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, 301 kB, available in Czech only), on reporting duties of some entities operating on the capital market,
• Official Information of the Czech National Bank of 19 December 2023 (pdf, 375 kB, available in Czech only) on risk management requirements for small and non-connected investment firms

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.