Legal aspects of activities of an investment intermediary Abstract This thesis deals with the institute of an investment intermediary and selected legal aspects associated with its activities. The aim of the thesis is mainly to define an investment intermediary, its role in the capital market and to analyze some of the duties connected with its activities. The first chapter of the general part of this thesis is devoted to the concepts of the capital market, the services provider in the capital market and the investment service and ancillary service. The current legislation regulating provision of the investment services and activities is outlined. The second chapter conceptually defines investment intermediary and puts it into the context of the capital market. Some problematic issues related to the conceptual characteristics of the investment intermediary are noticed in this part. Especially, the requirements related to the professional competence of the investment intermediary are analyzed in this part and the conclusion in an inappropriate setting of these requirements is presented to the readers. Chapter three analyzes a very frequent cooperation of an investment intermediary and another entity, the tied agent. Certain problematic aspects of this cooperation are noticed, as well as their negative impact...
| Identifer | oai:union.ndltd.org:nusl.cz/oai:invenio.nusl.cz:324218 |
| Date | January 2013 |
| Creators | Hobza, Martin |
| Contributors | Kohajda, Michael, Kotáb, Petr |
| Source Sets | Czech ETDs |
| Language | Czech |
| Detected Language | English |
| Type | info:eu-repo/semantics/masterThesis |
| Rights | info:eu-repo/semantics/restrictedAccess |
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