233/2009 Sb.
The DECREE
of 21 April 2004. July 2009
of applications, approval of persons and the manner of proof of professional
competence, credibility and experience of the persons
Change: 192/2011 Sb.
Change: 58/2012 Sb.
Change: 372/2012 Sb.
Change: 58/2012 (part)
Change: 248/2013 Sb.
Change: 171/2014 Sb.
The Czech National Bank determined in accordance with section 4, paragraph 4. 1, § 5 (3). 5, section 20 (2).
4 and section 26 g of paragraph 1. 6 of Act No. 21/1992 Coll., on banks, as amended
Regulations (hereinafter referred to as the "law on banks"), pursuant to section 2a paragraph. 1 and 9, § 2b
paragraph. § 4 paragraph 25f. 8 of Act No 87/1995 Coll., on credit unions
cooperatives and certain related measures and
the Czech National Council Act No. 586/1992 Coll., on income taxes, as amended by
amended, as amended, (hereinafter referred to as "the law of
savings and credit cooperatives ") and under section 199, paragraph. 2 of law No.
256/2004 Coll., on business on the capital market, as amended by Act No.
230/2009 Coll., to implement section 7 (2). 2, § 10 (1). 4, section 10 d of paragraph 1. 4, §
19 paragraph. 2, section 20 (2). 2, § 28 paragraph. 3, § 30 paragraph. 6, section 32 c of paragraph 1. 8, §
paragraph 38. 2, § 39, paragraph. 5, section 43, paragraph. 4, section 45, paragraph. 2, § 46 paragraph. 2, §
paragraph 47. 1, § 83, paragraph. 4, section 85, paragraph. 2, section 103, paragraph. 3, Section 104a of the paragraph. 1,
§ 106, paragraph. 2, section 107, paragraph. paragraph 2, § the basic equipment. 2 and section 198 paragraph. 3 of Act No.
256/2004 Coll., on business on the capital market, as amended
Regulations (hereinafter referred to as "the law of business capital market"):
PART THE FIRST
GENERAL PROVISIONS
§ 1
The subject of the edit
(1) this Ordinance provides for the specimens of the forms and the forms of applications and content
their attachments, unless the applicant asks for
and a banking license for the Bank), based in the Czech Republic (hereinafter referred to as
"the license for the Bank"), a banking license for foreign bank from another
than the Member State which intends to establish a branch within the territory of the Czech
Republic (hereinafter referred to as "the licence for a branch of the Bank from another Member
the State "),
(b) the authorisation for the creation of and) business of the savings and credit cooperatives
(hereinafter referred to as "the authorisation for the Credit Union"),
(c) the activities of the merchant permits) with securities, organizer
of the regulated market, central depository, to the operation of the settlement
system with the finality of settlement (the "settlement system"), to
the activities of the central counterparty, to the provision of investment services
through the organizational folder foreign persons, which has its registered office in
other than the Member State,
d) authorizations pension companies,
e) prior consent to the exercise of the functions of the head of the person,
(f) the consent to the acquisition or) to increase skilled attendance at legal
a person that is a Bank, a cooperative záložnou, a trader with securities
the papers, the organizer of the regulated market, the Central Depositary,
the central counterparty, pension companies, or to control these
persons,
(g) permit the conversion of the company) or to the conclusion of the contract on transfer,
stopping or rental company, Enterprise
h) registration of the investment provider and its activities,
I) entry in the list bound representatives, liquidators, administrators and forced
j) registration for more business activities,
to create a local permit) Fund or pension funds,
l) authorization to transfer management of all participating funds or
pension funds to another pension company,
m) permits a merge Subscriber funds or pension funds,
n approval of the Statute) the twisted Fund or pension fund and its
the changes,
approval of the amendment about) a depositary, or
p) withdrawal of authorisation for the activities of the pension company or withdrawal of the authorisation
to create a local fund.
(2) this Ordinance shall state the
and) documents confirming the credibility and experience of the persons in the leadership of the
the financial holding of the person whose part is the Bank or cooperative
Credit Union,
(b)) of the Charter and their attachments to demonstrate professional competence and
the trust of the person chosen in function of the members of the Board of Directors, supervisory
and to the credit of the Commission and of the other persons, that are designed to control
functions in the cooperative savings bank.
§ 2
Definition of terms
For the purposes of this Ordinance means
and proof of permission to) business a complete listing, or other document of the
registration or other record under other legal
Regulation ^ 1), or similar records abroad, containing the information
at the time of submission of the application, including information about the submitted proposal on registration
in the appropriate register, which has not been made on the date of submission of the application,
(b)) financial statements
1. the annual report and financial statements for the last 3 financial years, or for the
the period during which the applicant carries on business, if it is
This period is shorter than the 3 financial years; in the event that the applicant is
part of the consolidation unit, whether the consolidated annual report and the
the financial statements for the same period; If it has to be in accordance with other legal
code ^ 2) financial statements verified by an auditor, is submitted to the Court
accounts certified by an auditor,
2. documents of similar documents in the point 1, if it is a foreign
foreign legal person or natural person, operating and
3. proof of income for the last 3 years, the assets and liabilities, if
This is a natural person,
(c) the proof of good character issued by) a foreign State of a document similar to the statement of
criminal register ^ 3) not older than 3 months issued by a foreign State,
1. the natural person who is a citizen, as well as the foreign State in which the
natural person in the last 3 years continuously resided for a period longer
than 6 months,
2. in which it has or had in the past 3 years the seat of the legal person,
as well as the foreign State in which the legal person has or in the last 3
years of organizational folder holding, if the law of that State
regulates the criminal liability of legal persons,
d) information about people closely linked ^ 4) the list of persons closely linked
the applicant, a description of the structure of the Group and how the link including the
graphically shown relations between closely related
persons, including communication, whether the legislation of the State in whose territory the
the Group has close links, does not prevent the exercise of supervision of the Czech National Bank; u
persons closely connected with the applicant further indicate the business name or
name, identification number of the person or the date of incorporation and registered office, if the
a legal person, the name, or names, first and last name, social security number,
where applicable, date of birth and address of the place of residence or the place of
business, in the case of a natural person, the subject of activities of individual persons
with close links, including information, whether it is a person who has
to enable supervisory authority of another Member State of the European Union or
another State that make up the European economic area to act as a
foreign person with similar activities as a Bank, the institution
electronic money, insurance undertaking, reinsurance undertaking, investment firm
or provider of investment services or controlling such
of the person,
e) plan business activities actually intended plan on the first 3 accounting
the period of activity, supported with real economic calculations in a range
the data of the financial statements in accordance with other legislation ^ 2) together with the
commentary to the individual items of the plan, which always contains the basic
the basis on which the plan is built, and a description of how to ensure the
the various activities carried out in accordance with the relevant legal act,
(f) original documents or original) officially certified copy of the Charter,
(g) the applicant's strategic intent intent) to consent to the acquisition or to the
increase of the qualifying holding on a legal person or to its mastery of the
concerning the
1. the period for which it is to be kept, the qualified participation or which has
be controlled by the person,
2. the amount of the anticipated changes in qualifying holdings in the short and
long term,
3. the expected participation in the strategic management of the legal person,
4. any legal person support additional own resources if
It will be necessary for the development of the activities or to maintain activities
5. the agreements with other shareholders or members of a legal person, and
6. If the qualified participation exceeds 20% of the share capital
the voting rights of a legal person or to dominate
legal person, also the development of the activities of legal persons in relation to the
the existing business plan, policy or the allocation of profit
reimbursement of losses including the dividend policy, a way of financing the next
the development of a legal person, the management and control system, any
staffing changes and the strategic development of the legal person,
h) particulars of the professional practice
1. information about the nature of professional practice,
2. placing of the person, which is, or was, professional practice, exercised,
3. the classification of the work and, in the case of the importance of practice for the operation of
on the financial market also carried out activities including the scope description
powers and responsibilities associated with this activity and the number of controlled
persons,
4. the definition of the period during which the activity was carried out in accordance with point 3,
5. consent to the exercise of the work required by the inclusion of other
the legislation, if such consent was necessary,
I) data on education
1. the name and the type or the type of educational institution, program of study,
the focus of the study programme, the duration of the degree program, method and
date of graduation or titles,
2. Overview of courses, internships and study visits with relevance to the action on the
the financial market, with an indication of their passing, the focus, the length of the
the duration and, where applicable, obtained titles,
j) head of the person the person referred to in
1. section 2 (2). 1 (a). and business law) on the capital market,
2. section 4, paragraph 4. 5 (a). (e)) or in § 5 (3). 4 (b). (c)) of the law on banks
3. section 2a paragraph. 4 (b). (b)) of the Act on savings and credit cooperatives,
4. section 3 (b). (g)) of the law on supplementary pension savings and
5. § 3 (b). (e)) of the Act on pension savings,
k) a person who is regulated by the body on the financial market, the legal
person established in a Member State, the object of which is the activity of the
Bank, securities dealer, investment company
the company's investment fund, pension, insurance and reinsurance undertakings,
credit institutions, electronic money institutions, or other
regulated activity on the financial market, and which is subject to supervision
the competent authority of the Member State of its registered office in the country.
