Financial Services Law Guide PDF Download
Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Financial Services Law Guide PDF full book. Access full book title Financial Services Law Guide by Andrew Haynes. Download full books in PDF and EPUB format.
Author: Andrew Haynes
Publisher: Bloomsbury Publishing
ISBN: 1526517809
Category : Law
Languages : en
Pages : 517
Get Book Here
Book Description
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.
Author: Andrew Haynes
Publisher: Bloomsbury Publishing
ISBN: 1526517809
Category : Law
Languages : en
Pages : 517
Get Book Here
Book Description
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.
Author: Great Britain
Publisher:
ISBN: 9780111181904
Category :
Languages : en
Pages : 12
Get Book Here
Book Description
Enabling power: European Union (Withdrawal) Act 2018, s. 8 (1), sch. 7, para. 21. Issued: 28.02.2019. Sifted: -. Made: 21.02.2019. Laid: -. Coming into force: In accord. with reg. 1 (2) (3). Effect: 1989 c. 40; 2009 c.1; S.I. 1991/880; 1999/2979; 2003/3226 amended. Territorial extent & classification: E/W/S/NI. General. Supersedes draft (ISBN 9780111176887) issued 18.12.18
Author: GREAT BRITAIN.
Publisher:
ISBN: 9780111180594
Category :
Languages : en
Pages : 24
Get Book Here
Book Description
Enabling power: European Union (Withdrawal) Act 2018, s. 8 (1), sch. 7, para. 21. Issued: 13.02.2019. Sifted: -. Made: -. Laid: -. Coming into force: In accord. with reg. 1. Effect: S.I. 2004/353, 1045; 2005/1529, 1998; 2018/1039, 1199; SI draft Market Abuse (Amendment) (EU Exit) Regulations 2019 (ISBN 9780111176313); SI draft The Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019 |(ISBN 9780111179970); SI draft The Solvency 2 and Insurance (Amendment, etc.) (EU Exit) Regulations 2019 (ISBN 0111177936) amended. Territorial extent & classification: E/W/S/NI. For approval by resolution of each House of Parliament
Author: Se-shauna Wheatle
Publisher: Policy Press
ISBN: 1529220750
Category : Law
Languages : en
Pages : 272
Get Book Here
Book Description
Taking a unique and critical approach to the study of Public Law, this book explores the main topics in UK Public Law from a range of underexplored perspectives and amplifies the voices of scholars who are underrepresented in the field. As such, it represents a much-needed complement to traditional textbooks in Public Law. Including insights from a diverse list of contributors, the book: • Enriches students’ understanding of the dynamics that emerge within public law; • Highlights the impact of historical and societal inequities on public law norms; • Demonstrates the ways in which those norms may impact minorities and perpetuate inequalities. With most chapters written by underrepresented or minoritised persons in the field, this text offers students a critical, rich, and insightful approach to public law.
Author: Dermot Turing
Publisher: Bloomsbury Publishing
ISBN: 1526514982
Category : Law
Languages : en
Pages : 751
Get Book Here
Book Description
The post-trading industry is one in which financial firms make money and one in which risk issues need careful management. Reliable payment, clearing and settlement structures are perceived to be essential to enable financial firms to withstand shocks. A great deal of the cost of trading and cross-border investment is attributed to the very complex process of clearing and settlement. This book describes and explains: 1. what happens in clearing and settlement, and the roles of (and risks assumed by) the various participants in the post-trade marketplace 2. the law applicable to infrastructures, how they are are regulated, and the other topographical features of their legal landscape 3. the legal and practical aspects of risk management and operations of infrastructures 4. the risks faced by participants in payment, clearing and settlement systems - the agent banks - along with practical and operational issues which they face in their roles. Fully revised, updates for the 3rd edition include: - Implications and impact of Brexit - CPMI and IOSCO paper on central counterparty default (CCP) management auctions - cyber-security and the resilience of financial market infrastructures (FMIs) and the wider market ecosystem.
