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Financial Services Law Guide, 5th Edition

Financial Services Law Guide, 5th Edition

作者： Andrew Haynes
出版商： Bloomsbury Professional (formerly Tottel Publishing)
ISBN: 9781526517784
出版时间 December 2021
规格： Paperback , 512 pages
适应领域： U.K. ? 免责申明：
Countri(es) stated herein are used as reference only

List Price: ￥2,055.30

￥1,993.64 Save ￥61.66 (3%)

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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.
1. Financial Services Regulation
2. Authorisation
3. The Approved Persons Regime
4. Retail Products
5. Customer Relations
6. Financial Promotion
7. Market Abuse
8. Money Laundering
9. Clients' Money
10. Financial Rules
11. Enforcement
12. Professionals and Investment Business
Professor Andrew Haynes is a visiting Professor of Law at the University of Macau, People's Republic of China and a Senior Visiting Research Fellow at the Institute of Advanced Legal Studies, University of London. He is also Chairman of the Market Abuse Association.

Before joining the University of Macau, Andrew was employed at the British Bankers Association and Deloitte's in London, as well as at two leading law firms. In his spare time, he also spent twenty years assisting in the development of Sustrans from being a small nascent group of volunteers, into being the twenty seventh largest charity in the country. During his time as trustee and non executive director, the charity raised over £215 million to construct the national cycle network, safe routes to schools, and art on the network. It was also awarded the Queens Award for Enterprise in 2002, and was the Winner of the National Lottery, Helping Hand Award in 2004.

In 2012 he was made a Freeman of the City of London by Redemption.

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