238/2008 Sb.



DECREE



of 23 December 2003. June 2008,



amending Decree No 58/2006 Coll. on the method of keeping separate

registration of investment instruments and recording, building on a separate

Register of investment instruments



The Czech National Bank establishes, pursuant to § 199 para. 2 Act No. 256/2004 Coll.,

on the capital market, as amended by Act No. 230/2008 Coll., to

implement section 93 para. 4 and 6:



Article. (I)



Decree No. 58/2006 Coll. on the method of keeping separate records

investment instruments and evidence connecting the separate registers

investment instruments, is amended as follows:



1. In paragraph 2 (a). d) point 5 is added:



"5. the crediting of foreign securities on the account opened abroad for

the person leading a record or writing off foreign securities from the account

conducted abroad for the person leading a register ".



2. in article 3, the following paragraph 7 is added:



"(7) the provisions of paragraphs 1 to 6 shall not apply to foreign persons,

to enable the supervisory authority of another Member State of the European Union

to the provision of investment services. ".



3. in § 5 para. 1, the word "specific" shall be replaced by "other".



4. in § 5 para. 2 footnote 2 reads as follows:



"2) for example, § 4, paragraph 4. 6 of the law on the capital market, in

amended by Act No. 230/2008 Coll. ".



5. § 5 para. 3 of the introductory part of the provisions, the words "(section 28 of the Act)"

replaced by the words "pursuant to section 28 of the Act".



6. in § 5 para. 3 (b). (b)), the words "the person entrusted with the mandatory" shall be replaced by

the words "liable person taken" and after the words "foreign securities"

the words "under section 93 para. 1 (b). (c)) of the Act ".



7. In paragraph 6 (1). 1 (b). (c)), the words "§ 2 (b). (b)) "shall be replaced by

"according to § 2 (2). 1 (b). (j)), "and the square brackets are deleted.



8. In section 6 (1). 1 (b). (d)), the words "(sections 12, 15, 18 and 21)" are replaced by

the words "in accordance with § 12 para. 1 and 2, sections 15, 18 and 21 ".



9. In paragraph 6 of the dot at the end of paragraph 1 is replaced by a comma and the following

the letter e), which reads as follows:



"e) details of the transferable rights separately pursuant to § 12 para. 3. ".



10. In section 6 paragraph 3 reads:



"(3) the owner of the Account maintained for a physical person that has not been allocated

social security number, a designation that also includes the physical person in the register

uniquely identifies the. Securities account opened for the legal entity,

that has not been allocated an identification number, designation,

that uniquely identifies it in the register. ".



11. In paragraph 6 (1). 4 of the introductory part, the words ' provisions in a separate

Register ' are deleted.



12. in section 6 (1). 4 (b). (b)), the word "and" shall be deleted.



13. in section 6 (1). 4 (c)):



"(c)) details of investment instruments according to § 12 para. 1, § 15 para. 1, §

18 paragraph 1. 1 and § 21 para. 1. "



14. in section 6 is at the end of paragraph 4, the following point (d)), which read as follows:



"d) details of the transferable rights separately pursuant to § 12 para. 3. ".



15. in the introductory part of the provisions of paragraph 10, the words "§ 12 para. 3 "are replaced by

the words "in accordance with § 12 para. 1 "and the words" securities and Exchange Commission "

replaced by the words "of the Czech National Bank" and the square brackets are deleted.



16. in paragraph 11 of the first sentence, the words "the units of the mutual

the Fund "shall be replaced by" collective investment securities ", and in the

the second sentence, the words "the conferral of this financial instrument to a third person"

replaced by the words "acceptance of the investment facility by a third party".



17. In the heading of part II, the words ' of INVESTMENT CERTIFICATES of the OPEN

MUTUAL FUND "shall be replaced by the words" SECURITIES of a COLLECTIVE

Investments ".



18. sections 12 to 14, including headings and footnotes, no 5:



"section 12



The information registered on the securities account on the book-entry securities

collective investment undertakings for transferable rights and self



(1) the particulars of the book-entry securities for collective investment on

securities account shall, in particular,



and the type of security)



(b) the particulars of the securities provided for) other legislation ^ 5),



(c) the identification mark under international) numbering system for

identification of securities (ISIN); has not been assigned ISIN

the unique identification of the securities if it has been allocated, the



(d)) the number of pieces of securities,



e) transferability of the securities specified by the issuer.



(2) The owner of the account is based on the order of an authorized person registered

In addition to the data referred to in paragraph 1, the data on the



and) lien securities and an indication of the person of the pledgee

According to § 2 (2). 1 (b). j) of the Act,



(b)) a person authorized to exercise the rights attached to the securities referred to in section 2 of the

paragraph. 2 (a). j) of the Act,



(c) the suspension of the exercise of the right of the owner) to dispose of the securities, the information

about the person pursuant to § 2 (2). 1 (b). j) of the Act, from which the command was

management of securities suspended and the time at which the

management of securities suspended



d) Department separately transferable rights from securities with

indication about what the law is transferable separately, including

uniquely distinguished data.



