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A Practitioner's Guide to the UK Financial Services Rulebooks, 7th Edition

A Practitioner's Guide to the UK Financial Services Rulebooks, 7th Edition

作者： Ruth Fox; Ben Kingsley
出版商： Sweet & Maxwell U.K.
ISBN: 9780414056978
出版时间 February 2019
规格： Paperback
适应领域： U.K. ? 免责申明：
Countri(es) stated herein are used as reference only

List Price: ￥2,957.40

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A Practitioner’s Guide to the UK Financial Services Rulebooks is the leading guide and commentary to the Handbooks of the Financial Conduct Authority and the Prudential Regulation Authority.

Five years since the creation of the two handbooks, the 7th edition covers significant regulatory developments and how they affect your day-to-day operations. There are two new chapters on specialist sourcebooks COLL (Collective Investment Schemes) and CONC (Consumer Credit sourcebook). In addition, an overhauled chapter on Approved Persons reflecting the Senior Managers and Certification Regime.

Closely following the structure of the handbooks for ease of use and written by a team of leading practitioners who are among the best-known advisers in the City, this book is a detailed, thorough guide and commentary on the handbooks.

Key features:
- Closely follows the structure of the rule books
- Covers the impact of EU and international level developments including MiFID, MAD and Basel III
- Explains how conduct of business, prudential regulation, authorisation, enforcement and consumer issues are dealt with in the books
- Explains how the regulatory bodies interact
- Includes chapters from some of the foremost financial services legal practitioners in the UK
New to this edition:
- Includes a new chapter covering specialist sourcebook, COLL
- Includes a new chapter covering specialist sourcebook, CONC
- The Approved Persons chapter is vastly updated to reflect the Senior Managers and Certification Regime
- The Financial Crime chapter includes comment on recent enforcement cases and the action taken
1. The Regulatory Landscape;
2. The Role and Statutory Powers of the Prudential Regulation Authority and the Financial Conduct Authority;
3. The FCA’s and PRA’s high level standards;
4. Prudential Rules and Guidance; Conduct of business;
5. Clients’ assets;
6. The Approved Persons Regime, Training and Competence;
7. Market Abuse and the Code Of Market Conduct;
8. Financial crime; Authorisation and Regulatory Processes
9. Discipline and Enforcement;
10. Consumer Relations: Complaints and Compensation;
11. The Consumer Credit Sourcebook;
12. Collective Investment Schemes

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