to in section 12, paragraph. 1 and 2, sections 15, 18 and
21,
e) data on the separately transferable rights according to § 12 of the paragraph. 3.
(2) the owner of the Account can, if it is agreed in the contract for the management of
securities account, in addition to the data referred to in paragraph 1, contain an indication of the
spoluvlastníkovi investment tools and the size of its
co-ownership.
(3) the owner of the Account maintained for a physical person, that has not been allocated
social security number, a designation that also includes the physical person in the register
uniquely identifies the. Securities account opened for the legal person,
that has not been allocated an identification number, designation,
that uniquely identifies it in the register.
(4) the customer's account contains
and) data pursuant to paragraph 1 (a). and (c))),
(b)), the fact that this is the account of customers,
(c)) data on investment instruments referred to in section 12, paragraph. 1, § 15 paragraph. 1, §
18 paragraph. 1 and § 21. 1,
(d)) separately transferable rights according to § 12 of the paragraph. 3.
section 7 of the
Registration in the register
(1) the person leading a register performs writes to the evidence so that the information
registered in the records match the actual state.
(2) the person leading the registration before the registration in the register shall verify
whether the command is submitted by an authorised person; where implementation or method
the command depends on the other facts, verify that these
the fact occurred.
§ 8
Extract from the securities account
(1) the statement of the securities account contains
and the person leading) data on the record, that the listing of the securities account
issued,
(b)) securities account information registered under section 6; putting the data in accordance with §
12 paragraph. 1 (a). (b)), if the statement of the securities account
the indication referred to in section 12, paragraph. 1 (a). (c)) in connection with the business of the company
the name of or on behalf of the issuer,
(c)) the operating day, to which the excerpt from the securities account is exposed,
d) the day on which the statement of account is issued.
(2) where the person is the head of the registration on the basis of a contract with the owner
securities account statement in the form of messages corresponding to the requirements
the international system for communications between financial institutions
(SWIFT),
and the provisions of paragraph 1 (a)). and) shall not apply; If the person is not the Manager
the registration of the sender of the message corresponding to the requirements of the SWIFT, must be in
the originator of the message as its marked in accordance with the rules of the relevant
the requirements of the SWIFT,
(b)) to identify the owner of the securities account, instead of the data about the person
referred to in paragraph 1 (b). (b)) in conjunction with § 6 (1). 1 (a). (b))
the designation of the body corresponding to the requirements of SWIFT; If the person is not the Manager
records of the recipient of the message corresponding to the requirements of the SWIFT, must be in
accordance with the rules of the relevant requirements of the SWIFT marked in the message
as the final consignee,
(c)) with respect to a statement from the customer's account, the data referred to in the report
the relevant requirements of the SWIFT to imply that the account holder is not the owner
investment instruments; If the statement of account owner, it is not necessary to this
the fact of placing.
(3) If a statement of account issued by a State to another
the moment, than the accounts of the operating day, this fact must be in
the statement listed along with specifying the point to which the excerpt is issued.
§ 9
Cancellation of securities account
Securities account cannot be canceled until there are registered investment
Tools.
§ 10
The keeping of registers, whose leadership is not imposed by law
Person authorized to keep a register, whose leadership is not the law of this person
imposed pursuant to section 12 c of paragraph 1. 1 of the Act, and section 9 (2). 1 (a). (b)) of the law on
collective investment ^ 4), he shall notify the Czech National Bank,
and that initiates the recording), and shall indicate the date from which the registration will lead,
(b)) that ends the leadership of this evidence, and shall indicate the date from which the management
registration closes,
(c)), its address for service in matters of registration and each of its
change. In the case of a foreign person shall notify also the address on the territory of the Czech
Republic, if such an address set up.
§ 11
For the keeping of registers of other investment instruments are registered
collective investment securities, documentary securities in custody,
foreign securities or securities in the register building on
the registration of securities, led by the Czech National Bank, shall apply
the provisions of the first and sixth of this Ordinance and the provisions of part two,
the third or fourth of the decrees governing the keeping of registers
investment instruments, which, by their nature most closely match those
other investment tools. In assessing the nature of other investment
instruments into account in particular the importance of the registration in the register for the creation and
the duration of the rights of investment tools, options to transfer the rights associated with the
investment instrument by writing to the register and to the possibility of taking this
the investment facility by a third party.
