Implementing Financial Regulation: Theory and Practice / Edition 1

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Now that the Financial Services and Markets Act 2000 has had a chance to bed itself down and the Financial Services Authority (FSA) is developing its new regulatory toolkit and modus operandi, financial regulation has moved on in interesting directions. This book takes a critical look at the principles and practices behind this regulation, as well as the theory that is involved.

This book goes further than a description of the laws that are currently out there, by analysing the impact and implications of the new financial regulations, making it a ’must-read’ for law, finance and accounting practitioners. Coverage includes: Regulation and compliance; disclosure risk and regulation and stakeholders in financial regulation.

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Product Details

  • ISBN-13: 9780470869291
  • Publisher: Wiley
  • Publication date: 5/19/2006
  • Series: Wiley Finance Series, #381
  • Edition number: 1
  • Pages: 286
  • Sales rank: 849,632
  • Product dimensions: 6.26 (w) x 9.27 (h) x 0.86 (d)

Meet the Author

JOANNA GRAY LL.B. (Newcastle), LL.M. (Yale) Reader inFinancial Regulation, University of Newcastle upon Tyne andSolicitor (England and Wales) has also taught at the Universitiesof London, Dundee, and Strathclyde and qualified as a solicitorwith a leading City of London practice for whom she subsequentlyworked as a consultant. In 2000 returned to practice full-timedoing advisory work relating to financial regulation at a leadingEdinburgh law firm.
She taught the first UK undergraduate Law School course of its kindin 1986-1987 in financial services regulation at UCL (jointly withDr Cento Veljanovski an economist). She has had extensiveexperience in training and consultancy work in financial serviceslaw and regulation both for law firms and for industry and haspublished widely in academic and industry journals on financialservices law and company law.

JENNY HAMILTON Professor in Law, University ofStrathclyde, UK has taught at the University of Strathclyde for thepast nine years, primarily in the field of commercial law, consumerlaw and financial services regulation. Qualified as a barrister andsolicitor in Australia she practiced law and taught in Australiabefore moving to Scotland in the mid 1980s where she has sincetaught. She is also a visiting lecturer on the LLM program atMonash University, Australia.
She was formerly a Council member of the Scottish Consumer Council(1999–2003) and is currently the Council Moderator of aco-operative lending society based in the north of England thataims to reduce poverty in the world, by providing fair and justfinancial services.

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Table of Contents



1. Regulation in context.

2. Aligning risk and regulation: FSA’s risk-basedoperating framework.

3. Regulation within the regulated firm: legislation andrules.

4. Senior management regulation: evidence and practice sinceN2.

5. The wider regulatory and legal context for seniormanagement.

6. Regulation and the emergence of the financial citizen.

7. An illustrated critique of meta regulation and concludingcomments.


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