208/2013 Sb.
The DECREE
of 8 June. July 2013,
amending Decree No 231/2009 Coll., on the terms and manner of
leadership journal, trader with securities and terms and mode of
keeping the investment provider
The Czech National Bank provides under section 199, paragraph. 2 Act No. 256/2004 Coll.,
about business on the capital market, as amended by Act No. 57/2006 Coll., Act
No 120/2007 Coll., Act No. 296/2007 Coll., Act No. 230/2008 Coll., Act
No 230/2009 Coll., Act No. 420/2009 Coll., Act No. 139/2011 Coll.
Act No. 188/2011 Coll.:
Article. (I)
Decree No 231/2009 Coll., on the terms and method of leadership journal
Merchant securities and the terms and the manner of keeping records
the investment provider, is hereby amended as follows:
1. In article 1, the words "European Community" ^ 1 ")" shall be replaced by the words
"The European Union ^ 1)".
2. § 3, including the title:
"section 3
Essentials register investment intermediaries
Registration of the investment intermediary provides:
and the information on and) passed the guidelines relating to investment
the instruments referred to in annex 2 to this Decree and
(b) details of the contracts) relating to the investment services provided by the
According to the annex 3 to this Ordinance. ".
3. In section 4, paragraph 4. 2, after the word "register", the words "in accordance with § 3".
4. In section 4, paragraph 4 reads:
"(4) a securities dealer and investment provider records
changes to the data in the journal, a trader with securities or in the register referred to in
§ 3 without undue delay, as follows:
and if it is) about the change order or trade, makes the change record
the cancellation of the original record and recording a new guideline or trade,
(b)) if it is different than the change referred to in point (a)), will repair
the data in the register. ".
5. In section 4, paragraph 4. 6, the words "registration of received and transmitted instructions
the investment broker "shall be replaced by" registration under section 3 ".
6. The annex No. 1 to 3:
"The annex No. 1 to the Decree No 231/2009 Sb.
The essentials of the journal trader in securities
1. Information about the guidelines
The register contains the information about the guidelines, including the data referred to in the article. 7
and the article. 8 (2). 2 the regulation directly applicable in the European Union, which
implementing directive of the European Parliament and of the Council to govern the markets
financial instruments), at least the following information:
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The name of the field for a brief description
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Order number a unique number of the order in the stock trader with securities. This is a unique
the identification of the order received from the customer for the provision of investment services.
Price currency code notation, in which instruction is specified.
The type of relationship the relationship type according to the contract with the customer on the základěkteré instruction specified. Fill in the options-
obhospodařovatelský relationship, other than obhospodařovatelský, its own instruction.
The type of instruction detailed specification of the order. Fill in the options-for example, a limit order, market order, market
on close, market on open, limit on close, onopen, limit the volume weighted average price, sell
the stop order buy stop limit order, stop order, a trailing stop order, market if touched,
one cancels the other order, the order in line, contingentorder, or participate don't initiate,
careful discretion or over the day.
The adoption of the guideline adoption Method-the method of instruction. Fill in the options-such as phone, email, in person,
mail (transporter), fax, internet or informational system trader with securities, swift,
Media (Terminal Bloomberg, Reuters, etc), different way.
Adoption of the order date-date the date of receipt of the order.
The adoption of the guideline-time time of acceptance of the order.
The number of the instruction linking the unique number of the order of the customer, on the basis of which the custody transfer or
a similar type of transfer, which were converted to an investment tool securities account. This is
the number of the order linking stores and transfers, building on the original trade.
Identification of the unique identification of the contracting authority of the person who gives the instruction to the purchase, sale or transfer
investment tools. This is the customer or his agent or brokerage house
the papers in the case management or trade on its own account. For identification are used
the same rules as for the identification of the customer.
Identification of the customer's unique identification of the customer for which instruction is specified.
To identify the persons having supervisory authority authorisation to provide investment services must
use the International Bank identification code BIC-SWIFT/Bank Identifier Code (according to the
ISO 9362). In other cases, this field will contain either an identification number (IČO)
or social security number of the customer. If such a number does not exist, a securities dealer
used to identify a replacement identification number allocated to the person of the head of the Central
the registration of securities, or uses a unique number assigned to the customer in the manner
laid down in the internal regulations. Identification of the customer will be filled for the transaction on the
its own account, for themselves, the identification of the BIC merchant securities.
The validity of the order date-date the date that determines the final day of the period in which it is býtna the basis of the instruction closed shop.
Identification of the securities dealer identifies the investičnínástroj indicating the identification
the investment name according to the international numbering system of securities (ISIN proidentifikaci
Tools-ISO 6166).
