Banking and Financial Services Regulation, 3rd Edition

RM350.00

Authors: William Blair, Austin Allison, Guy Morton, Keith Palmer, Peter Richards-Carpenter, George Walker
Publication Date: July 2002
ISBN: 1845924010
Format: Hardback
Country of Publication: UK

The 3rd edition of Banking and Financial Services Regulation provides detailed analysis and practical guidance on the UK regulatory system as it affects banking and financial services. The book has been written by a team of well known authors comprising practising lawyers, compliance officers, in-house counsel and academics.

Contents:
1. Banks and the Regulatory Regime
2. The Financial Services Authority and Financial Services and Markets Act
3. Regulated Activities – Banking and Investment Business
4. Other Regulated Activities
5. Authorisation and Approved Persons
6. Deposit Taking and Banking Supervision
7. Investment Management
8. Marketing and Financial Promotion
9. Market Misconduct
10. The Prevention of Money Laundering and Terrorist Finance
11. Client Care
12. Client Money
13. Record Keeping and notifications
14. Ensuring Compliance: Managing Regulatory and Reputational Risk
15. Capital Adequacy
16. Financial Derivatives
17. Global Custody
18. Listing and Regulated Exchanges and Clearing Houses
19. Investigations, Discipline and Enforcement
20. FSA decision making and the Financial Services and Markets Tribunal
21. International Supervisory Co-operation