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Author : Deborah A. Sabalot
Publisher :
ISBN 13 : 9781474321013
Total Pages : pages
Book Rating : 4.3/5 (21 download)
Download or read book Butterworths Securities & Financial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 2022 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Andrew Haynes
Publisher : Butterworths
ISBN 13 : 9781405701556
Total Pages : pages
Book Rating : 4.7/5 (15 download)
Download or read book Butterworths Financial Services Law Guide written by Andrew Haynes and published by Butterworths. This book was released on 2005-07 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: Rewritten and expanded in the light of the new financial regulatory regime, this invaluable guide brings together experts from a range of professions to provide authoritative and practical advice on the impact of the Financial Services and Markets Act 2000. With the introduction of the Financial Services Authority as the sole regulator for financial business in the UK, this timely new edition is an indispensable source of reference for lawyers, compliance officers and all those connected with the industry.
Author : Deborah A. Sabalot
Publisher :
ISBN 13 : 9781474327633
Total Pages : 0 pages
Book Rating : 4.3/5 (276 download)
Download or read book Butterworths Securities and Financial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 2024-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Deborah A. Sabalot
Publisher : Butterworths
ISBN 13 : 9781474303651
Total Pages : 6264 pages
Book Rating : 4.3/5 (36 download)
Download or read book Butterworths Securities and Financial Services Law Handbook written by Deborah A. Sabalot and published by Butterworths. This book was released on 2017-03-30 with total page 6264 pages. Available in PDF, EPUB and Kindle. Book excerpt: Presented across two volumes, this annual handbook brings together the primary, secondary and European legislation which forms the regulatory framework for the financial services industry. It contains a fully updated version of FSMA 2000 together with the statutory instruments made under it, and also covers other areas including proceeds of crime, money laundering and banking. All lawyers, compliance officers and regulators working in the financial services field will find that Butterworths Securities & Financial Services Law Handbook provides the most complete, up-to-date and indispensable reference source for the financial services industry.
Author : Andrew Haynes
Publisher : Tolley
ISBN 13 : 9780406895332
Total Pages : 356 pages
Book Rating : 4.8/5 (953 download)
Download or read book Butterworths Financial Services Law Guide written by Andrew Haynes and published by Tolley. This book was released on 1997 with total page 356 pages. Available in PDF, EPUB and Kindle. Book excerpt: Intended for both lawyers and accountants who provide financial services advice, this book offers a broad general guide to the relevant legislation of this highly complex area of law. It also provides the reader with a primary source of reference to the provisions of the statutes and leading authorities, sets the legislation in the context of common practice, and explains its application to practical problems.
Author : Deborah A. Sabalot
Publisher :
ISBN 13 : 9781474307352
Total Pages : pages
Book Rating : 4.3/5 (73 download)
Download or read book Butterworths Securities & Finanacial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 2018 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Deborah A. Sabalot
Publisher :
ISBN 13 : 9781405725408
Total Pages : 2556 pages
Book Rating : 4.7/5 (254 download)
Download or read book Butterworths Financial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 2007 with total page 2556 pages. Available in PDF, EPUB and Kindle. Book excerpt: Butterworths Financial Services Law Handbook is published annually and brings together in a single volume the primary, secondary and European legislation which forms the regulatory framework for the financial services industry. All of the relevant statutory instruments made under FSMA 2000 are set out as amended in Sections A and B of Part III. The last edition saw the inclusion of a new Appendix listing every UK statutory instrument made under FSMA 2000 with a brief summary of its effect. Other relevant secondary legislation is also included covering areas such as the Proceeds of Crime Act 2002 and anti-money laundering regulations. Part IV (European material) has been greatly expanded in the last two editions. To complete this comprehensive work, lists or tables of all amending enactments are included at the beginning of each Act, statutory instrument and European Directive and Regulation. 2007 is an important year in the field of financial services.
Author : Deborah A. Sabalot
Publisher : Butterworth-Heinemann
ISBN 13 : 9781405755771
Total Pages : 0 pages
Book Rating : 4.7/5 (557 download)
Download or read book Butterworths Securities & Financial Services Law Handbook written by Deborah A. Sabalot and published by Butterworth-Heinemann. This book was released on 2011 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Butterworths Securities & Financial Services Law Handbook is published annually and brings together in a single volume the primary, secondary and European legislation which forms the regulatory framework for the financial services industry.
