Authorization Of Requisites Requests Certain Activities On The Financial Market

Original Language Title: Requisites Requests Authorization Of Certain Activities On The Financial Market

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Read the untranslated law here: https://portal.gov.cz/app/zakony/download?idBiblio=69033&nr=233~2F2009~20Sb.&ft=txt

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.