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A Practitioner's Guide to the FSA Regulation of Lloyd's

A Practitioner's Guide to the FSA Regulation of Lloyd's
Author: Cheryl Ronaldson
Publisher:
Total Pages: 230
Release: 2002
Genre: Insurance law
ISBN: 9781898830467

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The Financial Services and Markets Act 2000 imposed regulation upon the Lloyd's market for the first time. The Financial Services Authority is now responsible for independent, external supervision of the Society's regulatory activities. The relationship between Lloyd's and the FSA is one of the more confusing to arise under the FSA's regime. With both Lloyd's and the FSA undertaking certain regulatory functions, it is essential for anyone connected with the Lloyd's market to have a thorough understanding of those functions and of the interaction between Lloyd's and the FSA in their implementation.


A Practitioner's Guide to the FSA Regulation of Investment Banking

A Practitioner's Guide to the FSA Regulation of Investment Banking
Author: Nigel Boardman
Publisher:
Total Pages: 399
Release: 2006
Genre: Investment banking
ISBN: 9781905121038

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A guide to the changes affecting corporate finance regulation with an emphasis on the investment banking sector. Written by a team of leading practitioners, it provides insight into the implications of the regulatory environment for a range of corporate finance activities. It is suitable for lawyers, accountants, and corporate finance personnel.


A Practitioner's Guide to the FSA Regulation of Investment Banking

A Practitioner's Guide to the FSA Regulation of Investment Banking
Author: Nigel Boardman
Publisher:
Total Pages: 427
Release: 2002
Genre: Investment banking
ISBN: 9781898830559

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The investment banking industry is increasingly broad-based and covers many corporate finance activities such as debt and equity financings, leveraged buy-outs and mergers and acquisitions. With the Financial Services Authority's regime now underway, it remains essential that practitioners and others continue to have a proper understanding of the regulation and legislation underpinning the implementation of these activities - as well as an awareness of the regulation defining categories of customer, financial promotion, market abuse, misleading statements and practices. This book is written by a team of experts covering the range of corporate finance and advisory activities.


A Practitioner's Guide to the FSA Regulation of Banking

A Practitioner's Guide to the FSA Regulation of Banking
Author: John Tattersall
Publisher:
Total Pages: 377
Release: 2002
Genre: Banking law
ISBN: 9781898830580

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The regulatory environment in which the banking sector operates has been evolving significantly, not onlys a result of the implementation of the Financial Services and Markets Act, but also due to external regulatory developments at both the EU and international level. This new book focuses on the risk-based approach to regulation, which will impact on the way banks are regulated on a day-to-day basis. It examines, amongst other areas, credit risk, liquidity risk and operational risk, as well as providing detailed commentary on authorisation and supervision and the FSA's enforcement regime.


A Practitioner's Guide to the FSA Regulation of Designated Investment Business

A Practitioner's Guide to the FSA Regulation of Designated Investment Business
Author: Tim Cornick
Publisher:
Total Pages: 284
Release: 2004
Genre: Financial services industry
ISBN: 9781898830887

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The second edition of 'A Practitioner's Guide to the FSA Regulation of Designated Investment Business' deals with the specific issues that are relevant to regulated firms on a daily basis. It analyses the investments that are regulated, considers the impact of the Conduct of Business Rules and looks occupational pension schemes and more.


A Practitioner's Guide to EU Financial Services Directives

A Practitioner's Guide to EU Financial Services Directives
Author: Freshfields Bruckhaus Deringer
Publisher:
Total Pages: 436
Release: 2006
Genre: Banking law
ISBN: 9781905121076

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This text covers 17 directives impacting on financial services, including regulation of credit institutions, regulation of investment firms and the wholesale markets, regulation of retail markets, regulation of insurance companies, and prudential rules and supervision.


Eversheds Sutherland: The Employment Practitioner’s Guide to Financial Institutions

Eversheds Sutherland: The Employment Practitioner’s Guide to Financial Institutions
Author: Paul Fontes
Publisher: Bloomsbury Publishing
Total Pages: 517
Release: 2019-02-19
Genre: Law
ISBN: 1526504227

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The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond. Eversheds Sutherland: The Employment Practitioner's Guide to Financial Institutions: Key Aspects of the Regulatory Framework (originally titled: The Employment Practitioner's Guide to Financial Institutions: The Senior Managers and Certification Regime and Accountability) covers the full roll-out of the Senior Managers and Certification Regime to all financial services firms in 2018. The complexity of the rules and the difficulty for practitioners in finding resources to help them understand the new regime has led to much confusion and uncertainty. This book provides an invaluable guide to the new regime with practical analysis of the issues raised and how the changes should be implemented.