248/Sb.
DECREE
of 24 July 2003. July 2013,
amending Decree No 233/2009 Coll., on applications, approval of persons
and the method of proof of professional competence, integrity and experience
people, as amended
The Czech National Bank establishes, pursuant to § 4 paragraph 2. 8, § 5 para. 5, section 20 (2).
4 and § 26 para. 6 of Act No. 21/1992 Coll., on banks, as amended
regulations under section 2a paragraph 2. 1 and 9, § 2b, paragraph 1. 4 and paragraph 25f. 8 of the Act
No 87/1995 Coll., on savings and credit cooperatives and some
measures related to it and the law of the Czech National Council
No. 586/1992 Coll., on income taxes, as amended in
as amended, pursuant to section 170 of the Act No 427/2007 Coll.
the supplementary pension savings, as amended by law No. 399/2012 Coll., to
the implementation of § 33 para. 3, § 35 para. 5, § 39 para. 4, § 44 para. 1, § 65
paragraph. 1, § 69 para. 4, § 81, § 82 para. 1, § 96 para. 5, § 97 para. 8
(a). (c)), § 109 paragraph. 6, § 111 paragraph. 2 and section 113 para. 8 of law No.
427/2007 Coll. on supplementary pension savings, according to § 110 of Act No.
426/2007 Coll., on pension savings, as amended by law No. 399/2012 Coll., to
the implementation of § 26 para. 5, § 45 para. 8, § 58 para. 6 and § 61 para. 4
Act No. 426/2007 Coll., on pension savings, and according to § 199 para. 2
Act No. 256/2004 Coll., on the capital market, as amended by
Act No. 241/2013 Coll., to implement section paragraph 192b. 2 of the law on business
on the capital market:
Article. (I)
Decree No 233/2009 Coll., on applications, approval of the people and how
proof of professional competence, integrity and experience of persons in
amended by Decree No 192/2007 Coll., Decree No. 58/2012 Coll. and Decree No.
372/2012 Coll., is amended as follows:
1. in article 1, paragraph 1 reads:
"§ 1
The subject of the edit
(1) this Decree lays down the standard forms and claim forms and content
their attachments, unless the applicant is requesting
and a banking license for the Bank) with a registered office in the Czech Republic (hereinafter referred to as
"the Bank"), a banking license for foreign bank from another
before a Member State wishing to establish a branch within the territory of the Czech
Republic of China (hereinafter referred to as "license for the branch of the Bank from a non-member
the State "),
(b)) to the formation and business savings and credit cooperatives
(hereinafter referred to as "the authorisation for the Cooperative Union"),
c) authorised dealer of securities, organizer
regulated market of the CSD, to operate securities settlement
with the finality of settlement system (hereinafter referred to as "securities settlement system"), to
the activities of the CCPs to provide investment services
through the organizational folder foreign persons, which has its registered office in
other than the Member State
d) authorised pension companies,
e) prior consent to the performance of the senior management,
f) consent to the acquisition or increase of qualifying holding on legal
a person who is a Bank, a cooperative záložnou, a trader in securities
the papers, the organizer of the regulated market, the CSD
a central counterparty, pension companies (hereinafter referred to as "regulated
legal person "), or to control these people,
(g) permit the conversion of the company) or to the conclusion of the contract of transfer,
stopping or lease business of the company,
h) registration of the investment provider and its activities,
I) write to the lists of representatives-bound and forced administrators, liquidators,
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) to enable the participating funds or merge pension funds,
n approval of the Statute) the twisted Fund or pension fund and its
changes,
approval of the amendment about) the depositary, or
p) withdrawal of authorisation to the activities of the pension company or withdrawal of the authorisation
to create local fund. ".
2. in paragraph 2 of the letter j) is added:
"j) head of the person the person referred to in
1. section 2 (2). 1 (b). and business) of the capital market,
2. section 4, paragraph 4. 5 (b). (e)) or in § 5 para. 4 (b). (c)) of the Act on banks,
3. § 2a para. 4 (b). (b)) of the law on savings and credit cooperatives,
4. section 3 (b). (g)) of the supplementary pension savings and
5. section 3 (b). e) of the Act on pension savings ".
3. In article 3, paragraph 3. 2, after the words "§ 90a para. 3 "the word" and "shall be replaced by a comma
and after the words "§ 103 para. 3 "with the words" and paragraph 192b. 2. "
4. in article 3, paragraph 3 shall be deleted.
Paragraphs 4 and 5 shall become paragraphs 3 and 4.
5. In section 3, paragraph 3. 4, the words "referred to in paragraphs 1 to 4 shall be replaced by
"in accordance with paragraphs 1 to 3".
