Obligation of the competent financial institution to obtain, as appropriate: prior approval pursuant to Section 16(1) of the Banking Act for 1. the conclusion of an agreement resulting in any disposition of the business establishment or any part thereof, 2. a decision of the General Meeting of Shareholders on the dissolution of the bank, 3. a merger or division of the bank or the transfer of assets to the bank as a shareholder, 4. a decision of the General Meeting of Shareholders on the reduction of the bank's share capital, unless the reduction of the bank's share capital is to cover a loss, 5. a resolution of the general meeting pursuant to Section 7a(1)(c) of the Banking Act; prior approval of a licence for a foreign bank from a non-Member State that intends to establish a branch in the Czech Republic pursuant to Section 5(1) of the Banking Act; documents demonstrating the credibility and experience of the managers of a financial holding company or a mixed financial holding company.

Obligation of a credit union to obtain, as applicable: prior approval for 1. the conclusion of an agreement resulting in any disposition of the business establishment or any part thereof pursuant to Section 1(7) of the Credit Union Act, 2. a merger or division of a credit union pursuant to Section 13(7) of the Credit Union Act, 3. 6 in conjunction with Section 5a(3) of the Act on Credit Unions, 3. a decision of the members' meeting to reduce the amount of the basic membership deposit pursuant to Section 5a(3) of the Act on Credit Unions, 4. a decision of the members' meeting to dissolve the credit union pursuant to Section 5a(3) of the Act on Credit Unions.

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.