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National Repository of Grey Literature 1 records found  Search took 0.00 seconds. 
The Know Your Client Principle in the area of the Investment Intermediation
 Šlapáková, Kateřina ; Sejkora, Tomáš (advisor) ; Kotáb, Petr (referee)
and keywords The Know Your Client Principle in the area of the Investment Intermediation The ongoing deeper harmonisation of the financial system regulation within the European Union significantly affected the investment intermediation, i.e. the reception and transmission of orders. The first aim of the theses was to describe the regulation of this area, and for that purpose the related essential terms and possible providers of investment intermediation were discussed, including the description of both European and Czech sources of law. The implementation of MiFID II Directive and related legislation affected primarily the regulation of the investment intermediaries (in Czech investiční zprotředkovatelé), which de facto operate as limited investment firm. This stricter regulation may change the way investment services are distributed in the Czech Republic due to the common tight cooperation between investment firms (in Czech obchodníci s cennými papíry) and investment intermediaries. Another aim of the theses and its core part was to identify how the KYC principle is triggered during investment intermediation (excluding KYC aspects arising from the anti-money laundering regulation). It was found that those KYC aspects include customers' categorization and (mainly) the assessment of suitability and...
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