PRAVIDLÁ VO VZŤAHU KU KLIENTOM PRI REALIZÁCII FINANČNÉHO SPROSTREDKOVANIA A FINANČNÉHO PORADENSTVA V SEKTORE KAPITÁLOVÉHO TRHU

Financial intermediation and financial advisory is undoubtedly influenced by many legislative determinants. The article reflects one of these, represented by a set of rules governing the obligations in relation to clients when performing financial intermediation and financial advisory. The valid legislation allows carrying out financial intermediation and financial advisory in the sectors of insurance or reinsurance, capital market, receiving of deposits, granting credits or consumer credits, supplementary pension saving system and old- age pension saving system. The article focuses on the sector of capital market, where a financial agent and a financial advisor is authorized to perform only in a restricted range of activities. We focus on selected provisions that we believe are essential for financial intermediation and financial in this sector.