(3) the particulars of the separately transferable rights separate from

book-entry securities for collective investment,

separately maintained securities account, in particular,



and) specifying separately transferable rights under reference



1. ISIN; or has not been assigned a unique ISIN, another mark,

If you have been allocated, or



2. the description of what the law is transferable separately, with clearly

case information, including identification of securities from which it was

separately transferable right to separate the information pursuant to paragraph 1. (b))

or (c)),



(b)) the number of units of separately transferable rights, if the distribution of

the right to appropriate units.



section 13 of the



Rekonciliace separate registration and related records of dematerialized

collective investment securities



(1) the person leading a separate records of dematerialized securities

collective investment undertakings checked after statements of each operating day, whether

the total number of fungible securities registered in the

securities accounts coincide with the total number of issued securities and

If the total number of separately transferable rights separate from

securities that are recorded in equity accounts, coincides with the

the total number of issued separately transferable rights.



(2) the person leading a follow-up record checked after statements of each

operating day, whether the total number of fungible securities

registered securities equal to the number of fungible accounts

securities registered in the account maintained in a separate customer

Register for the person leading the follow-up records and whether the total number of

separately transferable rights separate from securities that are

recorded in equity accounts, coincide with the total number of separately

transferable rights registered in the customer's account in a separate register

for the person leading the linked records.



§ 14



Keeping records of book-entry securities collective emissions

investing



(1) where, in a separate register on the securities accounts written

book-entry securities for collective investment, the person leading

a separate register of leads for the issuer of the securities register

emissions.



(2) the issue of dematerialized securities of collective

the investment includes



and) information set out in § 12 para. 1 (b). a) to (c)), and (e)),



(b)) an indication of the total number of securities issued by emission of, in



(c)) owner information of securities pursuant to § 2 (2). 1 (b). (j))

the law,



(d)), the number of securities of the individual owners,



e) data on the spoluvlastnících of securities pursuant to § 2 (2). 1 (b). (j))

the law and the size of their co-ownership shares, if in accordance with § 6

paragraph. 2 written on securities accounts,



f) data under section 12 paragraph 1. 2.



(3) the information referred to in paragraph 2 (a). c) to (f)) are in the register of emissions

recorded only when exposed to the extract of the register of emissions.



(4) an extract from the register of emissions shall be drawn up in accordance with the State of the accounts

working day on which the issuer of the extract from the register. Extract from the

issue includes



and the fact that it is), this is an extract from the register in a separate register of emissions

investment instruments



(b) details of the person the head of) a separate register under section 2 (2). 1 (b).

j) of the Act, that extract from the register, issued by emission



(c) the data recorded in the register) emissions in accordance with paragraph 2 (a). a) to (e)) and §

12 paragraph 1. 2 (a). a), b) and (d)); specification of the information in accordance with § 12 para. 1 (b). (b))

It is not necessary, if the statement of the issue register information according to § 12

paragraph. 1 (b). (c)) in conjunction with the trade name of the issuer,



d) operating day, to which the excerpt from the register of emissions is exposed,



e) the day on which it is issued by emission extract from the register.



(5) the extract from the register issued by emission for the purpose of the conversion form

book-entry securities for collective investment contains next to the

the information referred to in paragraph 4, the information about the suspension of the exercise of the rights of the owner

to dispose of the securities, the data of the person pursuant to § 2 (2). 1 (b). (j))

the designation of the law or a court or Government authority, from which the command was

management of securities suspended and the time at which the

management of securities suspended.




(6) the person leading the downstream record keeping will provide, at the request of the person leading the

separate registers for the purposes of the statement from the issue of book-entry

collective investment securities information pursuant to paragraph 3 (b). (c))

to (f)), paragraph 4 (a). (d)), and (e)) and paragraph 5.



(7) for a single transferable rights separate from the book-entry securities

collective investment securities in accordance with § 12 para. 3 shall apply paragraph

1 to 6 apply mutatis mutandis.



5) Law No. 189/2004 Coll. and Act No. 513/1991 Coll., the commercial code, in

as amended. ".



19. in article 15, paragraph 2. 2 (a). and § 18 paragraph 1). 2 (a). and) the words "the United

with the securities "shall be replaced by" of a security with an indication of what

the law is transferable separately, including the uniquely

distinguished data ".



20. in § 17 paragraph 2. 2, section 20 (2). 2 and section 22, the words "account owners"

replaced by the words "securities accounts".



21. in section 21 para. 1 (b). (b)), the word "specific" shall be replaced by

"other" and after the word "regulation" shall be added after the reference to the footnote.

5.



22. in paragraph 2 of article 23. 2 the word "truth" is replaced with "correctness" and

the words "investment securities" shall be replaced by the words "securities

for collective investment ".



Article. (II)



The effectiveness of the



This Decree shall enter into force on 1 January 2000. July 1, 2008.



Governor:



doc. Ing. Tůma, CSc. v. r.