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A Practitioner's Guide to The FSA Regulation of Designated Investment Business (3rd Edition)

A Practitioner's Guide to The FSA Regulation of Designated Investment Business (3rd Edition)

A Practitioner's Guide to The FSA Regulation of Designated Investment Business (3rd Edition)

Author: Tim Cornick
Publisher: Sweet & Maxwell U.K.
ISBN: 9781905121267
Published In: March 2008
Format: Paperback
Jurisdiction: European Union ? Disclaimer:
Countri(es) stated herein are used as reference only

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A Practitioner’s Guide to The FSA Regulation of Designated Investment Business deals with the specific issues that are relevant to regulated firms on a daily basis. It analyses the investments that are regulated, considers the impact of the Conduct of Business Rules and looks at the Client Asset regime and related rules as well as the special cases of trustee firms, occupational pension schemes and collective investment schemes.

This third edition takes into account all the changes affecting designated investment business since the last edition was published – and most significantly the impact of MiFID, which was implemented in November 2007.

MiFID has had wide ranging implications for the scope of regulated activities, and will have significant impact on conduct of business, best execution, and financial promotion. Furthermore the implementation of UCITS III, and developments in the regulation of derivatives, mortgages, SIPPs and other types of product, have all been taken into account in this substantially revised edition.

Chapter 1: The Principal Provisions

Tim Cornick,

Chapter 2: Specified Investments

Michael Wainwright,

Chapter 3: Regulated Activities

Michael Wainwright,

Chapter 4: Further Orders

Daniel Tunkel,

Chapter 5: Source, Scope and General Application of Conduct of Business Rules

Arun Srivastava and Sandra Zivcic,

Chapter 6: Getting New Customers

Arun Srivastava,

Chapter 7: Servicing Customers

James Perry,

Chapter 8: The Client Asset Regime

Dick Frase,

Chapter 9: Special Cases

Kirstene Baillie

Tim Cornick, Macfarlanes

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