PART THE SECOND
TITLE I OF THE
THE ENTRANCE TO THE SECTOR
§ 3
(1) an application for a license for the Bank under section 4 (4). 8 of the Act on banks and the
authorization for the Credit Union under section 2a paragraph. 1 of the law on
savings and credit cooperatives is presented on a form, a
the pattern is in annex 1 to this notice.
(2) an application for a permit pursuant to section 7 (2). 2, § 38 paragraph. 2, § 90a paragraph. 3, §
paragraph 103. 3 and § paragraph 192b. 2 of the law on business on the capital market,
served on a form, a specimen of which is given in annex 2 to this
the Decree.
(3) the application for the authorization under section 33, paragraph. 3 of the Act on supplementary pension
savings are made on a form, a specimen of which is given in Annex 2b to
This Decree.
(4) the applicant to whom the licence or permit in accordance with paragraphs 1 to 3
granted, shall be accompanied by the application of the annex referred to in section 4, if the Decree on
provides otherwise.
§ 4
(1) Annexes containing basic information about the applicant and the information
related to the activities of the applicant are
and the social contract), memorandum or articles of Association,
(b) the original of the document) for permission to do business [section 2 (a))],
(c)) the originals of the documents about the origin of initial capital or the basic
capital or other financial resources of the applicant, and on the extent to
repayment of capital, if this information is not apparent from the document on the
permissions to the business,
(d)) financial statements [section 2 (b))],
(e) a list of the proposals) annulment of the resolution the general meeting of
where no court proceedings on the date of submission of the application has been finally terminated,
If such proposals were raised as regards the proposals, which could
have a significant impact on the further functioning of the company,
(f)) form, a specimen of which is given in annex 4 to this Decree, parts (B) and (D)
signed by the applicant and
g) proof of integrity, issued by a foreign State.
(2) Annexes containing information about the leading persons of the applicant are
form in annex) No. 3 to this Decree, in the case of the applicant in accordance with
section 3 (3). 2 and 3, or in accordance with Annex No 4, in the case of the applicant in accordance with section 3 of the
paragraph. 1 completed and signed by each of the leading person of the applicant,
(b) the head of each person) biography of the applicant containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))] and
(c) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
each head of the person of the applicant.
(3) Annexes containing information on persons with qualifying holdings
the applicant and the persons closely connected with the applicant are
and the list of persons qualified) the participation of the applicant and the persons
acting in concert with another person having a qualifying holding in the applicant,
including the pictured relations graphically between such persons with the information ^ 5)
These persons, indicating the amount of the share or other forms of participation in the
the applicant and the persons acting in concert, on the
the basis of concerted practices occurs, and the form of which a specimen is given in annex
No 13 of this Decree completed and signed by each person referred to in
This list,
(b)) the list of persons, which are a statutory body or a member of the statutory
body of the legal person referred to in the letter a), including placing the function of this
the person and the form of which a specimen is given in annex 4 to this point 1 Decree, and
part (D), completed and signed for each natural person,
(c)) form, a model of which is in annex 4 to this Decree, parts (B) and (D)
signed by each person with a qualifying holding in the applicant, and each
a person acting in concert with another person has a qualifying holding
on the applicant,
(d) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
each of the persons referred to in letter a) and of each person, which is a statutory
authority, or a member of the statutory body of the legal person referred to in
the letter a),
(e) the original of the document) for permission to do business [section 2 (a))] each person
referred to in point a),
(f)) financial statements [section 2 (b))] each of the persons referred to in letter a),
g) information about the persons closely connected with the applicant [section 2 (b), (d))] and
(h) the original of the written opinions of the authority), which carries out surveillance of
the person with a qualifying holding in the applicant, in the country of its registered office,
the intention of the person to participate in the Czech Republic, close to the business
legal person, if the person with a qualifying holding in the applicant, the person
located outside the territory of the Member State in which such supervision in
the country of its registered office,
I) description of the facts, on the basis that the person referred to in the list referred to in
(a) the person controlling applicant) becomes, if occurs to dominate.
(4) if the person with a qualifying holding in the applicant, a person who is
the regulated entity in the financial market, the applicant does not annex
in accordance with paragraph 3 (b). (b) to (d))) and (f)) to (h)).
(5) if the person with a qualifying holding in the applicant, any person whose
qualified participation is determined by the indirect share through a person,
which is a regulated entity in the financial market, the applicant
and the soil of the annex) under paragraph 3 (b). (b) to (d))) and (f)) to (h)), and
(b) be accompanied by the original of the final decision) of the competent authority
surveillance, which was this person granted consent to the acquisition of qualified
the participation of the person, which is a regulated entity in the financial market.
If such a decision is issued by the competent supervisory authority, the applicant
submit comments to this authority, that this person became qualified
the participation of the person, which is a regulated entity in the financial market, with
his knowledge, and in accordance with the law of the country of residence of the person who is
the regulated entity in the financial market.
TITLE II
THE BANK, CREDIT UNION AND BANK BRANCH FROM OTHER THAN THE MEMBER STATE OF
§ 5
Licences and permits for the Bank for the Credit Union
(Section 4, paragraph 8 of the law on banks and to section 2a (1) of the Act on savings and
credit cooperatives)
In the case of the licence application for the Bank or the authorization for cooperative
Union progresses the applicant pursuant to § 3 (2). 1, and in addition to the annexes referred to in the
§ 4 shall be accompanied by
and business) plan [section 2 (b), (e))]
(b) the concept of the development of the activities of the Bank), or credit unions, in particular in the
relation to the proposed business plan and to the medium-term objectives,
(c)) proposal for the management and control system of the Bank or credit union
containing, in particular,
1. the risk management strategy,
2. the strategy related to capital and capital adequacy,
3. strategy for the development of information systems,
4. the principles of the system of internal control, including the principles for preventing the emergence of
the possible conflict of interests and principles for the compliance and
5. safety policy, including the security policy for information
systems,
(d) the proposal for the arrangement of the Bank's organization chart), or credit unions, which
provides information on the definition of the responsibilities, powers, the main
information flows and binding authorities, staff and committees of the Bank or
credit unions, if they are established,
(e) a list of the leading persons) [section 2 (b). j) point 2 or 3]
(f)) for each head of a person referred to in subparagraph (e))
1. the enumeration of functions in the bodies of other legal entities, which intends to
carry out in parallel with the performance of the leading function in the Bank or cooperative
the savings bank, with an indication of the business of the company or the name of a legal person in which the
the function is to be exercised, the identification number of the person and the name of the function
including an indication of whether this is a function of the Executive or of a non-member,
2. Overview of financial and human resource relations of the person and persons it
close to the leading persons of the banks or credit unions, legal
the person controlling a bank or Credit Union and legal persons,
which the Bank controls, and
3. a brief concept of exercise the function of the head of the person,
(g) report on the results of the applicant) the evaluation of the suitability of the head of a person
included in the list referred to in point (e)) for the performance of functions in which it is
proposed, in terms of compliance with the requirements of the trust, professional
competence and experience of the person and
h) draft technical security of individual activities and the expected
the number of staff who will ensure the planned activities of the Bank
or credit unions; technical security means, in particular,
the corresponding computer system, the information system ^ 6), accounting system and
statistical-registration systems.
Licence for a branch of the Bank from a Member State other than the
§ 6
(§ 5 paragraph 1 and 5 of the law on banks)
(1) in the case of a licence for a branch of the Bank from other than
Member State, the application shall be presented on a form, a model of which is in
Annex No. 5 to this Decree. To the application, the applicant shall be accompanied by the annexes referred to in
paragraphs 2 to 6 and article 7.
(2) Annexes containing basic information about the applicant are
and the original proof of permission) to the business [section 2 (a))] of the applicant,
(b) the decision of the competent authority) the original applicant of the intention to set up a
the branch in the Czech Republic,
(c) the original of the document providing evidence of the existence of) and the Head Office of the applicant, and
who may act for the applicant, and in what way,
(d)), the originals of the proof of origin of the funds provided for the
the activities of the branch,
(e) the auditor audited financial statements) of the applicant [section 2 (b))] and
f) documents proving that the applicant complies with the capital requirements
comparable with the requirements laid down by the banks under the law on banks and
implementing the law ^ 7).
(3) Annexes containing information on persons who are a statutory
authority, or members of the statutory body of the applicant,
and the list of members of the statutory body) of the applicant,
the forms referred to in annex b) No 4 to this Ordinance of the completed and signed
each of the members of the statutory body of the applicant,
(c) each member) biography of the statutory body of the applicant containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(d) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
each Member of the statutory body of the applicant.
(4) Annexes containing information on persons with qualifying holdings
the applicant and the persons closely connected with the applicant are
and the list of persons qualified) the participation of the applicant, including graphically
the pictured relations between such persons, with data on those persons ^ 5)
indication of the amount of the share or other forms of participation on the applicant and the
(b)) information about people is closely linked with the applicant [section 2 (b), (d))].
(5) Annexes containing information about the leading person branches are
form in annex) No 4 to this Ordinance of the completed and signed
the head of the party branch
(b) the head of a person) biography of the branch containing
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(c) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
the head of the person and
(d)), quick concept that has to be exercised in the head
the person of the branch.
