Subjects:

Banking and Finance

Contents:

Foreword

Callum McCarthy, Chairman, FSA

Chapter 1

The Role and Statutory Powers of the FSA

Simon Morris, CMS Cameron McKenna

Chapter 2

The FSA's High Level Principles

James Smith, Ernst & Young LLP

Chapter 3

Prudential Rules and Guidance - harmonisation and differentiation

Karen Jordan, Ernst & Young LLP

Chapter 4

Conduct of Business

Richard Stones, Lovells

Chapter 5

The Inter-Professional Code

Tamasin Little, SJ Berwin LLP

Chapter 6

The Approved Persons Regime, Training and Competence

Guy Morton, Freshfields Bruckhaus Deringer

Chapter 7

Market Conduct and Market Abuse Regime

Chris Bates, Clifford Chance LLP

Chapter 8

Money Laundering

Ruth Fox, Slaughter and May

Chapter 9

Authorisation and Supervision Processes

John Tattersall, PricewaterhouseCoopers LLP

Chapter 10

Discipline and Enforcement

Margaret Chamberlain, Travers Smith

Chapter 11

Consumer Relations: Complaints and Compensation

Jonathan Melrose, Simmons & Simmons

The best selling A Practitioner's Guide to the FSA Handbook provides a single point of reference for users, with clear and comprehensive guidance to the rules explained in a practical context. Written by a team of 12 authors who are amongst the leading figures in financial services law and regulation in the UK, this book is essential reading for all those affected by the FSA regime.

The book closely follows the structure of the Handbook for quick and easy access to the interpretation and comment provided by each writer. This edition has been fully updated to cover all recent significant developments in regulations. In particular the changes in enforcement following the FSA's enforcement review, the introduction of the Integrated Prudential Sourcebook, the overhaul of the market abuse regime to implement the Market Abuse Directive and the FSA's continued endeavours to simplify the structure of the FSA Handbook are covered.

The Markets in Financial Instruments Directive (MiFID) is potentially the biggest and most far-reaching EU directive to affect the financial services environment in the foreseeable future. The anticipated changes that will flow from MiFID are also comprehensively covered in this new edition.