6. In section 4, paragraph 4. 1 at the end of subparagraph (d)), the word "and" is replaced by a comma.
7. in paragraph 4 of the text at the end of paragraph 1, the period is replaced by a comma and the following
the letter f) and (g)), which read as follows:
"(f)), a form of which a specimen is given in annex 4 to this Decree, parts B and D
signed by the applicant and
g) proof of good character issued by a foreign State. ".
8. In section 4, paragraph 4. 3 (c)):
"(c)) form, a specimen of which is given 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 who acts in concert with another person has a qualifying holding
on the claimant ".
9. in section 11 is added to § 11a, which including the title reads as follows:
"§ 11a
The central counterparty
(Paragraph 192b, paragraph 2, of the law on 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 internal rules governing the management and control system, which
they contain, in particular,
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 draft rules by the Central
the counterparty,
(d) procedures for the keeping of design) accounts for members of clearing system,
(e)) draft technical security of the proposed scope of the activities of the Central
the counterparty,
(f) administrative procedures) design of the information system including security,
backing up and archiving data,
g) design techniques for preserving operation and a recovery plan of activity of the Central
the counterparty,
h) design of procedures in the event of failure of the Clearing Member
the system,
(I) the list of persons) will be as the head of divisions or as
separate persons to ensure
1. the activities of clearing system,
2. monitor compliance with the obligations of a CCP
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) all resumes of persons specified in the list referred to in subparagraph (i))
containing the
1. data on education [§ 2 (b) (i))]
2. information concerning professional experience [§ 2 (b), (h))],
k) list of activities which it intends to engage in CCP
through another person, and a way to ensure the fulfillment of the conditions for
carrying out activities through another person 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. ".
10. in the second section of chapter four, including the title reads as follows:
' TITLE IV
PENSION COMPANY
§ 14a
(To section 33, paragraph 3, of the law on the supplementary savings)
(1) in the case of an application for authorisation to the activities of the 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 (b). a) and (c)), para. 2 and 3
the applicant shall attach to the application also
and business) plan [section 2 (b), (e))]
(b) draft internal rules) pension society including in particular
1. organizational arrangements
2. the rules for prudent pension company and the pursuit of the activity
3. rules of conduct in the performance of the activities of the pension company
(c)) the list of persons who will be as the head of divisions or as
separate persons to ensure
1. the exercise of the activities of the pension management company of
pension funds or 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)) that all persons mentioned in the biographies list referred to in subparagraph (c))
containing the
1. data on education [§ 2 (b) (i))]
2. information concerning professional experience [§ 2 (b), (h))] and
e) list of activities which it intends to carry out pension company
through another person, and a way to ensure the fulfillment of the conditions for
carrying out activities through another person.
(3) the scope of the activities of the company pension, the applicant
also be accompanied by
and how to process and design) registration information, communication with the
participants, accounting and management of personal retirement accounts
participants and participants ' personal retirement accounts
(b) proposal for a method of technical security) the performance of activities and the provision of
services through the Internet,
(c) evidence of collateral) a direct link with the depositary, or other
persons who want to perform trading property of a participating fund
or the pension fund or the management of its evidence, and
(d) direct evidence of the collateral) or causing a connection with persons
carrying out settlement with investment instruments. ".
Footnote 14a-14e shall be deleted.
11. in title V of part two, including the title. The former title VI of the
and (VII) are referred to as title V and VI.
12. in paragraph 15 of the text in brackets in the title the words "§ 72 para. 6 of the Act on
collective investment ' shall be deleted.
13. in paragraph 18 of the text in brackets in the title the words "§ 71b of paragraph 1. 4 of the law
about collective investment ' shall be deleted.
14. in section 18 para. 4 (b)), and (c)):
"(b)), a form of which a specimen is given in annex 4 to this Ordinance, part B, and
(D), completed and signed by the applicant and each natural person referred to in
and in writing), and
(c) the original of the document of integrity) issued by a foreign State, the applicant and the
each of the persons referred to in letter a). ".
15. In paragraph 19 of the text in brackets in the title the words "§ 71b of paragraph 1. 4 of the law
about collective investment ' shall be deleted.
16. in paragraph 21 of the text in brackets in the title the words "§ 96 para. 2 of the law on
collective investment ' shall be deleted.
17. in article 21, paragraphs 3 and 4 shall be deleted.
The present paragraph 5 shall become paragraph 3.
18. in paragraph 22 of the paragraph. 3 (b). e), the words "[section 2 (a). (c))] "the words
"the applicant and".
19. in paragraph 22 of the paragraph. 3 the letter g) the word "and" is replaced by a comma.
20. in section 22 to the end of paragraph 3 is replaced by a dot comma and the following
the letter i), which read as follows:
"i) form, a specimen of which is given in annex 4 to this Decree, parts B and D
signed by the applicant. ".
