The thesis presents in detail the administrative procedure for issuing a license to perform the function of a member of the management board in Slovenian financial system, which is very complex and extensive due to obligation to comply with various legislation. Legislation requires a high standard in assessing the ability and suitability of a candidate to serve as a member of the brokerage company's, bank's, insurance company's and management company's management board, sincethe members of the management board are responsible for ensuring that these institutions operate legally, successfully and efficiently.
The purpose of the thesis is to analyze the procedure for issuing a license to perform the function of a member of brokerage company and to compare it with the procedures for issuing licenses to members of the management board in the Slovenian financial system in a transparent and systematic manner. In the thesis I also present individual administrative acts and documents as well as case law in this area.
I examined legislation, professional foreign and domestic articles using the normative method, the comparative legal method and the method of analysis and synthesis proved the first hypothesis that the legislation in the field in the Slovenian financial system is harmonized with EU legislation. The second hypothesis, which states »no serious violations and sanctions were imposed in the Slovenian financial system in the last five years in the performance of a member of a management board function«, I confirm with the method of case studies of the courts in the Republic of Slovenia, and the cases of revoked licenses to members of management boards. The thesis brings practical value for the participants in the procedure as well as a new contribution in theory.
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