Full Description
A practical handbook and guide to the Financial Services and Markets Act which received royal assent in June 2000. This book contains the text of the Act itself, section-by-section commentary providing analysis and explanation together with relevant cross-references, plus a selection of important subordinate legislation and rules. New editions will be prepared on a regular basis to update the annotations and materials in the light of subsequent case-law and practice. This book is intended for solicitors, barristers, other professionals and academics specializing in financial services, markets, securities and related corporate/commercial law; in-house lawyers with banks, insurers, financial advisers; and law libraries.
Contents
DETAILED CONTENTS TO FOLLOW - See summary.. Financial Services and Markets Act 2000 with Annotations: Topics covered include: 1. Regulatory Framework: Scope of the Regulation; FSA's Record Keeping; 2. Conduct of the Financial Services Business: The Statutory Context; Auditor Rules and Regulations; The FSA's Rules and Regulations; 3. Collective Investment Schemes; 4. Public Issues: Listed and Unlisted Securities; 5. Market Abuses; 6. Power of FSA: Investigations; Disciplinary Measures; Injuntions and Restitution; Offences; 7. Compensation Scheme; 8. Financial Services Tribunal; Financial Services Ombudsman; Other legislation, rules and guidelines
