Key regulations - Komisja Nadzoru Finansowego

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General information about trading in financial instruments

Key regulations

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EU directives and regulations

  1. Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (MiFID)
  2. Commission Directive 2006/73/EC of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive (MiFID Level 2)
  3. Commission Regulation (EC) No 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive (EMIR)
  4. Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories
  5. Regulation (EU) No 596/2014 of the European Parliament and of the Council of 16 April 2014 on market abuse (market abuse regulation) and repealing Directive 2003/6/EC of the European Parliament and of the Council and Commission Directives 2003/124/EC, 2003/125/EC and 2004/72/EC (MAR)

Acts of statutory law 

  1. Act of 29 July 2005 on trading in financial instruments
  2. Act of 29 July 2005 on capital market supervision 
  3. Act of 26 October 2000 on commodity exchanges

National regulations

  1. Regulation of the Minister of Finance of 24 September 2012 on the procedure and conditions to be followed by investment firms, banks referred to in Article 70(2) of the Act on trading in financial instruments, and custodian banks
  2. Regulation of the Minister of Finance of 24 September 2012 laying down detailed technical and organisational conditions for investment firms, banks referred to in Article 70(2) of the Act on trading in financial instruments, and custodian banks and conditions of estimating internal capital by brokerage houses
  3. Regulation of the Minister of Finance of 18 November 2009 on the scope and detailed rules for determination of the total capital requirement, including capital requirements, for brokerage houses, and on the maximum amount of loans and debt securities issued in relation to capitals

Other EU and national regulations (recommendations, guidelines)

  1. Principles of corporate governance for supervised institutions, adopted by Resolution of the Polish Financial Supervision Authority of 22 July 2014 (available only in polish)
  2. Guidelines for providing brokerage services on the OTC derivatives market (available only in polish)