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 : Deborah A. Sabalot
Publisher :
ISBN 13 : 9780406991973
Total Pages : 1058 pages
Book Rating : 4.9/5 (919 download)
Download or read book Butterworths Financial Services Law Handbook written by Deborah A. Sabalot and published by . This book was released on 1996 with total page 1058 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Andrew Haynes
Publisher : Bloomsbury Professional
ISBN 13 : 9781847669780
Total Pages : 476 pages
Book Rating : 4.6/5 (697 download)
Download or read book Financial Services Law Guide written by Andrew Haynes and published by Bloomsbury Professional. This book was released on 2014-09-30 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt: Financial Services Law Guide, 4th edition is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. The current changes in the regulatory structure are far reaching for the financial services sector and the new rule books that are to be brought in represent a change in financial services regulation in this country that is profound in its nature and both important and subtle in terms of the changes it will bring in for regulated firms. In particular the compliance procedures and relevant managerial approaches adopted in financial services firms will need to change. Financial Services Law Guide is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for lawyers, compliance officers, consultants and all those connected to the industry. Includes coverage of the following key legislation: Financial Services and Markets Act 2000 Financial Services Act 2010 Financial Services Act 2012 Whatever your legal issue or question, you will find the answer in this user-friendly and clearly presented guide. Contents: Chapter 1 The Financial Services Regime Chapter 2 Authorisation Chapter 3 Approved Persons Chapter 4 Retail Products Chapter 5 Customer Relations Chapter 6 Financial Promotion Chapter 7 Market Abuse Chapter 8 Money Laundering Chapter 9 Clients' Money Chapter 10 Financial Rules Chapter 11 Enforcement Chapter 12 Professionals and Investment Business Previous print edition ISBN: 9781845921392
Author : Neville Russell
Publisher : Butterworth-Heinemann
ISBN 13 : 1483105814
Total Pages : 225 pages
Book Rating : 4.4/5 (831 download)
Download or read book Butterworths Financial Services Compliance Manual written by Neville Russell and published by Butterworth-Heinemann. This book was released on 2014-05-23 with total page 225 pages. Available in PDF, EPUB and Kindle. Book excerpt: Butterworths Financial Services Compliance Manual provides a guide in implementing a form of internal control in accounting to ensure compliance with the Financial Services Act of 1986. The manual is organized into 11 parts; each part tackles a specific area of concern in the implementation of the Act. Part I covers the background of legislation and compliance procedures, and Part II discusses the importance of identifying a client. Part III talks about the conduct of business, while Part IV deals with corporate finance. The subsequent parts cover portfolio review and discretionary management. The book also covers client money regulation, and then discusses central records and control. Compliance role and complaints procedures are also discussed. The last part talks about advertising. The book will be of great use to accountants, who require references on standardized practice manual.
Author : Mark Howard
Publisher : Butterworth-Heinemann
ISBN 13 : 9780406049353
Total Pages : 0 pages
Book Rating : 4.0/5 (493 download)
Download or read book Butterworths Banking Law Guide written by Mark Howard and published by Butterworth-Heinemann. This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: This guide provides a practical treatment of the subject and should be a useful first reference point for all those requiring an accessible text on banking and finance.
Author : Michael C. Blair
Publisher :
ISBN 13 : 9781405702560
Total Pages : 1221 pages
Book Rating : 4.7/5 (25 download)
Download or read book Butterworths Annotated Guide to the Financial Services and Markets Act 2000 written by Michael C. Blair and published by . This book was released on 2005 with total page 1221 pages. Available in PDF, EPUB and Kindle. Book excerpt: Now in its second edition, this is a practical guide to the Financial Services and Markets Act 2000. The book contains the text of the Act itself, section-by-section commentary providing analysis and explanation together with relevant cross-references prepared by a leading team of authors led by Michael Blair QC.Fully updated to incorporate the many changes since the previous edition, including those brought about by the Prospectus Directive, and providing a comprehensive commentary on the most important financial services legislation to date, this truly is an essential work for anyone in this field.Twice-yearly online updates can be accessed by a paying subscription to an online service.
Author : Michael C. Blair
Publisher : Butterworths
ISBN 13 : 9780406964649
Total Pages : 1148 pages
Book Rating : 4.9/5 (646 download)
Download or read book Butterworths Annotated Guide to the Financial Services and Markets Act 2000 written by Michael C. Blair and published by Butterworths. This book was released on 2003 with total page 1148 pages. Available in PDF, EPUB and Kindle. Book excerpt: This practical handbook is a guide to the Financial Services and Markets Act which received royal assent in June 2000. The book contains the text of the Act itself, section-by-section commentary providing analysis and explanation together with relevant cross-references prepared by a leading team of authors led by Michael Blair QC.Providing a comprehensive commentary on the most important financial services legislation to date, this truly is an essential work for anyone in this field.
Author : Barlow Lyde
Publisher :
ISBN 13 : 9780406941305
Total Pages : 6000 pages
Book Rating : 4.9/5 (413 download)
Download or read book Butterworths Financial Regulation Service written by Barlow Lyde and published by . This book was released on 2002-02-04 with total page 6000 pages. Available in PDF, EPUB and Kindle. Book excerpt: This comprehensive looseleaf work covers the general principles and rules of financial regulation and also focuses on specific types of regulated business. Written by a team of well-known authors comprising practising lawyers, regulators and academics, Butterworths Financial Regulation Service provides detailed, authoritative analysis and clear, practical guidance on the UK financial regulatory system.The service is modular and is comprised of two core volumes (contained in four binders), covering general principles and rules, and five optional volumes, focusing on specific types of regulated business of which you choose those most relevant to your practice.These additional volumes can be purchased with the Main Set:Volume 3 - Investment Firms and Collective Investment SchemesVolume 4 - Credit InstitutionsVolume 5 - MarketsVolume 6 - Insurance, Lloyd's and Friendly SocietiesVolume 7 - Insurance Mediation and MortgagesSix updates per year.
Author : Barrister
Publisher :
ISBN 13 : 9781405751186
Total Pages : 3634 pages
Book Rating : 4.7/5 (511 download)
Download or read book Butterworths Banking Law Handbook written by Barrister and published by . This book was released on 2010 with total page 3634 pages. Available in PDF, EPUB and Kindle. Book excerpt: Part of LexisNexis’ popular and successful Handbook series, Butterworths Banking Law Handbook contains all of the principal primary and secondary legislation relating to banking law together with important European legislation and other supplementary materials.This Handbook also contains the statutes and statutory instruments relating to banking and the Bank of England, as well as covering such diverse areas as contract and agency, mortgages and charges, international organisations and sovereign immunity, money laundering and terrorist financing. All legislation is reproduced as amended and fully updated and includes new legislation designed to reintroduce financial stability to the UK.This wide-ranging collection of source material is completed by a comprehensive index and is an essential reference work for those working in the banking sector, especially during a time of economic turbulence.Please see contents for full details of what's new in this edition.