PART THE SECOND
THE REGISTRATION OF BOOK-ENTRY SECURITIES FOR COLLECTIVE INVESTMENT
§ 12
The information registered on the securities account on the book-entry securities
collective investment undertakings for transferable rights and self
(1) the particulars of the book-entry securities for collective investment on
securities account shall, in particular,
and the type of security)
(b) the particulars of the securities provided for) other law ^ 5),
(c) the identification by international) numbering system for
identification of securities (ISIN); has not been assigned ISIN
the unique identification of the securities, if it has been assigned,
(d)) the number of pieces of securities,
(e) restrictions on the transferability of securities) established by the issuer.
(2) The owner of the account is based on the order of an authorized person registered
In addition to the information referred to in paragraph 1, the information on the
and the right to a lien) securities and an indication of the person to the creditor's Lien
According to § 2 (2). 1 (a). j) of the Act,
(b) the person entitled to exercise the rights) associated with a valuable paper in accordance with section 2 of the
paragraph. 2 (a). j) of the Act,
(c) the suspension of the exercise of the right of the owner) treated with a valuable paper, data
about the person according to § 2 (2). 1 (a). j) of the Act, from which the command was
waste valuable paper suspended, and about the time that is
waste valuable paper suspended,
d) Department separately transferable rights from securities with the
indication of what law is transferable separately, including
clearly distinguished data.
(3) the particulars of the separately transferable rights separate from the
zaknihovaného security for collective investment,
separately maintained securities account, in particular,
and separately transferable rights) designation indicating the
1. ISIN; or has not been assigned a unique ISIN, another mark,
If you have been allocated, or
2. the description of what the law is transferable separately, with clearly
specified information, including identification of security, from which it was
separately transferable right to separate, the particulars referred to in paragraph 1 (b). (b))
or (c)),
(b)) the number of units separately transferable rights, if the distribution of
the law applicable to the unit.
section 13
Rekonciliace separate registration and subsequent registration of book-entry
collective investment securities
(1) the person leading a separate register of dematerialised securities
collective investment undertakings checked after statements of each operating day, whether
the total number of fungible securities registered in the
securities accounts coincide with the total number of issued securities and
If the total number of separately transferable rights separate from the
securities that are recorded in equity accounts, coincides with the
the total number of issued separately transferable rights.
(2) the person leading a follow-up record checked after statements of each
operating day, whether the total number of fungible securities
registered on the securities accounts matches with the number of fungible
securities registered in the customer's account held in a separate
Register for the person leading the follow-up record, and that the total number of
separately transferable rights separate from the securities, which are
recorded in equity accounts, the same as the total number of separately
transferable rights of registered customer account in a separate register
for the person leading the tie.
§ 14
Keeping the issue of book-entry securities, collective
investing
(1) if they are in a separate register on the securities accounts registered
book-entry securities for collective investment, the head of the person
a separate register of leads for the issuer of the securities register
emissions.
(2) registration of collective emissions of dematerialised securities
the investment includes
and) information set out in section 12, paragraph. 1 (a). and (c))) and (e)),
(b)) the indication of the total number of securities issued in the issue,
(c)) owner information of securities according to § 2 (2). 1 (a). (j))
the law,
(d)), the number of securities of the individual owners,
e) data on the spoluvlastnících of the security under section 2 (2). 1 (a). (j))
the law and the size of their ownership, if according to § 6
paragraph. 2 written on securities accounts,
(f)) the data according to § 12, paragraph. 2.
(3) the information referred to in paragraph 2 (a). (c) to (f))) are in the register of emissions
recorded only when exposed to the extract from the register of emissions.
