基本説明
Identifies succinct regulatory principles followed by a series of chapters each addressing a specific business area.
Full Description
This single portable volume, written by a leading figure in the field, takes a thematic approach to the subject matter; provides expert analysis, and succinctly identifies regulatory principles. UK regulation is a topic deserving attention from special regulatory lawers, as well as financial practitioners and general company and commercial lawyers. This text will provide practitioners with a clear understanding of the regulatory aspects of their particular specialism.
Contents
"Part I - The Regulatory Structure;1. The FSA;1.1. Powers and Responsibilities;1.2. Territorial scope of FSAs powers;1.3. Judicial and Administrative Control of the FSA;2. Authorisation;2.1. The necessity for authorisation;2.2. The consequences of non-authorisation;2.3. Passporting;2.4. Non-EU firms in the UK;2.5. Doing, Arranging and Agreeing;3. Financial Promotion;3.1. What is a financial promotion;3.2. Real-time and non-real-time;3.3. Definitions and Exclusions;3.4. Television & newspapers;3.5. Overseas communications;4. The FSA Rulebook;4.1. Conduct of Business Rules;4.2. Systems and Controls;4.3. Training and Competence;4.4. Capital Adequacy;Part II - Regulated Activities;5. Banking;5.1. Deposit taking;5.2. Deposit Advertising;6. Corporate Finance;6.1. Corporate finance advice;6.2. Takeovers and mergers;6.3. Company Share Schemes;7. The Primary Markets;7.1. Prospectuses;7.2. Listing and Admission to Trading;7.3. Stabilisation;7.4. International Securities and the Euromarkets;8. The Secondary Markets;8.1. Markets & exchanges;8.2. Market Abuse;8.3. Clearing and settlement;8.4. Continuing listing requirements and corporate communications;9. Derivatives;9.1. OTC;9.2. On-exchange;9.3. Retail warrants;10. Securities;10.1. Dealing;10.2. Custody;10.3. Stock Lending and Borrowing;10.4. Prime Brokerage;11. Funds and Fund Management;11.1. Collective Investment Schemes and Open-ended investment Companies;11.2. Investment management;11.3. Regulated Funds;11.4. Unregulated and Hedge Funds;11.5. Repackaged products;12. Dealing with Retail Customers;12.1. Private client Duties;12.2. Retail advertising;12.3. Product Distribution;12.3.1. Life Policies;12.3.2. Regulated funds;12.3.3. Unregulated funds;12.3.4. Pension funds;12.3.5. Repackaged products;13. Mortgage lending;14. Lloyds membership"
