Butterworths securities & financial services law handbook

著者

書誌事項

Butterworths securities & financial services law handbook

consultant editor, Deborah A Sabalot

LexisNexis, c2011

12th ed

タイトル別名

Securities & financial services law handbook

Butterworths securities and financial services law handbook

Securities and financial services law handbook

Butterworths handbook securities & financial services law 2011

大学図書館所蔵 件 / 全2件

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注記

Includes index

内容説明・目次

内容説明

"Butterworths Securities & Financial Services Law Handbook" is published annually and brings together in a single volume the primary, secondary and European legislation which forms the regulatory framework for the financial services industry. To complete this comprehensive work, lists or tables of all amending enactments are included at the beginning of each Act, statutory instrument and European Directive and Regulation. All lawyers, compliance officers and regulators working in the financial services field will find that "Butterworths Securities & Financial Services Law Handbook" provides a portable, up-to-date and indispensable reference source.

目次

  • Part I Financial Services And Markets Act 2000
  • Financial Services and Markets Act 2000
  • Appendix 1: Commencement dates of the Financial Services and Markets Act 2000
  • Part II Other Acts
  • A. 1845-1988
  • Gaming Act 1845
  • Gaming Act 1892
  • Limited Partnerships Act 1907
  • Theft Act 1968
  • Stock Exchange (Completion of Bargains) Act 1976
  • Competition Act 1980
  • Police and Criminal Evidence Act 1984
  • Companies Act 1985
  • Insolvency Act 1986
  • Building Societies Act 1986
  • B. 1989-1999
  • Finance Act 1989
  • Law of Property (Miscellaneous Provisions) Act 1989
  • Companies Act 1989
  • Friendly Societies Act 1992
  • Tribunals and Inquiries Act 1992
  • Criminal Justice Act 1993
  • Bank of England Act 1998
  • Data Protection Act 1998
  • Competition Act 1998
  • Human Rights Act 1998
  • C. 2000-2003
  • Terrorism Act 2000
  • Limited Liability Partnerships Act 2000
  • Regulation of Investigatory Powers Act 2000
  • Anti-terrorism, Crime and Security Act 2001
  • Criminal Justice and Police Act 2001
  • Proceeds of Crime Act 2002
  • Enterprise Act 2002
  • D. 2004-2006
  • Civil Partnership Act 2004
  • Inquiries Act 2005
  • Gambling Act 2005
  • Regulation of Financial Services (Land Transactions) Act 2005
  • Fraud Act 2006
  • Companies Act 2006
  • Investment Exchanges and Clearing Houses Act 2006
  • E. 2007-2010
  • Tribunals, Courts and Enforcement Act 2007
  • Building Societies (Funding) and Mutual Societies (Transfers) Act 2007
  • Banking (Special Provisions) Act 2008
  • Dormant Bank and Building Society Accounts Act 2008
  • Counter-Terrorism Act 2008
  • Banking Act 2009
  • Financial Services Act 2010
  • Part III Statutory Instruments
  • A. FSMA 2000 Commencement Orders
  • Financial Services and Markets Act 2000 (Commencement No 1) Order 2001, SI 2001/516
  • Financial Services and Markets Act 2000 (Commencement No 2) Order 2001, SI 2001/1282
  • Financial Services and Markets Act 2000 (Commencement No 3) Order 2001, SI 2001/1820
  • Financial Services and Markets Act 2000 (Commencement No 4 and Transitional Provision) Order 2001, SI 2001/2364
  • Financial Services and Markets Act 2000 (Commencement No 5) Order 2001, SI 2001/2632
  • Financial Services and Markets Act 2000 (Commencement No 6) Order 2001, SI 2001/3436
  • Financial Services and Markets Act 2000 (Commencement No 7) Order 2001, SI 2001/3538
  • B. FSMA 2000 Statutory Instruments
  • Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544
  • Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges and Clearing Houses) Regulations 2001, SI 2001/995
  • Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001, SI 2001/996
  • Financial Services and Markets Act 2000 (Promotion of Collective Investment Schemes) (Exemptions) Order 2001, SI 2001/1060
  • Financial Services and Markets Act 2000 (Collective Investment Schemes) Order 2001, SI 2001/1062
  • Financial Services and Markets Act 2000 (Carrying on Regulated Activities by way of Business) Order 2001, SI 2001/1177
  • Financial Services and Markets Act 2000 (Exemption) Order 2001, SI 2001/1201
  • Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001, SI 2001/1217
  • Financial Services and Markets Act 2000 (Designated Professional Bodies) Order 2001, SI 2001/1226
  • Financial Services and Markets Act 2000 (Professions) (Non-exempt Activities) Order 2001, SI 2001/1227
