Report on the securities dealer's or branch's ownership instrument (Ocp (KLO) 14-04 / Ocp (KLP) 15-04)

The facts

Who files

Securities dealers authorised in Slovakia under Decree No 13/2014. A smaller list applies to branches of foreign securities dealers. 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. 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 the securities dealer's ownership instrument (Ocp (KLO) 14-04)
• Report on the foreign branch's ownership instrument (Ocp (KLP) 15-04)

Templates in Annexes 5 and 6 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 (1)

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

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/

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. Line4 builds SupTech software for financial regulators that runs checks like these as each return arrives.