A Guide To Banking And Financial Services Law And Regulation
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A Guide To Banking And Financial Services Law And Regulation 2008
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Author :
language : en
Publisher:
Release Date : 2008
A Guide To Banking And Financial Services Law And Regulation 2008 written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Bank mergers categories.
A Guide To Banking And Financial Services Law And Regulation
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Author :
language : en
Publisher:
Release Date : 2008
A Guide To Banking And Financial Services Law And Regulation written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008 with Banking law categories.
Financial Services Law Guide
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Author : Andrew Haynes
language : en
Publisher: Bloomsbury Publishing
Release Date : 2021-11-30
Financial Services Law Guide written by Andrew Haynes and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-11-30 with Law categories.
A comprehensive guide to the rules and regulations that govern the UK financial services industry, providing: - Analysis of the various laws and regulations and how they impact on customer relations and retail products - An outline of the protection given to clients' money and the functioning of the prudential requirements - An explanation of the rationale and operation of enforcement procedures - Details of requirements as they apply to professionals who engage in financial services activities as an incidental part of their professional activities - A consideration of recently implemented EU initiatives The fifth edition has been fully updated in line with the post-EU regime and in addition includes updates to: - the new investments and investment activities and the FCA rules and their impact - the FCA authorisation procedures and their impact - the approved persons regime - the rules and, in particular, their applications in relation to retail products and customer relations - the rules in relation to professionals as well as coverage of: - the EU Market Abuse Regulation - 4th and 5th Money Laundering Directives in their UK form including additional examples of enforcement actions and prosecutions and the lessons to be learned - new case law in relation to enforcement and the lessons learned Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for those working within or otherwise associated with the financial services industry, namely lawyers, compliance officers, auditors, financial advisers, consultants, academics and students.
Financial Services Law Guide
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Author : Andrew Haynes
language : en
Publisher: Bloomsbury Professional
Release Date : 2014-09-30
Financial Services Law Guide written by Andrew Haynes and has been published by Bloomsbury Professional this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-09-30 with Law categories.
Financial Services Law Guide, 4th edition is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. The current changes in the regulatory structure are far reaching for the financial services sector and the new rule books that are to be brought in represent a change in financial services regulation in this country that is profound in its nature and both important and subtle in terms of the changes it will bring in for regulated firms. In particular the compliance procedures and relevant managerial approaches adopted in financial services firms will need to change. Financial Services Law Guide is a comprehensive and highly practical guide to the rules and regulations that govern the financial services industry. Designed to be used on a day-in day-out basis, this new edition covers the requirements and legal responsibilities imposed upon the financial services industry by all regulatory bodies. Covering the latest developments, this valuable text is set out in the context of common practice and is indispensable for lawyers, compliance officers, consultants and all those connected to the industry. Includes coverage of the following key legislation: Financial Services and Markets Act 2000 Financial Services Act 2010 Financial Services Act 2012 Whatever your legal issue or question, you will find the answer in this user-friendly and clearly presented guide. Contents: Chapter 1 The Financial Services Regime Chapter 2 Authorisation Chapter 3 Approved Persons Chapter 4 Retail Products Chapter 5 Customer Relations Chapter 6 Financial Promotion Chapter 7 Market Abuse Chapter 8 Money Laundering Chapter 9 Clients' Money Chapter 10 Financial Rules Chapter 11 Enforcement Chapter 12 Professionals and Investment Business Previous print edition ISBN: 9781845921392
Financial Regulation And Technology
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Author : Sheridan, Iain
language : en
Publisher: Edward Elgar Publishing
Release Date : 2022-02-15
Financial Regulation And Technology written by Sheridan, Iain and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2022-02-15 with Law categories.
This important book analyses recurring issues within financial services regulation relevant to the use of technology, at a time when competition is moving towards greater use of technology in the financial services sector. Iain Sheridan assumes no advanced knowledge of computers and related technology topics, but where necessary encapsulates the essential aspects to offer a comprehensive yet accessible guide to the regulation of finance and technology.
