Butterworths financial services law guide:
Gespeichert in:
| Weitere Verfasser: | |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
London [u.a.]
Butterworths LexisNexis
2002
|
| Ausgabe: | 2. ed. |
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XXV, 463 S. |
| ISBN: | 0406939136 |
Internformat
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| 245 | 1 | 0 | |a Butterworths financial services law guide |c general ed. Andrew Haynes |
| 246 | 1 | 3 | |a Financial services law guide |
| 250 | |a 2. ed. | ||
| 264 | 1 | |a London [u.a.] |b Butterworths LexisNexis |c 2002 | |
| 300 | |a XXV, 463 S. | ||
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| 700 | 1 | |a Haynes, Andrew |4 edt | |
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Datensatz im Suchindex
| _version_ | 1804138170658324480 |
|---|---|
| adam_text | CONTENTS
PREFACE V
CONTRIBUTORS VII
TABLE OF STATUTES XV
TABLE OF STATUTORY INSTRUMENTS XIX
TABLE OF CASES XXIII
CHAPTER 1 THE FINANCIAL SERVICES REGIME BY DR ANDREW HAYNES 1
THE NEW REGULATORY STRUCTURE 1
THE FINANCIAL SERVICES AUTHORITY 1
FSA PRINCIPLES FOR BUSINESS 3
APPROVED PERSONS 4
APPOINTED REPRESENTATIVES 7
RELEVANT BODIES OTHER THAN THE FINANCIAL SERVICES AUTHORITY 8
WHOLESALE MARKET ACTIVITIES 13
PROFESSIONALS AND INVESTMENT BUSINESS 15
INVESTMENT BUSINESS IN THE UK 24
INTERNATIONAL CO-ORDINATION AND REGULATION 39
CO-OPERATION BETWEEN REGULATORS 47
CHAPTER 2 AUTHORISATION BY SUE RUTHERFORD 51
INTRODUCTION 51
REGULATED ACTIVITIES 52
THE PERMISSION REGIME 57
THE AUTHORISATION PROCESS 62
THE DECISION-MAKING AND APPEALS PROCESSES 66
APPLICATION FEES 67
GRANDFATHERING 68
THE OBLIGATIONS OF AUTHORISATION 69
THE FSA S RELATIONSHIP WITH AUTHORISED FIRMS 72
THE EUROPEAN DIMENSION 73
THE FUTURE 76
CHAPTER 3 FINANCIAL PROMOTION BY OWEN WATKINS 79
INTRODUCTION 79
THE STATUTORY PROVISION 79
THE FINANCIAL PROMOTION ORDER 85
THE FSA S FINANCIAL PROMOTION RULES 102
PROMOTION OF COLLECTIVE INVESTMENT SCHEMES 108
CHAPTER 4 MARKET ABUSE BY CHARLES ABRAMS AND TAMASIN
LITTLE 113
INTRODUCTION 113
OVERVIEW OF THE STATUTORY OFFENCE 114
MARKETS AND INVESTMENTS COVERED 118
XI
XII CONTENTS
EXTRA-TERRITORIAL EFFECT AND SCOPE 119
IMPORTANT POINTS ABOUT THE COM ARC 122
THE THREE CATEGORIES OF MARKET ABUSE 125
MISUSE OF INFORMATION 132
FALSE OR MISLEADING IMPRESSIONS 143
MARKET DISTORTION 155
REQUIRING OR ENCOURAGING MARKET ABUSE 160
THE POSITION OF STOCKBROKERS AND OTHER INTERMEDIARIES 165
TRANSACTIONS SUBJECT TO THE MODEL CODE 165
COMPLYING WITH REGULATORY RULES 168
THE TAKEOVER PANEL 169
THE STATUTORY DEFENCE 172
FURTHER ACTION AND GUIDANCE 172
CHAPTER 5 MONEY LAUNDERING BY DR ANDREW HAYNES 175
INTRODUCTION 175
THE CRIMINAL OFFENCES*LAUNDERING DRUG PROCEEDS AND THE PROFITS OF
CRIME 177
TERRORISM 179
RELEVANT PARTIES 180
CHECKING IDENTITY 181
WHAT IS SUSPICION ? 183
MAKING A SUSPICIOUS TRANSACTION REPORT 185
THE FSA S REQUIREMENTS 185
CIVIL LAW ISSUES 192
THE WOLFSBERG PRINCIPLES 198
CHAPTER 6 CUSTOMER RELATIONS BY PETER BIBBY 209
INTRODUCTION 209
THE DIFFERENT CATEGORIES OF CLIENT 212
THE DEFINITION OF PRIVATE AND INTERMEDIATE CUSTOMERS 218
EXECUTION-ONLY CUSTOMERS 221
CONFLICTS OF INTEREST 221
COMMUNICATING WITH CUSTOMERS 224