In the event that the investment facility has assigned ISIN, securities dealer in the case
standardized derivatives identifies the investičnínástroj specifying the alternative identification
the so-called. AII-Alternative Instrument Identifier. If even one of these identification
use, a securities dealer identifies investment tool, indicating another
a unique identification code (for example, the Exchange product code ticker)
It is usual for the investment in question, or the tool uses a unique number assigned to the
the investment instruments in the manner laid down in the internal regulations, in particular in the case of OTC derivatives.
The pointer indicates the purchase/sale of securities trader looking to trade on their own account and from the perspective of
the customer for trade on the account and on behalf of the customer. Fill in the options-purchase, sale.
The limit price 1 Limit the price at which the investment facility is to be bought, sold or transferred.
Debt investment instruments shall indicate the relative representation of prices as a percentage.
The limit price of 2 additional parameter guideline. For example, in the instruction type stop-limit order, or a trailing stop order.
Limit the maximum volume of the financial limit, for which the instruction executed, debt investment instruments
This is a volume without accrued interest.
The required quantity/number of units of the investment instruments, the nominal value of the bonds or the number of derivative
the nominal value of the contracts, which are part of the guideline. Debt investment instruments is filled with total
the nominal value of the order.
Notation Notation quantities the quantity is expressed in the "desired quantity/nominal value."
Filling in the options, the nominal value.
The date the date you want the settlement of the transaction.
the settlement of the
The required Identification data required by the counterparty, the counterparty. In the event that the counterparty is
a regulated market or an MTF (auctions, order-driven system), is for the
identification of the used code MIC-Market Identifier Code (according to ISO 10383). In the other
the cases will be used to identify the counterparty, either the international identification
Code of the Bank (BIC) or the identification number of the person (COMPANY REGISTRATION NUMBER) or social security number of the customer. If
such a number does not exist, a securities dealer uses to identify the replacement
the identification number allocated to the person of the head of the central register of securities or
uses a unique number assigned to the customer in the manner laid down in the internal regulations
(see the identification of the customer).
If the field is not filled in, it means that the customer did not specify this entry and
the trader shall proceed according to the general business conditions.
For more information on the disposition of the specific method of execution of the order, as are other conditions of validity of the
or volume (for example, the fill or kill, all, or none), or a description of the non-standard request
(for example, the specification of a specific business system specific transfer point).
The amount of the remuneration for remuneration of OCP submissions and, where appropriate, cancellation of the order, posted as a reward to a trader
the securities, if it can be directly assigned to a particular instruction. Here are therefore
for example, the one-time charges for the closure of the agency contract, the flat-rate fees.
Remuneration of OCP-the currency code for the currency of remuneration trader with securities.
Identification of the unique identification of third parties third parties in cases where the securities dealer used
for the provision of instruction in another person.
In the case of persons having supervisory authority authorisation to provide investment services on the territory of the
The EEA is always used the designation International Bank identification code (BIC).
The remuneration paid to a third party the amount of the remuneration for the submission and, where appropriate, cancellation of the order posted as a reward, if the trader
securities used for procuring the order of a third person, you can directly assign it
to the transfer. Napříkladjednorázové here are the charges for the closure of
agency contract, flat-rate fees.
Remuneration of third party payment the currency code to a third party.
-currency
The adoption of the abolition of the order acceptance date of cancellation of the order from the customer/agent/the investment provider.
-the date of cancellation of the order is not filled in by the trader.
The adoption of the abolition of the guideline adoption cancellation instruction Time from the customer/agent/the investment provider.
-time not when the cancellation of the order by the dealer.
The handover of the order cancellation the cancellation date of the order or cancellation order transfer to third parties or transfer point.
-the date of
The handover of the cancellation of the order cancellation of the order or Time of transmission of the order cancellation or transfer to a third party.
-time
The reason for the cancellation of the reason for the cancellation of the order. Fill in the options-the lack of client resources, threatened or
the current conflict of interest, threatening disruption of market transparency, the suspicion on legalization
the proceeds of crime, internal information, cancellation of the order by the dealer with the securities
papers for another reason, the cancellation of the order by the customer. With the exception of the "cancellation
the order by the customer are the reasons by a trader with securities.
The requirement to disclose the Indication whether the customer has asked for Germany to disclose client limit
limit order instruction under section 31, paragraph. 5 of Decree No. 303/2010 Coll., on the more detailed treatment of some
the rules for the provision of investment services.
Non-standard request the indication of the fact that the requirement of the customer on the execution of the order is different from the rules
on the implementation of the guideline implementation guideline of the trader in securities referred to in section 29 of the Decree No. 303/2010 Sb.
a more detailed treatment of certain rules when providing investment services.
