Solicitors and Financial Services: A Compliance Handbook 3rd ed

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.