The Blackstone's Guide Series delivers concise and accessible books covering the latest legislative changes and amendments. Published soon after enactment, they offer expert commentary by leading names on the extent, scope, and effects of the legislation, plus a full copy of the Act itself. They offer a cost-effective solution to key information needs and are the perfect companion for any practitioner needing to get up to speed with the latest changes. The Financial Services and Markets Act 2000 was the most important piece of legislation in the financial services area for many years. It made…mehr
The Blackstone's Guide Series delivers concise and accessible books covering the latest legislative changes and amendments. Published soon after enactment, they offer expert commentary by leading names on the extent, scope, and effects of the legislation, plus a full copy of the Act itself. They offer a cost-effective solution to key information needs and are the perfect companion for any practitioner needing to get up to speed with the latest changes. The Financial Services and Markets Act 2000 was the most important piece of legislation in the financial services area for many years. It made a number of important changes, including overhauling and unifying the arrangement for oversight of banking, insurance and other investment services; introducing new sanctions to restrain abuse of financial markets; establishing the Financial Services Authority as regulator of the UK's financial services industry; creating a statutory Financial Ombudsman Service to enable financial disputes to be resolved quickly and informally; establishing the Financial Services and Markets Tribunal; and creating a Financial Services Compensation Scheme to unify the arrangements for depositor and policyholder protection and investor compensation. Since the publication of the first edition in 2001, statutory amendments have been required to implement a number of important EU directives, such as The Prospectus Directive, the Market Abuse Directive, the Transparency Directive and the Markets in Financial Instruments Directive. There has also been amendment for domestic purposes, e.g. in the field of consumer credit. The new edition will cover these updates and will also give an account of what has been happening in the policy fields beneath the level of the Act itself. The new edition of this Blackstone's Guide combines the full text of the Act with an expert narrative. It seeks to explain the scope and impact of the Act, and bring practitioners right up-to-date with this complex piece of drafting. Developments in UK financial services regulation are taken into account where relevant in response to the global financial upheaval of 2007-9. Presented in a straightforward layout, the book enables ease of use as a reference source.Hinweis: Dieser Artikel kann nur an eine deutsche Lieferadresse ausgeliefert werden.
Michael Blair QC is a specialist on financial services and financial services regulation. He joined commercial Chambers (3 Verulam Buildings, Gray's Inn) in 2000 after serving as General Counsel to the Board of the Financial Services Authority from 1998-2000, and as head of the legal function in its predecessor body, the Securities and Investments Board from 1987-97. Before that he had served from 1982 to 1987 as an Under Secretary in the home civil service, latterly taking responsibility for the criminal and civil legal aid schemes in England and Wales as well as for the higher courts and matters affecting the legal profession. His practice is largely advisory though he has appeared before the Chancery Division the Financial Services and Markets Tribunal and the Financial Services Authority's Regulatory Decisions Committee.. He sits judicially as a Member of the Competition Appeal Tribunal, and is the Chairman of SWX Europe, the Swiss equities exchange in London. He has been a Board member of the Dubai Financial Services Authority since 2004, and was Master Treasurer of the Middle Temple, his Inn of Court, in 2008. He is the author or editor of a number of works mainly in the financial services field.
