Financial services : regulating investment business
著者
書誌事項
Financial services : regulating investment business
FT Law & Tax, 1995
2nd ed
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注記
Includes index
内容説明・目次
内容説明
Here is expert advice on the legal implications of the Financial Services Act 1986 and subsequent amendments for business operations. The impact of both the legislation and case law on each area of operation is explained clearly and thoroughly, identifying problem areas and offering solutions. In 1993 the Large Report recommended a fundamental clarification of the regulatory system's twotier structure and a changed role for the Securities and Investment Board. Following widespread criticism, the Act has frequently been amended and a large body of case law has built up. This edition takes on board all important developments, includes new Sls regulating advertising, guidance on collective investment schemes and expanded commentary on the FSA's impact on banking.
This latest edition includes: a rewritten section on enforcement to take account of a substantial amount of case decisions; a revised chapter on regulation of investment vehicles, including the many changes in pensions and unit trust rules; new treatment of the impact of the EC Investment Services Directive, the Capital Adequacy Directive and the third Life Directive on the UK regulatory framework; clear guidance to the fundamental changes within SROs themselves - such as the establishment of the PIA - and how they work in practice.
目次
1. Background to the Act/2. Structure of the new regime/3. Principles, Rules and Duties: 4. Approaching the Act/5. The principal restriction/6. The regulated investments: 7. Investment activities/8. Collective investment schemes/9. Exclusions: 10. Getting caught/11. SRO's Powers/12. Investment advertisements: 13. Listed Securities/14. Banking business/15. Regulation of investment vehicles: 16. Marketing investments/17. International aspects/18. Compliance Function: Appendix
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