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Description of A Practitioner's Guide to the FSA Handbook

A Practitioner's Guide to the FSA Handbook – 5th Edition has been fully updated and extensively revised to include significant changes following on from the implementation of MiFID, the advent of NewCOB, the move towards More Principles Based Regulation and the Treating Customers Fairly initiative

Title Information

ISBN:

9781905121250

Pages:

739 pages

Format:

Paperback

Product Code:

265812

Publisher:

City & Financial Publishing

Published:

01/03/2008

Edition:

5th Revised edition

Press and Industry Reviews

One of the FSA's stated priorities is to make the Handbook more accessible to firms.
"This fourth edition of A Practitioner's Guide to the FSA Handbook will help to give readers greater understanding of those parts of the Handbook which apply to them. I therefore welcome its publication."
- Callum McCarthy, Chairman, Financial Services Authority

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About

Consultant Editor:
Ruth Fox, Slaughter and May

Contents of A Practitioner's Guide to the FSA Handbook

Foreword
Introduction - the Regulatory Landscape
1: The Role and Statutory Powers of the FSA
2: The FSA's High Level Principles
3: The Approved Persons Regime, Training and Competence
4: Prudential Rules and Guidance - Harmonisation and Differentiation
5: Conduct of Business
6: Market Conduct and Market Abuse Regime
7: Money Laundering
8: Authorisation and Supervision Processes
9: Discipline and Enforcement
10: Consumer Relations: Complaints and Compensation