Financial Services Law Guide
3rd Revised edition
Edited by Andrew Haynes
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Financial Services Law Guide by Andrew Haynes
Book DescriptionThis 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 third edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. Whatever your legal issue or question, you will find the answer in this user-friendly and clearly presented guide. Essential coverage includes: key information on the new financial promotions regulations; relevant aspects of the EU's Financial Services action Plan; the new legislation on money laundering; developments in exempt regulated activities for solicitors, accountants and actuaries; and essential knowledge on the new Market Abuse regime.
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Book DetailsISBN: 9781845921392
(234mm x 156mm x mm)
Imprint: Tottel Publishing
Publisher: Bloomsbury Publishing PLC
Publish Date: 27-Jul-2006
Country of Publication: United Kingdom
Books By Author Andrew Haynes
Financial Services Law Guide, Paperback (September 2014)
This 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.
Financial Services Authority Regulation and Risk-based Compliance, Paperback (December 2006)
A guide to the role of risk-based FSA regulation compliance in the financial services industry. It aims to help financial service organisations to comply with their legal responsibilities. It covers topics such as operating a risk-based approach to regulation, FSA supervision of regulated firms, financial services, markets tribunals, and more.
Risk-based Compliance, Paperback (June 2001)» View all books by Andrew Haynes
Designed to bring you practical information on the generic role of compliance, this book focuses on the due diligence mechanisms needed to ensure effective compliance throughout the financial services industry. It enables financial services professionals and their advisors to gain an understanding of the obligations that have been imposed on them.
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