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Vol 21 No 11 Nov/Dec 2016

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Financial Services and Markets Act: A Practical Legal Guide 2nd ed

Publication abandoned lge

ISBN13: 9780421892705
Previous Edition ISBN: 0421679905
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Hardback
Price: Publication Abandoned



This book provides a practical guide to the regime regulating the banking, insurance and investment services industries under the Financial Services and Markets Act 2000. It steers practitioners through the regulatory terrain established by the Act, the statutory instruments made under it and the Financial Services Authority (FSA) Handbook of rules and guidance.

This new edition has been extensively rewritten to include significant recent developments affecting the regulatory regime.

It contains new chapters on the sale of general insurance and mortgages (which are regulated by the FSA from January 2005), new material on key EU Directives (the Investment Services Directive and the Market Abuse Directive), the Ombudsman and market abuse, as well as a complete rewrite of the chapter on financial promotion to reflect FSA guidance.

  • Provides clear guidance on the regulatory regime under the Financial Services and Markets Act 2000
  • Extensively rewritten to reflect important recent developments in the regime
  • Covers the new areas regulated by the FSA from 2005
  • Deals with important changes at EU level

Publication abandoned lge
Subjects:
Banking and Finance
Contents:
Background to UK regulation; Introduction to FSMA and the Financial Services Authority; Regulated activity and the "general prohibition"; Authorisation and "permission"; Approved persons; Financial promotion; The official listing of securities; Market abuse; Rules, Competition and polarisation; FSA's Handbook: Conduct of Business; Controllers and control of business transfers; Collective investment schemes; Enforcement; Regulation of the market infrastructure; Investment exchanges and clearing house; Regulation of Lloyd's; Mutual societies; What next for financial services?; Looking to the future; Mortgages; Sale of general insurance;