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A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing:
- Analysis of the various laws and regulations and how they impact on customer relations and retail products
- An outline of the protection given to clients' money and the functioning of the prudential requirements
- An explanation of the rationale and operation of enforcement procedures
- Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities
- A consideration of recently implemented EU initiatives
The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to:
- the new investments and investment activities and the FCA rules and their impact
- the FCA authorisation procedures and their impact
- the approved persons regime
- the rules and, in particular, their applications in relation to retail products and customer relations
- the rules in relation to professionals
as well as coverage of:
- the EU Market Abuse Regulation
- 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned
- new case law in relation to enforcement and the lessons learned
Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students.
List of contents
1 Financial Services Regulation
2 Authorisation
3 The Senior Managers and Certification Regime
4 Retail Products
5 Customer Relations
6 Financial Promotion
7 Market Abuse
8 Money Laundering
9 Clients’ Money
10 Financial Rules
11 Enforcement
12 Professionals and Investment Business
About the author
Professor Andrew Haynes is a leading authority on the law relating to banking and financial services regulation. After a career at Deloitte and two leading law firms he entered academia. He has written widely on these subject areas and advised governments and banking regulators in a number of countries.
Summary
A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing:
- Analysis of the various laws and regulations and how they impact on customer relations and retail products
- An outline of the protection given to clients’ money and the functioning of the prudential requirements
- An explanation of the rationale and operation of enforcement procedures
- Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities
- A consideration of recently implemented EU initiatives
The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to:
- the new investments and investment activities and the FCA rules and their impact
- the FCA authorisation procedures and their impact
- the approved persons regime
- the rules and, in particular, their applications in relation to retail products and customer relations
- the rules in relation to professionals
as well as coverage of:
- the EU Market Abuse Regulation
- 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned
- new case law in relation to enforcement and the lessons learned
Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students.
This title is included in Bloomsbury Professional's Banking and Finance online service.
