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Distribution of financial instruments
Hobza, Martin ; Kohajda, Michael (advisor) ; Kotáb, Petr (referee)
in English language Distribution of financial instruments This thesis deals with the issue of distribution of financial instruments and its legal regulation. The aim of the thesis is to theoretically define, within the financial law systematically classify and analyze the issue of legal framework for the distribution of financial instruments. The secondary objective is to highlight the partial incoherence of legislation regulating the various forms of distribution and propose possible solutions. The first two chapters of this thesis are devoted to general theoretical issues related to the present topic, among others to the concepts of distribution in the financial market and financial instrument. The third chapter deals with investors as addressees of distribution and with the various categories of distributors and analyzes the extent of their qualification in the area of distribution of financial instruments. The chapter four analyzes the different legal forms of distribution of financial instruments with a focus on marketing of investment funds. Within particular chapters, author's views on the issue are given, including proposals de lege ferenda. Finally, the draft of legislative amendments in the area of distribution of financial instruments, representing participation in the investment fund is...
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Legal aspects of activities of an investment intermediary
Hobza, Martin ; Kohajda, Michael (advisor) ; Kotáb, Petr (referee)
Legal aspects of activities of an investment intermediary Abstract This thesis deals with the institute of an investment intermediary and selected legal aspects associated with its activities. The aim of the thesis is mainly to define an investment intermediary, its role in the capital market and to analyze some of the duties connected with its activities. The first chapter of the general part of this thesis is devoted to the concepts of the capital market, the services provider in the capital market and the investment service and ancillary service. The current legislation regulating provision of the investment services and activities is outlined. The second chapter conceptually defines investment intermediary and puts it into the context of the capital market. Some problematic issues related to the conceptual characteristics of the investment intermediary are noticed in this part. Especially, the requirements related to the professional competence of the investment intermediary are analyzed in this part and the conclusion in an inappropriate setting of these requirements is presented to the readers. Chapter three analyzes a very frequent cooperation of an investment intermediary and another entity, the tied agent. Certain problematic aspects of this cooperation are noticed, as well as their negative impact...
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Distribution of financial instruments
Hobza, Martin ; Kohajda, Michael (advisor) ; Kotáb, Petr (referee)
in English language Distribution of financial instruments This thesis deals with the issue of distribution of financial instruments and its legal regulation. The aim of the thesis is to theoretically define, within the financial law systematically classify and analyze the issue of legal framework for the distribution of financial instruments. The secondary objective is to highlight the partial incoherence of legislation regulating the various forms of distribution and propose possible solutions. The first two chapters of this thesis are devoted to general theoretical issues related to the present topic, among others to the concepts of distribution in the financial market and financial instrument. The third chapter deals with investors as addressees of distribution and with the various categories of distributors and analyzes the extent of their qualification in the area of distribution of financial instruments. The chapter four analyzes the different legal forms of distribution of financial instruments with a focus on marketing of investment funds. Within particular chapters, author's views on the issue are given, including proposals de lege ferenda. Finally, the draft of legislative amendments in the area of distribution of financial instruments, representing participation in the investment fund is...
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Legal aspects of activities of an investment intermediary
Hobza, Martin ; Kohajda, Michael (advisor) ; Kotáb, Petr (referee)
Legal aspects of activities of an investment intermediary Abstract This thesis deals with the institute of an investment intermediary and selected legal aspects associated with its activities. The aim of the thesis is mainly to define an investment intermediary, its role in the capital market and to analyze some of the duties connected with its activities. The first chapter of the general part of this thesis is devoted to the concepts of the capital market, the services provider in the capital market and the investment service and ancillary service. The current legislation regulating provision of the investment services and activities is outlined. The second chapter conceptually defines investment intermediary and puts it into the context of the capital market. Some problematic issues related to the conceptual characteristics of the investment intermediary are noticed in this part. Especially, the requirements related to the professional competence of the investment intermediary are analyzed in this part and the conclusion in an inappropriate setting of these requirements is presented to the readers. Chapter three analyzes a very frequent cooperation of an investment intermediary and another entity, the tied agent. Certain problematic aspects of this cooperation are noticed, as well as their negative impact...
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The legal framework of investment services provision
Hobza, Martin ; Bakeš, Milan (advisor) ; Tomášek, Michal (referee) ; Radvan, Michal (referee)
The legal framework of investment services provision This thesis deals with the issue of legal framework of investment services provision. The aim of the thesis is to theoretically define and analyse the issue of selected investment services and rules governing their provision. The first two chapters of the thesis are devoted to general theoretical issues related to the topic, among others to the reasons of regulation of investment services provision and impact of the EU law on the present topic. The third chapter deals with the characteristics and structuring of investment services. The chapter four characterises the investment services and activities and analyses the investment service reception and transmission of orders in relation to financial instruments. The chapter five is devoted to investment advice. The chapter six analyses the legal instruments of protection of the client as an investment services addressee. Finally, the draft of measures designed to increase the level of client protection is proposed. Within the whole thesis, the author presents his interpretation of the disputable questions of the present topic.
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