  • Open-ended Investment Companies Regulations 2001, SI 2001/1228
  • Financial Services and Markets Act 2000 (Dissolution of the Insurance Brokers Registration Council) (Consequential Provisions) Order 2001, SI 2001/1283
  • Financial Services and Markets Act 2000 (Service of Notices) Regulations 2001, SI 2001/1420
  • Financial Services and Markets Act 2000 (Compensation Scheme: Electing Participants) Regulations 2001, SI 2001/1783
  • Financial Services and Markets Act 2000 (Disclosure of Information by Prescribed Persons) Regulations 2001, SI 2001/1857
  • Financial Services and Markets Act 2000 (Disclosure of Confidential Information) Regulations 2001, SI 2001/2188
  • Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001, SI 2001/2256
  • Financial Services and Markets Act 2000 (Meaning of "Policy" and "Policyholder") Order 2001, SI 2001/2361
  • Financial Services and Markets Act 2000 (Collective Investment Schemes constituted in other EEA States) Regulations 2001, SI 2001/2383
  • Financial Services and Markets Tribunal Rules 2001, SI 2001/2476
  • Financial Services and Markets Act 2000 (Variation of Threshold Conditions) Order 2001, SI 2001/2507
  • Financial Services and Markets Act 2000 (Consultation with Competent Authorities) Regulations 2001, SI 2001/2509
  • Financial Services and Markets Act 2000 (Gaming Contracts) Order 2001, SI 2001/2510
  • Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001, SI 2001/2511
  • Financial Services and Markets Act 2000 (Communications by Auditors) Regulations 2001, SI 2001/2587
  • . Financial Services and Markets Act 2000 (Mutual Societies) Order 2001, SI 2001/2617
  • Financial Services and Markets Act 2000 (Insolvency) (Definition of "Insurer") Order 2001, SI 2001/2634
  • Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2001, SI 2001/2635
  • Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2001, SI 2001/2638
  • Financial Services and Markets Act 2000 (Own-Initiative Power) (Overseas Regulators) Regulations 2001, SI 2001/2639
  • Financial Services and Markets Act 2000 (Official Listing of Securities) Regulations 2001, SI 2001/2956
  • Financial Services and Markets Act 2000 (Gibraltar) Order 2001, SI 2001/3084
  • Financial Services and Markets Act 2000 (Controllers) (Exemption) (No 2) Order 2001, SI 2001/3338
  • Financial Services and Markets Act 2000 (Interim Permissions) Order 2001, SI 2001/3374
  • Bankruptcy (Financial Services and Markets Act 2000) (Scotland) Rules 2001, SI 2001/3591
  • Financial Services and Markets Act 2000 (Control of Business Transfers) (Requirements on Applicants) Regulations 2001, SI 2001/3625
  • Financial Services and Markets Act 2000 (Control of Transfers of Business Done at Lloyd's) Order 2001, SI 2001/3626
  • Financial Services and Markets Tribunal (Legal Assistance) Regulations 2001, SI 2001/3632
  • Financial Services and Markets Tribunal (Legal Assistance Scheme-Costs) Regulations 2001, SI 2001/3633
  • Insurers (Winding up) Rules 2001, SI 2001/3635
  • Financial Services and Markets Act 2000 (Misleading Statements and Practices) Order 2001, SI 2001/3645
  • Financial Services and Markets Act 2000 (Confidential Information) (Bank of England) (Consequential Provisions) Order 2001, SI 2001/3648
  • Financial Services and Markets Act 2000 (Miscellaneous Provisions) Order 2001, SI 2001/3650
  • Financial Services and Markets Act 2000 (Scope of Permission Notices) Order 2001, SI 2001/3771
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2002, SI 2002/682
  • Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2002, SI 2002/1242
  • Electronic Commerce Directive (Financial Services and Markets) Regulations 2002, SI 2002/1775
  • Financial Services and Markets Act 2000 (Fourth Motor Insurance Directive) Regulations 2002, SI 2002/2706
  • Financial Services and Markets Act 2000 (Collective Investment Schemes) (Designated Countries and Territories) Order 2003, SI 2003/1181
  • Financial Services and Markets Act 2000 (Communications by Actuaries) Regulations 2003, SI 2003/1294
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 1) Order 2003, SI 2003/1475
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2003, SI 2003/1476
  • Financial Services and Markets Act 2000 (Transitional Provisions) (Complaints Relating to General Insurance and Mortgages) Order 2004, SI 2004/454
  • Financial Conglomerates and Other Financial Groups Regulations 2004, SI 2004/1862
  • Financial Services and Markets Act 2000 (Transitional Provisions) (Mortgages) Order 2004, SI 2004/2615
