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In forceInvestment firms and brokerage activity of banks (national)Last checked 11 November 2026

Quarterly sales activity report (SPRAW_DZIAL_SPRZEDAZ)

A regulatory return listed by the Polish Financial Supervision Authority (KNF), Poland.

A quarterly report on the firm's sales activity: purchases and sales of financial instruments and derivatives for retail and professional clients and eligible counterparties, order transmission, offerings, fund units, client agreements and accounts, agents, outsourced activities, structured deposits, energy products on OTFs and PRIIPs (template tables). Source

Official title: Kwartalne sprawozdanie z działalności sprzedażowej

The facts

Who files
Brokerage houses, brokerage offices, banks under Article 70(2) of the Act on trading, branches of foreign investment firms carrying on brokerage business in Poland and foreign legal persons in respect of their branch's business (sales activity page). Source
How often
For each calendar quarter (sales activity page). Source
Deadline
Within one month from the end of the quarter the report covers (sales activity page; map). If business starts after the start of a quarter, the report covers the period from the start of business to the end of that quarter (map). Source
Format
Other. Sent on the ESPI form SPRAW_DZIAL_SPRZEDAZ (map); KNF publishes the model report as an Excel workbook (annex 12 of the regulation). Source
How it is filed
Filing routes recorded for the KNF: ESPI (Elektroniczny System Przekazywania Informacji, Electronic Information Transmission System); Portal KNF (KNF Portal), with the Data Transmission Application (ATD); WebService KNF; CRP communication subsystem (Podsystem Komunikacji CRP), including the DORA Reporting System (SSD); e-RUP reporting forms; Aplikacja Sprawozdawcza SNU (Reporting Application); NBP SIS (reporting system of Narodowy Bank Polski). See how firms file with the KNF.
Status
In force
Legal basis
Group
Investment firms and brokerage activity of banks (national)

Templates (20)

The tables and forms inside the return. Plain name first, the KNF's code in brackets.

  • Part IA: purchases and sales of financial instruments (excluding derivatives) and number of clients: domestic and foreign instruments (TAB 1a)
  • Part IB: purchases and sales of financial instruments and number of clients: foreign instruments only (TAB 1b)
  • Part IC: receiving and transmitting orders to another investment firm and executing orders by passing them to another investment firm: domestic and foreign instruments (TAB 1c)
  • Part ID: receiving and transmitting orders to another investment firm and executing orders by passing them to another investment firm: foreign instruments only (TAB 1d)
  • Part IIA: purchases and sales of derivatives and number of clients: domestic and foreign instruments (TAB 2a)
  • Part IIB: purchases and sales of derivatives and number of clients: foreign derivatives only (TAB 2b)
  • Part IIC: receiving, transmitting and passing on orders in derivatives: domestic and foreign instruments (TAB 2c)
  • Part IID: receiving, transmitting and passing on orders in derivatives: foreign derivatives only (TAB 2d)
  • Part IIIA: offering and issues of financial instruments (TAB 3a)
  • Part IIIB: offering and issues of financial instruments through agents (TAB 3b)
  • Part IV: units of collective investment undertakings (other than investment certificates and ETF units) (TAB 4)
  • Part VA: agreements for services under Article 69 of the Act (TAB 5a)
  • Part VB: number of clients (TAB 5b)
  • Part VC: number of financial instrument accounts held (excluding shareholder registers) (TAB 5c)
  • Part VI: data on agents of investment firms (TAB 6)
  • Part VII: activities outsourced under Article 79(2b) of the Act (TAB 7)
Show all 20 templates
  • Part VIII: structured deposits (TAB 8)
  • Part IX: wholesale energy products traded on an OTF (TAB 9)
  • Part X: PRIIPs that are not financial instruments (excluding structured deposits) (TAB 10)
  • Additional explanations (Dodatkowe wyjaśnienia)

Sheets of KNF's model quarterly sales activity report (title page not counted). Columns are split into retail clients (D), professional clients (P) and eligible counterparties (U). Source

Validation rules

No published validation rules were found for this return. No validation rules for this return were found on the pages checked. Source

Public data

No published data from this return was found. No data from this return published by KNF was found on the pages checked. Source

Official documents (7)

The KNF's own files, with the size and SHA-256 fingerprint of each as downloaded on 11 November 2026, so anyone can tell whether a copy is the same version.

Sources

Every page and document this return's facts were read from.

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Źródło: Komisja Nadzoru Finansowego, www.knf.gov.pl (https://www.knf.gov.pl) and https://sprawozdawczosc.knf.gov.pl. Source: Polish Financial Supervision Authority (KNF).

Last checked 11 November 2026.