Reports on fees charged to clients and on investment services provided (Ocp (PUK) 13-04 / Ocp (PIS) 2-04)

The facts

Who files

Securities dealers and branches of foreign securities dealers (Decree No 13/2014); banks and branches of foreign banks with investment-service permissions (Decree No 13/2017). Source

How often

Quarterly as at the last day of the calendar quarter. Source

Deadline

Within 25 calendar days of the date it is prepared, except the year-end version of Ocp (PUK) 13-04, which is due by 31 January of the following year. Source

Format

Other. Submitted electronically through the information system named in the decree as 'STATUS DFT' (Collection, processing and storage of statistical data of financial market entities in the Slovak Republic). This may be an earlier name for the Statistics Collection Portal described on NBS's current reporting pages; not confirmed on the pages checked. Source

How it is filed

Filing routes recorded for the NBS: Statistics Collection Portal (IS SCP / IS ŠZP); IS ŠZP - ESAs. See how firms file with the NBS.

Status

In force

Legal basis

• Act No 566/2001 on securities and investment services, Sections 77(7) and 139(5)

Group

Investment firms (national)

Templates (2)

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

• Report on fees charged to clients (Ocp (PUK) 13-04)
• Report on investment services, investment activities and ancillary services (Ocp (PIS) 2-04)

Templates in Annexes 2 and 3 of Decree No 13/2014. Source

Validation rules

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

Public data

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

Official documents (2)

The NBS's own files, with the size and SHA-256 fingerprint of each as downloaded on 13 November 2026, so anyone can tell whether a copy is the same version.

• Opatrenie Narodnej banky Slovenska c. 13/2014 o predkladani vykazov, hlaseni a inych sprav obchodnikmi s cennymi papiermi a pobockami zahranicnych obchodnikov s cennymi papiermi na ucely vykonavania dohladu (Slovak original, as amended)

  Legal text · PDF · 542.8 KB · 29 July 2014

  No English translation was found; read in Slovak. Contains, as annexes, templates for 5 of the securities dealer statements.

  SHA-256 dcfe908ec41cshow in fullhide

  dcfe908ec41c906c8bf4f53dd4fffb1edd95c2eb5c78f55f76903aae40d8f74b
• Decree of Narodna banka Slovenska No 13/2017 on reporting by banks and foreign bank branches for supervision purposes (English translation, as amended)

  Legal text · PDF · 35.0 KB · 12 December 2017

  Also contains, as annexes, the templates and completion instructions for 13 of the bank statements.

  SHA-256 94339f635465show in fullhide

  94339f635465709da854860969594c42aa19141f4fd8c8136b5a2e52c9d03128

Sources

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

• nbs.sk/en/dohlad-nad-financnym-trhom/legislativa/legislativa/detail-dokumentu/decree-of-narodna-banka-slovenska-of-29-july-2014-no-13-2014-on-the-submitting-of-statements-reports-and-other-disclosures-by-investment-firms-and-branches-of-foreign-investment-firms-for-the-supervi/
• nbs.sk/en/dohlad-nad-financnym-trhom/legislativa/legislativa/detail-dokumentu/decree-of-narodna-banka-slovenska-no-13-2017-on-reporting-by-banks-and-foreign-bank-branches-for-supervision-purposes/

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