The publication of the date of publication of the order immediately nevykonatelného limit guideline.
-the date of
The publication of the guideline-time time immediately limit the publication of the nevykonatelného instruction.
Transfer order-date date of transmission of the order to a third person or an order for the transfer.
Transfer instruction-time time of transmission of the order to a third person or an order for the transfer.
Broker 1 internal identification of the person, including bound representative, engaged in the professional business
activities related to the guidance or the identification of the investment intermediary, which in the
the case acted with the client.
The broker 2 internal identification of other persons engaged in professional business activities related
with the guidance.
2. information on stores
The register contains the information about the stores, including the data referred to in the article. 8
directly applicable European Union regulation implementing directive
The European Parliament and of the Council governing the markets for financial instruments ^ 1),
at least the following information:
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The name of the field for a brief description
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Price notation of the currency in which the price is expressed.
The transaction type of the type of transactions you made. Fill in the options-trade, the use of options or rights, buy and sell,
the repo, the loan, custody transfer, passed the settlement, trade on the primary market, accounting for
collection account.
Categories customer Categories of professional and retail client under sections 2a and 2b of the Act No. 256/2004 Coll.,
-MIFID business on the capital market, as amended, in relation to the service
and to investment instruments. The possibility of completing a professional customer, professional-on request
retail client.
The number of the order Number of the order in the stock trader with securities.
Trade reference number the unique reference number assigned to the trade place (regulated market, multilateral
trading system or settlement system), kdese the transaction took place. In the event that the
such identification does not exist or is not a trader in securities available, allocate
the reference number of the trade of the securities dealer, according to the internal rules. This number
must be the same as in the reporting of trades by the Decree on the submission of reports and other
information traders in securities of the Czech National Bank.
The author of a number of trade identification of the person, which has allocated a reference number for the trade.
Date of the day when the trade was made.
trade
Time the time the trade was executed.
The pointer indicates the purchase/sale of securities trader looking to trade on their own account and from the perspective of
the customer for trade on the account and on behalf of the customer. Fill in the options-purchase, sale.
The status indicates whether the securities dealer has carried out trade on their own account (either on its own behalf,
or on behalf of the customer), or on behalf of, and on behalf of the customer.
Identification of the securities dealer identifies the investičnínástroj indicating the identification marking
the investment facility according to the international numbering system for the identification of securities (ISIN).
In the event that the investment facility has assigned ISIN, securities dealer, in the case of
standardized derivatives, identifies the investment tool giving an alternative
the identification of the so-called. AII-Alternative Instrument Identifier. If even one of these
identification of the used, a securities dealer identifies investment tool, indicating the
Another unique identification code (for example, the Exchange product code ticker)
that is the usual tool for the investment in question, or uses a unique number assigned to the
the investment instruments in the manner laid down in the internal regulations, in particular in the case of OTC derivatives.
Identification of the customer's Identification data of the customer for which the transaction was carried out.
The customer is identified by the first number of the natural person, legal person identification number
(IDN) or replacement identification allocated to the customer the person leading the central register
securities instead of such numbers, or a unique number allocated to the customer in the manner
laid down in the internal regulations of the securities dealer, if his social security number, identification
the number of the legal person (COMPANY REGISTRATION NUMBER) or replacement identification have not been allocated. If the customer
a securities dealer, is always identified by the Bank identification code (BIC).
The unit price in the currency of the price per security or derivative contract excluding Commission and accrued interest. In the case of
Futures on the index traded in points is ocenu expressed in the currency, IE. the number of points
multiplied by the value of the item in the currency.
Can be filled only one of the data about the price-unit cost in the currency or unit price
in percentage terms.
The unit price for the debt investment instruments shall indicate the relative representation of prices.
the percentage can be filled only one of the data about the price-unit cost in the currency or unit price
in percentage terms.
Quantity/nominal number of units of investment instruments, the nominal value of the bonds or the number of derivative contracts,
the value that are part of the trade. The dluhovýchinvestičních toolbar, shall state the total
the nominal value of the trade.
Notation Notation quantities the quantity is expressed in the "quantity/nominal value." Options
fill in the pieces, the nominal value.
Counterparty the counterparty identification data in the trade. In the event that a counterparty is the market (auctions,
the order-driven system) is used to identify the kódMIC. Persons are identified by the first number
a natural person, a legal person identification number or replacement identification allocated
the customer person leading the central register of securities instead of such numbers or
a unique number assigned to the customer in the manner laid down in the internal regulations of the merchant
the securities, if his social security number, identification number of the legal person (COMPANY REGISTRATION NUMBER) or
replacement of identification were not allocated. If the counterparty is a securities dealer, is always
tagged with International Bank identification code (BIC).
