law relating to financial services

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Law Relating To Financial Services

Author : Graham Roberts
ISBN : 1906403864
Genre : Financial services industry
File Size : 59. 85 MB
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This is a well-established guide to the law as it relates to English corporate and retail banking, cutting to the core of the legal (and non-legal) rules. Besides covering legislation, it also details the statutory Codes with the latest versions in full and a commentary on each one.

The Law Relating To Financial Crime In The United Kingdom 2nd Edition

Author : Karen Harrison
ISBN : 9781317026020
Genre : Law
File Size : 79. 81 MB
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Outlining the different types of financial crime and their impact, this book is a user-friendly, up-to-date guide to the regulatory processes, systems and legislation which exist in the UK. Each chapter has a similar structure and covers individual financial crimes including money laundering, terrorist financing, fraud, insider dealing, market abuse, bribery and corruption and finally tax avoidance and evasion. Offences are summarized and their extent is evaluated using national and international documents. Detailed assessments of financial institutions and regulatory bodies are made and the achievements of these institutions are analysed. Sentencing and policy options for different financial crimes are included and suggestions are made as to how criminal proceeds might be recovered. This second edition has been fully updated and includes a section on cybercrime and a new chapter on tax evasion. Case summaries have also been included in those chapters where a criminal justice route is used by the prosecuting authorities.

An Introduction To The Law On Financial Investment

Author : Iain MacNeil
ISBN : 9781841134789
Genre : Business & Economics
File Size : 42. 90 MB
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This book provides a wide-ranging overview of the law and regulatory rules applicable to investment in financial instruments. Part 1 introduces the basic principles and structure of the law relating to financial investment. It explains the legal nature of financial instruments, the rationale for regulation and the history and development of the system of regulation in the United Kingdom. It includes an analysis of the main principles and regulatory techniques introduced by the Financial Services and Markets Act 2000. Part 2 examines investments and investors. It explains the legal nature and structure of the main forms of financial investment and examines the legal principles and regulatory rules that are relevant to institutional investment and private investors. Part 3 deals with finance and governance. In essence this part aims to explain the legal mechanisms through which investors supply money to companies seeking investment and the governance techniques that have been developed to allow investors to monitor investments and hold company directors accountable for their actions. Part 4 discusses how markets and market participants operate and are regulated. It examines the nature of financial markets, their regulation and the legal rules that promote 'clean' markets. There is also discussion of the role and regulation of the different types of participants who deal in the markets.

Financial Services Law And Compliance In Australia

Author : Gail Pearson
ISBN : 9780521617840
Genre : Law
File Size : 35. 63 MB
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"'Financial services' is the fastest growing sector of the economy and has profound implications for individuals, corporations and government. Following extensive review in the last part of the twentieth century, Australia has now put in place an overarching system for regulating all financial services, replacing a system based on separate regulation of products in individual industries. Financial Services Law and Compliance in Australia provides a comprehensive account of the new regulatory structure and a detailed analysis of the new legislative framework, including discussion of the new regulatory bodies, the new licensing requirements for those wishing to enter the financial services market and the new obligations for those marketing or offering financial services to the public. This book is an essential resource for those working in, and advising on, financial services, students and those needing to understand the new regime as a whole."--Provided by publisher.

Law Relating To Banking Services

Author : Paul Raby
ISBN : 0273039660
Genre : Banking law
File Size : 21. 7 MB
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This is a practical, examination-oriented guide to the CIB Associateship core paper of the same name. Syllabus requirements are laid out at the beginning of each chapter, with Fact Sheets summarising content at the end of each chapter. Contains some new questions and answers on newly examined topics such as EFTPOS, Consumer Credit Act lending, the Financial Services Act, limited company customers plus references to Jack Committee recommendations now in practice.

