Investment firms and investment intermediaries

The regulations in the investment services area apply to bank and non-bank investment firms (including branches from non-EEA countries), investment intermediaries and tied agents of investment firms and investment intermediaries. To a limited extent these regulations also apply to branches of investment firms from EEA countries.

Further practical information, for example regarding licensing and approval proceedings and the information duty to the CNB, is available on separate pages.

  • Laws and regulations
    (An overview of laws and implementing regulations relating to the given financial sector. Also contains directly binding EU regulations where issued in the given sector).
    • Acts and directly binding EU regulations
    • Decrees
  • Methodological and interpretative documents
    (An overview of current official information, opinions and replies relating to acts and regulations of the given financial sector).
    • Official information
    • Guidelines of European Supervisory Authorities
    • Answers to enquiries
    • Other documents

Note:
The above-mentioned legal rules are for information only. The sole authentic wording of legal rules is the version published in the Collection of Laws or in the CNB Bulletin.