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National Repository of Grey Literature 2 records found  Search took 0.00 seconds. 
Legal aspects of investment intermediary business
 Chod, Karel ; Kohajda, Michael (advisor) ; Kotáb, Petr (referee)
This thesis analyzes the legal aspects of investment intermediary business. Legislation is confronted with the practice and appropriate solutions are proposed. In work are defined basic concepts of investment intermediation, such as investment agent or tied agent, in the context of their mutual relations and obligations. Rigorous work focuses on the relationship of investment intermediary firms and brokerage firms. In particular, it examined the relevance of supervision by a trader in securities. Work also described tha lack of requirements for the registration of an investment intermediary firm. This fact has very important consequences in the practical business of an investment intermediary. Potential researcher also can find analysis of the current supervision over the capital market in Czech Republic. The issue of practice under state control is also defined. In the work is also included the analysis of the relationship of administrative proceedings and state control. Much of work is dedicated to the professional care with respect to excessive trading or churning. Rigorous work includes a comparison of domestic legislation and practice with the legislation and practice in the USA. Custom solutions are designed with ambition to eliminate this unethic practices. At the end of the work is included...
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Illegal operation in the capital markets
 Dryml, Lukáš ; Musílek, Petr (advisor) ; Dobrovolný, Marek (referee)
This thesis will deal with the illegal operations and practices which are carried on the capital market in the Czech Republic. Capital markets in the Czech Republic are relatively new financial market sector. Despite improving regulation and supervision law is being broken. The thesis defines the essential characteristics of illegal practices associated with investing in capital markets, focusing on the illegal practice of excessive trading. This thesis describes the relationship between the investor and the broker from initial contact to the moment of withdrawal of the license of a brokerage firm and next step of investor. During this process the thesis will pay attention to the broker fee, compare the fees for trading between selected dealers. At the end of this thesis, the author tries to propose solutions to the problem of illegal practice of excessive trading.
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