Gleeson: Principles of Financial Regulation

Part I - The Regulatory Structure;
1. The FSA;
1.1. Powers and Responsibilities;
1.2. Territorial scope of FSAs powers;
1.3. Judicial and Administrative Control of the FSA;
2. Authorisation;
2.1. The necessity for authorisation;
2.2. The consequences of non-authorisation;
2.3. Passporting;
2.4. Non-EU firms in the UK;
2.5. Doing, Arranging and Agreeing;
3. Financial Promotion;
3.1. What is a financial promotion;
3.2. Real-time and non-real-time;
3.3. Definitions and Exclusions;
3.4. Television & newspapers;
3.5. Overseas communications;
4. The FSA Rulebook;
4.1. Conduct of Business Rules;
4.2. Systems and Controls;
4.3. Training and Competence;
4.4. Capital Adequacy;
Part II - Regulated Activities;
5. Banking;
5.1. Deposit taking;
5.2. Deposit Advertising;
6. Corporate Finance;
6.1. Corporate finance advice;
6.2. Takeovers and mergers;
6.3. Company Share Schemes;
7. The Primary Markets;
7.1. Prospectuses;
7.2. Listing and Admission to Trading;
7.3. Stabilisation;
7.4. International Securities and the Euromarkets;
8. The Secondary Markets;
8.1. Markets & exchanges;
8.2. Market Abuse;
8.3. Clearing and settlement;
8.4. Continuing listing requirements and corporate communications;
9. Derivatives;
9.1. OTC;
9.2. On-exchange;
9.3. Retail warrants;
10. Securities;
10.1. Dealing;
10.2. Custody;
10.3. Stock Lending and Borrowing;
10.4. Prime Brokerage;
11. Funds and Fund Management;
11.1. Collective Investment Schemes and Open-ended investment Companies;
11.2. Investment management;
11.3. Regulated Funds;
11.4. Unregulated and Hedge Funds;
11.5. Repackaged products;
12. Dealing with Retail Customers;
12.1. Private client Duties;
12.2. Retail advertising;
12.3. Product Distribution;
12.3.1. Life Policies;
12.3.2. Regulated funds;
12.3.3. Unregulated funds;
12.3.4. Pension funds;
12.3.5. Repackaged products;
13. Mortgage lending;
14. Lloyds membership