Research Catalog

Title

Banking and the Financial Services Act / William Blair ... [et al.].

Publication

London : Butterworths ; Austin, Tex. : Butterworth Legal Publishers, 1993.

Items in the Library & Off-site

Holdings

Details

Additional Authors

• Blair, William.
• Great Britain. Financial Services Act 1986. 1993.

Description

xxi, 403 p.; 26 cm.

Summary

• Banking and the Financial Services Act is in analysis of the regulatory regime established under the 1986 Act and its impact on the way banks conduct their investment business in the UK. Written by authors directly invloved in the field, it outliines the practical stepts necessary to achieve compliance with the Act and discusses specific problems faced by banks under the Act.
• International aspects are covered, including the Second Banking Directive and the Financial Services (European Institutions) Instrument 1993. The book discusses the continuing debate on the achievements and failing of the regulatory system and considers what reforms may be expected. All those concerned with the conduct of investment business, including bankers, legal advisors, compliance officers and investment pracitioners will find this title an invaluable guide to a sometimes difficult subject.

Subject

• Banking law > Great Britain
• Financial institutions > Law and legislation > Great Britain
• Financial services industry > Law and legislation > Great Britain

Bibliography (note)

• Includes bibliographical references and index.

Processing Action (note)

• committed to retain

Contents

• Ch. 1. Banks and the new regulatory regime -- Ch. 2. Carrying on investment business in the United Kingdom -- Ch. 3. Banking activities and investment business -- Ch. 4. Obtaining authorisation -- Ch. 5. Marketing and selling -- Ch. 6. Client care -- Ch. 7. Client money -- Ch. 8. Record keeping, monitoring and enforcement -- Ch. 9. Financial regulation -- Ch. 10. Ensuring compliance: managing regulatory and reputational risk -- Ch. 11. International aspects of the Financial Services Act -- Ch. 12. European Community influence -- App. I SIB statements of principle -- App. II Schedule 1 to the Financial Services Act 1986 -- App. III Extract from SFA's rule book: definition of corporate finance business -- App. IV The regulatory scope of SFA and IMRO -- App. V SFA's guidance notes on the fit and proper person test -- App. VI Bank of England Market Notice dated 4 January 1993 -- App. VIIA The Financial Services (Client Money) Regulations 1991.
• App. VIIB The Financial Services (Client Money) (Supplementary) Regulations 1991 -- App. VIII SIB Principle 9: standards for compliance with regulatory requirements -- App. IX IMRO: compliance standards and the compliance function (November 1991) -- App. X Second Banking Co-ordination Directive -- App. XI The Financial Services (European Institutions) Instrument 1993.

ISBN

0406135207

OCLC

30916268

Owning Institutions

Harvard Library