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Vol 21 No 10 Oct/Nov 2016

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Criminal Injuries Compensation Claims

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Financial Services Decisions Digest: FSA Final Notices & FSMT Decisions


ISBN13: 9781405718455
Published: July 2007
Publisher: LexisNexis Butterworths
Country of Publication: UK
Format: Hardback
Price: Out of print



This new book provides a practical resource for the financial services practitioner by bringing together, in one place, all the Financial Services & Markets Tribunal’s decisions and the FSA’s Final Notices. Additionally, this book provides overarching practical and authoritative commentary under key headings, grouped under themes (market abuse, technical issues, systems and controls etc.), thus highlighting the FSA’s shifting focus.

  • Helps you interpret the FSA’s focus. Answers the following questions: What do these sources tell us? What do we/our clients need to do as a result of this? How can we quickly find all the market abuse cases? What are the significant issues and what was the outcome in each case?
  • Flags the danger areas for legal/compliance departments of financial services firms
  • Helps you prioritise compliance objectives according to the level of risk and penalties attached to particular activities
  • Assists law firms with analysis of issues and handling potential cases
  • Keeps you up to date with the Final Notices and Decisions, and the themes and trends in the FSA’s and the Tribunal’s focus
  • Provides authoritative and reliable commentary making sense of the FSA’s output, and drawing out themes and technical points.

Subjects:
Banking and Finance
Contents:
Introduction; Market abuse; Listing Rules; Money laundering; Systems and controls; Treating Customers Fairly; Financial promotions; Mis-selling; Complaints handling; Conduct of the Pensions Review; Tribunal procedure; FIT;