(4) an extract from the register of emissions shall be drawn up in accordance with the State of the accounts
working day on which the issuer of the extract from the register asked. Extract from the
the register contains emissions
and the fact that it is) is an extract from the register of emissions in a separate register
investment instruments
(b) details of the person the head of) a separate register under section 2 (2). 1 (a).
j) of the Act, an extract from the register of issued, emissions
(c) the data recorded in the register) emissions in accordance with paragraph 2 (a). and) to e) and section
12 paragraph. 2 (a). and), b) and (d)); putting the data in accordance with § 12 of the paragraph. 1 (a). (b))
There is no need to extract from the register of emissions information in accordance with § 12
paragraph. 1 (a). (c)) in connection with the business of the issuer,
(d)) the operating day, to which the excerpt from the register of emissions is exposed,
e) day, in the which is the extract from the register of emissions.
(5) an extract from the register of emissions drawn up for the purposes of the conversion form
zaknihovaného security for collective investment contains next to the
the data referred to in paragraph 4, the information about the suspension of the exercise of the rights of the owner
loaded with valuable paper, data on the person under section 2 (2). 1 (a). (j))
the designation of the law or a court or Government authority, from which the command was
waste valuable paper suspended, and about the time that is
waste valuable paper suspended.
(6) the person leading the building register shall provide, at the request of the person leading the
separate registers for the purposes of the registration of the issue of book-entry listing
securities, collective investment undertakings the information referred to in paragraph 3 (b). (c))
to (f)), paragraph 4 (a). (d)), and (e)) and paragraph 5.
(7) For self shall not be transferable rights separate from the book-entry securities
collective investment securities under section 12, paragraph. 3 shall apply paragraph
1 to 6 apply mutatis mutandis.
PART THE THIRD
REGISTRATION OF DOCUMENTARY SECURITIES IN CUSTODY
§ 15
The information registered on the securities account of documentary securities
the custody of the
(1) the particulars of the listinném quote on securities account shall, in particular,
and determine the security paper) indicating the
1. ISIN; or has not been assigned a unique ISIN, another indication
per, if it was granted, or
2. information about the person, the name of the issuer of the securities, the nature and form of the security
the paper, the nominal value and the rights that differ from the paper
the securities, which would otherwise be fungible; for securities,
which are not shares, similar securities representing the share of the
company or securities issued by the Fund of collective
investment, with the identification of the make up indicating the subject and due date
the rights which arise from the securities,
(b) the number of pieces or summary), the nominal value of documentary securities
papers, if you cannot determine the number of pieces.
(2) If it is agreed in the contract for the management of the securities account, register
on the basis of the statement of the authorised person of the securities account in the register
In addition to the information referred to in paragraph 1, the information about the
and) Department separately transferable rights from securities with the
indication of what law is transferable separately, including
clearly distinguished the data,
(b) the lien law operated on) quote and about the person of lien
the lender.
section 16 of the
Registration of the transfer of the securities to the paper makes a person
the head of the registration only if it is proved that a change of the person
the owner of the securities on the basis of the Treaty on the transfer of the latest
at the time of registration of the transfer in the register.
§ 17
Rekonciliace registration of documentary securities
(1) the person leading a separate register regularly, at least once every 12
months, verifies that the total number of fungible documentary securities
securities registered in the securities accounts coincide with the total number of
fungible documentary securities actually deposited in escrow.
(2) the person leading a follow-up record regularly, at least once a
month, verifies that the total number of each fungible
documentary securities registered in the securities accounts coincide with the
the number of each fungible documentary securities
registered customer account held in a separate register for the person
the head of the follow-up records.
PART THE FOURTH
REGISTRATION OF FOREIGN SECURITIES
section 18
The information registered on the securities account on foreign securities
(1) the particulars of the international instrument, which is an investment tool
(hereinafter referred to as "foreign security") on securities account in the register, are
in particular, the
and foreign securities) designation indicating the
1. ISIN; or has not been assigned a unique ISIN, another indication
per, if it was granted, or
2. the data about the person of the issuer name, security type, the form and the form
the securities, rated value and rights, that security differ
from the securities, which would otherwise be fungible; for securities
securities, which are securities similar to shares, representing
share in the company or securities issued by the Fund of collective
investment, the identification referred to in the previous sentence make up stating
the subject and the maturity of the rights which arise from the securities,
(b) the number of pieces or summary), the nominal value of foreign securities
papers, if you cannot determine the number of pieces.