The identification of the place of the identification of the place where the transaction was executed. Identification data must be
in the case that this is a place of trading system, its unique harmonised identification code;
in other cases, a code "XOFF". In the case of regulated markets and multilateral
commercial systems used for the identification of the MIC, for the case of systematic internaliser
will be the BIC.
The expected date of the agreed settlement date of the trade or transfer, such as registration rights, payment of the price of the derivative.
the settlement of the
The actual settlement date the date of the final settlement of the trade or transfer, such as registration rights, payment of the price of the derivative.
The field usually contains the same value as "Estimated settlement date", only if
that trade is not properly settled yet, enter the date of the final settlement, or dovypořádání.
The volume of trade in the total volume of trade, including accrued interest, in the case of bonds, in the field "currency by Price
the notation ". In the case of derivatives, the field contains the celkovoucenu paid in time of implementation
trade, for example, the total premium for options, futures is a multiple of the price, quantity,
and the price of the multiplier. In the case of derivatives, where there is no payment at the time of implementation
trade will be filled in with the value of 0.
Remuneration amount of the remuneration for the provision of (OCP) purchase, sale or jinéhopřevodu, charged as a reward to a trader
the securities, if it can be directly assigned to a particular conversion. Here are therefore
for example, the one-time charges for the closure of the agency contract or flat fees.
Remuneration of OCP-currency currency code for the remuneration of the trader in securities.
The remuneration paid to a third party the amount of the remuneration associated with obtaining the purchase, sale or other transfer, posted as a reward
or charge to third parties in the event that the payment is charged to the customer. If a
This appropriation of more fees in various currencies, shall be expressed in the currency of the trader this entry, which
determined by, and for the conversion of the official CNB exchange rate chosen.
Remuneration of third party payment the currency code to a third party.
-currency
The cancellation date of the Trade Date of any cancellation of the trade.
Time to repeal the trade of any cancellation of the time of the trade.
Broker 3 internal identification of persons engaged in professional business activities related to trade or
the transfer of investment tools.
Broker 4 the internal identification of other persons engaged in professional business activities related to trade or
the transfer of investment tools.
3. Information about the tools
Register of information on investment instruments, whose identification is
used in the information on the instructions and the information about the shops and
investment securities are quoted according to § 3 (2). 2 (a).
and the a and b) of the Act), contains at least the following information:
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The name of the field for a brief description
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Currency denomination Currency of the nominal value of the investment facility. In the case of a derivative is the currency in which it is
the value of the/strike expressed the exercise price of the investment facility, or may be the currency in which it is
prices expressed in point value for derivatives on index.
The type of instrument (CNB) type of investment instrument under the dial.
The type of the underlying assets of the derivative contracts and Resolution strukturovanýchproduktů according to the type of the underlying
assets under the dial.
The resolution of the resolution of the investment instruments of the issuer of the relevant investment tools.
of the issuer
Identification of the securities dealer identifies the investičnínástroj indicating the identification marking
the investment facility according to the international numbering system for the identification of securities (ISIN).
In the event that the investment facility has assigned ISIN, securities dealer, in the case of
standardized derivatives, identifies the investment instrument specifying the alternative identification
the so-called. AII-Alternative Instrument Identifier. If even one of these identification
use, a securities dealer identifies investment tool, indicating another
a unique identification code (for example, the Exchange product code ticker) that is
for the investment in question, the usual tool, or use the unique number assigned to the
the investment instruments in the manner laid down in the internal regulations, in particular in the case of OTC derivatives.
The type of identification of the type of identification of the investment facility under the dial.
investment tools
The name of the investment tool name indicates the investment issuer and contains more specific information on the investment
tools tools. It is recommended to use ISO 18774 FISN (Financial Instrument Short Name).
Identification of the securities dealer identifies a podkladovýinvestiční by an identification tool
the underlying name according to the international numbering system proidentifikaci of securities (ISIN).
the investment facility to be completed even in cases where the nature of the structured product investment tool,
for example, investment tool with an embedded derivative component, where the principal payments or are
described as a mathematical function to the values of the underlying assets.
In the event that the investment has not been assigned ISIN instruments, securities dealer
identifies the investment tool, indicating another unique identification code (for example,
The Exchange product code ticker), which is the usual tool for the investment in question, or
uses a unique number allocated to an investment instrument in the manner laid down in the internal regulations.
In the event that is the underlying asset currency, it is possible to use the ISO 4217 Currency Code.
