Financial Services Regulation in Practice
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89 578 Ft
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Product details:
- Publisher OUP Oxford
- Date of Publication 31 March 2016
- ISBN 9780199688753
- Binding Hardback
- No. of pages608 pages
- Size 247x186x37 mm
- Weight 1202 g
- Language English 0
Categories
Short description:
This new work provides real insight into the practical, legal, and policy issues affecting all dealing with the post-crisis regulatory environment, making it an essential reference for understanding the regulatory agenda as well as advising on compliance and enforcement in the financial sector.
MoreLong description:
This book explains how to deal with legal, compliance, and enforcement issues faced by banks and other financial institutions and their legal advisers. It focuses on the practical application of the generally applicable regulations and rules under the Financial Services and Markets Act 2000 governing the financial services sector as it changed and developed during and after the financial crisis.
The book considers the key changes made by the Financial Services Act 2012 and the Financial Services (Banking Reform) Act 2013 as well as policy developments brought about by the change in regime from the Financial Services Authority to the Prudential Regulation Authority and Financial Conduct Authority. Guidance is given on the application and enforcement of the rules taking all relevant sources into account including speeches and announcements by regulatory authorities, policy documents and pronouncements, practice developments, court cases, tribunal decisions, and enforcement proceedings.
Providing real insight into the practical, legal, and policy issues affecting all dealing with the post-crisis regulatory environment, this book is essential for all advising on legal matters, compliance and enforcement in the financial sector.
Any practitioner seeking to give advice on the numerous complex issues that relate to the many branches of financial services business faces a real struggle to find the answers that clients need. Dr. Morris has provided us with a compact but through summary of the key issues in this field, which hands the reader an excellent guide to finding the information needed.
Table of Contents:
Background, Sources, and Structure
General Orohibition & Specified Investments
Specified Activities & Exclusions
Regulators
Authorisation
Individual Approval
Rules & Principles
Prudential Regulation
Conduct Regulation
Marketing
Supervision and Powers
Enforcement
Financial crime
Redress