  • Financial Services and Markets Act 2000 (Stakeholder Products) Regulations 2004, SI 2004/2738
  • Financial Services and Markets Act 2000 (Transitional Provisions) (General Insurance Intermediaries) Order 2004, SI 2004/3351
  • Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, SI 2005/1529
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2006, SI 2006/1969
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2006, SI 2006/2383
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 3) Order 2006, SI 2006/3384
  • Financial Services and Markets Act 2000 (EEA Passport Rights) (Amendment) Regulations 2006, SI 2006/3385
  • Financial Services and Markets Act 2000 (Ombudsman Scheme) (Consumer Credit Jurisdiction) Order 2007, SI 2007/383
  • Financial Services and Markets Act 2000 (Markets in Financial Instruments) (Amendment) Regulations 2007, SI 2007/763
  • Money Laundering Regulations 2007, SI 2007/2157
  • Transfer of Funds (Information on the Payer) Regulations 2007, SI 2007/3298
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2007, SI 2007/3510
  • Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009, SI 2009/774
  • Financial Services and Markets Act 2000 (Contribution to Costs of Special Resolution Regime) Regulations 2009, SI 2009/807
  • Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2009, SI 2009/1342
  • Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2009, SI 2009/3075
  • Credit Rating Agencies Regulations 2010, SI 2010/906
  • Financial Services and Markets Act 2000 (Contribution to Costs of Special Resolution Regime) Regulations 2010, SI 2010/2220
  • Financial Services and Markets Act 2000 (Administration Orders Relating to Insurers) Order 2010, SI 2010/3023
  • . Appendix 2: Statutory Instruments made under FSMA 2000
  • C. FSA 2010 Statutory Instruments
  • Financial Services Act 2010 (Commencement No 1 and Transitional Provision) Order 2010, SI 2010/2480
  • Appendix 3: Statutory Instruments made under FSA 2010
  • D. Other Statutory Instruments
  • Stock Transfer (Recognised Stock Exchanges) Order 1973, SI 1973/536
  • Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, SI 1975/1023
  • Financial Markets and Insolvency Regulations 1991, SI 1991/880
  • Insider Dealing (Securities and Regulated Markets) Order 1994, SI 1994/187
  • Traded Securities (Disclosures) Regulations 1994, SI 1994/188
  • Public Offers of Securities Regulations 1995, SI 1995/1537
  • Financial Markets and Insolvency Regulations 1996, SI 1996/1469
  • Cash Ratio Deposits (Eligible Liabilities) Order 1998, SI 1998/1130
  • Public Interest Disclosure (Prescribed Persons) Order 1999, SI 1999/1549
  • Unfair Terms in Consumer Contracts Regulations 1999, SI 1999/2083
  • Financial Markets and Insolvency (Settlement Finality) Regulations 1999, SI 1999/2979
  • Limited Liability Partnerships (Forms) Regulations 2001, SI 2001/927
  • Limited Liability Partnerships Regulations 2001, SI 2001/1090
  • Limited Liability Partnerships (Scotland) Regulations 2001, SSI 2001/128
  • Bankruptcy (Financial Services and Markets Act 2000) Rules 2001, SI 2001/3634
  • Uncertificated Securities Regulations 2001, SI 2001/3755
  • Limited Liability Partnerships (Forms) Regulations 2002, SI 2002/690
  • Limited Liability Partnerships (No 2) Regulations 2002, SI 2002/913
  • Limited Liability Partnerships (Particulars of Usual Residential Address) (Confidentiality Orders) Regulations 2002, SI 2002/915
  • Electronic Commerce (EC Directive) Regulations 2002, SI 2002/2013
  • Proceeds of Crime Act 2002 (Enforcement in different parts of the United Kingdom) Order 2002, SI 2002/3133
  • Proceeds of Crime Act 2002 (Commencement No 4, Transitional Provisions and Savings) Order 2003, SI 2003/120
  • Proceeds of Crime Act 2002 (Failure to Disclose Money Laundering: Specified Training) Order 2003, SI 2003/171
  • Proceeds of Crime Act 2002 (References to Financial Investigators) Order 2003, SI 2003/172
  • Proceeds of Crime Act 2002 (Crown Servants) Regulations 2003, SI 2003/173
  • Proceeds of Crime Act 2002 (Application of Police and Criminal Evidence Act 1984 and Police and Criminal Evidence (Northern Ireland) Order 1989) Order 2003, SI 2003/174
  • Proceeds of Crime Act 2002 (Investigations in England, Wales and Northern Ireland: Code of Practice) Order 2003, SI 2003/334
  • Proceeds of Crime Act 2002 (Disclosure of Information) Order 2003, SI 2003/335
  • Proceeds of Crime Act 2002 (Investigations in different parts of the United Kingdom) Order 2003, SI 2003/425