The type of identification of the type of identification of the underlying investment instruments according to the dial.
the underlying
investment tools
The name of the underlying investment tool name is related to cennýpapír, which is the underlying asset
tools in the derivative contract, as well as the transferable security falling within article 81(1). 4 (4). 1
item 18 (b). (c)) Directive 2004/39/EC.
The type of instrument (CFI) harmonised classification of investment tool podleISO-10962 CFI code, which is the subject of the
trade. It is reported at least, whether the investment instrument belongs to some of the top categories
According to a uniform internationally accepted standard for classifying investment instruments. When
the use of field is required at least a resolution of categories and groups (the first two characters). If it is not in time
determination of code for information about any of the attributes (third to sixth character) available or applicable,
shall be used for the attribute "X". This is an optional field.
The date of the maturity date of a bond or other form of dluhovéhocenného paper or the date of the implementation of the
contract/due/due date of a derivative contract.
The exercise price the exercise price of an option or other investment instruments.
The price, the number of units of the investment tools in the package (for example, the number of traded derivatives
the multiplier/value, or securities that represent a single contract). The number of units of the investment facility
the point contained in the unit of marketable quantity, for example, the number of securities represented by the
one contract, for example, options. In the case of a derivative index expresses the value of one
the index of the item in the currency, which is specified in the "currency of denomination/exercise price". Field
It can also contain the multiplier in the case of futures on individual stocks.
The current nominal Current nominal value of investment instruments.
the value of the
The explanatory note to the Advanced investment tools, such as a comment on the structure of the OTC derivative,
agreed rates, etc.
4. the information on persons
Register of information about persons whose identification is found in
information on guidelines and information about stores, contains at least
the following information:
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The name of the field for a brief description
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Identification of the person the unique identification of persons used in the journal, a trader with securities. To identify the
persons holding supervisory authority to poskytováníinvestičních services (stock trader
papers-similarly as when reporting trades in accordance with the Ordinance on reporting and other
information traders in securities of the Czech National Bank) must be used by the international
Bank identification code BIC. In other případechbude, this field contains either the identification
person number (CRN) (8 places), or social security number. If such a number does not exist, the trader
securities used to identify replacement identification number allocated to the person of the head of the
Central Register of securities or uses a unique number allocated in the manner laid down by the
the internal rules.
The combination of this field with the field "author of the identification of the person" in the case of filling must be
the same as with the identification of the customer reported in hlášeníobchodů in accordance with the Decree on the submission
statements and other information with the securities traders of the Czech National Bank.
The type of identification of the person type of identification of the person under the dial.
Economic sector of the person of the person according to the economic sector of the spinner.
The author of the identification of the person to be completed only in the event that the identification of the relevant person's internal identification
allocated to the securities dealer in the manner laid down in the internal regulations. In such a
If this field contains the BIC merchant securities.
Date of birth date of birth of the natural person, the social security number is used identifikacinebylo.
Identification of the person (IDENTIFICATION NUMBER) of the person identification number (IČO) in the case of persons who are primarily identified by
BIC. The field is mandatory for persons identified by the BIC in the case that the field "address-State"
is GB. For foreign persons stating similar IDENTIFICATION NUMBER-the identification of the registry of companies of the country.
Name/last name business name/the name of the legal person, or příjmenífyzické persons. This is the last name of the
citizen registered in the matrix. other official instrument or for the last name of the person who does not have
State citizenship of the CZECH REPUBLIC, referred to in the official list, such as a passport.
Name this is the name of the citizen, entered in the matrix. other official instrument or the name of the
the person who does not have citizenship of the CZECH REPUBLIC, referred to in the official list, such as a passport.
The address of the registered office-the street name and street number of permanent residence of the natural person or the seat of the legal person
Street, number (or its business units, or workstation) of the natural person-entrepreneur.
Address the name of the village-the village. with the addition of the number or the name of the city.
Registered office address-POSTAL CODE Postal code number.
Address of the registered office-the State Code of the State.
"Annex No. 2 to the Decree No 231/2009 Sb.
Essentials register investment intermediaries
1. Registration of received and transmitted instructions
The evidence taken and passed the guidelines concerning investment
toolbar contains at least the following information:
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Field name Format field is a brief description of the possible values of a field
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1 the number of guideline 16 (x) a unique number of the order in the stock investment
the provider.
2 Price notation 3 (a) of the ISO-4217 Currency Code in the currency code, in which instruction is specified.
3 contract No. 16 (x) number of the contract on the basis of which the instruction type.
4 Identification of the sponsor Max 29 (x) SSN/TAX ID/NID/internal unique identification of persons, from which it is
accepted to the purchase, sale or transfer
investment tools. This is a customer or
his agent. For rules of use of the individual
types-see closer to the field "Customer Identification".
