Financial Services Regulation and Risk-Based Compliance: Third Edition

ISBN-13: 9781526501974 / Angielski

Stuart Bazley; Andrew Haynes

Spis treści

Chapter 1: The need for regulation in financial services Chapter 2: The structure of the system of financial services regulation Chapter 3: Regulator objectives, duties, governance and accountability Chapter 4: International and European Influences and international regulator cooperation Chapter 5: Authorisation, business permissions and control liability Chapter 6: Risk and Prudential Regulation Chapter 7: The nature of rules and formal guidance, rule making and principles based obligations Chapter 8: Supervision, information gathering and the regulators’ toolkit Chapter 9: Governance - Senior management systems and controls Chapter 10: The role of compliance, and fashioning compliance systems Chapter 11: Special risk areas and compliance obligations – Money laundering, terrorist financing sanctions Chapter 12: Special risk areas and compliance obligations – Market abuse, insider dealing and manipulation Chapter 13: Special risk areas and compliance obligations – Other financial crime. Bribery and Corruption, Investment fraud and theft and Information security Chapter 14: Special risk areas and compliance obligations – The listing, Prospectus and Disclosure rules Chapter 15: Special risk areas and compliance obligations – Customer related obligations. Financial Promotions, Conduct of business, client money and assets and specialist rulebooks Chapter 16: The regulation of Collective Investment Schemes and Investment Funds Chapter 17: The authorisation and regulation of Investment Exchanges Chapter 18: The Approved Persons regime and Senior management responsibility Chapter 19: Compliance officer and MLRO liability Chapter 20: Complaints handling rules and the Financial Ombudsman Service Chapter 21: The financial services industry’s relationship with other regulatory agencies Chapter 22: Compliance breakdown - Investigations and enforcement Chapter 23: The future development of regulation and compliance