  • Money Laundering Regulations 2003, SI 2003/3075
  • Financial Collateral Arrangements (No 2) Regulations 2003, SI 2003/3226
  • Insurers (Reorganisation and Winding Up) Regulations 2004, SI 2004/353
  • Credit Institutions (Reorganisation and Winding up) Regulations 2004, SI 2004/1045
  • Cash Ratio Deposits (Value Bands and Ratios) Order 2004, SI 2004/1270
  • Financial Services (Distance Marketing) Regulations 2004, SI 2004/2095
  • Financial Services and Markets Act 2000 (Market Abuse) Regulations 2005, SI 2005/381
  • Investment Recommendation (Media) Regulations 2005, SI 2005/382
  • Prospectus Regulations 2005, SI 2005/1433
  • Insurers (Reorganisation and Winding Up) (Lloyd's) Regulations 2005, SI 2005/1998
  • Proceeds of Crime Act 2002 (External Requests and Orders) Order 2005, SI 2005/3181
  • Proceeds of Crime Act 2002 (Money Laundering: Exceptions to Overseas Conduct Defence) Order 2006, SI 2006/1070
  • Takeovers Directive (Interim Implementation) Regulations 2006, SI 2006/1183
  • Capital Requirements Regulations 2006, SI 2006/3221
  • Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2007, SI 2007/126
  • Compensation (Exemptions) Order 2007, SI 2007/209
  • Control of Cash (Penalties) Regulations 2007, SI 2007/1509
  • Electronic Commerce Directive (Terrorism Act 2006) Regulations 2007, SI 2007/1550
  • Regulation of Investigatory Powers (Investigation of Protected Electronic Information: Code of Practice) Order 2007, SI 2007/2200
  • Administrative Justice and Tribunals Council (Listed Tribunals) Order 2007, SI 2007/2951
  • Regulated Covered Bonds Regulations 2008, SI 2008/346
  • Northern Rock plc Transfer Order 2008, SI 2008/432
  • Northern Rock plc Compensation Scheme Order 2008, SI 2008/718
  • Proceeds of Crime Act 2002 (Investigations in England, Wales and Northern Ireland: Code of Practice) Order 2008, SI 2008/946
  • Cash Ratio Deposits (Value Bands and Ratios) Order 2008, SI 2008/1344
  • Cancellation of Contracts made in a Consumer's Home or Place of Work etc Regulations 2008, SI 2008/1816
  • Proceeds of Crime Act 2002 (Disclosure of Information) Order 2008, SI 2008/1909
  • Limited Liability Partnerships (Accounts and Audit) (Application of Companies Act 2006) Regulations 2008, SI 2008/1911
  • Proceeds of Crime Act 2002 (Investigative Powers of Prosecutors in England, Wales and Northern Ireland: Code of Practice) Order 2008, SI 2008/1978
  • . Bradford & Bingley plc Transfer of Securities and Property etc Order 2008, SI 2008/2546
  • Heritable Bank plc Transfer of Certain Rights and Liabilities Order 2008, SI 2008/2644
  • Transfer of Rights and Liabilities to ING Order 2008, SI 2008/2666
  • Landsbanki Freezing Order 2008, SI 2008/2668
  • Kaupthing Singer & Friedlander Limited Transfer of Certain Rights and Liabilities Order 2008, SI 2008/2674
  • Takeover Code (Concert Parties) Regulations 2008, SI 2008/3073
  • Bradford & Bingley plc Compensation Scheme Order 2008, SI 2008/3249
  • Kaupthing Singer & Friedlander Limited (Determination of Compensation) Order 2008, SI 2008/3250
  • Heritable Bank plc (Determination of Compensation) Order 2008, SI 2008/3251
  • Payment Services Regulations 2009, SI 2009/209
  • Banking Act 2009 (Commencement No 1) Order 2009, SI 2009/296
  • Banking Act 2009 (Bank Administration) (Modification for Application to Banks in Temporary Public Ownership) Regulations 2009, SI 2009/312
  • Banking Act 2009 (Bank Administration) (Modification for Application to Multiple Transfers) Regulations 2009, SI 2009/313
  • Bank Administration (Sharing Information) Regulations 2009, SI 2009/314
  • Banking Act 2009 (Parts 2 and 3 Consequential Amendments) Order 2009, SI 2009/317
  • Banking Act 2009 (Third Party Compensation Arrangements for Partial Property Transfers) Regulations 2009, SI 2009/319
  • Banking Act 2009 (Restriction of Partial Property Transfers) Order 2009, SI 2009/322
  • Bank Administration (Scotland) Rules 2009, SI 2009/350
  • Bank Insolvency (Scotland) Rules 2009, SI 2009/351
  • Bank Insolvency (England and Wales) Rules 2009, SI 2009/356
  • Bank Administration (England and Wales) Rules 2009, SI 2009/357
  • Mutual Societies (Transfers) Order 2009, SI 2009/509
  • Building Societies (Insolvency and Special Administration) Order 2009, SI 2009/805
  • Building Society Special Administration (Scotland) Rules 2009, SI 2009/806
  • Amendments to Law (Resolution of Dunfermline Building Society) Order 2009, SI 2009/814
  • Proceeds of Crime Act 2002 (References to Financial Investigators) Order 2009, SI 2009/975
