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Zusatztext Any practitioner seeking to give advice on the numerous complex issues that relate to the many branches of financial services business faces a real struggle to find the answers that clients need. Dr. Morris has provided us with a compact but through summary of the key issues in this field, which hands the reader an excellent guide to finding the information needed. Informationen zum Autor Simon Morris is a solicitor who has been a Partner at CMS Cameron McKenna LLP since 1988, and is a member of the firm's financial services group, advising financial institutions on a broad range of matters. He is a Commissioner of the Jersey Financial Services Commission and a member of the City of London Law Society Regulatory Committee. Klappentext This new work provides real insight into the practical, legal, and policy issues affecting all dealing with the post-crisis regulatory environment, making it an essential reference for understanding the regulatory agenda as well as advising on compliance and enforcement in the financial sector. Zusammenfassung This new work provides real insight into the practical, legal, and policy issues affecting all dealing with the post-crisis regulatory environment, making it an essential reference for understanding the regulatory agenda as well as advising on compliance and enforcement in the financial sector. Inhaltsverzeichnis 1: Background, Sources, and Structure 2: General Orohibition and Specified Investments 3: Specified Activities and Exclusions 4: Regulators 5: Authorisation 6: Individual Approval 7: Rules and Principles 8: Prudential Regulation 9: Conduct Regulation 10: Marketing 11: Supervision and Powers 12: Enforcement 13: Financial crime 14: Redress
Inhaltsverzeichnis
- 1: Background, Sources, and Structure
- 2: General Orohibition and Specified Investments
- 3: Specified Activities and Exclusions
- 4: Regulators
- 5: Authorisation
- 6: Individual Approval
- 7: Rules and Principles
- 8: Prudential Regulation
- 9: Conduct Regulation
- 10: Marketing
- 11: Supervision and Powers
- 12: Enforcement
- 13: Financial crime
- 14: Redress
Bericht
Any practitioner seeking to give advice on the numerous complex issues that relate to the many branches of financial services business faces a real struggle to find the answers that clients need. Dr. Morris has provided us with a compact but through summary of the key issues in this field, which hands the reader an excellent guide to finding the information needed. Dr. Edward J. Swan, Partner, Elborne Mitchell LLP
