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Author :
Publisher :
ISBN 13 : 9780414056978
Total Pages : pages
Book Rating : 4.0/5 (569 download)
Download or read book A Practitioner's Guide to the UK Financial Services Rulebooks written by and published by . This book was released on 2018-10-31 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Sally Dewar
Publisher : Sweet & Maxwell
ISBN 13 : 9780414043084
Total Pages : 410 pages
Book Rating : 4.0/5 (43 download)
Download or read book A Practitioners Guide to the Financial Services Authority Listing Regime 2010/2011 written by Sally Dewar and published by Sweet & Maxwell. This book was released on 2010 with total page 410 pages. Available in PDF, EPUB and Kindle. Book excerpt: The definitive, annual guide to the requirements of the FSA's Listing, Prospectus and Disclosure and Transparancy Rules.
Author : Maurice Button
Publisher :
ISBN 13 : 9781905121014
Total Pages : 276 pages
Book Rating : 4.1/5 (21 download)
Download or read book A Practitioner's Guide to the Financial Services Authority Listing Rules written by Maurice Button and published by . This book was released on 2005 with total page 276 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Maurice Button
Publisher :
ISBN 13 : 9781898830269
Total Pages : 284 pages
Book Rating : 4.8/5 (32 download)
Download or read book A Practitioners Guide to the Financial Services Authority Listing Rules written by Maurice Button and published by . This book was released on 2002 with total page 284 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Andrew Winckler
Publisher :
ISBN 13 : 9781905121083
Total Pages : 696 pages
Book Rating : 4.1/5 (21 download)
Download or read book A Practitioner's Guide to the FSA Handbook written by Andrew Winckler and published by . This book was released on 2006 with total page 696 pages. Available in PDF, EPUB and Kindle. Book excerpt: A Practitioner's Guide to the FSA Handbook is the leading guide and commentary to the FSA's Handbook of Rules and Guidance. Written by a team of twelve authors who are among the leading figures in financial services law and regulation in the UK, it provides clear and comprehensive guidance to the rules, explained in a practical business context. This fourth edition has been completely updated to include: the introduction of the Integrated Prudential Sourcebook for insurers; implementation of the Market Abuse Directive, and the revision of the rules on market conduct; the FSA's responsibility for mortgage and general insurance intermediation; new requirements resulting from the Treating Customers Fairly agenda; implementation of the UCITS III Directive; and changes in the FSA's enforcement regime. Coverage is also given of anticipated changes to the Handbook that will flow from the Markets in Financial Instruments Directive (MiFID) and the Capital Requirements Directive (CRD), and the proposed simplification of the Handbook as part of the Better Regulation project. The book closely follows the structure of the Handbook for ease of use. authority including compliance officers; lawyers; finance directors; managers and directors of regulated businesses and their advisers; accountants and financial services consultants.
Author : Freshfields Bruckhaus Deringer
Publisher :
ISBN 13 : 9781905121076
Total Pages : 436 pages
Book Rating : 4.1/5 (21 download)
Download or read book A Practitioner's Guide to EU Financial Services Directives written by Freshfields Bruckhaus Deringer and published by . This book was released on 2006 with total page 436 pages. Available in PDF, EPUB and Kindle. Book excerpt: This text covers 17 directives impacting on financial services, including regulation of credit institutions, regulation of investment firms and the wholesale markets, regulation of retail markets, regulation of insurance companies, and prudential rules and supervision.
Author : Paul Fontes
Publisher : Bloomsbury Publishing
ISBN 13 : 1526504227
Total Pages : 517 pages
Book Rating : 4.5/5 (265 download)
Download or read book Eversheds Sutherland: The Employment Practitioner’s Guide to Financial Institutions written by Paul Fontes and published by Bloomsbury Publishing. This book was released on 2019-02-19 with total page 517 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond. Eversheds Sutherland: The Employment Practitioner's Guide to Financial Institutions: Key Aspects of the Regulatory Framework (originally titled: The Employment Practitioner's Guide to Financial Institutions: The Senior Managers and Certification Regime and Accountability) covers the full roll-out of the Senior Managers and Certification Regime to all financial services firms in 2018. The complexity of the rules and the difficulty for practitioners in finding resources to help them understand the new regime has led to much confusion and uncertainty. This book provides an invaluable guide to the new regime with practical analysis of the issues raised and how the changes should be implemented.