International Trade In Financial Services The Nafta Provisions

Author : K. Schefer
ISBN : UCSD:31822029808805
Genre : Business & Economics
File Size : 34. 34 MB
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This book examines the new and rapidly developing area of law relating to trade in financial services, with a particular focus on the rules contained in Chapter 14 of the North American Free Trade Agreement (NAFTA). After a detailed analysis of the relevant provisions and their effect on financial institutions in Canada, Mexico, and the United States, the author examines the impact of the NAFTA rules on the legal position of banks operating in countries outside NAFTA, particularly in the context of the WTO financial services provisions. The book concludes with a chapter on the effects of a potential NAFTA expansion. The book aims to contribute to the development of a new legal and regulatory framework distinct from those of trade and financial services law, and offers a valuable insight into how trade in financial services within a regional trade agreement develops its own legal dynamic. Although the financial services provisions are seen as the cornerstone of NAFTA, until now there has been very little in-depth analysis of these provisions, or of the effects on those not party to NAFTA, in the literature in general. This book's unique approach will make it of considerable interest to practitioners and researchers in international banking, trade and economic law.

Brexit And Financial Services

Author : Kern Alexander
ISBN : 9781509915811
Genre : Law
File Size : 55. 61 MB
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This timely book examines the legal and regulatory implications of Brexit for financial services. The UK's withdrawal from the EU is likely to have significant market, political, and policy consequences for the UK financial system, for the single market and the euro area, and for the international financial system. As the UK disentangles its financial system from the EU, law will matter to a profound extent. Treaties, legislation, and regulation, at UK, EU, and international levels, and the many dynamics and interests which drive them, will frame and shape the ultimate settlement between the UK and the EU, as well as how the EU financial system develops post-Brexit and how the international financial system responds. Written by leading authorities in the field, this book addresses and contextualises the legal, regulatory, and policy issues across five dimensions, which correspond to the major legal spheres engaged: financial regulation implications and market access consequences for the UK financial system; labour law and free movement consequences for the UK financial system; the implications internally for EU financial governance and the euro area; the implications and relevance of the EEA/EFTA financial services market; and the trade law and World Trade Organization law implications.

Conduct And Pay In The Financial Services Industry

Author : Thomas Ogg
ISBN : 9781317189923
Genre : Law
File Size : 44. 9 MB
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Since the financial crisis, one of the key priorities of the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) has been individual accountability. This book addresses the regulatory and employment law challenges that arise from the FCA’s and PRA’s requirements. The expert team of writers examine in depth the provisions of the Financial Services and Markets Act 2000 which relate to individuals, and the associated requirements of the PRA and FCA. The topics addressed include: The Senior Manager, Certification and Approved Person Regimes Regulatory references and whistleblowing Disciplinary investigations, enforcement and sanctions Notifications, ‘Form C’, and fitness & propriety Bonus disputes and the Remuneration Code Conduct and Pay in the Financial Services Industry considers the full extent of an individual’s employment, from pre-contractual discussions to the post-termination clawback of remuneration. It is a vital reference for lawyers and human resources professionals working within the financial services industry, both in-house and in private practice. It will also be of interest to all academics, regulators and policy-makers involved in this sector.

Regulating Financial Services And Markets In The Twenty First Century

Author : Eilís Ferran
ISBN : 9781841132792
Genre : Law
File Size : 78. 39 MB
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This book contains a set of high-level essays examining important issues at the forefront of financial services regulation. The contributors, who include lawyers, economists and regulators, address the far-reaching effects of the Financial Services and Markets Act 2000 on the UK financial sector in the context of rapid global change. Using their extensive detailed knowledge of regulatory regimes to provide an authoritative analysis of the underlying issues affecting the broad development of financial services regulation, the contributors also attempt to answer fundamental questions about the objectives of regulation, the responsibilities of the regulated community, the accountability of regulators, the regulation of electronic financial markets and the impact of stock market mergers, regional regulation within Europe, and the development of global financial regulation.

The Law Of Financial Services

Author : Harvey L. Pitt
ISBN : STANFORD:36105062205708
Genre : Banking law
File Size : 78. 6 MB
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