Investment firms, trading facilities and settlement systems

Investment firms, trading facilities and settlement systems submit statements, reports and other information pursuant to:

• Decree No. 424/2017 Coll. (pdf, 216 kB, available in Czech only), on reporting duties of some entities operating on the capital market, and its justification (pdf, 131 kB, available in Czech only),
• Official Information of the Czech National Bank of 27 April 2020 (pdf, 845 kB, available in Czech only) regarding some provisions of decrees on reporting by banks and foreign bank branches, credit unions and investment firms to the Czech National Bank.
  • Annex 3 – Information on a consolidated group (xlsx, 139 kB, available in Czech only).

    (submission of supplementary information on a consolidated group that is not included in statement "OCP (ČNB) 80-01 Report on the structure of the consolidated group" and is sent outside the automated system).

Additionally, investment firms, trading facilities and settlement systems submit statements, reports and other information pursuant to:

• MiFID II – Directive 2014/65/EU of the European Parliament and of the Council (external link) on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU; transposed into Act No. 256/2004 Coll., the Capital Market Undertakings Act, by Act No. 204/2017 Coll.,
• MiFIR – Regulation (EU) No. 600/2014 of the European Parliament and of the Council (external link) on markets in financial instruments and amending Regulation (EU) No. 648/2012,
• Commission Delegated Regulation (EU) No 2017/590 (external link) supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities (RTS 22),
• Commission Delegated Regulation (EU) 2017/585 (external link) supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the data standards and formats for financial instrument reference data and technical measures in relation to arrangements to be made by the European Securities and Markets Authority and competent authorities (RTS 23),
• Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II (external link).

In addition, investment firms are governed by selected legislation on supervisory reporting by banks.