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Financial Services: Regulating Investment Business 3rd ed

Simon Morris

ISBN13: 9780421965102

Previous Edition ISBN: 0752000411

Publisher: Sweet & Maxwell Ltd

Country of Publication: UK

Format: Hardback

Price: Publication Abandoned

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Subjects:: Banking and Finance

Contents:: Background to regulation.; Financial Services Authority.; Who requires authorisation?; Authorisation for firms.; Approval for individuals.; Marketing investments.; FSA's rules and fiduciary duties.; How FSA regulates firms.; Enforcement.; Financial Crime.; Obtaining redress.; Regulation of the UK Equity market.; Regulation of the wholesale market.; Regulation of the retail market.; Regulation of mortgage & insurance business.; Regulation of collective funds.