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Reporting obligations

A participant who operates securities accounts is required to regularly provide KDPW SA with the following:

  • daily reports in messages – semt.rc1.001.01, referred to in § 20 subparas. 5 and 6 of the KDPW Detailed Rules of Operation; 

 

  • information indicating those sale transactions(form U14 EN, form U14 PL),executed by participants without a client order, or those whose details do not correspond to a correct client order, which, when these transactions are settled, cause a temporary divergence between the balances on the registration accounts managed for the participant by KDPW and the balances on the corresponding securities accounts, within five days after the end of the month for which the information has been prepared, according to § 30a of the KDPW Rules;

 

  • information on holding balances and trading in State Treasury bonds,
    prepared on a monthly basis, referred to in § 22 of the KDPW Detailed Rules of Operation, pursuant to the Decree of the Minister of Finance of 6 March 2014 (available in Polish) on reporting obligations concerning trading in securities issued by the State Treasury. This information should be submitted to KDPW not later than the seventh business day of each month in the form of a semt.tr1.001.02 message. In response to this message, KDPW will send a semt.tr2.001.02 message, containing the status of the message relating to the Treasury securities.
Criteria for selecting Treasury securities operations

  • information on the number of operated securities accounts and omnibus accounts, on a monthly basis, within 5 days after the end of the month for which the information has been prepared, prepared under § 22a of the KDPW Detailed Rules of Operation
    (form U16 EN, form U16 PL).
    Last modified:13-05-2016 Go up