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Vol 22 No 4 April/May 2017

Book of the Month

Cover of Whistleblowing: Law and Practice

Whistleblowing: Law and Practice

Price: £175.00

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Solicitors and Financial Services: A Compliance Handbook 3rd ed

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ISBN13: 9781853288050
ISBN: 1853288055
Published: August 2002
Publisher: Law Society Publishing
Country of Publication: UK
Format: Paperback
Price: £85.00

Despatched in 5 to 7 days.

The third edition of this practical text has been fully revised to show how compliance with the Financial Services and Market Act 2000 may best be achieved. It takes practitioners who are not authorized by the Financial Services Authority through the regime and illustrates the practical application of the changes within individual departments of a solicitors' firm.

The handbook includes updated reference material and provides straightforward guidance that explains:-

  • the new financial services regime;
  • the definition of regulated activities;
  • exclusions;
  • exempt regulated activities;
  • The Law Society's ""scope"" rules;
  • The Law Society's ""conduct of business rules"";
  • obligations for authorized firms in respect of their non-mainstream activities;
  • financial promotions;
  • and the application of the rules and regulations.

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Legal Practice Management, Professional Conduct and Ethics, Banking and Finance
Part I. Regulatory Framework: 1. Financial services framework, 2. Regulated activities, 3. Statutory exclusions, 4. Exempt regulated activities, Part II. Compliance: 5. Compliance requirements, 6. Solicitors' Financial Services (Conduct of Business) Rules 2001, 7. Financial promotions, 8. Probate and administration, 9. Trusts, 10. Powers of attorney, 11. Receivers, 12. Property department, 13. Corporate department, 14. Litigation department (including matrimonial work), 15. Private clients, 16. Management of investment business, Appendices: A. Statutory material, B. Rules of practice, C. Guidance, Index.