Financial Services Decisions Digest: FSA Final Notices and FSMT Decisions

Banking / Finance

Financial Services Decisions Digest FSA Final Notices and FSMT Decisions

Edited by James Bagge · Charles Evans · Katie Stephen · Dorian Drew · Sonia Morley
LexisNexis U.K. June 2007

Specifications

ISBN-13
9781405718455
Publisher
LexisNexis U.K.
Publication
June 2007
Format
Hardback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

This new book brings together for the first time the FSA Final Notices and the FSMT Decisions in one accessible volume. An essential tool, Financial Services Decisions Digest allows financial services practitioners to take guidance from previous regulatory decisions in this new era of principles-based regulation.

Benefits of Financial Services Decisions Digest: FSA Final Notices and FSMT Decisions

  • An overarching practical and authoritative review is provided under key headings, grouped under themes, giving an overview of the decisions relevant to each subject area whilst also highlighting the FSA's priorities.
  • There is no other source that collates and provides an authoritative guide to the FSA Final Notices and the FSMT Decisions
  • Financial Services Decisions Digest will be an essential reference work for financial services practitioners, accountants and compliance officers and a vital addition to law libraries, driving advice and practice in the financial services industry.

Table of Contents

  • Introduction;
  • Market Abuse;
  • Listing Rules;
  • Anti-Money Laundering;
  • Treating Customers Fairly;
  • Systems and Controls;
  • Authorisation and Approval;
  • Tribunal Procedure.
  • Content for this publication includes:
  • Appendix 1: Final Notices.
  • Appendix 2: Tribunal Decisions

About the Author

By James Bagge, Charles Evans, Katie Stephen, Dorian Drew and Sonia Morley, Norton Rose

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