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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.
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.