Author: Great Britain
Publisher:
ISBN: 9780348210491
Category :
Languages : en
Pages : 4
Get Book Here
Book Description
Enabling power: European Union (Withdrawal) Act 2018, s. 8 (1). Issued: 29.07.2020. Sifted: 14.07.2020. Made: 22.07.2020. Laid: 24.07.2020. Coming into force: In accord. with reg. 1. Effect: None. Territorial extent & classification: E/W/S/NI. General. EC note: Regulation (EU) 2019/1150 amended
Author: Walter Thomas
Publisher: Bloomsbury Publishing
ISBN: 1526509520
Category : Law
Languages : en
Pages : 381
Get Book Here
Book Description
A unique and invaluable aid to corporate counsel, and other legal advisors, to guide corporate response and decision making, presented with ease of accessibility and a practical, pragmatic focus. It is a first port of call for those charged with advising their key business leaders on difficult and disputed legal issues that engage and tax the board room. It presents the legal considerations implicit in the business functional areas common to commercial practice, be it sales, productions, marketing, human resources, finance and accounting etc, and additionally explores some of the following topics that are typically top of corporate counsel agenda: - Commercial Contracting, with particular emphasis on the risks of Agency and Distribution arrangements in EMEA - Regulatory and Legal Compliance considerations across EMEA - Product compliance - Advertising and Promotion within EMEA - Geo-Political Legal Considerations It also includes helpful chapters on the topics of Company Secretariat obligations, geopolitical legal considerations in EMEA and the emerging field of Islamic commercial and legal interface with local law.
Author: Tim Bennett
Publisher: Bloomsbury Publishing
ISBN: 1526525968
Category : Law
Languages : en
Pages : 801
Get Book Here
Book Description
What is Money Laundering ('ML')? How has the definition of ML expanded in recent years? Where does AML law and regulation come from? When must I report any 'suspicion'? Money Laundering Compliance is designed as a detailed reference source both on legal and technical details, as well as practical and procedural points. It provides a technical and practical overview of AML/CFT provisions in the UK and other key international jurisdictions including: - Bahamas - Bermuda - Cayman Islands - Guernsey - Isle of Man - Jersey - Singapore - Switzerland - United States The Fourth Edition has been completely revised in line with recent legislation and case law, with other key areas of change including: - The impact of Brexit on the UK's position vis-a-vis EU Law, and in particular in relation to the EU Money Laundering Directives covering AML/CFT matters - 'Economic Substance' requirements in key jurisdictions - A new chapter on FinTech, the host of AML/CFT RegTech websites/Mobile Apps, and the introduction of new methods of CDD verification - A new chapter on crypto assets and regulation - Current sanctions against defined Russian Oligarchs - The general prohibition against the provision of trust and company services to certain 'Russian-connected' trusts This essential resource ensures that finance professionals, private bankers, lawyers, trust and estate practitioners, regulators, compliance officers and other advisers remain up to date with this increasingly complex and crucial area of law. This title is included in Bloomsbury Professional's Banking and Finance online service.
Author: Brian Thompson
Publisher: Oxford University Press
ISBN: 0198867883
Category : Administrative law
Languages : en
Pages : 737
Get Book Here
Book Description
Cases and Materials on Constitutional and Administrative Law provides an essential collection of key primary and secondary materials with incisive commentary from the authors.
Author: Mark Cardale
Publisher: Bloomsbury Publishing
ISBN: 1526519674
Category : Law
Languages : en
Pages : 709
Get Book Here
Book Description
The new edition of this well-established title (the eighteenth in the series) covers a comprehensive range of topics, from the personal affairs of a director on appointment to the conduct of a company's business and questions of governance and strategy. It gives the reader an understanding of the practical application of all the legal and regulatory issues facing directors, both on a day-to-day operational basis and in relation to questions of importance to long term decision making. Updates to the previous edition include: - new material covering the AIM regime and the AIM Rules for companies, and the application of the Market Abuse Regulation to both listed and AIM companies following Brexit - an updated chapter on insolvency issues, covering the reforms and structures introduced by the Corporate Insolvency and Governance Act 2020 - new and updated sections on directors' 'general' duties under the Companies Act 2006 (including s.172) and on directors' disqualification - reviews of directors' reporting obligations in the Annual Report and otherwise, and of relations with shareholders The new edition also covers the administrative and accounting obligations of directors under the Companies Act 2006, the role of directors and board decision making, the listing regime and governance arrangements applicable to different types of company, employees and customers, aspects of competition law, requirements concerning the environment, and public company takeovers. Available as an electronic publication, this e-Book provides easy access to formal guidance notes and other publications of third party institutions and organisations and supports cross referencing in the text. This book aims to be a compendium handbook with a legal basis and will help the reader to: - understand the full range of issues which may face directors and those proposing to become directors - provide information and guidance on matters which boards may need to address in their decision making processes, including appendices detailing some practical checklists and a practical Glossary of terms with electronic links to the text aiding the accessibility of the work to all readers. - broaden the horizons of those seeking to understand the extent of the legal, regulatory and practical considerations which may need to be considered in companies both large and small It's an invaluable resource for company directors, company secretaries, and governance and HR professionals in organisations of all sizes, as well as their legal advisers, in house lawyers, company law practitioners, and financial advisers.
