Financial services law

著者

書誌事項

Financial services law

edited by Michael Blair, George Walker

Oxford University Press, 2006

大学図書館所蔵 件 / 全11件

この図書・雑誌をさがす

注記

Includes index

収録内容

  • Financial services authority / George Walker
  • The Financial Services and Markets Act / Paul Kennedy
  • FSA handbook and high level standards / Paul Kennedy
  • Regulatory processes ; authorisation, supervision, enforcement / Margaret Chamberlain
  • Financial redress ; complaints, disputes, and compensation / Alex Kuczynski
  • Market abuse / Jonathan Melrose
  • Insider dealing, misleading statements and practices, and other offences / Jonathan Melrose
  • Money laundering and financial crime / Jonathan Herbst and Peter Snowdon
  • The integrated prudential sourcebook / Paul Sharma
  • Investment firms ; wholesale sector / Martin Hughes and Etay Katz
  • Investment firms ; retail sector / Andrew Long
  • Banks and banking / George Walker
  • Mortgage lending and mortgage intermediation / Michael Blair
  • Insurance regulation / Nick Paul
  • Collective investment schemes / Eva Lomnicka
  • Listing and public offers / Richard Brearley
  • European financial services / Jane Welch
  • International agreements and supranational bodies / Deborah Sabalot

内容説明・目次

内容説明

Financial Services Law provides a long awaited detailed analysis of the regime under FSMA and subordinate legislation and the FSA handbook and rules. This book reflects the regime as it has matured and developed over the years since 2001. Many developments have occurred since the inception of the regime, two of the largest changes being the regulation of mortgage and insurance products for the first time. Full consideration is given of these new areas. Enforcement and disputes are now also growing issues as a result of regulated bodies falling foul of the rules. The chapter on enforcement also includes a section on supervision setting out the FSA's powers on the investigation of wrong doing. There is also a chapter on financial redress covering disputes, compensation and complaints. In addition to topical coverage of EC Directives (such as MAD and MiFID) other influences external to the UK are included. There is a chapter on Europe covering progress and process from Maastricht to Lamfalussy and the impact of EU processes on UK law. The final chapter looks at global developments in this area including the work of a number of bodies relevant to this area (WTO, IOSCO, IAIS, FATF etc). Written by a combined contributor team of leading city practitioners and key individuals from the FSA, the text provides high quality material in this topical and growing area.

目次

  • Preface
  • Introduction
  • PART I: FINANCIAL SERVICES AND MARKETS
  • 1. Financial Services Authority
  • 2. Financial Services and Markets Act
  • PART II: FSA HANDBOOK
  • 3. FSA Handbook and High Level Standards
  • 4. Regulatory Processes - Authorisation, Supervision, Enforcement
  • 5. Financial Redress - Disputes, Compensation and Complaints
  • 6. Market Abuse
  • 7. Insider Dealing, Misleading Statements and Practices and Other Offences
  • 8. Money Laundering and Financial Crime
  • PART III: FINANCIAL SECTORS
  • 9. Financial Regulation - The Integrated Prudential Sourcebook (PRU)
  • 10. Securities Firms - Wholesale Sector
  • 11. Investment Firms - Retail Sector
  • 12. Banks & Banking
  • 13. Mortgage Regulation
  • 14. Insurance Companies and Insurance Sales
  • 15. Collective Investment Schemes
  • PART IV: PUBLIC OFFERS
  • 16. Listing and Public Offers
  • PART V: EUROPEAN AND CROSS-BORDER ISSUES
  • 17. European Financial Services
  • 18. International Agreements and Supranational Bodies in Banking and Financial Services

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