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Blackstone's guide to the Financial Services and Markets Act 2000 / edited by Michael Blair

Contributor(s): Publication details: Oxford : Oxford University Press, 2009.Edition: 2nd edDescription: xlvii, 627 p. ; 24 cmISBN:
  • 9780199576333 (pbk.)
Subject(s): DDC classification:
  • 346.06646 BLA
Contents:
1: The policy background ; 2: Accountability and objectives of the FSA ; 3: Regulated and prohibited activities ; 4: Financial promotion ; 5: Authorisation and exemption ; 6: Permission to carry on regulated activities ; 7: Performance of regulated activities ; 8: Official listing ; 9: Control of business transfers ; 10: Penalties for market abuse ; 11: Hearings and appeals ; 12: Rules and guidance ; 13: Information gathering and investigations ; 14: Control over authorised persons ; 15: Incoming firms: intervention by the FSA ; 16: Disciplinary measures ; 17: Financial services compensation scheme ; 18: Financial ombudsman service ; 19: Collective investment schemes ; 20: Recognised investment exchanges and clearing houses ; 21: Lloyd’s of London ; 22: Provision of financial services by members of the professions ; 23: Mutual societies ; 24: Auditors and actuaries ; 25: Public record, disclosure of information and co-operation ; 26: Insolvency ; 27: Injunctions and restitution ; 28: Notices ; 29: Criminal offences and their prosecution ; 30: Miscellaneous, interpretation, and supplemental .
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Holdings
Item type Current library Shelving location Call number Status Barcode
BOOKs NLS Library Compactors 346.06646 BLA (Browse shelf(Opens below)) Available 17967
BOOKs NLS 346.06646 BLA (Browse shelf(Opens below)) Available 26487

1: The policy background ;
2: Accountability and objectives of the FSA ;
3: Regulated and prohibited activities ;
4: Financial promotion ;
5: Authorisation and exemption ;
6: Permission to carry on regulated activities ;
7: Performance of regulated activities ;
8: Official listing ;
9: Control of business transfers ;
10: Penalties for market abuse ;
11: Hearings and appeals ;
12: Rules and guidance ;
13: Information gathering and investigations ;
14: Control over authorised persons ;
15: Incoming firms: intervention by the FSA ;
16: Disciplinary measures ;
17: Financial services compensation scheme ;
18: Financial ombudsman service ;
19: Collective investment schemes ;
20: Recognised investment exchanges and clearing houses ;
21: Lloyd’s of London ;
22: Provision of financial services by members of the professions ;
23: Mutual societies ;
24: Auditors and actuaries ;
25: Public record, disclosure of information and co-operation ;
26: Insolvency ;
27: Injunctions and restitution ;
28: Notices ;
29: Criminal offences and their prosecution ;
30: Miscellaneous, interpretation, and supplemental .