5 identification of customer Max 29 (x) SSN/TAX ID/NID/internal Unique ID of the customer on whose account
instruction is specified.
Either the person's identification number (IČO)
(8 places), or the customer's social security number (SSN).
If such a number does not exist, the investment
the provider uses to identify the replacement
the identification number allocated to the person of the head of the
Central Register of securities or uses
a unique number assigned to the customer in the manner
laid down in the internal regulations.
6 the date of the adoption of the Guideline-10 (x) ISO 8601 Extended Date the date of receipt of the order.
Format; YYYY-MM-DD
7 adoption of the guideline-8 time (x) ISO 8601 Time Format; The time of the adoption of the guideline.
HH: MM: SS
8 adoption of the guideline-method 1 (and) T = telephone
E = email
O = person
P = post office, courier the way adoption of the guideline.
F = fax
I = internet
S = Swift
9 the adoption of the guideline-instead of Max 90 (x) determining the place where the instruction was received, for example,
"headquarters", "branch".
10 Force Guideline-10 (x) date ISO 8601 Extended Date specifying the date of the final day of the period in which the
Format; YYYY-MM-DD to be based on the instruction closed shop ^ 1).
11 type of identification 1 (and) I = investment tool identification Type the ISIN.
O = other investment tool (ticker, internal)
12 investment Identification 2 (a) (x) (1) (n) ISO 6166 — International Investment provider identifies the
Securities Identification Tool investment instrument by an identification
Number (ISIN) designation, according to the international numbering system
for the identification of securities (ISIN-according to the
ISO 6166).
In the case of transfer between funds shall indicate
the identification of collective security
the investment, which is the subject of the sale
(the source of the Fund).
In the event that the investment facility is not assigned
ISIN, the investment provider identifies the
another clear indication of the investment tool
identification code (for example, Exchange
product code ticker), that is, for the present
the usual investment tool, or use
a unique number allocated to an investment tool
in the manner laid down in the internal regulations.
13 the investment Name Max90 (x) investment tool name indicates the issuer
tools and contains more specific information on the investment
instruments. It is recommended to use ISO 18774
FISN (Financial Instrument Short Name).
14 categories of instruction 1 (a) L = order with a limit price
T = order with layout "what
the best "(to implement the trade Category guideline addressed to zadavatelem2).
at the current price obtainable
on the market)
S = instructs the stop-loss or
stop-limit
F = to trade with securities
collective investment securities
for an unknown price in advance
15 Additional disposition Max 90 (x) for more specific information to the price limit or
the method of execution of the order (for example, "immediately
or cancel "," all or nothing "). In the case of instruction
to transfer between funds shall indicate here the identification
securities for collective investment,
to be purchased (the target of the Fund).
16 purchase/sale Indicator 1 (a) (B) = the purchase order from the customer's perspective Direction.
S = Sale at the compound of the guidelines indicate the direction of the first (spot)
part of the transaction.
In order to provide investment tools
compared with the receipt of the funds and for the instruction
to transfer between funds shall indicate the direction with the instruction,
to the adoption of the investment instruments as opposed to the granting of
the cash flow direction (B).
17 transaction type 1 (a) (D) = business Guidance to transfer between funds is instructed to sell
T = transfer between funds, securities one (below) of the Fund for collective
R = repo operations, investing and purchasing
B = buy/sell securities of another operation (below) of the Fund
P = loan investment
Tools.
18 Limit price 1 Max19 (d) Limit the price that has to be the investment
the tool is purchased or sold.
19 the limit price 2 Max19 (d) of the order (for example, an additional parameter for the type of instruction
stop-limit order, or a trailing stop order) 1).
20 Limit volume Max19 (d) the maximum financial limit, for which the instruction
executed debt investment instruments
This is the amount including accrued úroků1).
21 The Max19 (x) number of units of investment instruments, or
quantity/nominal aggregate nominal value of the bonds.
the value of the
In the case of transfer between funds shall indicate the required
the amount of securities of a collective
the investment, which are the subject of the sale.
Or the "all" value, in the event that occurs for sale
all investment instruments and is not known to the
the number of units, the price or volume of transactions.
22 the notation a quantity of 1 (a) K = pieces of Notation the quantity is expressed in the
N = nominal value "required quantity/nominal value."
23 Frequency investment 1 (a) and = per year
S = Half-Yearly
Q = Quarterly Time determination of the regular investments.
