This volume contains the principles and policies of financial regulation and a large number of snapshot country surveys, including EU directives. It reviews the regulation of banks, investment firms, broker-dealers, investment managers and advisers and covers the regulation of exchanges. It deals with the conduct of business by financial firms including conflicts of interest and client assets and looks at prospectuses, prospectus liability and prospectus due diligence and contents. The book also :

• Surveys collective investment schemes and hedge funds
• Deals with market manipulation, insider dealing and other market abuse
• Surveys financial supervision and capital adequacy
• Contains outlines and commentaries on documents

This highly practical new handbook deals with listing rules from a transactional point of view, assisting users in implementing the rules laid down by the Financial Services and Markets Act 2000. It includes guidance on the regulatory framework, dealing with the UKLA, getting listed and working with other jurisdictions.

Written in a user-friendly style, this book contains checklists, flowcharts and a class test template which will guide the reader through this complex area.

Contents:
1. Introduction to the Listing Rules and UKLA
2. Equity securities market
3. Sponsors, enforcement and suspension of securities
4. Listing criteria and contents of listing particulars
5. The listing process
6. Specialised routes to market
7. Investment entities and venture capital trusts
8. Corporate governance and continuing obligations
9. Transactions and financial information
10. Dealing with the UKLA
11. Alternative Investment Market
12. Overseas companies and the EU
dealing with other jurisdictions and mutual recognition
13. Specialist securities and securitised derivatives
14. New developments – EU and UK
Appendix 1: Case studies
Appendix 2: Transaction checklist