  • Banking Act 2009 (Commencement No 2) Order 2009, SI 2009/1296
  • Dunfermline Building Society Compensation Scheme, Resolution Fund and Third Party Compensation Order 2009, SI 2009/1800
  • Limited Liability Partnerships (Application of Companies Act 2006) Regulations 2009, SI 2009/1804
  • Dunfermline Building Society Independent Valuer Order 2009, SI 2009/1810
  • Banking Act 2009 (Commencement No 3) Order 2009, SI 2009/2038
  • Company, Limited Liability Partnership and Business Names (Sensitive Words and Expressions) Regulations 2009, SI 2009/2615
  • Banking Act 2009 (Commencement No 4) Order 2009, SI 2009/3000
  • Law Applicable to Contractual Obligation (England and Wales and Northern Ireland) Regulations 2009, SI 2009/3064
  • Northern Rock plc Transfer Order 2009, SI 2009/3226
  • Transfer of Tribunal Functions Order 2010, SI 2010/22
  • Banking Act 2009 (Exclusion of Insurers) Order 2010, SI 2010/35
  • Cross-Border Payments in Euro Regulations 2010, SI 2010/89
  • Banking Act 2009 (Inter-Bank Payment Systems) (Disclosure and Publication of Specified Information) Regulations 2010, SI 2010/828
  • Building Societies (Financial Assistance) Order 2010, SI 2010/1188
  • Building Society Special Administration (England and Wales) Rules 2010, SI 2010/2580
  • Building Society Insolvency (England and Wales) Rules 2010, SI 2010/2581
  • Building Society Insolvency (Scotland) Rules 2010, SI 2010/2584
  • Electronic Money Regulations 2011, SI 2011/99
  • Part IV EU Materials
  • 85/577/EEC Council Directive to protect the consumer in respect of contracts negotiated away from business premises
  • 85/611/EEC Council Directive on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS)
  • 91/308/EEC Council Directive on prevention of the use of the financial system for the purpose of money laundering
  • 93/6/EEC Council Directive on the capital adequacy of investment firms and credit institutions
  • 93/13/EEC Council Directive on unfair terms in consumer contracts
  • 93/22/EEC Council Directive on investment services in the securities field
  • 97/9/EC Directive of the European Parliament and of the Council on investor-compensation schemes
  • 98/26/EC Directive of the European Parliament and of the Council on settlement finality in payment and securities settlement systems
  • 2000/12/EC Directive of the European Parliament and of the Council relating to the taking up and pursuit of the business of credit institutions
  • 2000/46/EC Directive of the European Parliament and of the Council on the taking up, pursuit of and prudential supervision of the business of electronic money institutions
  • 2001/34/EC Directive of the European Parliament and of the Council on the admission of securities to official stock exchange listing and on information to be published on those securities
  • 2001/107/EC Directive of the European Parliament and of the Council amending Council Directive 85/611/EEC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) with a view to regulating management companies and simplified prospectuses
  • . 2001/108/EC Directive of the European Parliament and of the Council amending Council Directive 85/611/EEC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) with regard to investments of UCITS
  • 2002/47/EC Directive of the European Parliament and of the Council on financial collateral arrangements
  • 2002/65/EC Directive of the European Parliament and of the Council concerning the distance marketing of consumer financial services and amending Council Directive 90/619/EEC and Directives 97/7/EC and 98/27/EC
  • 2002/87/EC Directive of the European Parliament and of the Council on the supplementary supervision of credit institutions, insurance undertakings and investment firms in a financial conglomerate and amending Council Directives 73/239/EEC, 79/267/EEC, 92/49/EEC, 92/96/EEC, 93/6/EEC and 93/22/EEC, and Directives 98/78/EC and 2000/12/EC of the European Parliament and of the Council
  • 2003/6/EC Directive of the European Parliament and of the Council on insider dealing and market manipulation (market abuse)
  • 2003/71/EC Directive of the European Parliament and of the Council on the prospectus to be published when securities are offered to the public or admitted to trading and amending 2001/34
  • 2273/2003/EC Commission Regulation implementing Directive 2003/6/EC of the European Parliament and of the Council as regards exemptions for buy-back programmes and stabilisation of financial instruments