M = Monthly
B = every two months
J = Lump Sum
24 third Identification 11 (x) ISO 9362-SWIFT/Bank identification of persons pursuant to the provisions of the
29 persons Max (x) Identifier Code (BIC), § 29. 1 (a). (b)) of the Act, which
SSN/TAX ID/NID/internal investment provider passes the guideline.
To identify the person holding
supervisory authority to provide investment
services on the territory of the EEA (stock trader
the paperwork) must be used, the international identification
Bank code BIC. In other cases, the investment
the provider will use a unique number allocated to
(see the identification of the customer).
25 request to disclose the 1 (a) Y = Yes Indication of the fact that the customer has requested
limit order N = Not to disclose client limit order of Germany
in accordance with section 31, paragraph. 5 of Decree No. 303/2010 Sb.
a more detailed treatment of certain rules when
the provision of investment services.
26 a non-standard requirement 1 (a) Y = Yes Indication of the fact that the requirement of the customer
on the execution of the order N = not on the execution of the order is different from the rules
the implementation of the guideline by the dealer with the securities
According to section 29 of the Decree No. 303/2010 Coll., on detailed
modify some of the rules for the provision of
investment services, for example, if the customer
alone to determine the place where the transfer is to be instructed.
the 27-date of transmission of the order 10 (x) ISO 8601 Extended Date date of transmission of the order to a third party.
Format; YYYY-MM-DD
28 Handover of the order-8 time (x) ISO 8601 Time Format; The time of transmission of the order to a third party.
HH: MM: SS
29 the way of transmission of the order 1 (and) T = telephone
E = email
P = post office, courier the way of transmission of the order to a third party.
F = fax
I = internet
S = insert the order directly to the
the information system of the third party
J = another way
the adoption of the abolition of the guideline 30-10 (x) ISO 8601 Extended Date date of the adoption of the abolition of the order from the customer.
Date Format; YYYY-MM-DD
31 the adoption of the abolition of the guideline-8 (x) ISO 8601 Time Format; The time of adoption of the repeal of the order from the customer.
time HH: MM: SS
Transfer cancellation instruction 32-10 (x) ISO 8601 Extended Date date of transmission of the cancellation of the order to a third party.
Date Format; YYYY-MM-DD
Transfer cancellation instruction 33-8 (x) ISO 8601 Time Format; The time of transmission of the cancellation of the order to a third party.
time HH: MM: SS
34 a person acting with the Max29 (x) SSN/TAX ID/NID/internal identification of the person, including the bound
1 representative of the customer, which instructs the.
35 the person acting Max29 (x) SSN/TAX ID/NID/internal fills in the identification of a specific person
2 the customer within the meaning of the provisions of § 30 paragraph. 2 and
section 32a of the paragraph. 4 of the Act.
2. Registration of persons
Register of information about persons whose identification is found in
the register received the instructions transmitted contains at least the following information:
---------------------------------------------------------------------------------------------------------------------------------
Field name Format field is a brief description of the possible values of a field
---------------------------------------------------------------------------------------------------------------------------------
1 identification of the person (x) 11 ISO 9362 — SWIFT/Bank ID of the person that you used in the registration of
Max 29 (x) Identifier Code (BIC) of the investment provider.
TAX ID/SSN/NID/internal Uses either the person's identification number (IČO)
(8 places), or social security number. If such
the number does not exist, the investment provider
used to identify a replacement identification
the number allocated to the person of the head of the Central
the registration of securities, or uses a unique
the number allocated in the manner laid down by the internal
provisions.
To identify the person holding the authority
supervision to the provision of investment services
on the territory of the EEA must be used by the international
Bank identification code BIC
2 identification of the person Type 1 (a) (I) = identification number of the person
R = social security number, the type of identification of the person.
O = other
3 date of birth 10 (x) ISO 8601 Extended Date date of birth of the natural person for whose
Format; YYYY-MM-DD is the identification of the social security number was used.
4 the author of the identification of the person 11 (x) IDENTIFICATION NUMBER/SSN to be completed only in the event that the identification
ISO9362-SWIFT/Bank of the relevant person's internal identification
Identifier Code (BIC) allocated investment intermediary
in the manner laid down in the internal regulations.
In this case, the field will contain
identify the investment provider.
5 Name/last name Max 90 (x) business name/the name of the legal person, or
the last name of the natural person. This is the last name of the
citizen registered in the matrix. other official
the Charter, or is the last name of the person who
does not have Czech citizenship, referred to in the official
the Charter, such as a passport.
6 the name of Max 40 (x) name of the natural person. This is the name of a citizen
registered in the matrix. other official
the Charter or is a person's name,
that does not have Czech citizenship, referred to
in the authentic instrument, such as a passport.
