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Solicitors and Financial Services

Solicitors and Financial Services

Solicitors and Financial Services A Compliance Handbook, 3rd edition

Author: Peter Camp
Publisher: Law Society Publishing
ISBN: 9781853288050
Published In: August 2002
Format: Paperback , 312 pages
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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The third edition of Solicitors and Financial Services has been fully revised to show how compliance with the Financial Services and Market Act 2000 may best be achieved.

It takes practitioners who are not authorised by the Financial Services Authority through the new regime (including the compliance requirements) and illustrates the practical application of the changes within individual departments of a solicitor's firm. The book clearly explains:

the new financial services regime
exclusions
exempt regulated activities
the Law Society's 'Conduct of Business Rules' and 'Scope' Rules.

Part I. Regulatory Framework: 1. Financial services framework,
2. Regulated activities,
3. Statutory exclusions,
4. Exempt regulated activities,
Part II. Compliance: 5. Compliance requirements,
6. Solicitors' Financial Services (Conduct of Business) Rules 2001,
7. Financial promotions,
8. Probate and administration,
9. Trusts,
10. Powers of attorney,
11. Receivers,
12. Property department,
13. Corporate department,
14. Litigation department (including matrimonial work),
15. Private clients,
16. Management of investment business,
Appendices: A. Statutory material,
B. Rules of practice,
C. Guidance,
Index.

Peter Camp is the principal of his own training consultancy, Educational and Professional Services. He is a Visiting Professor of Legal Ethics at the College of Law and an editor of Cordery on Solicitors .

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