(6) the Annexes containing information about organizational assumptions
the branch for the performance of activities are
and the business plan of the branch),
(b)) the principles of the management and control of the applicant,
(c) the concept and principles of development) Branch relating to its activities, in particular
in relation to the proposed plan of the branch and its medium-term objectives,
(d) the design of the organizational structure of the branch) and the definition of the powers of the branch in
decisions on bank operations and their implementation, and
(e)) draft technical security of individual activities and the expected
the number of staff who will ensure the planned activities of the branch;
technical security means, in particular, adequate computing
the system, the information system ^ 7), accounting and statistical-registration
systems.
section 7 of the
(1) the applicant for the licence application pursuant to section 6 (1). 1 Furthermore, accompanied by the
and analysis of the comparability of the law), or other rules which are
concern in particular
1. the legal and institutional status of the supervisory authority of the State of the registered office
the applicant (hereinafter referred to as "foreign supervisory authority"), its independence,
powers and responsibilities in the area of banking supervision, performance
2. edit the granting and withdrawal of licences, the assessment of the person proposed to the Bank
the Bank's management and the acquisition of a qualifying holding in the Bank;
3. the exercise of supervision over the Bank and its branch abroad, including performance
supervision on a consolidated basis,
4. the rules of prudential bank in particular, capital adequacy,
exposures, liquidity, management and control system including system
risk management,
5. the system of corrective and penalties,
6. the method of cooperation and exchange of information with supervisory authorities of other States
7. accounting and obligations to ensure the audit of financial statements of the Bank,
8. modifications of the information obligations of the Bank towards a supervisory authority and to the public,
the provision of the information obtained in the course of supervision by third parties,
9. the definition of banking secrecy and its protection, use of confidential
information and the obligation to maintain secrecy, editing and
(b) the original of the written opinion of the foreign) supervisory authority to
the applicant to establish a branch of the Bank in the Czech Republic and its declaration that the
above the branch will carry on banking supervision and the legal order of the State of the registered office
a foreign bank does not foresee any obstacles to the effective exchange of
information between the Czech National Bank and a foreign supervisory authority.
(2) for the analysis of comparability referred to in paragraph 1 (b). and) the applicant further
be accompanied by assessment of any differences in the areas referred to in paragraphs 1
up to 9 in comparison with similar provisions in force in the European Union, which
regarding the performance of the activities of the bank and of exercising supervision over them. If there is a
the analysis drawn up by a person other than a foreign supervisory authority,
This analysis shall be annexed to the statement of the external supervisory authority
certifying the accuracy of the information and conclusions.
TITLE III
A SECURITIES DEALER, OPERATOR OF THE REGULATED MARKET, THE OPERATOR
SETTLEMENT SYSTEM AND CENTRAL DEPOSITORY
§ 8
Securities dealer
(Section 7, paragraph 2, of the law on business on the capital market)
(1) in the case of an application for authorisation to the securities dealer activities
the applicant shall proceed in accordance with § 3 (1). 2 and in addition to the annexes referred to in § 4
paragraph. 1 and 2 shall be accompanied by evidence of the fulfillment of the statutory conditions of insurance
pursuant to section 8a of the Act on business on the capital market, if the trader
securities intends to take advantage of lower initial capital by
section 8a of the Act on business on the capital market, and also of the annex referred to in
paragraphs 2 to 4.
(2) Annexes containing information about the factual assumptions for performance
the activities of the trader in securities are
and technical documents) and program means for processing and
the registration information for the registration of the customer's assets, keeping a journal
Merchant securities, accounting and economic evidence,
and management of other records ^ 8), to the extent of information about the properties,
How to use, management, and maintenance funds passed by their
the supplier,
(b)) draft technical security service delivery through
the Internet,
(c) direct or mediated) ensuring connection with the organizers
regulated markets and the persons carrying out the settlement of trades with
investment instruments and
(d)) business plan [section 2 (b), (e))].
(3) Annexes containing information on the activities of the personnel and
organizational prerequisites for the exercise of the activities of the brokerage house
the papers are
and the draft internal rules of applicant) including in particular
1. the draft organizational arrangement of securities trader ^ 9),
2. the draft rules of prudent provision of investment services
Merchant securities ^ 10) and
3. the draft rules of conduct securities trader with the customers ^ 11),
(b)) the list of persons, which will be as the head of the organizational departments or as
separate persons to ensure the
1. the provision of investment services,
2. ongoing monitoring of compliance with legal obligations and obligations
arising from the internal rules of a trader with securities,
3. risk management and
4. the performance of the internal audit,
(c) all persons) biography, included in the list referred to in subparagraph (b)),
containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
d) activities as a securities dealer intends to perform
through other persons, and the way the fulfillment of the conditions under section 12d
business law on the capital market and
e) intention to use the investment intermediaries and representatives in-bound
connection with the provision of investment services.
(4) Annexes containing information on persons with qualifying holdings
the applicant and the persons closely connected with the applicant are
and the list of persons qualified) the participation of the applicant and the persons
acting in concert with another person having a qualifying holding in the applicant,
and
(b)) the information and documents pursuant to section 4, paragraph 4. 3 (b). (b)) to (i)), unless the
directly applicable regulation the European Union ^ 19) otherwise.
§ 9
Operator of the regulated market
(To section 38 (2) of the law on business on the capital market)
In the case of an application for authorisation to operate a regulated market Organizer
the applicant shall proceed in accordance with § 3 (1). 2 and in addition to the annexes referred to in article 4 are
attachments on
and the internal rules or regulations) governing
1. the scope of the powers, privileges, obligations and responsibilities of the heads of
employee ^ 12), their substitutability and control at each
activities and
2. the activities of individual departments and the number of organizational framework
employees,
(b) draft rules)
1. the trading on a regulated market,
2. access to a regulated market,
3. for the adoption of investment instruments to trading on a regulated
market and
4. for the enforcement of the obligations laid down in the rules referred to in points 1
up to 3, including possible penalties for violations of these rules,
(c) measures to prevent market abuse),
(d)) the way the settlement of trades carried out,
(e) provision of technical security) the proposed scope of services,
f) policies and procedures to ensure the proper operation of the business and other
systems, including the measures in case of disruption of these systems and
emergency situations,
(g) management information system) rules, including the rules and security
rules for data backup and archiving,
h) rules for the disclosure of information under section 48 (a). I, points 3 and 4)
business law on the capital market participants organized by
market,
I) administrative, inspection and safety procedures for the registration and
data processing, the handling of confidential information and personal data
protected by other legislation ^ 13) and security performance
obligations under the law governing the measures against the legalization of proceeds from
crime ^ 14) including their organisational, technical and
staffing,
j) organizational, technical and personnel control activities
focused on the monitoring of
1. compliance with laws, rules, and trading rules
access to the regulated market by market participants,
2. compliance with laws and internal regulations of the applicant
employees of the applicant,
3. whether the investment instruments admitted to trading comply with the conditions for
admission of investment instruments to trading established by law and
rules for the admission of investment instruments to trading, and
4. implementation of information obligations laid down the law about business on the
capital market issuer of investment securities admitted to
trading or a third person in the case of the subsequent adoption of the investment
tools for trading without the issuer's consent, the
k) the procedures for monitoring of trading on an organised market and
the evaluation of the occurrence of extraordinary market situation or action that may
be considered as internal information or market manipulation,
analysis of the different types of crisis situations in the development of capital market
and in the operation of the applicant, which may have a negative impact on the functioning of the
capital market, and the procedures for dealing with such situations,
l) procedures for the management of the risks associated with the proposed scope
of the services provided, their evaluation, and measures to limit these
risks; for measures shall be considered as insurance contracts, bank guarantees and
a similar instrument intended to cover such risks, or documents submitted to the
the willingness of others to cover these risks, the acceptance of the undertaking, if the
the relevant legal acts have not yet been made,
m) procedures for the detection and resolution of any negative impacts on
the activities of the organizer of the regulated market or for its participants, which would
may arise from the conflict between the interests of the organizer of the regulated market
or its affiliates and the proper functioning of the regulated market, including
the internal regulation for trades concluded on their own account workers
or on behalf of persons close to them, and
n) business plan [section 2 (b), (e))].
§ 10
The multilateral trading system
If the securities dealer or the operator of the regulated market
applying for authorisation for the operation of the multilateral trading system, are
the annexes to the application for a permit under section 8 or section 9 also
and draft rules)
1. trading in the multilateral trading system,
2. for the admission of investment instruments to trading on a multilateral
trading system, including any reporting obligations of issuers
investment instruments admitted to trading or third persons, which
have requested the adoption of investment instruments to trading on a multilateral
trading system without the consent of the issuer,
3. access to the multilateral trading system and
4. for the enforcement of the obligations laid down in the rules referred to in points 1
up to 3, including possible penalties for violations of these rules,
(b)) the way the disclosure of publicly available information to participants
the multilateral trading system (section 69, paragraph 5, of the law on business
the capital market),
(c)), the technical and organizational staffing audit activities
focused on the monitoring of
1. compliance with laws and rules in a multilateral trading
trading system his participants,
2. whether the investment instruments admitted to trading on a multilateral
trading system comply with the rules for the admission of investment instruments
to trading in the multilateral trading system,
(d)) the procedures for monitoring trading in the multilateral trading system
and the evaluation of the occurrence of an emergency situation on the market or conduct that
may be considered as internal information or for the handling of
market,
e) way of ensuring settlement of trades concluded in the multilateral
trading system and security awareness among participants of the multilateral
trading system while ensuring the settlement of trades concluded in
multilateral trading system under section 70, paragraph. 1 of the law on business
on the capital market,
(f)), the administrative, inspection and safety procedures for the registration and
data processing, the handling of confidential information and personal data
protected by other legislation ^ 13) and security performance
obligations under the law governing the measures against the legalization of proceeds from
crime ^ 14) including their organisational, technical and
staffing and
(g)) a programme of operations [section 2 (b), (e))].
