Registration - Investment intermediaries

In connection with the launch of the basic registers system on 1 July 2012, some changes have been made in licensing and approval proceedings, as described in the document entitled Information on planned changes in licensing and approval proceedings in connection with the basic registers (pdf, 203 kB, available in Czech only).

Official information, methodological documents

• Official Information of 5 August 2020 (pdf, 255 kB) regarding the interpretation of the terms trustworthiness and competence 
• Other official information, methodological documents - available in Czech only

Application forms

• registration of an investment intermediary in the field of supplementary pension savings (REGIS - available in Czech only)
• registration of an investment intermediary (REGIS - available in Czech only, doc, 67 kB), (pdf, 64 kB)
  • mandatory annexes to the application pursuant to Section 22 of Decree No. 233/2009 Coll.
  • Declaration of professional qualification (doc, 44 kB) (pdf, 1 MB) - available in Czech only
• entry in the list of tied agents (xls, 514 kB)
  • methodology for completing the application (pdf, 23 kB)

Questionnaire forms for the assessment of entities in compliance with 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)