Inhaltsangabe
* Introduction * 1: Paul Kennedy: The Policy Background * Background to the Establishment of the FSA * Delivering the Policy Objectives * International Influences * Early Challenges * The Banking Crisis of 2007-8 * Proposals for Reform * 2: Paul Kennedy: Accountability and Objectives of the FSA * Introduction * A Private Company Discharging a Public Function * Institutional Mechanisms for Accountability * Objectives and Principles * Principles of Regulation * The Accountability Mechanisms in Practice * 3: Paul Kennedy: Regulated and Prohibited Activities * Introduction * The General Prohibition * Regulated Activities * Activities Carried on 'By Way Of Business' * Territorial Scope of the General Prohibition * False Claims to be Authorised or Exempt * Sanctions for Breach of the General Prohibition * 4: Paul Kennedy: Financial Promotion * Introduction * Other UK Legislation Relevant to Financial Promotion * Other Parts of the FSMA Relevant to Financial Promotion * Why is a Financial Promotion Regime Needed At All? * Restriction on Financial Promotion * Territorial Scope * Introduction to the Financial Promotion Order * Sanctions * Financial Promotion by Authorised Persons * 5: David Simpson: Authorisation and Exemption * Introduction * Authorisation * Passport Rights * Treaty Rights * Ending of Authorisation * Exemption Orders * Exemption of Appointed Representatives * 6: David Simpson: Permission to Carry on Regulated Activities * What is Permission? * Conditions, Limitations and Requirements * The Threshold Conditions * Variation and Cancellation of Permission * Assets Requirements * Overseas Regulators * 7: David Simpson: Performance of Regulated Activities * Prohibition Orders * Positive Power of Approval * Statements of Principle on the Conduct of Approved Persons * Disciplinary Powers * Statement of Policy * 8: Andrew Henderson: Official Listing * Introduction * Part 6 and the FSA * Listing * Offers to the Public * Sponsors * Continuing Obligations * Compensation, Penalties, and Investigations * 9: David Simpson: Control of Business Transfers * Introduction * Control of Business Transfers * 10: Helen Marshall: Penalties for Market Abuse * Introduction * Market Offences * Drafting and Revision * Framework for Market Abuse Regime * Behaviours Constituting Market Abuse * Procedure * Penalties * 11: Helen Marshall: Hearings and Appeals * Introduction * Composition of the Tribunal * References to the Tribunal * Proceedings before the Tribunal * Decisions of the Tribunal * Appeals * 12: Andrew Henderson: Rules and Guidance * Introduction * Rules * Guidance * Competition Scrutiny * 13: Helen Marshall: Information Gathering and Investigations * Introduction * Powers to Gather Information * Reports by Skilled Persons * General Investigations * Particular Investigations * Investigation into Collective Investment Schemes * Investigations in Support of Overseas Regulators * Investigation Powers: General Provisions * Powers of Investigators * Admissibility of Statements made to Investigators * Entry of Premises under Warrant * Consequences of Failure to Co-operate * 14: Andrew Henderson: Control over Authorised Persons * Introduction * EC Legislation: The Acquisitions Directive * Notices of Acquisition * Assessment by the FSA * Enforcement Powers * Offences * 15: Helen Marshall: Incoming Firms: Intervention by the FSA * Introduction * Domestic Ground for Intervention * Scope of the Power of Intervention * Exercise of Powers in Support of Overseas Regulators * Consumer Credit * 16: Helen Marshall: Disciplinary Measures * Introduction * Which Contraventions may be Disciplined? * The FSA's Approach to Discipline * The FSA's Approach to Public Censure * The FSA's Approach to Financial Penalties * Early Settlement Scheme * Disciplinary Procedure * Financial Penalties: What Happens to the Money? * Article 6 of the European Convention on Human Rights * 17: Alex Kuczynski: Financial Services Compensation Scheme * Introduction * The Scheme Manager * European Directives * The Scheme * Funding * Claims Experience * 18: Alex Kuczynski: Financial Ombudsman Service * Introduction * The Scheme Operator * Jurisdiction - Compulsory and Voluntary * Dispute Resolution * Funding * FOS'S Experience * 19: Andrew Henderson: Collective Investment Schemes * Introduction * Restrictions on Promotion * Authorised Unit Trust Schemes * Open-Ended Investment Companies * Overseas Recognised Schemes * Investigations * 20: Emma Vick: Recognised Investment Exchanges and Clearing Houses * Introduction * The Investment Exchanges * The Clearing Houses Today * The Recognition Regime * Applications for Recognition