Banking / Finance

A Practitioner's Guide to the UK Financial Services Rulebooks, 6th Edition

By Ruth Fox
Sweet & Maxwell U.K. December 2013

Specifications

ISBN-13
9780414027480
Publisher
Sweet & Maxwell U.K.
Publication
December 2013
Format
Paperback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

Following the recent fundamental change in the structure of the UK regulatory regime, A Practitioner's Guide to the UK Financial Services Rulebooks is perfectly times to help you understand the impact on your practice.

Formerly entitled A Practitioner's Guide to the FSA Handbook, this new 6th edition covers all changes following the establishment of the Financial Conduct Authority and the Prudential Regulation Authority and the creation of the new rulebooks. The new edition is written to follow closely the structure of the handbooks and covers all the significant regulatory developments and how they will impact your day-to-day practice.

Written by a team of leading practitioners who are among the best-known advisors in the City, this book is a detailed, thorough guide and commentary on the handbooks.

 

  • Fully updated to cover the new UK regulatory structure and the replacement of the FSA Handbook with new rule books from the FCA and PRA
  • Closely follows the structure of the rule books
  • Covers the impact of EU and international level developments including MiFID, MAD and Basel III
  • Explains how conduct of business, prudential regulation, authorisation, enforcement and consumer issues are dealt with with in the new rule books
  • Explains how the new regulatory bodies interact
  • Highlights areas of continuing uncertainty as the new system beds down

Table of Contents

  1. Introduction - the Regulatory Landscape
    Ruth Fox and Ben Kingsley, Slaughter and May
  2. The Role and Statutory Powers of the Regulators
    Ruth Fox, Ben Kingsley and John Crosthwait, Slaughter and May
  3. High-level Standards
    Hannah Meakin, Norton Rose Fulbright
  4. Prudential Rules and Guidance
    Ruth Fox and Ben Kingsley, Slaughter and May
  5. Conduct of Business
    Rachel Kent, Hugh Merritt, Victor Fornasier, Julie Patient and Helen Sails, Hogan Lovells
  6. Client Assets
    Rachel Kent and Hugh Merritt, Hogan Lovells
  7. The Approved Persons Regime
    Tamasin Little and Karen Butler, SJ Berwin
  8. Market Abuse Regime and the Code of Market Conduct
    Carlos Conceicao and Chris Stott, Clifford Chance
  9. Financial Crime
    Richard Sims, Simmons & Simmons
  10. Authorisation and Supervisions Processes
    David Kenmir, PricewaterhouseCoopers
  11. Discipline and Enforcement
    Margaret Chamberlain, Travers Smith
  12. Consumer Relations, Complaints and Compensation
    Marc Thorley, Simmons & Simmons
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