[PDF] Financial Services Law Guide eBook

Author : Andrew Haynes
Publisher : Bloomsbury Professional
Page : 476 pages
File Size : 24,53 MB
Release : 2014-09-30
Category : Law
ISBN : 9781847669780

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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

Author : Andrew Haynes
Publisher :
Page : 512 pages
File Size : 40,30 MB
Release : 2021
Category : Electronic books
ISBN : 9781526517814

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"A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing: - Analysis of the various laws and regulations and how they impact on customer relations and retail products - An outline of the protection given to clients' money and the functioning of the prudential requirements - An explanation of the rationale and operation of enforcement procedures - Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities - A consideration of recently implemented EU initiatives The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to: - the new investments and investment activities and the FCA rules and their impact - the FCA authorisation procedures and their impact - the approved persons regime - the rules and, in particular, their applications in relation to retail products and customer relations - the rules in relation to professionals as well as coverage of: - the EU Market Abuse Regulation - 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned - new case law in relation to enforcement and the lessons learned Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students."--

Author : Ashurst Morris Crisp (Firm)
Publisher :
Page : 488 pages
File Size : 35,91 MB
Release : 2001
Category : Business & Economics
ISBN :

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Provides the reader with an overview of the Financial Services and Markets Act and the principal statutory instruments made under it. The text places the statutory provisions in their practical context, providing commentary, and an overview of the law and its consequences. The work also summarizes the relevant changes in the regulatory regime, and highlights the powers of the FSA.

Author : Alexander Dill
Publisher : Taylor & Francis
Page : 327 pages
File Size : 21,64 MB
Release : 2019-10-01
Category : Law
ISBN : 1000702731

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Bank Regulation, Risk Management, and Compliance is a concise yet comprehensive treatment of the primary areas of US banking regulation – micro-prudential, macroprudential, financial consumer protection, and AML/CFT regulation – and their associated risk management and compliance systems. The book’s focus is the US, but its prolific use of standards published by the Basel Committee on Banking Supervision and frequent comparisons with UK and EU versions of US regulation offer a broad perspective on global bank regulation and expectations for internal governance. The book establishes a conceptual framework that helps readers to understand bank regulators’ expectations for the risk management and compliance functions. Informed by the author’s experience at a major credit rating agency in helping to design and implement a ratings compliance system, it explains how the banking business model, through credit extension and credit intermediation, creates the principal risks that regulation is designed to mitigate: credit, interest rate, market, and operational risk, and, more broadly, systemic risk. The book covers, in a single volume, the four areas of bank regulation and supervision and the associated regulatory expectations and firms’ governance systems. Readers desiring to study the subject in a unified manner have needed to separately consult specialized treatments of their areas of interest, resulting in a fragmented grasp of the subject matter. Banking regulation has a cohesive unity due in large part to national authorities’ agreement to follow global standards and to the homogenizing effects of the integrated global financial markets. The book is designed for legal, risk, and compliance banking professionals; students in law, business, and other finance-related graduate programs; and finance professionals generally who want a reference book on bank regulation, risk management, and compliance. It can serve both as a primer for entry-level finance professionals and as a reference guide for seasoned risk and compliance officials, senior management, and regulators and other policymakers. Although the book’s focus is bank regulation, its coverage of corporate governance, risk management, compliance, and management of conflicts of interest in financial institutions has broad application in other financial services sectors. Chapter 6 of this book is freely available as a downloadable Open Access PDF at http://www.taylorfrancis.com under a Creative Commons Attribution-Non Commercial-No Derivatives (CC-BY-NC-ND) 4.0 license.

Author : Harding de C. Williams
Publisher : American Bar Association
Page : 382 pages
File Size : 14,11 MB
Release : 2006
Category : Business & Economics
ISBN : 9781590314739

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This easy-to-read guidebook is designed for lawyers who are new to banking law or are very seasoned practitioners who on occasion need to research banking law issues. The focus of the guidebook is to show how major bank regulations are structured and how they apply to different types of institutions and holding companies.

Author : Clifford E. Kirsch
Publisher :
Page : 0 pages
File Size : 47,23 MB
Release : 2006
Category : Business & Economics
ISBN : 9781402407710

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Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.

Author : Graham Roberts
Publisher :
Page : 368 pages
File Size : 27,31 MB
Release : 2009-03-01
Category : Banking law
ISBN : 9780852977798

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This well established and best selling guide to the law retains its unique focus on the law as it relates to corporate and retail financial services, cutting to the essential core of the legal and non-legal rules. The new edition covers the new banking code, the business banking code and the BBA statements of principles. Full commentary is provided on each.