Financial Services Law Guide
Language: English
Published by Bloomsbury Professional, 2022
- Softcover
- New

Seller: Revaluation Books, Exeter, United KingdomRevaluation Books
AbeBooks seller since January 6, 2003
Condition: New
£ 272.99
Quantity: 2 available
Add to basketItem description from seller
5th edition. 512 pages. 9.76x6.14x1.61 inches. In Stock.
Seller Inventory # x-1526517787
- Title
- Financial Services Law Guide
- Author
- Haynes, Andrew
- Publisher
- Bloomsbury Professional
- Publication year
- 2022
- Condition
- Brand New
- Binding
- Paperback
- Language
- English
- ISBN 10
- 1526517787
- ISBN 13
- 9781526517784
- Edition
- 5th or later Edition
- Item weight
- 0.86 kilograms
- 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.
1 Financial Services Regulation
2 Authorisation
3 The Senior Managers and Certification Regime
4 Retail Products
5 Customer Relations
6 Financial Promotion
7 Market Abuse
8 Money Laundering
9 Clients’ Money
10 Financial Rules
11 Enforcement
12 Professionals and Investment Business
"Synopsis" may belong to another edition of this title.
About the Author
"About the title" may belong to another edition of this title.
Revaluation Books
Exeter, United Kingdom
AbeBooks seller since January 6, 2003
Shipping rates from United Kingdom to U.S.A.
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Edward Bowditch Ltd
Exstowe, Exton
Exeter, United Kingdom EX3 0PP
Terms of sale
Legal entity name: Edward Bowditch Ltd
Legal entity form: Limited company
Business correspondence address: Exstowe, Exton, Exeter, EX3 0PP
Company registration number: 04916632
VAT registration: GB834241546
Authorised representative: Mr. E. Bowditch
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