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Dohledová činnost České národní banky / On Supervision of Financial Markets by Czech National BankSkácelík, David January 2014 (has links)
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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銀行業中「大至不能倒」(Too Big to Fail)現象之防範與法制建構-兼論銀行事前預囑黃卲璿, Huang, Shao Hsuan Unknown Date (has links)
本文所要探討的問題在於如何消弭銀行業中具有「大至不能倒」地位的銀行對整體經濟與金融體系所帶來的負面效應。
為了處理此一問題,本文將從比較法經驗進行歸納分析,理出「大至不能倒」理論在美國法上的面貌,並對「大至不能倒」銀行的界定提出比較法上採取的途徑,之後本文將進入檢閱現有的「大至不能倒」的解決方案,並以本文核心目標:『正視「大至不能倒」銀行的存在,並最小化「大至不能倒」政策適用的餘地!』來檢驗這些解決方案,緊接著本文將提出金融穩定委員會對於「大至不能倒」銀行的「資本強化」、「監理強化」與「復原與退場計畫」這三個監理方案供參酌,本文在結論上強力主張應將「復原與退場計畫」納入我國的法制架構中,為我國未來面對「大至不能倒」議題預做準備,並提出立法建議。
所謂「復原與退場計畫」(銀行事前預囑)是國際上處理「大至不能倒」問題所創造出全新的監理工具,簡介其內容,就是藉由事前周全的計畫使大型銀行在遭遇嚴重的壓力事件(尤其是系統性事件)時能藉由實施事前計劃快速地使財務狀況回復正常,或退而求其次藉由實施事前計畫使銀行能在不影響金融穩定或損及納稅人(即紓困政策)的狀況下退出金融市場。簡而言之其精神在於「卸除大型銀行的系統重要性」。
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