as an RIE or RCH * Overseas Investment Exchanges and Clearing Houses * The Recognition Requirements * Default Rules * The RIE and RCH Sourcebook * Complaints against a Recognised Body * Competition Scrutiny * The FSA's Rule-Making Powers * Investment Exchanges and Clearing Houses Act 2006 * MiFID * Revocation of a Recognition Order * 21: David Simpson: Lloyd's of London * Introduction * Powers Exercised by the FSA * Other Lloyd's Participants Regulated under FSMA 2000 * 22: Andrew Henderson: Provision of Financial Services by Members of the Professions * Introduction * Exemption from the General Prohibition * Professional Designated Bodies * Role of the FSA * Disclosure of Exempt Status * Authorised Professional Firms * 23: Paul Kennedy: Mutual Societies * Introduction * The Mutual Societies Order * 24: Andrew Henderson: Auditors and Actuaries * Introduction * Appointment * Information * Disclosure and Immunity * Notification on Leaving Office * Disqualification * 25: Helen Marshall: Public Record, Disclosure of Information and Co-operation * The Public Record to be Maintained by the FSA * Restrictions on Disclosure of Confidential Information * Duty of the FSA to Co-operate with other Authorities * 26: Helen Marshall: Insolvency * Introduction * Voluntary Arrangements * Administration Orders * Receiverships * Voluntary Winding Up * Winding Up by the Court * Winding Up Petitions for EEA and Treaty Firms * Bankruptcy * Provisions against Debt Avoidance * Supplemental Provisions in Insurance Cases * 27: Helen Marshall: Injunctions and Restitution * Introduction * Contravention of Relevant Requirements * Market Abuse * Restitution Required by the FSA * 28: Helen Marshall: Notices * Statutory Notices * Warning Notices * Decision Notices * Notices of Discontinuance * Final Notices * Publication * Third-Party Rights * Access to FSA Material * Supervisory Notices * 29: Helen Marshall: Criminal Offences and their Prosecution * Introduction * Prosecution of Offences * Specific Offences * 30: Paul Kennedy: Miscellaneous, Interpretation and Supplemental * Introduction * Reviews of Compliance Failures * Third Countries: Community Measures * International Obligations * Gaming * Interpretation * Supplemental Provisions * Appendix 1: Financial Services and Markets Act 2000 (as amended)
* Introduction * 1: Paul Kennedy: The Policy Background * Background to the Establishment of the FSA * Delivering the Policy Objectives * International Influences * Early Challenges * The Banking Crisis of 2007-8 * Proposals for Reform * 2: Paul Kennedy: Accountability and Objectives of the FSA * Introduction * A Private Company Discharging a Public Function * Institutional Mechanisms for Accountability * Objectives and Principles * Principles of Regulation * The Accountability Mechanisms in Practice * 3: Paul Kennedy: Regulated and Prohibited Activities * Introduction * The General Prohibition * Regulated Activities * Activities Carried on 'By Way Of Business' * Territorial Scope of the General Prohibition * False Claims to be Authorised or Exempt * Sanctions for Breach of the General Prohibition * 4: Paul Kennedy: Financial Promotion * Introduction * Other UK Legislation Relevant to Financial Promotion * Other Parts of the FSMA Relevant to Financial Promotion * Why is a Financial Promotion Regime Needed At All? * Restriction on Financial Promotion * Territorial Scope * Introduction to the Financial Promotion Order * Sanctions * Financial Promotion by Authorised Persons * 5: David Simpson: Authorisation and Exemption * Introduction * Authorisation * Passport Rights * Treaty Rights * Ending of Authorisation * Exemption Orders * Exemption of Appointed Representatives * 6: David Simpson: Permission to Carry on Regulated Activities * What is Permission? * Conditions, Limitations and Requirements * The Threshold Conditions * Variation and Cancellation of Permission * Assets Requirements * Overseas Regulators * 7: David Simpson: Performance of Regulated Activities * Prohibition Orders * Positive Power of Approval * Statements of Principle on the Conduct of Approved Persons * Disciplinary Powers * Statement of Policy * 8: Andrew Henderson: Official Listing * Introduction * Part 6 and the FSA * Listing * Offers to the Public * Sponsors * Continuing Obligations * Compensation, Penalties, and Investigations * 9: David Simpson: Control of Business Transfers * Introduction * Control of Business Transfers * 10: Helen Marshall: Penalties for Market Abuse * Introduction * Market Offences * Drafting and Revision * Framework for Market Abuse Regime * Behaviours Constituting Market Abuse * Procedure * Penalties * 11: Helen