  • 2003/124/EC Commission Directive implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the definition and public disclosure of inside information and the definition of market manipulation
  • 2003/125/EC Commission Directive implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the fair presentation of investment recommendations and the disclosure of conflicts of interest
  • 2004/39/EC Directive of the European Parliament and of the Council on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC
  • 2004/72/EC Commission Directive implementing Directive 2003/6/EC of the European Parliament and of the Council as regards accepted market practices, the definition of inside information in relation to derivatives on commodities, the drawing up of lists of insiders, the notification of managers' transactions and the notification of suspicious transactions
  • 809/2004/EC Commission Regulation implementing Directive 2003/71/EC of the European Parliament and of the Council as regards information contained in prospectuses as well as the format, incorporation by reference and publication of such prospectuses and dissemination of advertisements
  • 2004/109/EC Directive of the European Parliament and of the Council on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC
  • 2005/60/EC Directive of the European Parliament and of the Council on the prevention of the use of the financial system for the purpose of money laundering and terrorist financing
  • 1889/2005/EC European Parliament and Council Regulation on controls of cash entering or leaving the Community
  • 2006/31/EC Directive of the European Parliament and of the Council amending directive 2004/39/EC on markets in financial instruments, as regards certain deadlines
  • 2006/48/EC Directive of the European Parliament and of the Council relating to the taking up and pursuit of the business of credit institutions (recast)
  • 2006/49/EC Directive of the European Parliament and of the Council on the capital adequacy of investment firms and credit institutions (recast)
  • 2006/512/EC Council Decision amending Decision 1999/468/EC laying down the procedures for the exercise of implementing powers conferred on the Commission
  • Statement by the European Parliament, the Council and the Commission concerning the Council Decision of 17 July 2006 amending Decision 1999/468/EC laying down the procedures for the exercise of implementing powers conferred on the Commission (2006/512/EC)
  • 2006/70/EC Commission Directive laying down implementing measures for Directive 2005/60/EC of the European Parliament and of the Council as regards the definition of politically exposed person and the technical criteria for simplified customer due diligence procedures and for exemption on grounds of a financial activity conducted on an occasional or very limited basis
  • 1287/2006/EC Commission Regulation implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive
  • . 2006/73/EC Commission Directive implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive
  • 1781/2006/EC European Parliament and Council Regulation on information on the payer accompanying transfers of funds
  • Communication from the Commission to the Council and the European Parliament: Investment research and financial analysts (2006)
  • Communication from the Council on Credit Rating Agencies (2006)
  • 2007/14/EC Commission Directive laying down detailed rules for the implementation of certain provisions of Directive 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market
  • 2007/16/EC Commission Directive implementing Council Directive 85/611/EEC on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) as regards the clarification of certain definitions
  • Commission Recommendation on the electronic network of officially appointed mechanisms for the central storage of regulated information referred to in Directive 2004/109/EC of the European Parliament and of the Council
  • 2007/64/EC Directive of the European Parliament and of the Council on payment services in the internal market amending Directives 97/7/EC, 2002/65/EC, 2005/60/EC and 2006/48/EC and repealing Directive 97/5/EC
  • 2009/77/EC Commission Decision establishing the Committee of European Securities Regulators
  • Communication from the Commission 'European Financial Supervision' (2009)
  • Commission Staff Working Document accompanying document to the Communication from the Commission 'European financial supervision' (Impact Assessment)2009/65/EC Directive of the European Parliament and of the Council on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (recast)