TERMS OF BUSINESS AND CLIENT AGREEMENTS 225
EXCLUSION CLAUSES 228
SUITABILITY 229
STANDARDS OF ADVICE FOR PACKAGED PRODUCTS 236
CUSTOMER UNDERSTANDING OF RISK 239
SUITABILITY LETTERS (FORMERLY REASON WHY LETTERS ) 242
PRODUCT PARTICULARS AND THE KEY FEATURES DOCUMENT 243
CANCELLATION RIGHTS 246
EXERCISE OF RIGHT TO CANCEL BY CUSTOMER 248
SHORTFALL 249
DEALING 250
TIMELY EXECUTION 252
BEST EXECUTION 252
TIMELY ALLOCATION 253
DEALING AHEAD OF PUBLICATIONS 255
CHURNING AND SWITCHING 256
CONTENTS XIII
TRANSACTION REPORTING 256
CHARGES, COMMISSIONS AND DISCLOSURE OF REMUNERATION 259
CHAPTER 7 RETAIL PRODUCTS BY ROBERT SURRIDGE 261
LIFE ASSURANCE 261
INDIVIDUAL SAVINGS ACCOUNTS (ISAS) 278
UNIT TRUSTS 280
OPEN ENDED INVESTMENT COMPANIES (OEICS) 287
PENSIONS 288
CHAPTER 8 CLIENTS MONEY BY SUSAN BROWNLIE 309
SOURCE AND GENERAL PRINCIPLES 309
THE FSA HANDBOOK AND THE CONDUCT OF BUSINESS RULES 310
DAILY CALCULATION OF CLIENT MONEY RESOURCE AND REQUIREMENT 328
CHAPTER 9 FINANCIAL RULES BY PETER MILROY 343
INTRODUCTION 343
FINANCIAL RESOURCES RULES 344
FINANCIAL REPORTING RULES 351
ACCOUNTING RECORDS RULES 354
AUDIT RULES 354
CHAPTER 10 ENFORCEMENT BY ANDREW HART AND SIMON ORTON 359
INTRODUCTION 359
ENFORCEMENT UNDER THE FSMA 2000: AN OVERVIEW 359
INFORMATION GATHERING AND INVESTIGATION 364
FSA ENFORCEMENT ACTION 376
FSA DECISION MAKING 390
CHAPTER 11 EUROPEAN LAW CONSIDERATIONS BY RICHARD PARLOUR 397
INTRODUCTION 397
INVESTMENT SERVICES DIRECTIVE (ISD) 398
CAPITAL ADEQUACY DIRECTIVE (CAD) 408
INVESTOR COMPENSATION SCHEME DIRECTIVE (ICSD) 434
APPENDIX 441
INDEX 447
|
| adam_txt |
CONTENTS
PREFACE V
CONTRIBUTORS VII
TABLE OF STATUTES XV
TABLE OF STATUTORY INSTRUMENTS XIX
TABLE OF CASES XXIII
CHAPTER 1 THE FINANCIAL SERVICES REGIME BY DR ANDREW HAYNES 1
THE NEW REGULATORY STRUCTURE 1
THE FINANCIAL SERVICES AUTHORITY 1
FSA PRINCIPLES FOR BUSINESS 3
APPROVED PERSONS 4
APPOINTED REPRESENTATIVES 7
RELEVANT BODIES OTHER THAN THE FINANCIAL SERVICES AUTHORITY 8
WHOLESALE MARKET ACTIVITIES 13
PROFESSIONALS AND INVESTMENT BUSINESS 15
INVESTMENT BUSINESS IN THE UK 24
INTERNATIONAL CO-ORDINATION AND REGULATION 39
CO-OPERATION BETWEEN REGULATORS 47
CHAPTER 2 AUTHORISATION BY SUE RUTHERFORD 51
INTRODUCTION 51
REGULATED ACTIVITIES 52
THE PERMISSION REGIME 57
THE AUTHORISATION PROCESS 62
THE DECISION-MAKING AND APPEALS PROCESSES 66
APPLICATION FEES 67
GRANDFATHERING 68
THE OBLIGATIONS OF AUTHORISATION 69
THE FSA'S RELATIONSHIP WITH AUTHORISED FIRMS 72
THE EUROPEAN DIMENSION 73
THE FUTURE 76
CHAPTER 3 FINANCIAL PROMOTION BY OWEN WATKINS 79
INTRODUCTION 79
THE STATUTORY PROVISION 79
THE FINANCIAL PROMOTION ORDER 85
THE FSA'S FINANCIAL PROMOTION RULES 102
PROMOTION OF COLLECTIVE INVESTMENT SCHEMES 108
CHAPTER 4 MARKET ABUSE BY CHARLES ABRAMS AND TAMASIN
LITTLE 113
INTRODUCTION 113
OVERVIEW OF THE STATUTORY OFFENCE 114
MARKETS AND INVESTMENTS COVERED 118
XI
XII CONTENTS
EXTRA-TERRITORIAL EFFECT AND SCOPE 119
IMPORTANT POINTS ABOUT THE COM ARC 122
THE THREE CATEGORIES OF MARKET ABUSE 125
MISUSE OF INFORMATION 132
FALSE OR MISLEADING IMPRESSIONS 143
MARKET DISTORTION 155
REQUIRING OR ENCOURAGING MARKET ABUSE 160
THE POSITION OF STOCKBROKERS AND OTHER INTERMEDIARIES 165
