Subjects:

Banking and Finance

Contents:

Foreword

Introduction - the Regulatory Landscape

Chapter 1: The Role and Statutory Powers of the FSA

Chapter 2: The FSA's High Level Principles

Chapter 3: The Approved Persons Regime, Training and Competence

Chapter 4: Prudential Rules and Guidance - Harmonisation and Differentiation

Chapter 5: Conduct of Business

Chapter 6: Market Conduct and Market Abuse Regime

Chapter 7: Money Laundering

Chapter 8: Authorisation and Supervision Processes

Chapter 9: Discipline and Enforcement

Chapter 10: Consumer Relations: Complaints and Compensation

A Practitioner’s Guide to the FSA Handbook 5th edition has been fully updated and extensively revised to include significant changes following on from the implementation of MiFID, the advent of NewCOB, the move towards More Principles Based Regulation and the Treating Customers Fairly initiative.