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570
Licensing and Enforcement Department

Karel Gabrhel

Karel Gabrhel, Executive Director

  • 571
    Licensing Division
  • 572
    Securities and Regulated Markets Division
  • 573
    Enforcement Division

Responsible for

  • carrying on licensing, approval and authorisation activities (i.e. first-instance proceedings and decision-making on licence, permit and approval applications and on the registration of and keeping of records on financial market entities supervised by the CNB)
  • working with the competent authorities of EU Member States on the passportisation and notification of authorised activities of financial market entities from EU Member States
  • conducting enforcement activities (i.e. first-instance proceedings and decision-making on licence, permit and approval revocation, on the cancellation of registrations and in matters regarding shortcomings or administrative offences identified in the financial market, including proceedings on the imposition of conservatorship and on the appointment of conservators and proceedings on the appointment and dismissal of liquidators)
  • supervising public offerings of investment securities, supervising compliance with the duties of issuers of listed securities, and supervising regulated market operators, settlement systems with settlement finality of central counterparties, multilateral trading systems and central depositories
  • maintaining lists, registers and databases of entities subject to CNB supervision
  • monitoring the process of liquidation of financial market entities and checking the process of settlement of the claims and debts of financial market entities after their business licences terminate
  • communicating with law enforcement authorities and preparing reference documents and opinions on request
  • communicating with the Finance Ministry’s Financial Analytical Unit, including drafting proposals based on the results of the inspection activities of CNB supervisors
  • dealing with applications for information under Act No. 106/1999 Coll., on Freedom of Information, as amended, and carrying on relevant activities in this area

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