The Financial Services and Markets Act 2000
著者
書誌事項
The Financial Services and Markets Act 2000
（Butterworths new law guides）
LexisNexis Butterworths, c2004
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注記
Includes index
内容説明・目次
内容説明
This book is part of the "Butterworths New Law Guides". "The Financial Services and Markets Act 2000" provides for the Financial Services Authority to act as a single regulatory body in respect of the provision of all financial services in the UK. This title explains the complexities of the Act and provides the full text of the Act fully cross-referenced to the narrative guidance. Free access is provided to an associated website containing secondary legislation.
目次
"1. History and background. 2. The FSA and its powers. 3. Regulated activities. 4. The Authorisation Process. 5. Conduct of regulated activities. 6. Financial promotion. 7. FSA's disciplinary powers. 8. FSA as listing authority. 9. Competition issues. 10. Market abuse. 11. The Tribunal - hearings and appeals. 12. The Financial Services Compensation Scheme. 13. The Ombudsman Scheme. 14. Collective investment schemes. 15. Recognised investment exchanges and clearing houses. 16. Lloyd's. 17. The supervision of professional firms. 18. Mutual societies. 19. Auditors and actuaries. 20. Insolvency provisions under the Act. Appendix: The Financial Services and Markets Act 2000 (with annotations)."
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