1 Abstract Financial market regulation and tole of compliance function in the Czech Republic The topic of this diploma thesis is the evaluation of the current legislative regulation of financial markets in the Czech Republic, the principles of their regulation and related supervision. The next part of the work is devoted to the complex characteristics of the compliance function and the concept of corporate governance inextricably linked with it. The subject of the compliance function is comprehensively analysed in the work to define its scope and the regulations by which it is defined. Although the compliance function is present in many areas of business activities, this work is focused primarily on financial markets and specifically on banking. The first part of the thesis describes the characteristics of financial markets, the need for their regulation and supervision. The second part contains an analysis of legislative and non-legislative regulation of financial markets, both at the national, international and European Union level. Special attention is paid to the CNB and its efforts to mediate legal binding for non-legislative acts and the associated analysis of their enforceability. The third part of the thesis defines the content and activities of the compliance and corporate governance functions,...
| Identifer | oai:union.ndltd.org:nusl.cz/oai:invenio.nusl.cz:455841 |
| Date | January 2022 |
| Creators | Panocha, Tomáš |
| Contributors | Kotáb, Petr, Vybíral, Roman |
| 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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