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Vol 21 No 10 Oct/Nov 2016

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Financial Services Law Guide 4th ed

Edited by: Andrew Haynes

ISBN13: 9781847669780
Previous Edition ISBN: 9781845921392
Published: September 2014
Publisher: Bloomsbury Professional
Country of Publication: UK
Format: Paperback
Price: £115.00



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Financial Services Law Guide, 4th edition is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies.

The current changes in the regulatory structure are far reaching for the financial services sector and the new rule books that are to be brought in represent a change in financial services regulation in this country that is profound in its nature and both important and subtle in terms of the changes it will bring in for regulated firms. In particular the compliance procedures and relevant managerial approaches adopted in financial services firms will need to change.

Financial Services Law Guide is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies.

Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for lawyers, compliance officers, consultants and all those connected to the industry.

Includes coverage of the following key legislation:-

  • Financial Services and Markets Act 2000
  • Financial Services Act 2010
  • Financial Services Act 2012

Subjects:
Banking and Finance
Contents:
Chapter 1 The Financial Services Regime
Chapter 2 Authorisation
Chapter 3 Approved Persons;
Chapter 4 Retail Products
Chapter 5 Customer Relations
Chapter 6 Financial Promotion
Chapter 7 Market Abuse
Chapter 8 Money Laundering;
Chapter 9 Clients’ Money
Chapter 10 Financial Rules;
Chapter 11 Enforcement
Chapter 12 Professionals and Investment Business.