基本説明
Brings together for the first time the key FSA Final Notices and the Financial Services and Markets Tribunal Decisions in one accessible volume.
Full Description
This new book brings together for the first time the FSA Final Notices and the FSMT Decisions in one accessible volume. An essential tool, it allows financial services practitioners to take guidance from previous regulatory decisions in this new era of principles based regulation. An overarching practical and authoritative review is provided under key headings, grouped under themes, giving an overview of the decisions relevant to each subject area whilst also highlighting the FSA's priorities. There is no other source that collates and provides an authoritative guide to the FSA Final Notices and the FSMT Decisions and this will be an essential reference work for financial services practitioners, accountants, and compliance officers and a vital addition to law libraries, driving advice and practice in the financial services industry.
Contents
"Content for this publication includeListing Rules; Anti-Money Laundering; Treating Customers Fairly; Systems and Controls; Authorisation and Approval; Tribunal Procedure. Appendix 1: Final Notices. Appendix 2: Tribunal Decisions"
