Obligation to submit: Application for a permit to operate as an investment intermediary, application for a permit to operate as a regulated market organiser, application for a permit to operate a settlement system with irrevocable settlement, application for a permit to operate as a central counterparty, application for a permit to provide investment services through a branch of a foreign person, application for registration of another business activity of a securities dealer or a regulated market organiser, an application for accreditation or change of accreditation and for extension of accreditation, an application for permission to convert or to conclude an agreement on transfer, pledge or lease of a business establishment or part thereof, an application for approval to acquire or increase a qualified participation in a regulated market organiser or to control it, an application for registration in the list of receivers and liquidators, notification of a change in the conditions of accreditation.

Obligation to report: FIM (CNB) 20-97 "Information on closed, settled and cancelled trades and transfers", FIM (CNB) 30-97 "Information on all instructions received", FIM (CNB) 11-97 "Additional information on closed, settled and cancelled trades and transfers", REF (CNB) 10-97 "Information on investment instruments, information on orders, trades and transfers', REF (CNB) 30-97 'Information on persons', statements pursuant to directly applicable European Union regulations governing capital markets or prudential requirements for credit institutions and investment firms and directly applicable European Union regulations implementing them.

Obligation to report: FIM (CNB) 12-97 "Information on trades in investment instruments for trading systems", FIM (CNB) 40-97 "Information on orders in a trading system", FIM (CNB) 50-97 "Information on settlement of trades and transfers", FIM (CNB) 60-97 'Information on prices and volumes of trades', FIM (CNB) 70-97 'Information on indices', REF (CNB) 20-97 'Information on instruments received for settlement', REF (CNB) 40-97 'Information on participants in a trading system and a settlement system with settlement irrevocability', reports pursuant to directly applicable European Union regulations governing capital markets or prudential requirements for credit institutions and investment firms and directly applicable European Union regulations implementing them.

Obligation to report: MKT (CNB) 51-12 "Overview of securities held by customers", MKT (CNB) 52-12 "Overview of other investment instruments held by customers", MKT (CNB) 53-12 "Overview of cash held by customers", MKT (CNB) 54-12 "Overview of changes in the number of investment instruments held by customers", MKT (CNB) 55-12 'Overview of changes in customer funds held by customers', statements according to directly applicable European Union regulations governing capital markets or prudential requirements for credit institutions and investment firms and directly applicable European Union regulations implementing them.

Obligation to submit reports: FIN (IND) 01-12 "Financial Information (FINREP) on an individual basis", FIN (CON) 01-04 "Financial Information (FINREP) on a consolidated basis", OCP (CNB) 48-04 "Organisational Structure and Qualified Holdings", reports according to directly applicable European Union regulations governing capital markets or prudential requirements of credit institutions and investment firms and according to directly applicable European Union regulations implementing them.