§ 11
The operator of settlement system
(§ 90a, paragraph 3, of the law on business on the capital market)
In the case of an application for a permit to operate a settlement system
the applicant shall proceed in accordance with § 3 (1). 2 and in addition to the annexes referred to in article 4 are
the annexes to the application on
and settlement system) design rules pursuant to section 85 of the Act on business
the capital market,
(b) draft rules of functioning) settlement system containing the description of roles
each of the participants, their duties and responsibilities,
(c) ensure the functioning of the settlement) system, including standard
the draft treaty with a participant in the settlement system,
(d) the design of a risk management system), which must cover, in particular, the determination of the
methods for the identification, measurement, monitoring and control of risks arising from
individual activities, the determination of obligations and responsibilities in the management of
risks, the way of setting limits, the frequency of measurement and monitoring
individual risks, and how to solve critical situations when
exceeding a set limit; Furthermore, the applicant shall be accompanied by the insurance contract, and
other tools designed to cover such risks and contracts with third
bodies involved in the process of measuring, monitoring, management, or
the evaluation of these risks,
(e) provision of technical security) the proposed scope of activities
settlement system of the applicant,
(f) analysis of each type) crisis that includes procedures for
their solutions and involving attribution of responsibility in such a situation,
(g)), the administrative, inspection and safety procedures for the registration and
data processing, management of internal information and personal data
protected by other legislation ^ 13) and rules for the
organizational, technical and personnel security the fulfilment of obligations under the
the law governing the measures against the legalization of proceeds from crime
the activities of ^ 14) including their organisational, technical and human resources
ensure,
h) internal regulation or the rules governing the
1. the scope of the powers, privileges, obligations and responsibilities of the heads of
employee ^ 12), their substitutability and control at each
activities and
2. the activities of individual departments and the number of organizational framework
employees,
I) plan of business [section 2 (b), (e))].
section 11a
The central counterparty
(§ 192b (2) business law on the capital market)
(1) in the case of an application for a permit to operate a central counterparty
the applicant shall proceed in accordance with § 3 (1). 2. In addition to the annexes referred to in article 4 are
the annexes to the application
and the rules governing the) internal management and control system, which
include in particular the
1. organizational arrangements
2. risk management system, including the detection and containment of potential
conflicts of interest,
3. the internal control system,
4. the strategy related to capital and capital requirements, and
5. the remuneration system,
(b)) draft rules for participation and access to the central clearing system
the counterparty,
(c)) for settlement of trades rules proposal through the Central
the counterparty,
(d) procedures for the keeping) the accounts of the members of the clearing system,
(e)) draft technical security of the proposed scope of the activities of the Central
the counterparty,
(f) procedures for the administration of the proposal) of the information system including security,
backing up and archiving data,
(g) procedures for maintaining) the proposal for the operation and recovery plan of activity of the Central
the counterparty,
(h) the procedures applied in) the case of the failure of the Clearing Member
the system,
(I) the list of persons) will be as the head of the organizational departments or as
separate persons to ensure the
1. the activity of the clearing system,
2. monitor compliance with the obligations a central counterparty
arising from law and the internal regulations of the Central
the counterparty and of contractual relations,
3. risk management and
4. the performance of the internal audit,
(j)) resumes of all persons included in the list referred to in point (a) (i))
containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
k) list of activities which it intends to carry out a central counterparty
through other persons, and the way to ensure the fulfillment of the conditions for
carrying out activities through other persons, and
l) business plan [section 2 (b), (e))].
(2) the annex referred to in section 4, paragraph 4. 2 shall be submitted also for the persons who
they are members of the Supervisory Board or the Management Board members in the control function in the
Depending on the system of the internal structure of the company.
§ 12
The central depository
(Section 103, paragraph 3, of the law on business on the capital market)
In the case of an application for authorisation to the activities of the central depository
the applicant shall proceed in accordance with § 3 (1). 2 and in addition to the annexes referred to in article 4 are
the annexes to the application on
and the management of the records of the investment project), tools, and documentation to them;
the project includes the
1. the administrative, technical, control and safety procedures management
registers of investment instruments,
2. technical security providing the proposed scope of activities,
3. the rules of the Administration and security of the information system including
technical and organizational solutions backup, archive and control data
and documents about verification of functionality and reliability of such technical
the solution,
4. the analysis of the different types of crisis situations, which may lead
registers of investment instruments and procedures for the resolution of such
situations,
5. the procedures for the management of risks in the performance of individual activities and
6. ensure the technical and organizational communication with regulated markets,
the operators of securities settlement systems, the participants of the central depository and
persons leading the evidence connected to the central register and the documents of the
examine the functionality and reliability of communication,
(b)) draft operating regulations of the Central Depositary,
(c) standardized contracts between) the proposals by the applicant on the one hand, and
the participants of the Central Depositary, entities leading evidence connecting
on the central register, the owners of the accounts in the Central Depositary,
regulated markets and operators of securities settlement systems, on the other hand,
(d) organize and control) the organisational structure of the company, indicating the
1. the extent of the powers, privileges, obligations and responsibilities of the heads of
employee ^ 12), their substitutability and inspection in the individual
activities and
2. filling the activities of individual departments and the number of organizational framework
employees,
(e)), the administrative, inspection and safety procedures for the handling of
confidential information and personal data protected according to another legal
code ^ 13) and security obligations under the law governing the
measures against the legalization of proceeds from crime ^ 14) including their
organisational, technical and staffing,
(f)), organisational, technical and staffing of control activities
focused on compliance with the
1. legislation and operational order of the participants of the central depository
and
2. the legislation of the internal rules of the applicant and of the operational order
Central Depository staff central depository,
(g)) definition of investment instruments and the types of trades that can be
the subject of settlement in settlement system operated by the applicant, and
definition of the position of the applicant in the framework of the settlement system,
(h)) to ensure the allocation of an identification mark investment tools
According to the international numbering system for the identification of securities
(ISIN)
I) documents proving the readiness to engage in the activity referred to in section 100
paragraph. 3 of the law on business on the capital market, with regard to the activities,
for which the applicant requests the issuance of a permit, including project and documents
mutatis mutandis in accordance with subparagraph (a)),
j) of the annex referred to in section 11 (a). a) to (g)), and
to business) plan [section 2 (b), (e))].
section 13
Organizational folder foreign persons providing investment services
(To section 28, paragraph 3, of the law on business on the capital market)
(1) a request for authorisation to provide investment services through
organizational folder foreign persons, which has its registered office in the State, which
It is not a Member State, shall be submitted on a form, a specimen of which is given in the
Annex No 6 to this Ordinance.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by the annexes referred to in section 14.
§ 14
(1) Annexes containing basic information about the applicant are
and the original proof of permission) to the business [section 2 (a))] of the applicant,
(b) proof of actual headquarters) of the applicant,
(c) the original of the authorization) to the provision of investment services issued by the authority
the supervision of the State in which the applicant is located, with an indication of the scope of this
the authorization,
d) originals of proofs of origin of funds secured for
the activity of the business of the applicant, e) financial statements [section 2 (b))]
the applicant,
f) written opinion supervisory authority of the State of the registered office of the applicant to the intent
applicant to provide investment services in the Czech Republic through the
organizational folder, or proof that this authority of the intention to
applicant to provide investment services in the Czech Republic through the
organizational folder informed
g) proof of participation in the system, from which shall be paid a refund
customers; If the applicant is a participant in such a system, showing
at the same time the amount of the refunds paid by the customers, the customers and the range of
their assets are covered by this guarantee system including territorial
the scope of this guarantee system, and
h) documents proving that the applicant complies with the capital requirements
Similarly under section 9 and 9a of the law about business on the capital market.
(2) Annexes containing information about the leading persons of the applicant are
and the list of members of the statutory body) of the applicant,
(b) the form referred to in annex) No. 3 to this branch of the completed and signed
each Member of the statutory body of the applicant,
(c) each member) biography of the statutory body of the applicant containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(d) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
each Member of the statutory body of the applicant.
(3) Annexes containing information on persons with qualifying holdings
the applicant and the persons closely connected with the applicant are
and the list of persons qualified) the participation of the applicant, including graphically
the pictured relations between such persons, with the information about these ^ 5) persons with
indication of the amount of the share or other forms of participation on the applicant, and
(b)) information about people is closely linked with the applicant [section 2 (b), (d))].
(4) Annexes containing information about leading organizational folders and
personnel prerequisites for the exercise of the activities of the organizational folders are
form in annex) No. 3 to this branch of the completed and signed
the head of the organizational folder
(b) the head of the Organization) biography folders containing
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(c) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
the head of the business unit and
d) intention to use the investment intermediaries and representatives in-bound
connection with the provision of investment services.
(5) Annexes containing information about the factual assumptions
organizational folder for the activity are evidence of compliance with the substantive
the prerequisites under section 8 (2). 2.
