A practitioner's guide to the UK financial services rulebooks

著者

    • Fox, Ruth
    • Kingsley, Ben

書誌事項

A practitioner's guide to the UK financial services rulebooks

[consultant editors,] Ruth Fox, Ben Kingsley

（The city library）

Sweet & Maxwell, 2013

6th ed

  • : [pbk.]

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注記

Includes bibliographical references and index

内容説明・目次

内容説明

This title is the leading guide and commentary to the UK#s financial services rulebooks (formerly the FSA Handbook). It is written by a team of leading practitioners who are among the best-known advisers in the City. The new book comes at a time which is seeing the furthest reaching changes to the UK#s regulatory infrastructure since the advent of the Financial Services and Markets Act 2000. This 6th edition will provide practitioners with detailed coverage of the impact of the new regime on their practice and on the development of the rulebooks. It will cover how the new regulatory bodieswill interact, and particularly highlight any areas of continuing uncertainty as the new system beds in.

目次

  • Introduction # the regulatory landscape and the role and statutory powers of the regulators
  • High-level standards
  • Prudential rules and guidance
  • Conduct of Business
  • The approved persons regime
  • Market abuse regime and the Code of Market Conduct
  • Authorisation and supervision processes
  • Discipline and enforcement
  • Consumer relations, complaints and compensation.

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