Home >
Law >
Banking / Finance >
A Practitioner's Guide to the UK Financial Services Rulebooks, 6th Edition

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

Author: Ruth Fox
Publisher: Sweet & Maxwell U.K.
ISBN: 9780414027480
Published In: December 2013
Format: Paperback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

New Edition is available now !

Description
Contents

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

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