Financial Services Law Guide

Author : Andrew Haynes
Publisher : Bloomsbury Professional
Page : 476 pages
File Size : 45,5 Mb
Release : 2014-09-30
Category : Law
ISBN : 1847669786

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Financial Services Law Guide by Andrew Haynes Pdf

Financial Services Law Guide, 4th edition is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. The current changes in the regulatory structure are far reaching for the financial services sector and the new rule books that are to be brought in represent a change in financial services regulation in this country that is profound in its nature and both important and subtle in terms of the changes it will bring in for regulated firms. In particular the compliance procedures and relevant managerial approaches adopted in financial services firms will need to change. Financial Services Law Guide is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for lawyers, compliance officers, consultants and all those connected to the industry. Includes coverage of the following key legislation: Financial Services and Markets Act 2000 Financial Services Act 2010 Financial Services Act 2012 Whatever your legal issue or question, you will find the answer in this user-friendly and clearly presented guide. Contents: Chapter 1 The Financial Services Regime Chapter 2 Authorisation Chapter 3 Approved Persons Chapter 4 Retail Products Chapter 5 Customer Relations Chapter 6 Financial Promotion Chapter 7 Market Abuse Chapter 8 Money Laundering Chapter 9 Clients' Money Chapter 10 Financial Rules Chapter 11 Enforcement Chapter 12 Professionals and Investment Business Previous print edition ISBN: 9781845921392

Author : Andrew Haynes
Publisher : Unknown
Page : 512 pages
File Size : 49,7 Mb
Release : 2021
Category : Electronic books
ISBN : 1526517817

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Financial Services Law Guide by Andrew Haynes Pdf

"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."--

Author : Ashurst Morris Crisp (Firm)
Publisher : Unknown
Page : 488 pages
File Size : 46,5 Mb
Release : 2001
Category : Business & Economics
ISBN : STANFORD:36105060993362

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The Financial Services and Markets Act by Ashurst Morris Crisp (Firm) Pdf

Provides the reader with an overview of the Financial Services and Markets Act and the principal statutory instruments made under it. The text places the statutory provisions in their practical context, providing commentary, and an overview of the law and its consequences. The work also summarizes the relevant changes in the regulatory regime, and highlights the powers of the FSA.

Author : Kevin C. Taylor
Publisher : Unknown
Page : 0 pages
File Size : 51,7 Mb
Release : 2014
Category : Computers
ISBN : 1617464392

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Fintech Law by Kevin C. Taylor Pdf

Author : Karol K. Sparks,Harding de C. Williams
Publisher : American Bar Association
Page : 0 pages
File Size : 43,6 Mb
Release : 2012
Category : Banking law
ISBN : 1614386986

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The Keys to Banking Law by Karol K. Sparks,Harding de C. Williams Pdf

This handbook provides the reader with a thorough history of banking law and illustrates how today's system of financial regulation is unlike anything else in the world. New and experienced lawyers representing banks need to understand a bank's specific structure, the importance of capital, and the new language that has formed. A reference list is included with definitions on current "Bank Speak."

Author : Chris Hegarty
Publisher : Unknown
Page : 112 pages
File Size : 42,8 Mb
Release : 2018-07-26
Category : Law
ISBN : 191103555X

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A Practical Guide to Financial Services Claims by Chris Hegarty Pdf

This practical guide discusses the specific intersection of the laws of tort and contract with financial services and where this gives rise to claims against financial institutions and professionals.

Author : Sherry Castle Whitley,Joseph J. Norton
Publisher : International Institute of Technology, Incorporated
Page : 128 pages
File Size : 53,7 Mb
Release : 1997-03-06
Category : Business & Economics
ISBN : 0820510548

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Banking Law Manual by Sherry Castle Whitley,Joseph J. Norton Pdf

is one of the first publications to incorporate & appraise the changes mandated by the groundbreaking Gramm-Leach-Bliley Act of 1999 on financial services modernization.