Author : Michael Raffan
Publisher :
ISBN 13 : 9781898830696
Total Pages : 403 pages
Book Rating : 4.8/5 (36 download)
Download or read book A Practitioner's Guide to EU Financial Services Directives written by Michael Raffan and published by . This book was released on 2003 with total page 403 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Maurice Button
Publisher :
ISBN 13 : 9781898830498
Total Pages : 306 pages
Book Rating : 4.8/5 (34 download)
Download or read book Practitioner's Guide to the Financial Services Authority Listing Rules written by Maurice Button and published by . This book was released on 2001-06-01 with total page 306 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Junghoon Kim
Publisher : Springer Nature
ISBN 13 : 9811573298
Total Pages : 375 pages
Book Rating : 4.8/5 (115 download)
Download or read book Strategies of Financial Regulation written by Junghoon Kim and published by Springer Nature. This book was released on 2020-12-03 with total page 375 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book analyses different strategies and their results in implementing financial regulation in terms of rule-making, public enforcement and private enforcement. The analysis is based on a comparative study of conduct of business regulation on mis-selling of financial instruments in the UK and South Korea. It extends into liquidity regulation in the banking sector and credit rating agency regulation. The book concludes that in rule-making, purposive rules are more effective for achieving regulatory goals with minimal undesirable results, but a rule-making system with purposive rules can only work on a foundation of trust among rule-makers, enforcers and the regulates, that with respect to public enforcement, the enforcement strategies should combine the compliance-oriented and deterrence-oriented approaches and be continuously adjusted based on close monitoring of the regulatory outcomes and that in private enforcement, regulation should be instituted as the minimum requirement in private law.
Author : Financial Services Authority (Great Britain)
Publisher :
ISBN 13 : 9781905121250
Total Pages : 550 pages
Book Rating : 4.1/5 (212 download)
Download or read book A Practitioner's Guide to the FSA Handbook written by Financial Services Authority (Great Britain) and published by . This book was released on 2008-03-31 with total page 550 pages. Available in PDF, EPUB and Kindle. Book excerpt: A guide to the FSA that offers comprehensive guidance to the rules explained in a practical context. It is written by a team of 12 authors who are amongst the leading figures in financial services law and regulation in the UK
Author :
Publisher : Sweet & Maxwell
ISBN 13 : 0414024389
Total Pages : 478 pages
Book Rating : 4.4/5 (14 download)
Download or read book A Practitioner's Guide to the Financial Services Authority Listing Regime, 2012/2013 written by and published by Sweet & Maxwell. This book was released on 2012-06 with total page 478 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Maurice Button
Publisher :
ISBN 13 : 9781905121427
Total Pages : 362 pages
Book Rating : 4.1/5 (214 download)
Download or read book A Practitioner's Guide to The Financial Services Authority Listing Regime written by Maurice Button and published by . This book was released on 2009-12 with total page 362 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Andrew Haynes
Publisher : Bloomsbury Publishing
ISBN 13 : 1526517795
Total Pages : 510 pages
Book Rating : 4.5/5 (265 download)
Download or read book Financial Services Law Guide written by Andrew Haynes and published by Bloomsbury Publishing. This book was released on 2021-11-30 with total page 510 pages. Available in PDF, EPUB and Kindle. Book excerpt: A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing: - Analysis of the various laws and regulations and how they impact on customer relations and retail products - An outline of the protection given to clients' money and the functioning of the prudential requirements - An explanation of the rationale and operation of enforcement procedures - Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities - A consideration of recently implemented EU initiatives The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to: - the new investments and investment activities and the FCA rules and their impact - the FCA authorisation procedures and their impact - the approved persons regime - the rules and, in particular, their applications in relation to retail products and customer relations - the rules in relation to professionals as well as coverage of: - the EU Market Abuse Regulation - 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned - new case law in relation to enforcement and the lessons learned Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students.
Author :
Publisher : BRILL
ISBN 13 : 9004534393
Total Pages : 476 pages
Book Rating : 4.0/5 (45 download)
Download or read book Protecting Financial Consumers in Europe written by and published by BRILL. This book was released on 2023-02-17 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt: Protecting Financial Consumers in Europe provides an authoritative account of what is state-of-the-art in the field of contracts relating to selected financial services, and the resolution of disputes arising out of such contracts by ADR bodies in Europe, both at national and EU level.
Author : Charles Rix
Publisher :
ISBN 13 : 9780414028357
Total Pages : 350 pages
Book Rating : 4.0/5 (283 download)
Download or read book A Practitioner's Guide to the Regulation of Insurance written by Charles Rix and published by . This book was released on 2014-08-21 with total page 350 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fully revised title examines the UK and European regulatory regimes and their impact on the insurance industry, providing practical advice for compliance officers and professional advisers. It covers all aspects of the life and non-life insurance industries, from establishment, authorisation and ownership to conduct of business and financial supervision. There is also coverage of reinsurance and friendly societies
Author : Felix Hauck
Publisher : Sweet & Maxwell
ISBN 13 : 9780414047389
Total Pages : 424 pages
Book Rating : 4.0/5 (473 download)
Download or read book A Practitioner's Guide to the Financial Services Authority Listing Regime 2011/2012 written by Felix Hauck and published by Sweet & Maxwell. This book was released on 2011-07-01 with total page 424 pages. Available in PDF, EPUB and Kindle. Book excerpt: A Practitioner's Guide to the FSA Listing Regime is the definitive, annual guide to the requirements of the Listing, Prospectus, and Disclosure and Transparency Rules. It offers practical guidance on the eligibility criteria and continued obligations for listing on the London Stock Exchange. The disclosure requirements and the contents, approval and publication of prospectuses are also covered. The 2011/2012 edition will be fully updated to cover all Listing Regime developments since publication of the 2010/2011 edition.
