Banking and the Financial Services Act / William Blair [and others].
1993
KD1715 .B365 1993 (Map It)
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Details
Title
Banking and the Financial Services Act / William Blair [and others].
Published
London : Butterworths ; Austin, Tex. : Butterworth Legal Publishers, 1993.
Call Number
KD1715 .B365 1993
ISBN
0406135207
Description
xxii, 403 pages ; 26 cm
System Control No.
(OCoLC)30916268
Bibliography, etc. Note
Includes bibliographical references and index
Includes
Great Britain. Financial Services Act 1986. 1993.
Record Appears in
Added Author
Added Corporate Author
Table of Contents
Foreword
Preface
Table of statutes
Table of statutory instruments
Table of European Communities legislation
Table of cases
Ch. 1
Banks and the new regulatory regime
1
Ch. 2
Carrying on investment business in the United Kingdom
23
Ch. 3
Banking activities and investment business
44
Ch. 4
Obtaining authorisation
65
Ch. 5
Marketing and selling
85
Ch. 6
Client care
114
Ch. 7
Client money
150
Ch. 8
Record keeping, monitoring and enforcement
164
Ch. 9
Financial regulation
182
Ch. 10
Ensuring compliance: managing regulatory and reputational risk
197
Ch. 11
International aspects of the Financial Services Act
216
Ch. 12
European Community influence
224
App. I SIB statements of principle
247
App. II Schedule 1 to the Financial Services Act 1986
250
App. III Extract from SFA's rule book: definition of corporate finance business
273
App. IV The regulatory scope of SFA and IMRO
275
App. V SFA's guidance notes on the fit and proper person test
277
App. VI Bank of England Market Notice dated 4 January 1993
283
App. VIIA The Financial Services (Client Money) Regulations 1991
288
App. VIIB The Financial Services (Client Money) (Supplementary) Regulations 1991
323
App. VIII SIB Principle 9: standards for compliance with regulatory requirements
345
App. IX IMRO: compliance standards and the compliance function (November 1991)
350
App. X Second Banking Co-ordination Directive
355
App. XI The Financial Services (European Institutions) Instrument 1993
377
Index
389