(2) If it is agreed in the contract for the management of the securities account, register
on the basis of the statement of the authorised person of the securities account in the register
In addition to the information referred to in paragraph 1, the information about the
and) Department separately transferable rights from securities with the
indication of what law is transferable separately, including
clearly distinguished the data,
(b) the lien law operated on) quote and about the person of lien
the lender.
§ 19
Registration of the transfer of foreign securities in the register shall make the person
the head of the registration only if it is proved that a change of the person
the owner of the securities on the basis of the Treaty on the transfer of the latest
at the time of registration of the transfer in the register.
section 20
Rekonciliace registration of foreign securities
(1) the person leading a separate register regularly, at least once a
month, verifies that the total number of competitive foreign
securities registered in the securities accounts coincide with the total
the number of competitive foreign securities held for the person
the head of a separate register on the accounts in the records of foreign persons.
(2) the person leading a follow-up record regularly, at least once a
month, verifies that the total number of each fungible
foreign securities registered in the securities accounts coincide with the
the number of individual foreign securities fungible
registered customer account held in a separate register for the person
the head of the follow-up records.
PART THE FIFTH
REGISTRATION FOLLOW-UP ON SECURITIES LED THE CZECH NATIONAL
BANK
section 21
The information registered on the securities to the account owner
(1) the details of the quote on the account of the owner are
and the type of security)
(b) the particulars of the securities zaknihovaného) provided for other legal
^ 5 regulation),
c) ISIN; or has not been assigned ISIN, another clear indication of a security
the paper has been allocated, the
(d)) the number of pieces per nominal value of the securities or the combined
securities.
(2) based on the order of an authorized person registered on the account owner
In addition to the information referred to in paragraph 1, the information about the
and the right to a lien) securities and about the person the creditor's lien,
(b) the person entitled to exercise the rights) associated with a valuable paper
(c) the suspension of the exercise of the right of the owner) treated with a valuable paper, data
about the person from whose command was dealing with a valuable paper suspended,
and about the time you waste valuable paper is suspended.
(3) The owner of the account, you can register additional information beyond the data according to the
paragraphs 1 and 2, unless the person consents.
section 22
Rekonciliace follow-up registration of securities
The person leading the downstream securities checked after statements
each operating day, whether the total number of securities registered
on securities accounts in a follow-up record matches the total number of
securities registered in the customer's account of this person, kept in
the registration of Czech National Bank.
PART SIX
TRANSITIONAL AND FINAL PROVISIONS
section 23
(1) the person register are required to indicate the method of keeping the
accordance with the provisions of this Decree within 6 months from the date of entry into force of this
the Decree.
(2) the obligation to verify the accuracy of data about a person, the owner of the account referred to in section 5 of the
paragraph. 1 does not apply to information about a person, the owner of the account taken of the
the basis of the law of evidence of dematerialised securities of the collective
investment securities held by the Centre or by a person authorised to
the management of the registration of the securities Centre.
(3) the Member State of the European Union in this Decree means even more
States forming the European economic area.
section 24
The effectiveness of the
This Decree shall take effect on the date of its publication.
Chairman:
Ing. Hollmann, MBA in r.
for example, 1) Act No. 61/1996, on certain measures against the
the legalization of proceeds from crime and on the amendment and supplement of the related
laws, as amended, law No. 101/2000 Coll., on the protection of
personal data and on amendments to certain laws, as amended
regulations.
2 for example, section 4, paragraph 4). 6 of the Act on business on the capital market, in
the text of Act No. 230/2008 Sb.
3) § 9 (2). 1 law No. 189/2004 Coll., on collective investment.
4) Law No. 189/2004 Sb.
5) Law No. 189/2004 Coll. and Act No. 513/1991 Coll., the commercial code, in
as amended.
