Financial Services Law Guide

ISBN: 9781847669780 出版年：2015 页码：560 Andrew Haynes Bloomsbury Publishing

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 2000Financial Services Act 2010Financial Services Act 2012Whatever your legal issue or question, you will find the answer in this user-friendly and clearly presented guide.Contents:Chapter 1 The Financial Services RegimeChapter 2 AuthorisationChapter 3 Approved Persons Chapter 4 Retail ProductsChapter 5 Customer Relations Chapter 6 Financial PromotionChapter 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