My links
Related links
- Banks
- Credit unions
- Insurance and reinsurance companies
- Insurance intermediaries and independent loss adjusters
- Investment firms
- Investment intermediaries
- Management companies
- Collective investment funds
- Pension funds
- Payment institutions
- Electronic money institutions
- Financial conglomerates
- Issuers
- Regulated markets
- Bureaux-de-change
- Other
Further information
External links
Licensing and approval proceedings - Investment firms
Specimen application forms and the content of their annexes and related applications are stipulated in Decree No. 233/2009 Coll. (see below).
Decrees
- Decree No. 233/2009 Coll. (pdf, 239 kB) on Applications, Approval of Persons and the Manner of Proving Professional Qualifications, Trustworthiness and Experience of Persons, and on the Minimum Amount of Funds to be Provided by a Foreign Bank to its Branch, as amended by Decree No. 192/2011 Coll
Official information, methodological documents - available in Czech only
Application forms:
- an investment firm licence, regulated market operator licence, central depository licence or a licence to operate a settlement system (doc, 201 kB, pdf, 76 kB)
- a prior consent to perform the duties of a senior officer (doc, 158 kB, pdf, 79 kB) - version valid until 15 July 2011, new version is available in Czech only
- mandatory annexes to the application pursuant to Section 15 of Decree No. 233/2009 Coll.
- an authorisation to provide investment services via an organisational unit of a foreign entity having its registered office in a country that is not a Member State of the European Union (doc, 164 kB, pdf, 68 kB)
- mandatory annexes to the application pursuant to Section 14 of Decree No. 233/2009 Coll.
- a consent to the acquisition of or increase in the qualifying holding of a regulated legal entity / to control a regulated legal entity (doc, 167 kB, pdf, 79 kB) - version valid until 15 July 2011, new version is available in Czech only
- mandatory annexes to the application for consent to the acquisition of or increase in the qualifying holding of a regulated legal entity pursuant to Section 18 of Decree No. 233/2009 Coll.
- mandatory annexes to the application for consent to control a regulated legal entity pursuant to Section 19 of Decree No. 233/2009 Coll.
- a permit for transformation or conclusion of an agreement on transfer, pledge or lease of an enterprise or part thereof (doc, 76 kB, pdf, 65 kB) - version valid until 15 July 2011, new version is available in Czech only
- mandatory annexes to the application pursuant to Section 21 of Decree No. 233/2009 Coll.
- entry in the list of liquidators and receivers (doc, 130 kB, pdf, 73 kB)
- mandatory annexes to the application pursuant to Section 24 of Decree No. 233/2009 Coll.
- registration of other business activities (doc, 63 kB, pdf, 62 kB) - version valid until 15 July 2011, new version is available in Czech only
- mandatory annexes to the application pursuant to Section 25 of Decree No. 233/2009 Coll.
- entry in the list of tied agents (xls, 63 kB)
Questionnaire forms for some applications pursuant to the Capital Market Undertakings Act:
- Questionnaire for assessment of professional qualifications, trustworthiness and experience of a senior officer of an investment intermediary or of a person proposed for an executive managerial position in a financial holding entity (doc, 117 kB, pdf, 27 kB)
- Questionnaire containing legal and other aspects relating to the acquisition of a qualifying holding (doc, 55 kB, pdf, 17 kB)