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Regulation and self-regulation in financial intermediation
Palusková, Jitka ; Ježek, Tomáš (advisor) ; van Koten, Silvester (referee)
The diploma thesis focuses on the problems of regulation of financial intermediaries and reviews the contemporary situation in the financial market of the Czech Republic. In the introductory part subjects that can provide financial services and circumstances under which these services are possible are defined. The introduction also outlines the framework for controlling, its planned development, state institutions supervising this process and the up-to-date state of self-regulation by the financial intermediaries themselves. The main part of the thesis is devoted to contemporary key topics in the field (mis-selling, providing of misleading or incomplete information, reinsurance, promotion of excessive trading, low expertise, reward system etc.), supervision by the state and the attitude of financial intermediaries to these activities.. The aim of the thesis is to find a functional relationship between the set of rules defined by legislation and the internal self-regulatory system of the financial intermediaries.
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Codes of ethics in the sector of financial institutions
Rezková, Petra ; Vymětal, Petr (advisor) ; Lisa, Aleš (referee)
This thesis deals with the codes of ethics and their role in the financial organizations.The first part outlines the theoretical significance and function code of ethics, its characteristics, development, advantages and disadvantages. The second part continues with a more detailed examination of codes of ethics in the business and financial sectors, including the dismantling of the phenomenon of corporate social responsibility. The importance of the implementation of codes of ethics is illustrated on the example of the financial crisis in the U.S.. The aim is to assess the comprehension of current codes, and practical examples show the differences between ethical codes in specific organizations of the financial sector in the Czech Republic, and to draw conclusions for the creation of an "ideal" code of ethics, if one exists.
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Institutional Framework of the Financial Market and Regulatory Issue
Jurošková, Lenka ; Pošta, Vít (advisor) ; Půlpánová, Stanislava (referee)
The first aim of this thesis is to tackle the deficiencies within the system of financial regulation. Furthermore, it aims to assess the submitted and even the already adopted proposals. The aims cannot be achieved without an analysis of the causes of the global financial crisis 2007-2009, because it helps to understand a range of deficiencies in the system of financial regulation. A global financial crisis of that magnitude cannot be traced to a single cause but was instead the result of multiple interconnected causes, which are examined at the macroeconomic as well as microeconomic level.
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