(6) the Annexes containing information about organizational assumptions
organizational folder for the activity are
and business) plan [section 2 (b), (e))] organizational folder
(b)) to determine the extent of the activities that the organization intends to perform
by means of another person,
(c) the list of persons to whom) it intends to transmit the instructions concerning the applicant
investment instruments and
(d) the draft internal rules) business unit, including in particular
1. the draft organizational arrangement of organizational folder ^ 9),
2. the draft rules of prudent provision of investment services
organizational folder ^ 10) and
3. the draft rules of conduct business with customers ^ 11).
TITLE IV
PENSION COMPANY
§ 14a
the title launched
(To section 33, paragraph 3, of the law on the supplementary savings)
(1) in the case of an application for authorisation to operate pension company
the applicant shall proceed in accordance with § 3 (1). 3.
(2) in addition to the annexes referred to in section 4, paragraph 4. 1 (a). and (c))), para. 2 and 3
the applicant shall attach to the application also
and business) plan [section 2 (b), (e))]
(b) the draft internal rules) the pension company, including in particular
1. organizational arrangements
2. the rules for prudent pension company's activities and performance
3. rules of conduct in the performance of the activities of the pension company,
(c)) the list of persons, which will be as the head of the organizational departments or as
separate persons to ensure the
1. the activities of the pension management company of
pension funds or the participating funds,
2. ongoing monitoring of compliance with obligations of the pension company
arising from law and the internal rules of the pension
of the company and of the contractual relationship with the obhospodařovanými funds and
the depositary,
3. risk management and
4. the performance of the internal audit,
(d)) of all persons mentioned in the biographies of the list referred to in subparagraph (c))
containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))] and
e) list of activities which it intends to carry out pension company
through other persons, and the way to ensure the fulfillment of the conditions for
carrying out activities through other persons.
(3) according to the scale of the activities carried out by the applicant's pension society
also be accompanied by
and the design and handling) registration information, communication with the
the participants, accounting and management of personal retirement accounts
the participants and the personal retirement accounts of participants,
(b) proposal for a method of technical security) the performance of activities and the provision of
services through the Internet,
(c) ensure the documents) a direct link with the depositary, or other
the people who have to carry out trading property fund party
or the pension fund or the management of its evidence, and
(d) documents to ensure direct) or causing a connection with the persons
carrying out settlement with investment instruments.
section 14b
cancelled
the title launched
§ 14 c
cancelled
THE HEAD OF THE
THE HEAD OF THE PERSON AND THE PERSON IN THE LEAD FINANCIAL HOLDING OF THE PERSON
§ 15
The approval of the head of a person
(Section 10, paragraph 4, of section 43, paragraph 4, section 104b (1), § the basic equipment, paragraph 2, of the law on
business on the capital market and § 39, paragraph. 4 of the law on the supplementary
pension savings)
(1) an application for prior approval to exercise the function of the head of the person served
on the form of which a specimen is given in annex 3 to this notice.
(2) the annexes to the application referred to in paragraph 1 are
and the head of the person that includes) biography
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))], and
(b) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
the head of the person.
(3) the application form, together with its annexes, the applicant shall submit to the
the case of the new election, appointment or of any other
the facts associated with the new responsibilities or powers.
section 16 of the
The person in the lead financial holding of the person
(Section 26 g, paragraph 6 of the law on banks and section 25f paragraph 8 of the law on credit
and credit cooperatives)
(1) to demonstrate the credibility and experience of the person proposed to her
lead financial holding, the person shall submit the supporting documents, which are
and about the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
natural persons proposed to lead financial holding of the person (hereinafter referred to as
"the proposed person"),
(b) the form referred to in annex) No 4 to this Ordinance of the completed and signed
each person,
(c) curriculum vitae of the proposed person) containing
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))].
(2) a financial holding, the person shall also submit a description of the work
the function that you want to be a person elected or appointed as proposed, including the
its expected scope and powers. This document may be
replaced by the internal regulation of the financial holding of the person who modifies the
the filling function, which has proposed a person to perform, including the scope of and
the powers resulting from this function.
(3) in the event that the proposed person is not a statutory body or a member of the
the statutory body of the financial holding of the person or the person on proposed
not the competence of the statutory body of the financial holding of the person
delegated, financial holding, the person shall, on the basis of what
the fact the proposed person financial holding person.
§ 17
The approval of the head of the person in the cooperative savings bank
(§ 2a, paragraph 9, of the Act on savings and credit cooperatives)
(1) to demonstrate the competence and credibility of the head of a person
submit the Credit Union Charter, which are
and about the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
the head of the person,
(b) the head of the person that includes) biography
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(c) the definition of the work function), which is the head of the person chosen
or appointed,
(d) a brief performance concept features), the head of the person and
the form referred to in annex e) No 4 to this Ordinance of the completed and signed
the head of the person.
(2) the part of the definition of the work function of the head of the person are further
the estimated scope and powers. This Charter may be replaced by
internal regulation credit unions, which regulates the filling function,
He has the head of a person to perform, including the scope and powers of the
resulting from this function.
TITLE VI OF THE
CONSENT TO THE QUALIFIED PARTICIPATION OR TO DOMINATE
section 18
Consent to the acquisition or increase of qualifying holding on regulated
legal person or to its mastery of the
[To section 20, paragraph 3 (a) and (b))) of the Act on banks, section 2b, paragraph. 3 (b). and) and
(b)) of the Act on savings and credit cooperatives, § 47 odst. 1 and Section 104a
paragraph. 1 of the law on capital market and the business section, paragraph 44. 1 of the law on
the supplementary pension savings]
(1) an application for prior approval to the acquisition or increase of qualifying
the participation of the legal person, which is a Bank, a cooperative záložnou,
the organizer of the regulated market, a central depository, the Central
counterparty, pension companies (hereinafter referred to as "regulated legal
the person ") or to gain control of this person shall be submitted on the form, the
a model is given in annex No. 7 of this Ordinance.
(2) the annexes to the application referred to in paragraph 1 are
and the original proof of permission) to the business [section 2 (a))] of the applicant,
(b)) the originals of the proof of origin of the financial resources, which is provided free of charge
the acquisition or increase of qualifying holdings
(c)) financial statements [section 2 (b))] of the applicant,
d) information about people closely linked [section 2 (b), (d))] with the applicant,
e) description of relations between the applicant and the regulated entity, on which
the applicant proposes to acquire or increase a qualifying holding or which has
dominate, and the relationship of the applicant to persons with a special relationship to this
a legal person, at least to the people who are leading the people
members of the Supervisory Board or the members of the Audit Commission regulated legal
the person, in the case of credit unions then also to the persons elected to the
the credit of the Commission,
(f) the original of the written opinions of the authority), which carries out surveillance of
by the applicant in the country of its headquarters to the applicant's intention to acquire or increase
qualified participation in the regulated legal person or dominate it,
If the applicant is located outside the territory of the Member State which is
such supervision in the country of its headquarters,
g) strategic plan [section 2 (b), (g))],
h) the list of persons acting in concert with the applicant, or to take
increase qualified participation in the regulated legal person or
they take over, with the information about these ^ 5) persons and indicating the amount of the share or
other forms of participation in the regulated legal person, and a description of the facts,
on the basis of which the agreement occurs, and
I) description of the facts on the basis of which leads to the domination of the regulated
a legal person, the applicant is to be the controlling person ^ ^ ^ 15), and evidence of
the origin of the financial resources, which should be used to repurchase the share
a companion, who is not a controlling person.
(3) if the applicant Is a natural person, shall be attached to the request referred to in paragraph 1
further
and about the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
and
(b) the form referred to in annex) No 4 to this Decree and part of point 1 (D), the completed
and signed by the applicant.
(4) if the applicant is a legal person, shall be attached to the request referred to in paragraph
1 on
and the list of persons) are a statutory body or a member of the statutory
the authority of the applicant, including putting the function of that person,
(b)) form, a specimen of which is given in annex 4 to this Decree, parts B and D,
completed and signed by the applicant and each natural person referred to in
the letter a), and
(c) the integrity of the original document) issued by a foreign State, the applicant and the
each of the persons referred to in letter a).
(5) where, in connection with the acquisition of qualifying holding may change
in the leading persons in the body, which shall become the qualified participation,
they are part of the application of the annex containing the information about these leaders
the persons referred to in section 4, paragraph 4. 2.
(6) if the applicant Is a person who asks for consent only because of the
management of the assets of the customer, which are investment
Tools, the applicant is not required to enclose the documents referred to in paragraph 2 (a).
(b)).
§ 19
Consent to the acquisition or increase of qualifying holding on to
securities or to his mastery of the
Application for prior approval to the acquisition or increase of qualifying holding
on the legal person who is a dealer in securities, or to
mastery of this person, is presented on a form, a specimen of which is given in the
Annex No. 7 of this Ordinance. The application connects the applicant information and
the documents referred to in section 18, paragraph. 2 to 5, unless otherwise provided in a directly applicable regulation
The European Union ^ 19) otherwise.
section 20
Special provisions
(1) if the applicant for the granting of consent to the acquisition or increase of the
qualified participation to regulated legal person or
the domination of the person that the Czech National Bank in the last 5 years
granted consent to the acquisition or increase of qualifying holding on
regulated legal person or to her, then that person
the request shall be presented on a form, a specimen of which is given in annex 7 to this
the Decree, and the application shall be accompanied by the original of the written opinion by only
§ 18 paragraph. 2 (a). (f)) and other paper documents and the supporting documents referred to in
§ 18 paragraph. 2 to 4, in which the change occurred, for which her
He was previous consent to the acquisition or increase of qualifying holding on
regulated legal person or to its domination. The applicant in the
this case while in the application, indicating that other information and documents
submitted by the Czech National Bank in a previous application for the grant of consent to
the acquisition or increase of qualifying holding shall remain unchanged.
