171/2014 Sb.



DECREE



of 8 March. August 2014,



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, § 20 para. 4 of law No.

21/1992 Coll., on banks, as amended, pursuant to § 2a para.

1, § 2b, paragraph 1. 4 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, pursuant to § 199 para. 2

Act No. 256/2004 Coll., on the capital market, as amended by

amended, to implement section 7 (2). 2, § 47 para. 1 and Section 104a

paragraph. 1 of the law on capital market, and pursuant to section 170 of the Act No.

427/2007 Coll. on supplementary pension savings, as amended

regulations to implement section 44 para. 1 of the law on the supplementary pension

savings:



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. 58/2009 Coll., Decree No.

372/2012 Coll. and Decree No. 248/2013 Coll., is amended as follows:



1. In article 1 (1). 1 (b). f), the words "(hereinafter referred to as" regulated legal

person ") ' shall be deleted.



2. In paragraph 2 (a). (g)) in the introductory part of the provisions, the word "controlled"

repealed.



3. In paragraph 2 (a). (g)) at the end of the text of point 1, the words "or after

that person has to be controlled. "



4. In paragraph 2 (a). g) points 3 to 6, the word "controlled" is deleted.



5. In paragraph 2 (a). g) point 6, the words "of the voting rights of a legal

the person "the words" or has the experience to take over the legal person ".



6. In paragraph 2 (a). (h)) at the end of paragraph 3, the words "including the extent

powers and responsibilities associated with this activity and the number of controlled

people ".



7. in section 4, paragraph 4. 1, letter a) is added:



") and the social contract, memorandum or articles of Association,".



8. In section 4, paragraph 4. 2 (a). a), the words "§ 3 (1). 2, 3 and 4 shall be replaced by

"§ 3 (1). 2 and 3 ".



9. in section 4, paragraph 4. 3 (b). (h)), the word "controlled" is deleted.



10. In section 4, paragraph 4. 3 letter i) reads as follows:



"i) description of the grounds on which the person referred to in the list of

According to subparagraph (a)) becomes the controlling entity of the applicant, if

domination. ".



11. in paragraph 5 of the letter e) is added:



"(e) a list of officers) [section 2 (a). j) point 2 or 3] ".



12. In paragraph 5, point (e)) the following points (f) and (g))) are added:



"(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 it intends to

carry out in parallel with the performance of management functions in the Bank or cooperative

the savings bank, specifying the business name or name of the entity in which the

the function is to be exercised, a person's identification number and the name of the function

including an indication of whether this is a function of the Executive or non-Executive Member



2. Overview of financial and human resource relations of the person and the people of her

close to the senior management of the Bank 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 the performance of the senior management,



(g) report to the applicant of the results) the evaluation of the appropriateness of the senior management

included in the list referred to in subparagraph (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 ".



Subparagraph (f)) is renumbered as paragraph (h)).



13. in § 8 para. 1, after the words "paragraph 4", the words "paragraph. 1 and 2 "and on the

the end of the paragraph, the words "2 and 3 ' shall be replaced by" 2-4 ".



14. in paragraph 8, the following paragraph 4, including footnote # 19

added:



"(4) the 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 have a qualifying holding in the applicant,

and



(b)), information and documents pursuant to § 4 paragraph 2. 3 (b). (b)) to (i)), unless the

directly applicable regulation the European Union ^ 19) otherwise.



19) Commission Regulation containing a full list of information that must be

provided to the notice of the proposed acquisition of qualifying holding on

Merchant securities. ".



15. in the heading of title VI of part two: "CONSENT to a QUALIFYING HOLDING

OR TO DOMINATE. "



16. in section 18 at the end of the title, the words "or to its mastering"

and in brackets below the heading, the words "§ 10 d of paragraph 1. 4.0 ' shall be deleted.



17. § 18 paragraph 1 reads:



"(1) an application for prior approval to the acquisition or increase of qualifying

participation in the legal entity that is a Bank, a cooperative záložnou,

the organizer of a regulated market, the CSD, the Central

counterparty, pension companies (hereinafter referred to as "regulated legal

person "), or to control of this person shall be submitted on a form, the

a specimen is given in annex 7 of this Ordinance. ".



18. in section 18 para. 2 (a). (b)), the word "funds" shall be replaced by

"resources".



19. in section 18 para. 2 the letters e) to (i)) including footnote # 15

shall be added:



"e) description of the relationship between the applicant and the regulated entity, on which

the applicant proposes to acquire or increase the qualifying holding or which has

to dominate, and the relationship of the applicant to persons with a special relationship to this

a legal person, at least to persons who are senior management,

the 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 persons chosen to

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,

in the case of the applicant is located outside the territory of the Member State which is

such supervision in the country of its establishment contributes to



g) strategic plan [section 2 (b), (g))],



h) the list of persons acting in concert with the applicant have, take, or

increase a qualifying holding in the regulated legal person or

controlled with the ^ 5) on these people and with an indication of the level of shareholding 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 which leads to a mastery 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 applied to the redemption share

a companion, who is not a controlling person.



15) § 74 and 75 of the law No. 90/2012 Coll., on commercial companies and

cooperatives (law on commercial corporations). ".



20. section 19 reads as follows:



"§ 19



Consent to the acquisition or increase of qualifying holding on to the merchant with the

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

domination of such a person, shall be submitted on a form, a specimen of which is given in the

Annex No. 7 of this Ordinance. The application connects the applicant information and

documents referred to in section 18 para. 2 to 5, unless otherwise provided in a directly applicable regulation

The European Union ^ 19). ".



21. in section 20 (2). 1, after the words "regulated legal person"

the words "or to its domination".



22. In article 20, paragraph 2 shall be deleted.



Paragraphs 3 and 4 shall become paragraphs 2 and 3.



23. in section 20 (2). 2 letter d) is added:



"(d)) for a description of the facts on which leads to a mastery of the regulated

legal persons, and records of the origin of the financial resources, which should be

applied to the redemption of the share of partnership that is not a controlling person. ".



24. in annex No. 1 table 5a and annex No. 5 part 3 c table a)

for the line that begins with the words "Rental of safes" is inserted

line with the words "the implementation and administration of investment funds

foreign investment funds "and in the last row of tables

the words "paragraph. 3 (b). a) to n) "shall be replaced by" paragraph. 3 (b). a) to

about) ".



25. in annex 3 section 8.1 and Appendix 4, paragraph 7.1, the

"offence", the words "(regardless of whether the conviction

Subsequently, zahlazeno) ".



26. in annex No 3 point 9.1 and in annex 4, paragraph 8.1, the word

"begin" is replaced by "conducted", and in the corresponding text to the submitted

the question is after the word "details", the words "including the reason

any terminating the proceedings ".



27. the title of Appendix No. 13 reads: "a questionnaire relating to the acquisition

qualifying holdings ".



Article. (II)



The effectiveness of the



This Decree shall enter into force on 1 January 2000. September 2014.



Governor:



Ing. Singer, Ph.d., v. r.