  • 2009/110/EC Directive of the European Parliament and of the Council on the taking up, pursuit and prudential supervision of the business of electronic money institutions amending Directives 2005/60/EC and 2006/48/EC and repealing Directive 2000/46/EC
  • 2009/111/EC Directive of the European Parliament and of the Council amending Directives 2006/48/EC, 2006/49/EC and 2007/64/EC as regards banks affiliated to central institutions, certain own funds items, large exposures, supervisory arrangements, and crisis management
  • 1060/2009/EC European Parliament and Council Regulation on credit rating agencies
  • 583/2010/EU Commission Regulation implementing Directive 2009/65/EC of the European Parliament and of the Council as regards key investor information and conditions to be met when providing key investor information or the prospectus in a durable medium other than paper or by means of a website
  • 584/2010/EU Commission Regulation implementing Directive 2009/65/EC of the European Parliament and of the Council as regards the form and content of the standard notification letter and UCITS attestation, the use of electronic communication between competent authorities for the purpose of notification, and procedures for on-the-spot verifications and investigations and the exchange of information between competent authorities
  • 2010/43/EU Commission Directive implementing Directive 2009/65/EC of the European Parliament and of the Council as regards organisational requirements, conflicts of interest, conduct of business, risk management and content of the agreement between a depositary and a management company
  • 2010/44/EU Commission Directive implementing Directive 2009/65/EC of the European Parliament and of the Council as regards certain provisions concerning fund mergers, master-feeder structures and notification procedure
  • 1092/2010/EU Regulation of the European Parliament and of the Council on European Union macro-prudential oversight of the financial system and establishing a European Systemic Risk Board
  • 1093/2010/EU Regulation of the European Parliament and of the Council establishing a European Supervisory Authority (European Banking Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/78/EC
  • 1094/2010/EU Regulation of the European Parliament and of the Council establishing a European Supervisory Authority (European Insurance and Occupational Pensions Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/79/EC
  • 1095/2010/EU Regulation of the European Parliament and of the Council establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC
  • 1096/2010/EU Council Regulation conferring specific tasks upon the European Central Bank concerning the functioning of the European Systemic Risk Board
  • . 2010/73/EU Directive of the European Parliament and of the Council amending Directives 2003/71/EC on the prospectus to be published when securities are offered to the public or admitted to trading and 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market
  • 2010/76/EU Directive of the European Parliament and of the Council amending Directives 2006/48/EC and 2006/49/EC as regards capital requirements for the trading book and for re-securitisations, and the supervisory review of remuneration policies
  • 2010/78/EU Directive of the European Parliament and of the Council amending Directives 98/26/EC, 2002/87/EC, 2003/6/EC, 2003/41/EC, 2003/71/EC, 2004/39/EC, 2004/109/EC, 2005/60/EC, 2006/48/EC, 2006/49/EC and 2009/65/EC in respect of the powers of the European Supervisory Authority (European Banking Authority), the European Supervisory Authority (European Insurance and Occupational Pensions Authority) and the European Supervisory Authority (European Securities and Markets Authority)
  • Appendix 4: Domestic implementation of EC Directives
  • Part V Other Materials
  • A. Joint Money Laundering Steering Group Materials (Notes)
  • Prevention of Money Laundering/Combating the Financing of Terrorism: Guidance for the UK Financial Sector
  • JMLSG Guidance on Equivalent Jurisdictions (August 2008)
  • JMLSG Guidance on Equivalent Markets (January 2009)
  • B. Codes of Practice
  • BERR Regulators' Compliance Code
  • Banking Act 2009 Special Resolution Regime: Code of Practice
  • C. Banking Act 2009 Instruments
  • Dunfermline Building Society Property Transfer Instrument 2009
  • DBS Bridge Bank Limited Supplemental and Onward Property Transfer Instrument 2009.

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