(2) if the applicant for approval to acquire or increase qualifying
participation in the regulated legal person or to its domination of the person,
which is a regulated entity in the financial market, the request shall be presented on the
the form of which a specimen is given in annex 7 to this Decree. To
the application shall be accompanied by
and the original proof of permission) to the business [section 2 (a))],
b) strategic plan [section 2 (b), (g))],
(c)) the originals of the documents about the origin of the funds from which is
paid for the acquisition or increase of qualifying holdings, and of the
(d) a description of the facts) which leads to the domination of the regulated
legal persons, and documents about the origin of the financial resources, which should be
used to purchase the share of partnership, which is not a controlling person.
(3) if the applicant Has to acquire or increase qualifying holdings in the regulated
legal person by a person, which is a regulated entity
on the financial market, the request shall be presented on a form, a specimen of which is given
in annex 7 to this Decree. Only the original shall be attached to the request
the final decision of the competent supervisory authority, which was
granted consent to the acquisition of qualifying holding on to the person who is
the regulated entity in the financial market. If such a decision is not
the competent supervisory authority is issued, the applicant shall provide a representation of the
supervisory authority, that the applicant has acquired a qualified participation in person
is a regulated entity in the financial market, with his knowledge, and in accordance
with the law of the country of residence of the person, which is a regulated entity in the financial
the market.
PART THE THIRD
AUTHORIZATION TO TRANSFORM
section 21
Authorization to convert or to the conclusion of the contract on the transfer, suspension or
the hire company
(§ 19 (2), section 20 (2), section 45, paragraph. 2.0 section 46 (2) of section 106 (2)
and section 107, paragraph. 2 of the law on capital market and the business section, paragraph 65. 1
the Act on supplementary pension savings)
(1) an application for authorization to convert or to the conclusion of the contract on transfer,
stop, or the hiring of an undertaking or part of an undertaking shall be made on form
a model is given in annex 8 to this Ordinance.
(2) the annexes to the application referred to in paragraph 1 in accordance with the type of requests are
and) proof of the applicant's business [section 2 (a))],
(b)) and the list of participating the recipient companies, which contains
data, whether it is a company being acquired, the acquiring company,
the transferring company, the acquiring company, who proved conclusively, the tenant,
the landlord, giving their name or trade name,
the identification number of the person, the address of the registered office, the amount of share capital,
the amount of the repayment of the capital including the number, amount and subject
of the individual, which was the capital subscribed or paid,
further, stating the shares or business share, together with the indication of the number,
nominal value, form and the form of the shares or the number of shares,
(c) a list of the heads of the people involved), the recipient or transposing
the company with an indication of their functions; in the case of other leading
persons than is a member of the statutory body or statutory authority, the
the applicant in the list below, on the basis of what the fact these people actually
governed by these companies,
(d)) form, a specimen of which is given in annex 3 to this Decree the completed and
signed by the person acquiring or each leading the accepting
the company,
(e) the head of each person) biography of the acquiring or accepting
the company containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(f) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
each of the leading persons of the acquiring or the accepting company
(g) project for the conversion of the company or) detailed information on the transfer,
stop, or the hiring of an undertaking or part of the undertaking and their consequences,
in particular, the intention of the applicant, containing the changes that occur in the plan
business activities, schedule, a description of the impact on the performance of the activities and
the provision of services, integration services, and a description of the organizational work
inclusion in the new organizational structure and a description of the transfer of competencies,
If this information is already contained in other reports submitted
documents,
h) joint report of statutory bodies or statutory bodies report
the participating companies on conversion or consents with the abandonment of
their processing,
I) expert report or reports, or consents to the abandonment of
processing of expert reports or messages,
j) expert opinion or assessments, unless they are part of the expert reports or
messages, if required,
k) financial statements [section 2 (b))] of the participating companies,
l) of the final accounts of the participating companies and the opening balance sheet
the acquiring company and the auditor's report on their verification, if
require, or interim financial statements and the auditor's report on their
authentication, if required,
m) data on the total of things, rights and obligations in accounting
transferred, rented, or undertaking or part draws heavily on stop
the company and
n) the groups of persons, between which and the successors in title of the persons
participating on the conversion as a result of the conversion of the close links, and the
^ 5) data on the persons who as a result of the transformation will receive the qualified
participation in the legal successors of the participating companies with an indication of the amount of the
share or other forms of participation on the applicant.
(3) in the case of an application for authorization to convert according to the law on the supplementary
pension savings are the attachments to the application referred to in paragraph 1 of the annex
referred to in paragraph 2, where the conversion project is considered the draft terms of merger
pension companies, which in addition to the listed requirements contains further
requirements referred to in section 65 paragraph. 2 of the Act on supplementary pension savings.
PART THE FOURTH
REGISTRATION AND ENROLLMENT
section 22
Registration of the investment intermediary
(Section 30, paragraph 6 of the law on capital market business and section 82 (1)
the Act on supplementary pension savings)
(1) an application for the registration of the investment intermediary under section 30, paragraph.
6 of the Act on business on the capital market serves on the form, the
a model is given in annex 9 to this Decree.
(2) if the applicant Is a natural person, shall be annexed to the request referred to in paragraph 1
further
form in annex) No 4 to this Decree,
(b)) a biography containing
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(c) the integrity of the original document) issued by a foreign State [section 2 (a).
(c))],
(d) the original of the completed document) secondary education.
(3) if the applicant is a legal person, to be attached to the application form according to the
paragraph 1 on
and the original proof of permission) to the business [section 2 (a))],
(b) a list of the leading persons of the applicant) with an indication of their functions,
(c) the form referred to in annex) No 4 to this Ordinance of the completed and signed
each head of the person of the applicant,
(d) the head of each person) biography of the applicant containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(e) the original of the document of integrity) issued by a foreign State [section 2 (b) (c))]
the applicant and each of the leading persons of the applicant,
(f) the original of the completed document) secondary education for each
the head of the person of the applicant,
(g) the original of the document of origin) of the capital of the applicant,
h) information about people is closely linked with the applicant [section 2 (b), (d))],
I) form, a specimen of which is given in annex 4 to this Decree, parts (B) and (D)
signed by the applicant.
section 22a
Registration or authorisation to distribute supplementary pension savings and
retirement savings
(1) an application for registration or authorization of activities connected with the distribution
the supplementary pension savings and retirement savings under section 74, paragraph. 1
the Act on supplementary pension savings and section 91, paragraph. 1 of the law on
retirement savings plan administered by the applicant, that is
and investment, provider) form, a specimen of which is given in the
Annex 9 to this Decree,
(b) a securities dealer), which is a bank or the applicant for
a banking license, the form of which a specimen is given in annex No. 9a to
This Decree, or
(c) a securities dealer), which is not a bank or the applicant for
authorised dealer in securities, on the form, the
a model is given in annex No 9b of this Decree.
(2) the application referred to in paragraph 1, the applicant shall fulfil the conditions of training
eligibility under section 84 of the Act on supplementary pension savings.
A securities dealer, which is not a Bank, the application shall
the annex referred to in § 25 paragraph. 2 (a). and (c)).)
section 23
The list of representatives-bound
(Section 32 c, paragraph 8, of the law on capital market business, section 81 and 82
the Act on supplementary pension savings)
(1) the request for entry on the list bound representatives shall be made on form
a model is given in annex 10 to this Decree.
(2) the request is sent to the Czech National Bank in electronic form,
advanced electronic signature ^ 17) in the form of a data message. Czech
the National Bank publishes the structure and the way of the elaboration of data messages
in a manner enabling remote access.
section 24
The list of liquidators and administrators forced
(1) a request for registration in the list of liquidators and administrators forced under section
paragraph 198. 3 the law on the capital market business is served on
the form of which a specimen is given in annex 11 to this Decree.
(2) the annexes to the application referred to in paragraph 1 are
and containing) biography
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))], and
(b) the integrity of the original document) issued by a foreign State [section 2 (b) (c))]
of the applicant.
§ 25
Registration of other business activities
(Section 7 (2), § 39, paragraph 5, of the law on capital market and the business section
paragraph 35. 5 of the Act on supplementary pension savings)
(1) an application for the registration of another business is served on
the form of which a specimen is given in annex 12 to this Decree.
(2) the annexes to the application referred to in paragraph 1 are
and the predicted effects of additional business) activities at activity
the applicant,
(b) the draft internal rules), which takes into account the performance of the other business
activities, mainly of the internal rules governing the procedures for the management of
risks, evaluating them, and measures to reduce these risks,
(c) the analysis of the individual types) crisis in the implementation of other
business activities, which may have a negative impact on the proper
the provision of services, and procedures for dealing with such situations and
(d) permit other) evidence of business activities subject to
registration issued by the competent authority, if the authority is not Czech
the National Bank.
