Financial Services Law / Edition 2

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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.

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Editorial Reviews

From the Publisher

"...Financial Services Law is the most comprehensive single text on its subject matter currently available...the book ought to serve as a model for editors and publishers in the future."

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Product Details

  • ISBN-13: 9780199564187
  • Publisher: Oxford University Press, USA
  • Publication date: 6/1/2009
  • Edition number: 2
  • Pages: 1112
  • Product dimensions: 9.80 (w) x 7.10 (h) x 2.30 (d)

Meet the Author

George Walker, Professor of Law, Centre for Commercial Law Studies, Queen Mary, London,Robert Purves, Partner, 3 Verulam Buildings

Professor George Walker is a Professor in International Financial Law at the Centre for Commercial Law Studies at Queen Mary University of London. He is also a solicitor and consultant to Farrer & Co.

Michael Blair QC has been in self employed practice at the Bar since 2000 and was previously General Counsel to the Board of the Financial Services Authority 1997-2000. He has been a leader among the specialists in the field of financial services since he first joined the Securities and Investments Board as its legal Director in 1987.

Robert Purves is a commercial lawyer at Three Verulam Buildings with strong specialism in financial services law and regulation. From April 2003, Robert was Chief Counsel, Insurance and Prudential Policy at the Financial Services Authority, the UK body responsible for the licensing, oversight and regulation of almost all financial services business in the UK.

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Table of Contents

1 Financial services authority 3
2 The Financial Services and Markets Act 51
3 FSA handbook and high level standards 83
4 Regulatory processes - authorisation, supervision, enforcement 113
5 Financial redress - complaints, disputes, and compensation 149
6 Market abuse 207
7 Insider dealing, misleading statements and practices, and other offences 267
8 Money laundering and financial crime 305
9 The integrated prudential sourcebook 369
10 Investment firms - wholesale sector 385
11 Investment firms - retail sector 449
12 Banks and banking 485
13 Mortgage lending and mortgage intermediation 561
14 Insurance regulation 579
15 Collective investment schemes 659
16 Listing and public offers 713
17 European financial services 753
18 International agreements and supranational bodies 783
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