Financial Services Law / Edition 2

Financial Services Law / Edition 2

by George Walker, Michael Blair, Robert Purves
     
 

ISBN-10: 0199564183

ISBN-13: 9780199564187

Pub. Date: 06/01/2009

Publisher: Oxford University Press, USA

This new edition explains all of the substantial institutional and structural changes made under the Financial Services Act 2013 and parallel changes at European and global levels.

This includes the abolition of the Financial Services Authority (FSA) and its replacement with a separate Prudential Regulatory Authority (PRA) and Financial Conduct Authority (FCA),

Overview

This new edition explains all of the substantial institutional and structural changes made under the Financial Services Act 2013 and parallel changes at European and global levels.

This includes the abolition of the Financial Services Authority (FSA) and its replacement with a separate Prudential Regulatory Authority (PRA) and Financial Conduct Authority (FCA), and with a new Financial Policy Committee (FPC) established within the Bank of England to manage the new 'macro-prudential' policy regime in the UK.

The new edition also considers regulatory developments at regional and international level including changes to the Prospectus and Market Abuse Directives and the proposed changes to Markets in Financial Instruments Directive (MiFID) and the introduction of the Markets in Financial Instruments Regulation (MiFIR).

In addition the third edition also includes a new chapter on regulation and financial disputes in the civil courts. The chapter considers the protection offered consumers under The Financial Services and Markets Act 2000 ("FSMA"). This includes dispute resolution through the Financial Ombudsman Scheme or the Financial Services Compensation Scheme, and, in the context of an authorised firm, a statutory right to claim for breach of rules made by the regulatory authorities and for acting beyond the scope of authorisation under the Act.

This new edition provides very timely analysis of the recent changes in regulatory structure and substance providing valuable insights into the way in which the regulation and rules have and will be interpreted by the various new authorities. It is a must-have reference source for all lawyers working in financial services.

Product Details

ISBN-13:
9780199564187
Publisher:
Oxford University Press, USA
Publication date:
06/01/2009
Pages:
1112
Product dimensions:
9.80(w) x 7.10(h) x 2.30(d)

Table of Contents

Part I - REGULATORY STRUCTURE
1. UK Financial Services Reform, George Walker
2. Statutory Framework for UK Financial Services Regulation, Paul Kennedy
3. New Regulatory Agencies, Robert Purves
4. European Financial Services, Jane Welch and Peter Parker
5. International Agreements and Supranational Bodies, Deborah Sabalot
Part II - FINANCIAL SERVICES REGULATION
6. The PRA, FCA and Shared Handbooks, and High Level Standards, Robert Purves
7. Regulatory Processes - Authorisation, Supervision, Enforcement, Simon Gleeson
8. Financial Redress - Complaints, Disputes, and Compensation, Alex Kuczynski
9. Listing and Public Offers
10. Market Abuse, Jonathan Melrose
11. Insider Dealing, Misleading Statements and Practices, Jonathan Melrose
12. Money Laundering and Financial Crime, Jonathan Herbst and Peter Snowdon
13. Regulation and Financial Disputes in the Civil Courts, Richard Everett
Part III - FINANCIAL SECTORS AND ACTIVITIES
14. Banking, George Walker
15. Wholesale Investment Firms, Etay Katz
16. Insurance Regulation, Noleen John and Maria Ross
17. Retail Investment Firms, Gerard McMeel
18. Home Finance Transactions, Robert Purves
19. Collective Investment Schemes, Eva Lomnicka
20. Islamic Financial Services, Andrew Henderson

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