A Practitioner's Guide to the FSA Handbook (5th edition)
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Banking / Finance

A Practitioner's Guide to the FSA Handbook (5th edition)

By Ruth Fox
Sweet & Maxwell U.K. March 2008

Specifications

ISBN-13
9781905121250
Publisher
Sweet & Maxwell U.K.
Publication
March 2008
Format
Paperback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

  • Provides a single point of reference to the main regulation of the FSA Handbook and quick and easy clarification of the rules
  • Follows closely the structure of the Handbook for quick and easy access to the interpretation and comment provided by the team of contributors
  • Takes account of the implementation of the Markets in Financial Instruments Directive (MiFID) and its far-reaching changes to the financial services environment

Table of Contents

 

  • The Role and Statutory Powers of the FSA
  • The FSA's High Level Principles
  • The Approved Persons Regime, Training and Competence
  • Prudential Rules and Guidance - Harmonisation and Differentiation
  • Conduct of Business
  • Market Conduct and Market Abuse Regime
  • Money Laundering
  • Authorisation and Supervision Processes
  • Discipline and Enforcement
  • Consumer Relations: Complaints and Compensation

About the Author

 Ruth Fox, Slaughter and May

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