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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 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 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 Handbook

A Practitioner's Guide to the FSA Handbook
Author: Andrew Winckler
Publisher:
Total Pages: 696
Release: 2006
Genre: Securities
ISBN: 9781905121083

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A Practitioner's Guide to the FSA Handbook is the leading guide and commentary to the FSA's Handbook of Rules and Guidance. Written by a team of twelve authors who are among the leading figures in financial services law and regulation in the UK, it provides clear and comprehensive guidance to the rules, explained in a practical business context. This fourth edition has been completely updated to include: the introduction of the Integrated Prudential Sourcebook for insurers; implementation of the Market Abuse Directive, and the revision of the rules on market conduct; the FSA's responsibility for mortgage and general insurance intermediation; new requirements resulting from the Treating Customers Fairly agenda; implementation of the UCITS III Directive; and changes in the FSA's enforcement regime. Coverage is also given of anticipated changes to the Handbook that will flow from the Markets in Financial Instruments Directive (MiFID) and the Capital Requirements Directive (CRD), and the proposed simplification of the Handbook as part of the Better Regulation project. The book closely follows the structure of the Handbook for ease of use. authority including compliance officers; lawyers; finance directors; managers and directors of regulated businesses and their advisers; accountants and financial services consultants.


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 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 Handbook

A Practitioner's Guide to the FSA Handbook
Author: Financial Services Authority (Great Britain)
Publisher:
Total Pages: 550
Release: 2008-03-31
Genre: Financial services industry
ISBN: 9781905121250

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A guide to the FSA that offers comprehensive guidance to the rules explained in a practical context. It is written by a team of 12 authors who are amongst the leading figures in financial services law and regulation in the UK