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On Supervision of Financial Markets by Czech National Bank
Skácelík, David ; Marková, Hana (advisor) ; Kohajda, Michael (referee) ; Švarc, Zbyněk (referee)
1 Abstract This work deals with the performance of supervision over the financial market and the entities operating in the financial market. Part of the work is devoted to consumer protection in the financial market and compensation systems. Because of the fact that the Czech Republic became a member of the European Union in 2004, this work includes also legislation of regulation and supervision of this level, as this treatment significantly predetermines Czech adjustment. Following questions were examined as an example of protecting the interests of clients of supervised entities: - whether there are any tools to protect the client's interests at the level of supervised entities, - what kind of role the supervisory authority has or may have in relation between a supervised entity and its client, - how are the client's financial interests protected in the event of failure of the supervised entity and whether this protection is de lege lata sufficient. The theoretical part of the work briefly describes the institute of supervision, its assorting and forms. The authority of supervisor is discussed in the next part together with the regulations under which the supervision is conducted. Owing to the fact that the scope of supervisory activity of the Czech National Bank is quite extensive, and the objective of...
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Regulation of investment services
Šoupa, Jakub ; Kotáb, Petr (advisor) ; Sejkora, Tomáš (referee)
Regulation of investment services Abstract The main idea of this diploma thesis is first to present the very complex issue of legal regulation of the provision of investment services in the Czech Republic and then to select certain potentially problematic and unclear areas which are analyzed using various research methods and then to reach a clear conclusion on how these concepts and areas should be interpreted in the meaning of the overall regulation of the capital market. The first and second chapters of this thesis define the various concepts that will be repeatedly dealt with in the diploma thesis and which are essential to the following chapters. Next, there is a general introduction to the very broad legal regulation of the provision of investment services which is mainly conceived so that the diploma thesis can only focus on specific selected areas of the regulation of the provision of investment services in the following chapters. The aim of the third chapter is to provide a detailed introduction to and a clear definition of the concept of investment services intermediation, particularly in view of the not entirely clear but very broad range of activities that fall under that concept. The focus of the chapter then moves towards an analysis of the concepts of recommendations and preparatory work. The...
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On Supervision of Financial Markets by Czech National Bank
Skácelík, David ; Marková, Hana (advisor) ; Kohajda, Michael (referee) ; Švarc, Zbyněk (referee)
1 Abstract This work deals with the performance of supervision over the financial market and the entities operating in the financial market. Part of the work is devoted to consumer protection in the financial market and compensation systems. Because of the fact that the Czech Republic became a member of the European Union in 2004, this work includes also legislation of regulation and supervision of this level, as this treatment significantly predetermines Czech adjustment. Following questions were examined as an example of protecting the interests of clients of supervised entities: - whether there are any tools to protect the client's interests at the level of supervised entities, - what kind of role the supervisory authority has or may have in relation between a supervised entity and its client, - how are the client's financial interests protected in the event of failure of the supervised entity and whether this protection is de lege lata sufficient. The theoretical part of the work briefly describes the institute of supervision, its assorting and forms. The authority of supervisor is discussed in the next part together with the regulations under which the supervision is conducted. Owing to the fact that the scope of supervisory activity of the Czech National Bank is quite extensive, and the objective of...
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Implementation of MiFID in the Czech legislation and practice of capital market
Zunová, Kateřina ; Veselá, Jitka (advisor)
Aim of this work is to specify the EU direction 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 focusing on its impact on Czech legal system and changes in practice of capital market. In my thesis, I will define jurisdiction of the direction in my thesis, describe particular changes in the law of entrepreneurship in capital market no. 256/2006 and summarize some of the impacts upon Czech capital market.
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