Library Catalogue
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The financial services and markets act : a practical legal guide / edited by James Perry.
Publication details: London : Maxwell, 2001.Description: xliii, 425 p. ; 25 cmISBN:- 0421679905 (hbk.)
- 346.06646 PER
Contents:
Chapter 1. Background to U.K. Regulation;
Chapter 2. Introduction to the FSMA and the Financial Services Authority;
Chapter 3. Regulated Activities and the “General Prohibition”;
Chapter 4. Authorisation and “Permission”;
Chapter 5. Approved Persons;
Chapter 6. Financial Promotion;
Chapter 7. The Official Listing of Securities;
Chapter 8. Market Abuse;
Chapter 9. Rules, Competition and Polarisation;
Chapter 10. FSA’s Handbook: Conduct of Business;
Chapter 11. Controllers and Control of Business Transfers;
Chapter 12. Collective Investment Schemes;
Chapter 13. Enforcement;
Chapter 14. Regulation of the Market Infrastructure: Investment Exchanges and Clearing Houses;
Chapter 15. Regulation of Lloyd’s;
Chapter 16. Mutual Societies;
Chapter 17. What Next for Financial Services? Looking to the Future.
| Item type | Current library | Call number | Status | Barcode | |
|---|---|---|---|---|---|
BOOKs
|
NLS | 346.06646 PER (Browse shelf(Opens below)) | Available | 17789 |
Chapter 1. Background to U.K. Regulation;
Chapter 2. Introduction to the FSMA and the Financial Services Authority;
Chapter 3. Regulated Activities and the “General Prohibition”;
Chapter 4. Authorisation and “Permission”;
Chapter 5. Approved Persons;
Chapter 6. Financial Promotion;
Chapter 7. The Official Listing of Securities;
Chapter 8. Market Abuse;
Chapter 9. Rules, Competition and Polarisation;
Chapter 10. FSA’s Handbook: Conduct of Business;
Chapter 11. Controllers and Control of Business Transfers;
Chapter 12. Collective Investment Schemes;
Chapter 13. Enforcement;
Chapter 14. Regulation of the Market Infrastructure: Investment Exchanges and Clearing Houses;
Chapter 15. Regulation of Lloyd’s;
Chapter 16. Mutual Societies;
Chapter 17. What Next for Financial Services? Looking to the Future.