TRANSACTIONS SUBJECT TO THE MODEL CODE 165
COMPLYING WITH REGULATORY RULES 168
THE TAKEOVER PANEL 169
THE STATUTORY DEFENCE 172
FURTHER ACTION AND GUIDANCE 172
CHAPTER 5 MONEY LAUNDERING BY DR ANDREW HAYNES 175
INTRODUCTION 175
THE CRIMINAL OFFENCES*LAUNDERING DRUG PROCEEDS AND THE PROFITS OF
CRIME 177
TERRORISM 179
RELEVANT PARTIES 180
CHECKING IDENTITY 181
WHAT IS'SUSPICION'? 183
MAKING A SUSPICIOUS TRANSACTION REPORT 185
THE FSA'S REQUIREMENTS 185
CIVIL LAW ISSUES 192
THE WOLFSBERG PRINCIPLES 198
CHAPTER 6 CUSTOMER RELATIONS BY PETER BIBBY 209
INTRODUCTION 209
THE DIFFERENT CATEGORIES OF CLIENT 212
THE DEFINITION OF PRIVATE AND INTERMEDIATE CUSTOMERS 218
EXECUTION-ONLY CUSTOMERS 221
CONFLICTS OF INTEREST 221
COMMUNICATING WITH CUSTOMERS 224
TERMS OF BUSINESS AND CLIENT AGREEMENTS 225
EXCLUSION CLAUSES 228
SUITABILITY 229
STANDARDS OF ADVICE FOR PACKAGED PRODUCTS 236
CUSTOMER UNDERSTANDING OF RISK 239
SUITABILITY LETTERS (FORMERLY 'REASON WHY LETTERS') 242
PRODUCT PARTICULARS AND THE KEY FEATURES DOCUMENT 243
CANCELLATION RIGHTS 246
EXERCISE OF RIGHT TO CANCEL BY CUSTOMER 248
SHORTFALL 249
DEALING 250
TIMELY EXECUTION 252
BEST EXECUTION 252
TIMELY ALLOCATION 253
DEALING AHEAD OF PUBLICATIONS 255
CHURNING AND SWITCHING 256
CONTENTS XIII
TRANSACTION REPORTING 256
CHARGES, COMMISSIONS AND DISCLOSURE OF REMUNERATION 259
CHAPTER 7 RETAIL PRODUCTS BY ROBERT SURRIDGE 261
LIFE ASSURANCE 261
INDIVIDUAL SAVINGS ACCOUNTS (ISAS) 278
UNIT TRUSTS 280
OPEN ENDED INVESTMENT COMPANIES (OEICS) 287
PENSIONS 288
CHAPTER 8 CLIENTS' MONEY BY SUSAN BROWNLIE 309
SOURCE AND GENERAL PRINCIPLES 309
THE FSA HANDBOOK AND THE CONDUCT OF BUSINESS RULES 310
DAILY CALCULATION OF CLIENT MONEY RESOURCE AND REQUIREMENT 328
CHAPTER 9 FINANCIAL RULES BY PETER MILROY 343
INTRODUCTION 343
FINANCIAL RESOURCES RULES 344
FINANCIAL REPORTING RULES 351
ACCOUNTING RECORDS RULES 354
AUDIT RULES 354
CHAPTER 10 ENFORCEMENT BY ANDREW HART AND SIMON ORTON 359
INTRODUCTION 359
ENFORCEMENT UNDER THE FSMA 2000: AN OVERVIEW 359
INFORMATION GATHERING AND INVESTIGATION 364
FSA ENFORCEMENT ACTION 376
FSA DECISION MAKING 390
CHAPTER 11 EUROPEAN LAW CONSIDERATIONS BY RICHARD PARLOUR 397
INTRODUCTION 397
INVESTMENT SERVICES DIRECTIVE (ISD) 398
CAPITAL ADEQUACY DIRECTIVE (CAD) 408
INVESTOR COMPENSATION SCHEME DIRECTIVE (ICSD) 434
APPENDIX 441
INDEX 447 |
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| index_date | 2024-07-02T22:34:05Z |
| indexdate | 2024-07-09T21:23:56Z |
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| title | Butterworths financial services law guide |
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| title_auth | Butterworths financial services law guide |
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| title_full | Butterworths financial services law guide general ed. Andrew Haynes |
| title_fullStr | Butterworths financial services law guide general ed. Andrew Haynes |
| title_full_unstemmed | Butterworths financial services law guide general ed. Andrew Haynes |
| title_short | Butterworths financial services law guide |
| title_sort | butterworths financial services law guide |
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