21. in section 22, paragraph 4 shall be deleted.
22. under section 22 shall be added to § 22a, which including the title reads as follows:
"§ 22a
Registration or authorisation to distribute supplementary pension savings and
retirement savings
(1) an application for registration or licensing of activities associated with the distribution of
the supplementary pension savings and savings pension pursuant to section 74 para. 1
the Act on supplementary pension savings and section 91 paragraph 2. 1 of the law on
retirement savings plan administered by the applicant that is
and investment intermediary, on) the form of which a specimen is given in
Annex 9 to this Decree,
(b) a securities dealer), which is a bank or the applicant for
the Bank license, on a form, a specimen of which 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 of securities on form, which
a model is given in annex No 9b of this Decree.
(2) the request under paragraph 1, the applicant shall demonstrate the condition relating to professional
eligibility under section 84 of the Act on supplementary pension savings.
A securities dealer that is not a Bank, in addition to the request shall be documented
the annex pursuant to § 25 para. 2 (a). a) to (c)). ".
23. in paragraph 25 of the text in brackets in the title the words "§ 61 para. 1 of the law on
collective investment ' shall be deleted.
24. Part of the fifth and sixth including the following titles:
"PART FIVE
PARTICIPATION AND RETIREMENT FUNDS
§ 25a
Permission to create a local pension fund or funds
(§ 96, paragraph 5, of the Act on supplementary pension savings and section 26, paragraph 5,
the law on pension savings)
(1) a request for authorisation to create local fund or pension
the funds shall be made on a form, a specimen of which is given in annex No. 19 k
This Decree.
(2) the request under paragraph 1 the applicant shall provide
and a list of the heads of pension) company that has managed
the participation Fund or retirement funds,
(b) the curricula vitae of all persons referred to) in the list referred to in point (a))
containing the
1. data on education [§ 2 (b) (i))]
2. information concerning professional experience [§ 2 (b), (h))],
(c) the draft statute) local pension fund or funds,
(d)) of the current equity pension company that has
managing the participation Fund and retirement 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) education data) [section 2 (b) (i))] and details of professional experience [section 2 (a).
h)] senior management organizational unit of the depositary, or other
people that will provide for the participation Fund or retirement funds
the activities of the depositary,
(f)), or its depozitářskou contract proposal, together with the written
the promise of the depositary enter into this agreement or agreement
future concluded with the Bank or branch of a foreign bank, which will be
practise the depositary for the participation Fund or retirement 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 seeks
the authorization.
§ 25b
Authorization to transfer all the participating funds or pension funds to
another pension company
(§ 109 (6) of the Act on supplementary pension savings and section 58 (6)
the law on pension savings)
(1) an application for authorisation for transfer of the 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 request under paragraph 1 the applicant shall provide
and a description of the conditions and manner), to convert the participating funds
or retirement funds to another pension company,
(b) participating pension) financial statements of the companies established in
the last day of the calendar month preceding submission of the application,
(c)) the financial statements of the transferred funds or pension funds of the participating
built to last day of the calendar month preceding the submission of the
the request,
(d) information about the participating transferred) funds or pension
funds, 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 the 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 assets of participating funds, pension funds,
or transformed the Fund managed by the pension
companies,
f) data on education [§ 2 (b) (i))] and details of professional experience [section 2 (a).
h)] senior management organizational unit of the depositary, or other
people, which will ensure for the participating funds and retirement
funds the activities of the depositary; the documents referred to in this subparagraph may not
to certify persons participating depository funds or pension funds,
If this is the same after the conversion,
(g)), or its depozitářskou contract proposal along with a written
the promise of the depositary enter into this agreement or agreement
future concluded with the Bank or branch of a foreign bank, which will be
practise the depositary for participating funds and retirement funds,
and
h) of the annex under section 14a of the acquiring 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 permission to merge the participating funds or pension
the funds shall be made on a form, a specimen of which is given in annex No. 19 k
This Decree.
(2) the request under paragraph 1 the applicant shall provide
and merging, including the impact of) the project to merge the investment limits,
(b)) the opinion of the depositary of the participating participating funds or
pension funds,
(c) information about participating being merged) funds or pension
funds, 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 equity pension company that has
to manage the acquiring Fund or retirement of the successor State party
Fund, and the current amount of the assets of participating funds, pension
funds or fund managed by the pension transformed
companies.
§ 25 d
The approval of the Statute and its changes
(§ 97 para. 8 of the Act on supplementary pension savings and § 45 para. 8
the law on pension savings)
(1) an application for the approval of the Statute of a participating fund and its changes is served
on a form, a specimen of which is given in annex 15 to this Decree.