7 address-street number, Max 90 (x) street name and street number of permanent residence
the natural person or the seat of the legal person,
or its business units, or
Department, of the natural person-entrepreneur.
8 address-village Max 90 (x) where applicable, the name of the village with a number or
the name of the city.
9 address-ZIP CODE Max 90 (x) postal code.
10 headquarters-State 2 (a) of the ISO-3166 country code ISO code of the country.
"The annex No. 3 to Decree No. 231/2009 Sb.
Registration of contracts relating to the investment services provided by the
Registration of contracts relating to investment services provided includes
basic information about the contract. Each entry in the register
contracts must be adapted to the nature of the specific contract. Investment
provider fills in only the data for a given contract type
comes into consideration.
The data must always be filled in "Identification of the Treaty", "the identification of the
the customer "," contract-type "," contract-subject "," passed the Treaty-
date of transmission of the Treaty ","-"," identification of persons acting with the
the customer "and" identification of the acquiring person ".
Registration of contracts relating to investment services provided includes
at least the following information:
---------------------------------------------------------------------------------------------------------------------------------
Field name Format field is a brief description of the possible values of a field
---------------------------------------------------------------------------------------------------------------------------------
1 identification of the contract Max40 (x) the unique identification of the contract in the records of
the investment provider (contract number).
2 Identification of the customer Max 29 (x) SSN/TAX ID/NID/internal unique identification of the customer.
Either an identification number (IČO)
(8 places), or the social security number of the customer.
If such a number does not exist, the investment
the provider uses to identify
alternate identification number allocated to the person
the head of the central register of securities.
3 conclusion of the contract-date 10 (x) ISO 8601 Extended Date date of conclusion of the contract.
Format;
YYYY-MM-DD
4 the validity of the Treaty 10 (x) ISO 8601 Extended Date the date when the obligation of the Treaty expires,
Format; It was agreed to.
YYYY-MM-DD
5 contract-type 1 (a) K = consignment agreement contract Type.
the provision of the purchase or
the sale of the securities
And contract management =
securities
J = Another type of contract
6 contract-course 1 (a) and investment securities Advanced = type of investment instruments, which are
K = securities subject to an undertaking from the contract.
collective investment undertakings
B = without resolution of the kind
investment tools
7 contract-further information Max 90 (x) text field containing additional information
relating to the subject matter hereof. In the case of
putting the value of J in the item "contract-type"
additional information is required.
8 frequency of investment 1 (a) and a year of regular Time destination = investment.
S = Half-Yearly
Q = Quarterly
M = Monthly
B = every two months
J = Lump Sum
9 Currency investments 3 (a) of the ISO-4217 Currency Code in the currency code, in which the investment is to be made,
that is the subject of the contract.
10 the amount of the investment Max19 (d) the amount of the lump sum or regular investments,
that is the subject of the contract.
11-the date of the handover treaty 10 (x) ISO 8601 Extended date of transmission of the Treaty.
Date Format;
YYYY-MM-DD
12 Transfer of the Treaty-method 1 (and) on how the contract person =.
E = email
P = mail, courier
F = fax
I = internet
13 identification of the person Max 29 (x) SSN/TAX ID/NID/internal unique identification of persons, on behalf of the
acting on customer investment provider acted with
the customer (the investment provider
natural person, representative, employee bound
physical investment provider
or legal persons).
Uses the social security number or identification number
(IDN) (8 places). If such a number does not exist,
investment provider uses the
to identify a replacement identification number
given by the person leading the central register
securities or uses a unique number,
that grants the person acting on the customer.
14 identification of receiving 11 (x) SSN/TAX ID/NID/internal identification of the person to whom the contract has been passed.
29 persons Max (x) ISO 9362-SWIFT/Bank Uses the social security number or identification
Identifier Code (BIC) number (CRN) (8 places). If such a number
does not exist, the investment provider
used to identify a replacement identification
the number allocated to the person of the head of the Central
registration of securities or uses
a unique number, which alone shall be allocated to the person
acting with the customer.
In the case of a person holding authority
supervision to the provision of investment services
on the territory of the EEA (a securities dealer)
the international identification must be used
Code of the Bank (BIC).
1) of Commission Regulation (EC) no 1287/2006 of 10 March 2006. August 2006
performed by European Parliament and Council Directive 2004/39/EC, as regards the
record-keeping obligations for investment firms, shops,
market transparency, admission of financial instruments to trading, and
definition of terms for the purposes of that directive.
Article. (II)
The effectiveness of the
This Decree shall take effect on 1 January 2005. September 2013.
Governor:
Ing. Singer, Ph.d., in r.
