Methodological and interpretative documents
Official information
- Prudential rules - Official Information
- Official Information of 5 August 2020 (pdf, 255 kB) regarding the interpretation of the terms trustworthiness and competence
- Official Information of 17 January 2014 (pdf, 94 kB) regarding the conditions of admissibility of inducements in the distribution of certain products on the financial market – is affected by Act No. 204/2017 Coll. amending Act No. 256/2004 Coll., Capital Market Undertakings Act, as amended, and other related acts and directly effective regulations of the European Union concerning market abuse, an update is being prepared
Guidelines of European Supervisory Authorities
- EBA Guidelines on the application of the group capital test for investment firm groups in accordance with Article 8 of Regulation (EU) 2033/2019 (EBA/GL/2024/03, external link)
- EBA Guidelines on benchmarking of diversity practices, including diversity policies and gender pay gap, under Directive 2013/36/EU and Directive (EU) 2019/2034 (EBA/GL/2023/08, external link)
- ESMA Guidelines on MiFID II product governance requirements (ESMA35-43-3448, external link)
- ESMA Guidelines on certain aspects of the MiFID II suitability requirements (ESMA35-43-3172, external link)
- ESMA Guidelines on certain aspects of the MiFID II remuneration requirements (ESMA35-43-3565, external link)
- Joint EBA and ESMA Guidelines on common procedures and methodologies for the supervisory review and evaluation process (SREP) under Directive (EU) 2019/2034
- EBA Guidelines on the data collection exercises regarding high earners under Directive 2013/36/EU and under Directive (EU) 2019/2034 (EBA/GL/2022/08, external link)
- EBA Guidelines on the benchmarking exercises on remuneration practices and the gender pay gap under Directive (EU) 2019/2034 (EBA/GL/2022/07, external link)
- EBA Guidelines on the criteria for the exemption of investment firms from liquidity requirements in accordance with Article 43(4) of Regulation (EU) 2019/2033 (EBA/GL/2022/10, external link)
- EBA Guidelines on internal governance under Directive (EU) 2019/2034 (EBA/GL/2021/14, external link)
- EBA Guidelines on sound remuneration policies under Directive (EU) 2019/2034 (EBA/GL/2021/13, external link)
- Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders under Directive 2013/36/EU and Directive 2014/65/EU (EBA/GL/2021/06, ESMA35-36-2319, external link)
- ESMA Guidelines on delay in the disclosure of inside information and interactions with prudential supervision (ESMA70-159-4966, pdf, 158 kB)
- ESMA Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements (ESMA35-43-3006, external link)
- ESMA Guidelines on outsourcing to cloud service providers (ESMA50-164-4285, external link)
- Guidelines for the assessment of knowledge and competence (ESMA/GL/2015/1886; external link)
- ESMA Guidelines on certain aspects of the MiFID II compliance function requirements (ESMA35-36-1952; external link)
- EBA Guidelines on outsourcing arrangements (EBA/GL/2019/02, external link)
- ESMA guidelines on the application of C6 and C7 of Annex 1 of MiFID (ESMA-70-156-869, external link)
- Joint Committee Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors (JC 2018 35, external link)
- ESMA Guidelines on cross-selling practices (ESMA/2015/574, external link)
- ESMA Guidelines on complex debt instruments and structured deposits (ESMA/2015/1787, external link)
- Guidelines on certain aspects of the MiFID II suitability requirements (ESMA35-43-1163, external link)
- EBA Guidelines on uniform disclosures under Article 473a of Regulation (EU) No 575/2013 as regards the transitional period for mitigating the impact of the introduction of IFRS 9 on own funds (external link)
- Joint Guidelines on the prudential assessment of acquisitions and increases of qualifying holdings in the financial sector (JC/GL/2016/01, external link)
- EBA Guidelines on ICAAP and ILAAP information collected for SREP purposes (EBA/GL/2016/10, external link)
- EBA Guidelines on sound remuneration policies under Articles 74(3) and 75(2) of Directive 2013/36/EU and disclosures under Article 450 of Regulation (EU) No 575/2013 (EBA/GL/2015/22, external link)
- Joint Committee Guidelines on complaints-handling for the securities (ESMA) and banking (EBA) sectors (JC/2014/43, external link)
- Guidelines on certain aspects of the MiFID compliance function requirements (ESMA/2012/388) (pdf, 443 kB)
- Risk measurement and the calculation of global exposure for certain types of structured UCITS (pdf, 270 kB)
- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities (pdf, 416 kB)
- Guidelines on certain aspects of the MiFID suitability requirements (ESMA/2012/387) (pdf, 448 kB)
Questions and answers
- List of the CNB Opinions regarding special regulatory questions (available in Czech only) is published in a separate web application
- CNB answers to frequently asked questions (FAQ, available in Czech only)
- Questions and answers of the European Commission and ESMA regarding MiFID
- Questions and answers of the Commission and the EBA regarding financial market regulation (Single Rulebook Q&A) (external link) – to Regulation (EU) No 575/2013 (CRR) of the European Parliament and of the Council on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012, to Regulation (EU) 2017/2402 (SecReg) laying down a general framework for securitisation and creating a specific framework for simple, transparent and standardised securitisation, to Regulation (EU) No 648/2012 (EMIR) of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories, to Regulation (EU) No 909/2014 (CSDR) of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories, to Regulation (EU) 2015/847 (WTR) on information accompanying transfers of funds and to Regulation (EU) 2015/751 (IFR) of the European Parliament and of the Council of 29 April 2015 on interchange fees for card-based payment transactions, to Directive 2013/36/EU (CRD) of the European Parliament and of the Council on access to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, to Directive 2014/59/EU (BRRD) of the European Parliament and of the Council establishing a framework for the recovery and resolution of credit institutions and investment firms, to Directive 2014/49/EU (DGSD) of the European Parliament and of the Council on deposit guarantee schemes, to Directive (EU) 2015/2366 (PSD2) of the European Parliament and of the Council on payments services in the internal market, to Directive 2014/17/EU (MCD) of the European Parliament and of the Council on credit agreements for consumers relating to residential immovable property, Directive 2008/48/EC (CCD) of the European Parliament and of the Council on credit agreements for consumers, Directive (EU) 2015/849 (AMLD) of the European Parliament and of the Council on the prevention of the use of the financial system for the purposes of money laundering or terrorist financing, to Directive 2014/92/EU (PAD) on the comparability of fees related to payment accounts, payment account switching and access to payment accounts with basic features, to Directive 2009/110/EC (EMD) on the taking up, pursuit and prudential supervision of the business of electronic money institutions, to Directive 2002/65/EC (DMD) concerning the distance marketing of consumer financial services and to binding technical standards (RTS, ITS) and EBA guidelines (GL)
Other documents
- Information on the CNB's approach to disclosure of information pursuant to Regulation (EU) No 575/2013 and Decree No 163/2014 Coll. in the light of COVID-19 (available in Czech only)
- EBA lists (external link) with information relevant for calculation of credit risk capital requirements pursuant to Regulation (EU) No. 575/2013
- ESMA Registers (external link)
- List of regulated markets, multilateral and organised trading facilities and systematic internalisers (external link) pursuant to Article 2(2) and (3) of Act No. 256/2004 Coll., as amended
- Other documents (available in Czech only)