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Vol 21 No 11 Nov/Dec 2016

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Financial Services Regulation

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ISBN13: 9780752006246
ISBN: 075200624X
Published: June 2000
Publisher: Sweet & Maxwell Ltd
Country of Publication: Uk
Format: Hardback
Price: Out of print



This Special Report details the effects of the Financial Services and Markets Bill, proposed to be the most fundamental restructuring of the UK financial regime since 1986. Written by a specialist at the cutting edge of these legal developments it explains how the current proposals were conceived and, more importantly, how they will operate.

Its detailed analysis of the proposed changes, and what they will mean specifically for each sector, will enable you to plan ahead, avoid potential pitfalls and negotiate the changes to the compliance system with confidence.
* Examines the Rulebook, details its statutory objectives, regulatory approach, and structure and layout, and sets out and explains its principles
* Explores authorisation, collective investment schemes (both UK and international), equity exchanges, OTC securities and derivatives dealings, insolvency and winding-up, market abuse and financial fraud
*Examines the role of the auditor and actuary in the regulatory system.

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Contents:
The new regulatory structure.; The draft Bill. ;The FSA. ;The principles. ;Structure and layout of the rulebook.; The mechanics of authorisation. ;Authorisation. Financial promotion. ;Collective investment schemes. ;Employees and controllers.; Regulation of the financial markets. ;Markets, exchanges and regulation. ;Overview of the London markets. ;Recognition of exchanges and clearing houses. ;Financial markets and insolvency. ;The Listing rules.; Market abuse and financial fraud. ;Competition and markets. ;Regulation and enforcement.; The FSA's regulatory powers. ;Auditors and actuaries. ;Disciplinary procedure. ;The European Convention on Human Rights and The Financial Services and Markets Appeals Tribunal. ;The Financial Services Ombudsman.