PART THE FIFTH
PARTICIPATION AND PENSION FUNDS
the title launched
§ 25a
Authorization to create local fund or pension funds
(To section 96, paragraph 5, of the Act on supplementary pension savings and section 26, paragraph 5
the law on pension savings)
(1) an application for a permit to create a fund or a retirement party
the funds shall be made on the form of which a specimen is given in annex No. 19 k
This Decree.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by
and senior management pension) list the company, which has managed
the participation Fund or pension funds,
(b) the CVS of all persons referred to) in the list referred to in point (a))
containing the
1. data on education [section 2 (b) (i))]
2. information on the professional practice [section 2 (b), (h))],
(c) the draft statute) local pension fund or funds,
(d)) of the current amount of capital pension company that has
manage the participation Fund or pension funds, and the current amount of
the volume of assets in the participating funds, pension funds, and in
the transformed the Fund managed by the pension companies,
e) data on the education of [section 2 (b) (i))] and information about professional practice [section 2 (a).
h)] the head of the person of the Organization Department of the depositary, or other
persons, which will provide for the participation Fund or the pension funds
the activities of the depositary,
(f)), or its depozitářskou contract proposal, together with the written
the promise of the depositary of the Treaty, to conclude this Treaty, or the Treaty
future concluded with the Bank or branch of a foreign bank, which will be
to carry out the activities of a depositary for the participation Fund or pension funds,
and
(g) under section 14a) of the annex, which are affected by changes in the context of the
management of the relevant Fund or funds, for which it asks for
the authorization.
§ 25b
Authorization to transfer all the participating funds or pension funds
another pension company
(§ 109 paragraph 6 of the Act on supplementary pension savings and section 58 (6)
the law on pension savings)
(1) a request for authorisation to transfer management of all participating
funds or pension funds to another pension company is served on
the form of which a specimen is given in annex 19 to this Decree.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by
and a description of the conditions and manner), to convert the participating funds
or pension funds to another pension company,
(b) the financial statements of the pension) participating companies assembled to
the last day of the calendar month preceding submission of the application,
(c)) accounts of transferred funds or pension funds of the participating
built to last day of the calendar month preceding the submission of the
the application,
(d) information about participating being transferred) funds or pension
funds, and in particular of the amount, structure and liquidity of the assets, the number of participants
and the performance of the Fund,
(e)) of the current amount of equity capital of the acquiring company pension,
If this information is not apparent from the accounts of the pension company,
and the current amount of the volume of assets of participating funds, pension funds,
or transformed the Fund managed by the pension
companies,
f) data on the education of [section 2 (b) (i))] and information about professional practice [section 2 (a).
h)] the head of the person of the Organization Department of the depositary, or other
persons, which will provide for the participating funds or pension
funds the activities of the depositary; the documents referred to in this subparagraph may not
document of the person participating depository funds or pension funds,
If this is the same after the conversion,
(g)), or its depozitářskou contract proposal, together with the written
the promise of the depositary of the Treaty, to conclude this Treaty, or the Treaty
future concluded with the Bank or branch of a foreign bank, which will be
to carry out the activities of a depositary for the participating funds or pension funds,
and
h) of the annex under section 14a, which are receiving a pension company
without prejudice to any changes in connection with the transfer of the participation of the funds or
pension funds.
section 25 c
Merge the participating funds or pension funds
(§ 113 paragraph 8 of the Act on supplementary pension savings and section 61 (4)
the law on pension savings)
(1) an application for authorization to merge Subscriber funds or pension
the funds shall be made on the form of which a specimen is given in annex No. 19 k
This Decree.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by
and the project, including the effects of the merge) merge the investment limits,
(b)) the opinion of the depositary of the interested participating funds or
pension funds,
(c)) for information about the participating funds being merged or pension
funds, and in particular of the amount, structure and liquidity of the assets, the number of
the participants of the performance, the investment focus and structure of the fees, and
(d)) of the current amount of capital pension company that has
to manage the acquiring party successor fund or retirement
Fund, and the current amount of the volume of assets of participating funds, pension
funds or fund managed by the pension transformed
companies.
section 25 d
The approval of the Statute and its changes
(§ 97 paragraph 8 of the Act on supplementary pension savings and section 45, paragraph 8
the law on pension savings)
(1) an application for the approval of the Statute of the local Fund and its changes is served
on the form of which a specimen is given in annex 15 to this Decree.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by
and the full text of the terms of reference) showing the proposed changes, which
approval is sought, together with their reasons and
(b)) new full text of the Statute.
(3) the provisions of paragraphs 1 and 2 shall apply mutatis mutandis to the request for approval
status of the Pension Fund and its changes and its annex.
the title launched
section 25e
Change of depositary
(To section 96, paragraph 4, of the Act on supplementary pension savings and section 26 (4)
the law on pension savings)
(1) an application for approval of amendments to the depositary of the participating funds, or
the Pension Fund shall be made on a form, a specimen of which is given in the
Annex 16 to this Decree.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by
and depozitářskou, or contract) of its proposal, together with the written
the promise of the depositary of the Treaty, to conclude this Treaty, or the Treaty
future concluded with the Bank or branch of a foreign bank, which will be
to carry out the activities of a depositary for the pension funds or the participating funds,
(b) data on education) [section 2 (b) (i))] and information about professional practice [section 2 (a).
h)] the head of the person of the Organization Department of the depositary, or other
persons, which will provide for the participating funds or pension
funds the activities of the depositary, and
(c) the termination of the present document) depozitářské of the Treaty.
PART SIX
THE WITHDRAWAL OF AUTHORISATION
§ 25f
The withdrawal of authorisation for the activities of the pension company
(Section 69, paragraph 4, of the Act on supplementary pension savings)
(1) an application for the withdrawal of authorisation for the activities of the pension company is served
on the form of which a specimen is shown in annex 18 to this Decree.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by a decision of the General
meeting of the cancellation of the pension company with liquidation, including the decision on the
the proposal on the appointment of the liquidator, or the decision of the pension company
Court on cancellation of the pension company with liquidation and further documents
proving the settlement obligations to participants.
the title launched
section 25 g
The withdrawal of authorisation to create local fund
(Section 111, paragraph 2, of the Act on supplementary pension savings)
(1) a request for the withdrawal of the authorisation to create local fund serves
on the form of which a specimen is given in annex 19 to this Decree.
(2) the application referred to in paragraph 1, the applicant shall be accompanied by
and the justification of the request) withdrawal of authorisation,
(b) the financial statements of the Fund of the party) assembled on the last day
the calendar month preceding submission of the application,
(c)) the outstanding obligations arising from the management of assets in
participant of the Fund,
d) information on the structure and the liquidity of the assets in the local
the Fund,
(e) information on the number of participants), and the total value of the resources of the participants,
(f) pension company intended) notice of intention to cancel to the participants
the participation Fund and the
(g) the method of sale of assets) in the event of the Fund and its settlement
receivables and debts.
the title launched
§ 25ga
cancelled
§ 25 GB
cancelled
§ 25gc
cancelled
§ 25gd
cancelled
§ 25ge
cancelled
the title launched
section 25 h
cancelled
section 25i
cancelled
section 25j
cancelled
§ 25 k
cancelled
§ 25 l
cancelled
PART SEVEN
COMMON AND FINAL PROVISIONS
Common provisions
section 26
(1) the Czech National Bank will publish the patterns of the forms in a manner enabling
remote access.
(2) if the applicant Is represented, is annexed to the application, the original power of Attorney
or similar documents proving the representative permission to represent
of the applicant.
(3) the authenticity of the signature of the applicant on the power of attorney or similar instrument, which
shall be submitted as a document referred to in paragraph 2, shall be officially verified.
(4) in the case of an application for authorisation for additional activities shall apply mutatis mutandis
the provisions of part II of title II and III.
section 27 of the
(1) if the nature of the case required the presentation of annex excludes the application
This decree or putting the data in the form, and if it is not from the application
obvious enough, the applicant shall indicate that fact in the request, together with the
the reasons for which cannot be annexed to the present or noted, and these
the reasons shall apply mutatis mutandis.
(2) the applicant may, instead of submitting the required attachments, refer to the
accurately identified by the document, which in the last 3 years has presented
The Czech National Bank and that meets the requirements of this
by Decree.
(3) when submitting the public documents of foreign States shall be treated in accordance with
other legislation ^ 18). It does not apply to public deed of foreign
State
and the territory) issued by a Member State, or
(b) the administrative authority) issued a foreign State, with which the Czech national
the Bank concluded a cooperation agreement; the Commission shall publish a list of these authorities, the Czech
the National Bank in a manner enabling remote access.
(4) in the event that a legal person with a qualifying holding in the applicant
governed by a person other than the statutory body or a member of the statutory body,
the applicant also joins the list of these persons stating, on the basis of what
the fact these persons the applicant controls, and further information about the professional practice [§ 2
(a). (h))], the original document issued by a foreign State, the integrity of [section 2
(a). (c))] and form according to annex No 4 to this Ordinance section 1 and part D
completed and signed for each such person.
section 28
Cancellation provisions
Shall be repealed:
1. Decree No 90/2006 Coll., laying down the requirements of the applications,
notification and minimum amount of financial resources provided by the branch
Foreign Bank,
2. Decree No 272/2006 Coll., laying down a list of instruments and their
requirements to demonstrate competence and trust people
adopted or proposed to certain functions in the credit
credit cooperatives, and to demonstrate the natural or
legal persons with a qualified interest on savings and credit
cooperatives and members with other Member deposit to the exercise of rights of a member,
3. Decree No. 139/2007 Coll., regulating documents proving the
the credibility and experience of the persons in the leadership of the financial holding of the person,
4. Decree No. 255/2008 Coll., on patterns of the forms and the content of its annexes
for the submission of applications in accordance with the law on the capital market business.
section 29
The effectiveness of the
This Decree shall take effect on 1 January 2005. August 2009.
