Solicitors And Financial Services
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Financial Services For Solicitors
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Author : Ian Muirhead
language : en
Publisher: Law Society Publishing
Release Date : 2009
Financial Services For Solicitors written by Ian Muirhead and has been published by Law Society Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Financial institutions categories.
One of the challenges to solicitors posed by the Legal Services Act is that of reducing reliance on transactional business and building enduring client relationships. A business area which commends itself as complementing solicitors' mainstream work is financial advice, and the more enterprising firms are increasingly seeking to align with fee-based financial advisers to provide a more comprehensive client service. Financial Services for Solicitors explains the pros and cons of the various forms of association between solicitors and financial advisers and describes fifteen areas of business in which solicitors' advice may be incomplete without the input of a financial adviser. This authoritative book has been edited by Ian Muirhead of SIFA, a solicitor, and the contributors include leading financial advisers, accountants and solicitors.
Solicitors And Financial Services
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Author : Peter Camp
language : en
Publisher:
Release Date : 2002
Solicitors And Financial Services written by Peter Camp and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002 with Compliance categories.
Financial Services For Lawyers
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Author : Tracey Calvert
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2017-09-13
Financial Services For Lawyers written by Tracey Calvert and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2017-09-13 with categories.
Most lawyers will provide financial services to their clients. Make the wrong decision, or make a mistake, or be unable to explain what you have done, and there are legal and regulatory consequences for the individual and for the firm in which they are employed. This guide explains financial services regulation for lawyers and is essential reading for law firm compliance officers and compliance professionals. It delivers practical advice about the issues and compliance considerations
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 Enforcement And Compliance
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Author : Thomson Reuters Westlaw; Aspatore
language : en
Publisher: Aspatore Books
Release Date : 2013-10-01
Financial Services Enforcement And Compliance written by Thomson Reuters Westlaw; Aspatore and has been published by Aspatore Books this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-10-01 with Law categories.
Financial Services Enforcement and Compliance provides an authoritative, insiders perspective on navigating recent developments in the financial services industry.
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 Services Investigations And Enforcement
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Author : Freshfields Bruckhaus Deringer
language : en
Publisher: Bloomsbury Publishing
Release Date : 2014-04-30
Financial Services Investigations And Enforcement written by Freshfields Bruckhaus Deringer and has been published by Bloomsbury Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-04-30 with Business & Economics categories.
Financial Services: Investigations and Enforcement is a comprehensive and practical point of reference which guides the user through the very complex area of investigations and enforcement. Designed to be used before, during and after an investigation, Financial Services: Investigations and Enforcement contains the practical start-to-finish advice and direction that will guide you through this often complicated and highly stressful process with confidence. This highly practical step-by-step guide will provide the support and guidance that legal advisers will come to rely on when navigating an investigation or disciplinary enquiry. Contents includes: The Structure of the Regulatory Regime; Internal and External Investigations; Disciplinary and Enforcement Action; Pro-Active Regulation; Consumer Protection; Markets. Written by an expert team from international law firm Freshfields Bruckhaus Deringer This brand new edition is designed to be used by lawyers in private practice, in House la
Banking And Financial Services Regulation
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Author : Alasdair Blair
language : en
Publisher: Bloomsbury Professional
Release Date : 2002-01-01
Banking And Financial Services Regulation written by Alasdair Blair and has been published by Bloomsbury Professional this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002-01-01 with Law categories.
"The 3rd edition of Banking and Financial Services Regulation provides detailed analysis and practical guidance on the UK regulatory system as it affects banking and financial services. The book has been written by a team of well known authors comprising practising lawyers, compliance officers, in-house counsel and academics."
Corporate Financial Services In Wales 1989
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Author : J. Carr
language : en
Publisher: Springer Science & Business Media
Release Date : 2012-12-06
Corporate Financial Services In Wales 1989 written by J. Carr and has been published by Springer Science & Business Media this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-12-06 with Business & Economics categories.
Wales is being transformed from a country dependent upon heavy industries to one of the most exciting regions of Western Europe. It is attracting a diversity of activity in terms of both inward investment and a whole range of new indigenous business. Wales has had an increasing amount of inward investment. Countries like Japan, the United States and Western Germany recognise the high quality of the workforce, the good communications, the good financial package offered by a positive regional policy and the enthusiasm of local government and trade unions welcome them. Wales is at last being recognised as the ideal location for service industries. The urban redevelopment of Cardiff, the enormous developments in cities like Swansea and Newport create a location for service industries of the highest quality at low cost. Wales provides office accomodation at a fraction of the cost in the South East of England, but with the latest buildings and the latest in telecommunication technology. There is certainly a welcome in Wales and I hope all of those who read this directory, indicating as it does the growth that has already taken place, will themselves make the appropriate enquiries: • see where they can locate an office, • see what are the facilities for a good quality labour force, • study the good communications be they road, rail or telecommunications. Anybody that does this will certainly conclude that Wales is the place to be. Rt. Han. Peter Walker, MBE.
Accounts For Solicitors
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Author : Ralph Denny
language : en
Publisher: Routledge
Release Date : 2013-03-04
Accounts For Solicitors written by Ralph Denny and has been published by Routledge this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-03-04 with Law categories.
First published in 2004. Routledge is an imprint of Taylor & Francis, an informa company.