Marshall: Hearings and Appeals * Introduction * Composition of the Tribunal * References to the Tribunal * Proceedings before the Tribunal * Decisions of the Tribunal * Appeals * 12: Andrew Henderson: Rules and Guidance * Introduction * Rules * Guidance * Competition Scrutiny * 13: Helen Marshall: Information Gathering and Investigations * Introduction * Powers to Gather Information * Reports by Skilled Persons * General Investigations * Particular Investigations * Investigation into Collective Investment Schemes * Investigations in Support of Overseas Regulators * Investigation Powers: General Provisions * Powers of Investigators * Admissibility of Statements made to Investigators * Entry of Premises under Warrant * Consequences of Failure to Co-operate * 14: Andrew Henderson: Control over Authorised Persons * Introduction * EC Legislation: The Acquisitions Directive * Notices of Acquisition * Assessment by the FSA * Enforcement Powers * Offences * 15: Helen Marshall: Incoming Firms: Intervention by the FSA * Introduction * Domestic Ground for Intervention * Scope of the Power of Intervention * Exercise of Powers in Support of Overseas Regulators * Consumer Credit * 16: Helen Marshall: Disciplinary Measures * Introduction * Which Contraventions may be Disciplined? * The FSA's Approach to Discipline * The FSA's Approach to Public Censure * The FSA's Approach to Financial Penalties * Early Settlement Scheme * Disciplinary Procedure * Financial Penalties: What Happens to the Money? * Article 6 of the European Convention on Human Rights * 17: Alex Kuczynski: Financial Services Compensation Scheme * Introduction * The Scheme Manager * European Directives * The Scheme * Funding * Claims Experience * 18: Alex Kuczynski: Financial Ombudsman Service * Introduction * The Scheme Operator * Jurisdiction - Compulsory and Voluntary * Dispute Resolution * Funding * FOS'S Experience * 19: Andrew Henderson: Collective Investment Schemes * Introduction * Restrictions on Promotion * Authorised Unit Trust Schemes * Open-Ended Investment Companies * Overseas Recognised Schemes * Investigations * 20: Emma Vick: Recognised Investment Exchanges and Clearing Houses * Introduction * The Investment Exchanges * The Clearing Houses Today * The Recognition Regime * Applications for Recognition as an RIE or RCH * Overseas Investment Exchanges and Clearing Houses * The Recognition Requirements * Default Rules * The RIE and RCH Sourcebook * Complaints against a Recognised Body * Competition Scrutiny * The FSA's Rule-Making Powers * Investment Exchanges and Clearing Houses Act 2006 * MiFID * Revocation of a Recognition Order * 21: David Simpson: Lloyd's of London * Introduction * Powers Exercised by the FSA * Other Lloyd's Participants Regulated under FSMA 2000 * 22: Andrew Henderson: Provision of Financial Services by Members of the Professions * Introduction * Exemption from the General Prohibition * Professional Designated Bodies * Role of the FSA * Disclosure of Exempt Status * Authorised Professional Firms * 23: Paul Kennedy: Mutual Societies * Introduction * The Mutual Societies Order * 24: Andrew Henderson: Auditors and Actuaries * Introduction * Appointment * Information * Disclosure and Immunity * Notification on Leaving Office * Disqualification * 25: Helen Marshall: Public Record, Disclosure of Information and Co-operation * The Public Record to be Maintained by the FSA * Restrictions on Disclosure of Confidential Information * Duty of the FSA to Co-operate with other Authorities * 26: Helen Marshall: Insolvency * Introduction * Voluntary Arrangements * Administration Orders * Receiverships * Voluntary Winding Up * Winding Up by the Court * Winding Up Petitions for EEA and Treaty Firms * Bankruptcy * Provisions against Debt Avoidance * Supplemental Provisions in Insurance Cases * 27: Helen Marshall: Injunctions and Restitution * Introduction * Contravention of Relevant Requirements * Market Abuse * Restitution Required by the FSA * 28: Helen Marshall: Notices * Statutory Notices * Warning Notices * Decision Notices * Notices of Discontinuance * Final Notices * Publication * Third-Party Rights * Access to FSA Material * Supervisory Notices * 29: Helen Marshall: Criminal Offences and their Prosecution * Introduction * Prosecution of Offences * Specific Offences * 30: Paul Kennedy: Miscellaneous, Interpretation and Supplemental * Introduction * Reviews of Compliance Failures * Third Countries: Community Measures * International Obligations * Gaming * Interpretation * Supplemental Provisions * Appendix 1: Financial Services and Markets Act 2000 (as amended)
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