Governor:
doc. Ing. Tůma, CSc., in r.
Annex 1
Pattern-application for a licence/permit for the Bank for a Credit Union
Note: Decree No 171/2014 Sb in table 5a for the line starting with
the words "rental of safety deposit boxes" following a row with the words
"The implementation of the administration of investment funds and foreign investment
the funds "and in the last row of the table, the words ' paragraph 4 '. 3 (b). and)
n) "shall be replaced by the words ' paragraph 4 '. 3 (b). and up to)).
Annex 2
Pattern-request for authorization
Note: Decree No. 248/2013 Coll. was in part III of table 3 is inserted
a new line with the words "the activities of the central counterparty" and in section III (B)
a new subparagraph (e)), which read:
(e)) a central counterparty
The proposal will be listed on the determination of the scope of activities and services, including
categories of investment instruments, for which the applicant sought the release of
the authorization.
+------------------------------------------------+
| |
| |
+------------------------------------------------+ ".
Annex 2a
cancelled
Annex 2b
Pattern-request for permit to operate pension company
Annex 3
Pattern-a request for prior approval to exercise the function of the head of a person
Note: Decree No. 248/2013 Coll. was repealed in the title the words ", in accordance with
Law No. 189/2004 Coll., on collective investment, as amended
the rules "and in table 3 were cancelled lines with the words" investment
the company "and" investment fund "and a new line is inserted with the words
"central counterparty".
Decree No 171/2014 Sb in point 8.1 for the words "offence" shall be
the words "(regardless of whether the conviction was subsequently zahlazeno)".
Decree No 171/2014 Sb in point 9.1 of the word "begin" is replaced by
the word "maintained" and in the corresponding text to the question,
"details", the words ", including the reason of any stop
proceedings, ".
Annex 4
Pattern-the questionnaire to assess professional competence, trust and
the experience of senior management (Bank, Credit Union, a branch of the foreign
banks, investment broker) or the person who is proposed to
lead financial holding of the person
Note: Decree No 171/2014 Sb in point 7.1 for the words "an offence"
the words "(regardless of whether the conviction was subsequently
zahlazeno) ".
Decree No 171/2014 Sb in point 8.1 of the word "begin" is replaced by
the word "maintained" and in the corresponding text to the question,
"details", the words ", including the reason of any stop
proceedings, ".
Annex 5
Pattern-application for a licence for a branch of the Bank from a Member State other than the
pursuant to Act No. 21/1992 Coll., on banks, as amended
(hereinafter referred to as the "law on banks")
Note: Decree No 171/2014 Sb in part 3 c, table a) for line
beginning with the words "Rent a safety deposit box" the following line
the words "the implementation of the foreign investment administration of the funds and
investment funds "and in the last row of the table, the words ' paragraph 4 '.
3 (b). up to n)) "shall be replaced by the words ' paragraph 4 '. 3 (b). and up to)).
Annex 6
Pattern-a request for authorisation to provide investment services
through the organizational folder foreign persons, which has its registered office in
the State, which is not a Member State of the European Union
Annex 7
Pattern-a request for consent to the acquisition or increase of qualifying holding
to the regulated legal person/to dominate the regulated legal person
Note: Decree No. 248/2013 Coll. was repealed in the title the words ", in accordance with
Law No. 189/2004 Coll., on collective investment, as amended
"and in table 4 were canceled in both parts of the lines with the words
"investment company" and "investment fund".
Annex 8
Pattern-the authorisation request to transform society or to the conclusion of the contract
on the transfer, lease or stop the undertaking or part of an undertaking
Note: Decree No. 248/2013 Coll. was repealed in the title the words ", in accordance with
Law No. 189/2004 Coll., on collective investment, as amended
regulations ".
Annex 9
Pattern-request for registration of the investment provider and its
the activities of the
Annex 9a
PATTERN-request for authorization to distribute supplementary pension savings and
retirement savings, securities dealer, which is a bank
Annex 9b
PATTERN-application for authorization to distribute supplementary pension savings
savings and retirement securities trader, which is not a Bank,
and other business activities
Annex 10
Pattern-request for entry on the list bound representatives
Annex 11
Pattern-request for entry on the list of liquidators and administrators forced
Annex 12
Pattern-request for registration of other business activities
Note: Decree No. 248/2013 Coll. was repealed in the title the words ", in accordance with
Law No. 189/2004 Coll., on collective investment, as amended
the rules "and in table 3 has been canceled line with the words" investment
the company ".
Annex 13
Pattern-the questionnaire related to the acquisition of qualifying holding
Annex 14
cancelled
Annex 15
Pattern-request for approval of the Statute and its changes
Note: Decree No. 248/2013 Coll. was repealed in the title the words "referred to in
Law No. 189/2004 Coll., on collective investment, as amended
legislation, "and in table 3 were cancelled lines with the words" approval of the changes
the Statute of the investment fund "," mutual fund "and" the name of the share
the Fund ".
Annex 16
Pattern-request for approval of amendments to the depositary
Note: Decree No. 248/2013 Coll. was repealed in the title the words "referred to in
Law No. 189/2004 Coll., on collective investment, as amended
legislation, "and in table 3 were cancelled lines with the words" investment
the Fund ", the" mutual fund "and" the name of the mutual fund ".
Annex 17
cancelled
Annex 18
Pattern-request for the withdrawal of authorisation for activities (investment companies,
Investment Fund or pension company)
Note: Decree No. 248/2013 Coll. was repealed in the title the words "referred to in
Law No. 189/2004 Coll., on collective investment, as amended
regulations and "and in table 3 were cancelled lines with the words" investment
the company "and" investment fund ".
Annex 19
Pattern-Request relating to pension funds (peer/permits
create, convert, merge management, withdrawal of authorisation)
for example, 1) Act No 513/1991 Coll., the commercial code, as amended by
amended, law No 455/1991 Coll., on trades
(Trade Act), as amended, law No 111/2009
On the basic registers, in wording of later regulations.
2) Act No. 563/1991 Coll., on accounting, as amended.
3) Law No. 269/1994 Coll., on criminal records, as amended
regulations.
section 4, paragraph 4). 6 of Act No. 21/1992 Coll., on banks, as amended
regulations.
§ 1 (1). 9 of Act No 87/1995 Coll., on savings and credit cooperatives
and certain related measures and the law of the Czech
the National Council No. 586/1992 Coll., on income taxes, as amended
the regulations, as amended.
§ 2 (2). 1 (a). f) of Act No. 256/2004 Coll., on business in the capital
the market, in the wording of later regulations.
§ 2 (2). 1 (a). u) of the Act No 189/2004 Coll., on collective investment
in the wording of later regulations.
section 3 (b). j) Law No 427/2011 Coll. on supplementary pension savings.
5) § 2 (2). 1 (a). j) Act No. 256/2004 Coll., as amended
regulations.
section 20 (2). 16 of Act No. 21/1992 Coll., as amended.
Section 2b, paragraph. 13 of Act No. 87/1995 Coll., as amended.
§ 2 (2). 1 (a). m) Act No. 189/2004 Coll., on collective investment
in the wording of later regulations.
section 3 (b). (f)) Law No 427/2011 Coll. on supplementary pension savings. "
on a separate line, the phrase "§ 3 (b). l) Act No. 426/2011 Coll.
retirement savings.
6) § 2 (2). 1 (a). j) Decree No. 123/2007 Coll., on rules
a prudent business banks, credit unions and
securities dealers.
7) Decree No. 123/2007 Coll., as amended by Decree No 282/2008 Sb.
8) Decree No. 237/2008 Coll., on details of some of the rules in the
the provision of investment services.
9) section 6 of Decree No. 237/2008 Sb.
10) section 6 (1). 1 (a). d) point 3 of Act No. 256/2004 Coll., as amended by law
No. 230/2008 Sb.
Part the second decree No. 237/2008 Sb.
11) section 6 (1). 1 (a). d) point 4 of Act No. 256/2004 Coll., as amended by law
No. 230/2008 Sb.
The third part of the Decree No. 237/2008 Sb.
section 11, paragraph 12). 4 of Act No. 262/2006 SB., labour code, as amended by
amended.
13) Law No. 101/2000 Coll., on protection of personal data and on amendments to certain
laws, as amended.
14) Law No 253/2008 Coll., on certain measures against the legalization of
the proceeds of crime and the financing of terrorism.
15) § 74 and 75 of the law No. 90/2012 Coll., on commercial companies and the
cooperatives (Act on business corporations).
§ 17a, paragraph 16). 2 of law No 21/1992 Coll., as amended.
17) section 11 of Act No 227/2000 Coll., on electronic signature and amending
certain other laws (the law on electronic signature), as amended by
Act No. 440/2004 Sb.
section 53, paragraph 18). 4 Act No. 500/2004 Coll., the administrative procedure code.
19) Commission Regulation containing the full list of information which must be
provided to the notice of the proposed acquisition of qualifying holding on
Merchant securities.