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Vol 21 No 10 Oct/Nov 2016

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Financial Services

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ISBN13: 9780406998668
ISBN: 0406998663
Published: January 1996
Publisher: LexisNexis Butterworths
Format: looseleaf / ring bound
Price: £505.00



Despatched in 5 to 7 days.

""Financial Services Law and Practice"" is a comprehensive four-volume guide to the law and regulation of financial services and its practical effects. It is a collection of all the statutes and rule books and contains relevant summaries of key cases, decisions of the Financial Services Tribunal and SRO Disciplinary Tribunal.;The work is divided into two distinct parts for easy reference. The narrative Divisions (I to VIII) contain detailed commentary of the statutory provisions, the Financial Services Act and the accompanying subordinate legislation and rules and codes of practice. The commentary provides informed guidance on the practical implications of the system of authorisation and regulation of investment business and is designed to answer questions on the application and consequences of non-compliance with the regulatory provisions. A team of leading practitioners drawn from all sectors of the financial services industry answers questions on the practical application of current regulations and the consequences of non-compliance.;A monthly bulletin containing current information and comment on forthcoming and recent legislation and important new cases provides the practitioner with the latest material in relevant issues. The looseleaf format ensures you keep ahead with key developments in this area.

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Contents:
Binder 1:ContentsBulletinsThe Regulatory SystemSecurities Broking and Dealing: Conduct of Business RequirementsInvestment Management: Conduct of Business RequirementsPIA and the Marketing of Retail InvestmentsMonitoring, Enforcement and Challenge of DecisionsRecognised Professional BodiesEC Financial ServicesDirectoryFinancial Services Act 1986Binder 2:Other Statutes:Tribunals and Inquiries Act 1992Criminal Justice Act 1993 Part V (Insider Dealing)Statutory InstrumentsSIB Rules and Regulations (Including Core Conduct of Business Rules)Binder 3:SRO Rules:IMRO RulesSFA RulesBinder 4:SRO Rules, continued:PIA RulesPIA Adopted RulesCasesPart 1: Court DecisionsPart 2: Decisions of the Financial Services Tribunal and SRO Disciplinary TribunalsSIB; FIMBRA; SFAEU Materials;Other Materials