N_RDFT Financial Markets Regulation and Supervision

University of Finance and Administration
Winter 2026
Extent and Intensity
2/0/0. 3 credit(s). Type of Completion: z (credit).
Teacher(s)
JUDr. Denisa Jindřichová, Ph.D. (lecturer)
Guaranteed by
JUDr. Denisa Jindřichová, Ph.D.
Department of Finance – Departments – University of Finance and Administration
Contact Person: Ivana Plačková
Course Enrolment Limitations
The course is offered to students of any study field.
Course objectives
The course focuses on the interpretation of regulatory and supervisory practices applied to financial institutions, namely banks. Students after completing the course will be able to understand the specific position of banks in the financial sector and understand the systemic risk associated with the financial institution, namely banking sector and influence of the functioning of banks on the whole financial market stability. Students learn the principles of regulatory procedures for all major types of risks that financial subjects, namely banks, undertake in their activities.
Learning outcomes
Student will be able to: • - describe developments, current situation and outline the expected trends in regulatory and supervisory practices that are applied to the financial market. Identify and summarize changing views on the need for regulation and supervision of financial markets, regulatory principles, supervisory principles, differences between these two concepts and approaches of selected regulatory and supervisory institutions; • - to form a vision, respectively opinion on the need for regulation and supervision of financial markets. Classify the differences between the terms "regulation" and "supervision" and the approaches of selected regulatory and supervisory institutions; • - to focus on issues - the main EU financial market directives; • - as well as Basel I, II, III and IV regulatory measures, EU directives and regulations.
Syllabus
1th Financial market stability - basics of regulation. 2th Development of financial - capital market regulation. 3th Development of banking regulation. 4th Basel I - reasons for creation 5th Regulatory basis of Basel III 6th Soft law sources for banks 7th Regulatory basis – CRD and CRR 8th Role of ECB 8th, role of EBA. 9th The arrangement of financial supervision in the CZ and EU. 10th Regulation and supervision of financial market in the USA. 11th Upcoming legislative changes in the regulation and supervision; international cooperation. 12th The influence of finnancial crisis in EU on new methods of the supervision.
Literature
    required literature
  • SMUTNÝ, A., PIHERA, V., SÝKORA, P., CUNÍK, T. Zákon o bankách. Komentář. 2. vydání. Praha: C. H. Beck, 2019.
  • BERAN, J., NÝDRLE, T., STRNADEL, D., Zákon o platebním styku. Komentář, Wolters Kluwer, Praha, 2020.
  • REVENDA, Zbyněk a kol. Peněžní ekonomie a bankovnictví. 7. přepracované vydání. V Ekopressu 1. vydání. Jesenice: Ekopress, s. r. o., 2023. ISBN 978-80-87865-84-2.
  • FRAIT, Jan. Post-Crisis Banking Regulation and its Potential Impacts in Small Open Economies. 1. vyd. Praha: Vysoká škola finanční a správní, a. s., 2016. 152 s. Edition EUPRESS. ISBN 978-80-7408-144-6.
  • JANÁČEK, Kamil. Jsou centrální banky za zenitem své slávy?. Praha: Institut Václava Klause, 2020. Publikace, č. 50/2020. ISBN 978-80-7542-059-6.
    recommended literature
  • Kokkinis, A., Miglionico, A. Banking Law:Private Transactions and Regulatory Frameworks. Routledge; 1st edition (March 16, 2021). ISBN 9780367679064
  • Pavlát, V., Kubíček, A.: Regulace a dozor nad kapitálovými trhy. Praha: VŠFS – Eupress, 2004
Teaching methods
Teaching takes the form / lectures / seminars / workshops / full-time study / group consultations and managed in the form of study. Minimum mandatory attendance at seminars / workshops in full-time studies is 75%, the controlled group consultations in combined form 50%. Students who fail to meet the mandatory level of participation may be given during the semester additional study obligations (to the extent that will demonstrate academic achievement and acquired competencies necessary for successful completion of course).
Assessment methods
Lectures with discussions   on ~ selected topics; Seminars devoted to the presentation of the assigned essay, the following discussion to the topic   and evaluation work; discussion on   the current problems in the regulation of financial markets. Assessment methods: Credit depends on the level of processing and slides presentation or the assigned essay and activity during prepresentations and discussions.
Language of instruction
Czech
Further comments (probably available only in Czech)
The course can also be completed outside the examination period.
The course is also listed under the following terms Winter 2007, Winter 2008, Winter 2009, Winter 2010, Winter 2011, Winter 2012, Winter 2013, Winter 2014, Winter 2015, Winter 2016, Winter 2017, Winter 2018, Winter 2019, Winter 2020, Winter 2021, Winter 2022, Winter 2023, Winter 2024, Winter 2025.
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