A Practitioner S Guide To Banking Regulation
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Author :
language : en
Publisher:
Release Date : 2016-11-30
A Practitioner S Guide To Banking Regulation written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2016-11-30 with categories.
Banking And Financial Services
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Author : Melanie L. Fein
language : en
Publisher: Aspen Publishers
Release Date : 2006-04-24
Banking And Financial Services written by Melanie L. Fein and has been published by Aspen Publishers this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006-04-24 with Business & Economics categories.
For banks, insurance companies and securities firms preparing to capitalize on the rapidly accelerating trend towards financial services convergence, the possibilities are virtually endless. This book provides coverage of essential financial services regulation. It offers red flags pinpointing regulatory obstacles and pitfalls.
Fintech
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Author : Jelena Madir
language : en
Publisher: Edward Elgar Publishing
Release Date : 2021-12-28
Fintech written by Jelena Madir and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2021-12-28 with categories.
This fully updated and revised second edition provides a practical examination of the opportunities and challenges presented by the rapid development of FinTech in recent years, particularly for regulators, who must decide how to apply current law to ever-changing concepts driven by continually advancing technologies. It addresses new legislative guidance on the treatment of cryptoassets and smart contracts, the European Commission's Digital Finance Strategy and FinTech Action Plan, as well as analysing significant recent case law. Key features of the second edition include: Discussion of the impact of Brexit and the Covid-19 pandemic on the development and adoption of FinTech products Detailed treatment of a broad spectrum of legal and regulatory issues in the FinTech sector, featuring insights from 33 experts from 10 countries Examination of potential blockchain applications in the financial services industry, with a focus on smart contracts and regulatory challenges to widespread adoption Analysis of the key legal, regulatory and compliance issues surrounding FinTech developments in banking, payments and fundraising, from patents and robo-advice to novel solutions for supporting innovation such as regulatory sandboxes. Offering a thorough guide to the sector for practical use, this book will be invaluable for in-house lawyers as well as law firms looking for an overview of the legal and regulatory landscape of FinTech. It will also be an essential text for academics and students looking to understand the key issues in the field, as well as those interested in perspectives across the breadth of the sector.
Essential Strategies For Financial Services Compliance
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Author : Annie Mills
language : en
Publisher: John Wiley & Sons
Release Date : 2015-10-08
Essential Strategies For Financial Services Compliance written by Annie Mills and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-10-08 with Business & Economics categories.
A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.
Fintech
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Author : Jelena Madir
language : en
Publisher: Edward Elgar Publishing
Release Date : 2024-05-21
Fintech written by Jelena Madir and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024-05-21 with Law categories.
This fully revised and updated third edition provides a practical examination of legal and regulatory issues in FinTech, a sector whose rapid rise in recent years has produced opportunities for innovation but has also raised new challenges. Featuring insights from over 40 experts from 10 countries, this book analyses the statutory aspects of technology-enabled developments in banking and considers the impact these changes will have on the legal profession. Key Features: Three new chapters covering AI in the Financial Sector, Bank-Fintech Partnerships and Embedded Payments, and a Comparison of the Regulation of Cryptoasset Activities in Europe and the United States Examination of potential blockchain and artificial intelligence applications in the financial services industry Exploration of guidelines on data protection, payments, cybersecurity, central bank digital currencies, anti-money laundering, tokenisation and blockchain Analysis of the main regulatory and compliance issues surrounding FinTech developments, from patenting challenges to innovative solutions, including regulatory sandboxes Dissection of the EU's Regulation on Markets in Crypto-assets and DLT Pilot Regime, the US's Executive Order on Ensuring Responsible Development of Digital Assets, the UK's Financial Services and Markets Act Considering the benefits and risks of new types of financial technologies, this book will prove an invaluable guide for in-house and private lawyers interested in a comprehensive legal overview of the FinTech sector. It will also appeal to students and scholars of financial law, banking, and economics.