(2) the request under paragraph 1 the applicant shall provide
and the full text of the Statute), with an indication of the proposed amendments, which
approval is sought, together with their reasons for
(b)) a new consolidated 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.
section 25e
Change of depositary
(§ 96 para. 4 of the Act on supplementary pension savings and section 26, paragraph 4,
the law on pension savings)
(1) an application for approval of an amendment of the depositary of the participating funds, or
pension funds shall be made on a form, a specimen of which is given in the
Annex 16 to this Decree.
(2) the request under paragraph 1 the applicant shall provide
and depozitářskou Treaty, possibly) its proposal, together with the written
the promise of the depositary enter into this agreement or agreement
future concluded with the Bank or branch of a foreign bank, which will be
to carry out the activities of a depositary for the retirement funds or participating funds
(b) data on education) [section 2 (b) (i))] and details of professional experience [section 2 (a).
h)] senior management organizational unit of the depositary, or other
people, which will ensure for the participating funds and retirement
funds the activities of the depositary, and
(c) the termination of the current) proof of 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 a form, a specimen of which appears in annex 18 to this Decree.
(2) the request under paragraph 1 the applicant shall provide a record of the decision of the General
meeting of the cancellation of the pension company with liquidation, including decisions 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 papers
proving the settlement obligations to participants.
§ 25 g
The withdrawal of authorisation to create local fund
(Section 111, paragraph 2, of the Act on supplementary pension savings)
(1) an application for the withdrawal of authorisation to create local fund serves
on a form, a specimen of which is given in annex 19 to this Decree.
(2) the request under paragraph 1 the applicant shall provide
and the grounds for the request) for the withdrawal,
(b) Participation Fund) the financial statements drawn up to the last day
the calendar month preceding submission of the application,
(c)) for an overview of outstanding obligations arising from the management of assets in
participant of the Fund,
d) information on the structure and liquidity of the assets in a directory
the Fund,
e) information on the number of participants and the total value of resources of the participants,
(f) pension company specified) the notification of the intention to cancel to the participants
the participation Fund and the
g) design method of selling assets in a participant's Fund and its settlement
receivables and debts ".
25. Part seven is hereby repealed.
Re-letter the former part is referred to as the eighth part seven.
26. in section 26, paragraphs 5 and 6 shall be deleted.
27. in annex 2, part III, table 3, insert a new row with the words
"the activities of the CCP".
28. in annex No. 2 in section III (B), the following point (e)), which read as follows:
"e) CCP
Will include the proposal to establish the extent of activities and services, including
categories of financial instruments for which the applicant applied for release
the authorization.
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“.
29. Appendix 2a is repealed.
30. in annex 3, in the heading, the words ", pursuant to Act No. 189/2004 Coll.
for collective investment, as amended "shall be deleted.
31. in annex No. 3 in table 3, the lines with the words "investment
the company "and" investment fund "shall be deleted and the following new line shall be
the words "central counterparty".
32. in annex No. 7 in the title, the words "according to law No. 189/2004 Coll.
for collective investment, as amended "shall be deleted.
33. in annex No. 7 in table 4, in both parts of the lines with the words
"investment company" and "investment fund" shall be deleted.
34. in annex No. 8 in the title, the words "according to law No. 189/2004 Coll.
for collective investment, as amended "shall be deleted.
35. Annex 9a and 9b are added:
"Appendix 9a to Decree No. 233/2009 Sb.
Appendix 9b to Decree No. 233/2009 Sb.
36. in annex No. 12 in the title, the words "according to law No. 189/2004
Coll., on collective investment, as amended "shall be deleted.
37. in annex No. 12 in table 3, the line with the words "investment
the company "is deleted.
38. Annex 14 shall be deleted.
39. in annex # 15 in the title, the words "according to law No. 189/2004 Coll., on
collective investment, as amended, "shall be deleted.
40. in annex # 15 in table 3, the lines with the words "approval of an amendment
the Statute of the European Investment Fund "," mutual fund "and" the name of the mutual
the Fund "shall be deleted.
41. in annex No. 16 in the title, the words "according to law No. 189/2004 Coll., on
collective investment, as amended, "shall be deleted.
42. in annex No 4 in table 3, the lines with the words "investment fund",
"mutual fund" and "the name of the mutual fund ' shall be deleted.
43. Annex 17 shall be deleted.
44. in annex No. 18 in the title, the words "according to law No. 189/2004 Coll., on
collective investment, as amended, and "are deleted.
45. in annex No. 18 in table 3, the lines with the words "investment
the company "and" investment fund "shall be deleted.
Article. (II)
The effectiveness of the
This Decree shall take effect on the date of its publication.
Governor:
Ing. Singer, Ph.d., v. r.
