Financial Services decisions digest : FSA final notices and FSMT decisions

著者

    • Bagge, James
    • Evans, Charles
    • Stephen, Katie
    • Drew, Dorian
    • Morley, Sonya

書誌事項

Financial Services decisions digest : FSA final notices and FSMT decisions

editors, James Bagge, Charles Evans, Katie Stephen ; with contributions from Dorian Drew, Sonya Morley

LexisNexis Butterworths, c2007

大学図書館所蔵 件 / 全4件

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注記

Includes index

内容説明・目次

内容説明

This new book brings together for the first time the FSA Final Notices and the FSMT Decisions in one accessible volume. An essential tool, it allows financial services practitioners to take guidance from previous regulatory decisions in this new era of principles-based regulation. An overarching practical and authoritative review is provided under key headings, grouped under themes, giving an overview of the decisions relevant to each subject area whilst also highlighting the FSA's priorities. There is no other source that collates and provides an authoritative guide to the FSA Final Notices and the FSMT Decisions and this will be an essential reference work for financial services practitioners, accountants and compliance officers and a vital addition to law libraries, driving advice and practice in the financial services industry.

目次

  • Content for this publication include: Introduction
  • Market Abuse
  • Listing Rules
  • Anti-Money Laundering
  • Treating Customers Fairly
  • Systems and Controls
  • Authorisation and Approval
  • Tribunal Procedure. Appendix 1: Final Notices. Appendix 2: Tribunal Decisions

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