Research Catalog

Title

Banking and financial services regulation / William Blair ... [et al.].

Publication

London ; Dayton, OH : Butterworths LexisNexis, c2002.

Items in the Library & Off-site

Holdings

Details

Additional Authors

Blair, William.

Description

xxxiv, 692 p. : ill.; 26 cm.

Subject

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

Bibliography (note)

• Includes bibliographical references and index.

Processing Action (note)

• committed to retain

Contents

Chapter 1. Banks and the regulatory regime, p.1 -- Chapter 2. The financial services authority and the financial services and markets act 2000, p.20 -- Chapter 3. Regulated activities- investment business, p.70 -- Chapter 4. Other regulated activities, p.108 -- Chapter 5. Authorisation and approved persons, p.120 -- Chapter 6. Deposit- taking and banking supervision, p.152 -- Chapter 7. Investment management, p.191 -- Chapter 8. Marketing and financial promotion, p.202 -- Chapter 9. Market misconduct, p.240 -- Chapter 10. The prevention of money laundering and terrorist finance, p.282 -- Chapter 11. Customer care, p.299 -- Chapter 12. Client money, p.324 -- Chapter 13. Record-keeping and notifications, p.343 -- Chapter 14. Ensuring compliance: managing regulatory and reputational risk, p.383 -- Chapter 15. Capital adequacy, p.421 -- Chapter 16. Financial derivatives, p.478 -- Chapter 17. Global custody, p.528 -- Chapter 18. Listing and regulated exchanges and clearing houses, p.556 -- Chapter 19. Investigations, discipline and enforcement, p.599 -- Chapter 20. FSA decision-making and the Financial Services and markets tribunal, p.618 -- Chapter 21. International supervisory co- operation, p.644.

ISBN

0406949875

OCLC

51569609

Owning Institutions

Harvard Library