Financial Services Law Guide
4th Edition
Published on 30. September 2014
Book
Paperback/Softback
476 pages
978-1-84766-978-0 (ISBN)
Description
Financial Services Law Guide, 4th edition is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies.
The current changes in the regulatory structure are far reaching for the financial services sector and the new rule books that are to be brought in represent a change in financial services regulation in this country that is profound in its nature and both important and subtle in terms of the changes it will bring in for regulated firms. In particular the compliance procedures and relevant managerial approaches adopted in financial services firms will need to change.
Financial Services Law Guide is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies.
Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for lawyers, compliance officers, consultants and all those connected to the industry.
Includes coverage of the following key legislation:
Financial Services and Markets Act 2000
Financial Services Act 2010
Financial Services Act 2012
Whatever your legal issue or question, you will find the answer in this user-friendly and clearly presented guide.
Contents:
Chapter 1 The Financial Services Regime
Chapter 2 Authorisation
Chapter 3 Approved Persons
Chapter 4 Retail Products
Chapter 5 Customer Relations
Chapter 6 Financial Promotion
Chapter 7 Market Abuse
Chapter 8 Money Laundering
Chapter 9 Clients' Money
Chapter 10 Financial Rules
Chapter 11 Enforcement
Chapter 12 Professionals and Investment Business
Previous print edition ISBN: 9781845921392
The current changes in the regulatory structure are far reaching for the financial services sector and the new rule books that are to be brought in represent a change in financial services regulation in this country that is profound in its nature and both important and subtle in terms of the changes it will bring in for regulated firms. In particular the compliance procedures and relevant managerial approaches adopted in financial services firms will need to change.
Financial Services Law Guide is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies.
Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for lawyers, compliance officers, consultants and all those connected to the industry.
Includes coverage of the following key legislation:
Financial Services and Markets Act 2000
Financial Services Act 2010
Financial Services Act 2012
Whatever your legal issue or question, you will find the answer in this user-friendly and clearly presented guide.
Contents:
Chapter 1 The Financial Services Regime
Chapter 2 Authorisation
Chapter 3 Approved Persons
Chapter 4 Retail Products
Chapter 5 Customer Relations
Chapter 6 Financial Promotion
Chapter 7 Market Abuse
Chapter 8 Money Laundering
Chapter 9 Clients' Money
Chapter 10 Financial Rules
Chapter 11 Enforcement
Chapter 12 Professionals and Investment Business
Previous print edition ISBN: 9781845921392
More details
Edition
4th edition
Language
English
Place of publication
London
United Kingdom
Publishing group
Bloomsbury Publishing PLC
Target group
College/higher education
Professional and scholarly
Dimensions
Height: 248 mm
Width: 156 mm
Weight
772 gr
ISBN-13
978-1-84766-978-0 (9781847669780)
Copyright in bibliographic data and cover images is held by Nielsen Book Services Limited or by the publishers or by their respective licensors: all rights reserved.
Schweitzer Classification
Other editions
Previous edition
Andrew Haynes
Financial Services Law Guide
Book
07/2006
3rd Edition
Tottel Publishing
€171.12
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