Author : Donald A. Glenn,Thomas F. Burrage,Donald DeGrazia,William Stewart
Publisher : John Wiley & Sons
Page : 457 pages
File Size : 48,6 Mb
Release : 2010-09-24
Category : Business & Economics
ISBN : 9780470916988

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Family Law Services Handbook by Donald A. Glenn,Thomas F. Burrage,Donald DeGrazia,William Stewart Pdf

Up to fifty percent of financial forensic services are performed in divorces, or in family law business valuations. Providing the first definitive publication on family law for accountants, this book addresses topics unique to family law accounting, tax, valuation and practice. The coverage begins with pre-engagement of the client and proceeds through to trial and preparation and presentation. Sample checklists, work papers, and trial exhibits are included. CPAs and attorneys will benefit from this handbook’s tips on providing financial services in the family law arena.

Author : Andrew Haynes
Publisher : Bloomsbury Publishing
Page : 510 pages
File Size : 46,6 Mb
Release : 2021-11-30
Category : Law
ISBN : 9781526517791

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Financial Services Law Guide by Andrew Haynes Pdf

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.

Author : Andrew Haynes
Publisher : Butterworths
Page : 128 pages
File Size : 54,6 Mb
Release : 2005-07
Category : Electronic
ISBN : 1405701552

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Butterworths Financial Services Law Guide by Andrew Haynes Pdf

Rewritten and expanded in the light of the new financial regulatory regime, this invaluable guide brings together experts from a range of professions to provide authoritative and practical advice on the impact of the Financial Services and Markets Act 2000. With the introduction of the Financial Services Authority as the sole regulator for financial business in the UK, this timely new edition is an indispensable source of reference for lawyers, compliance officers and all those connected with the industry.

Author : Milton R. Schroeder
Publisher : Unknown
Page : 128 pages
File Size : 45,7 Mb
Release : 2024-06-17
Category : Banking law
ISBN : 0791321835

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The Law and Regulation of Financial Institutions by Milton R. Schroeder Pdf

Author : Graham Roberts,Institute of Financial Services
Publisher : Unknown
Page : 368 pages
File Size : 54,5 Mb
Release : 2009-03-01
Category : Banking law
ISBN : 0852977794

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Law Relating to Financial Services by Graham Roberts,Institute of Financial Services Pdf

This well established and best selling guide to the law retains its unique focus on the law as it relates to corporate and retail financial services, cutting to the essential core of the legal and non-legal rules. The new edition covers the new banking code, the business banking code and the BBA statements of principles. Full commentary is provided on each.

Author : Harding de C. Williams
Publisher : American Bar Association
Page : 382 pages
File Size : 52,9 Mb
Release : 2006
Category : Business & Economics
ISBN : 1590314735

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Federal Banking Law and Regulations by Harding de C. Williams Pdf

This easy-to-read guidebook is designed for lawyers who are new to banking law or are very seasoned practitioners who on occasion need to research banking law issues. The focus of the guidebook is to show how major bank regulations are structured and how they apply to different types of institutions and holding companies.

Author : Clifford E. Kirsch
Publisher : Unknown
Page : 0 pages
File Size : 55,8 Mb
Release : 2006
Category : Business & Economics
ISBN : 1402407718

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Investment Adviser Regulation by Clifford E. Kirsch Pdf

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.

Author : Andrew Haynes
Publisher : Butterworth-Heinemann
Page : 463 pages
File Size : 51,6 Mb
Release : 2002
Category : Banking law
ISBN : 0406939136

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Butterworths Financial Services Law Guide by Andrew Haynes Pdf

Rewritten and expanded to reflect changes in the financial regulatory regime, this invaluable guide brings together experts from a range of professions to provide authoritative and practical advice on the impact of the Financial Services and Markets Act 2000. With the introduction of the Financial Services Authority as the sole regulator for financial business in the UK, this timely new edition is an indispensable source of reference for lawyers, compliance officers and all those connected with the industry.