Report on the structure of the trading and non-trading book (Ocp (ONK) 5-12)

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

Monthly as at the last day of the calendar month (quarterly instead for securities dealers that only receive and transmit client orders or provide investment advice, under Article 54(12) to (14) of the Securities Act). Source

Deadline

Within 25 calendar days of the date it is prepared, except the year-end version, which follows an interim (31 January), regular (30 days after the annual accounts) and extraordinary (25 April) timetable. 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 (1)

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

• Report on the structure of the trading and non-trading book (Ocp (ONK) 5-12)

Template in Annex 1 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

Published only added up across firms. NBS publishes 'Financial sector analytical data', which covers this return's subject. The link to this return is by subject only. Source

Where it is published

• Financial sector analytical data

  Added up across firms · Excel

  Quarterly workbooks of financial stability indicators (assets, liabilities, assets under management, profitability, concentration and others) for banks, insurers, the pension and investment fund sectors, securities dealers, stock exchanges and central securities depositories, published back to 2016. The link between this dataset and the returns listed is by subject only. 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/

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