Financial Services Decisions Digest; FSA Final Notices and FSMT Decisions

This new book brings together for the first time the FSA Final Notices and the FSMT Decisions in one accessible volume. An essential tool, it allows financial services practitioners to take guidance from previous regulatory decisions in this new era of principles based regulation. An overarching practical and authoritative review is provided under key headings, grouped under themes, giving an overview of the decisions relevant to each subject area whilst also highlighting the FSA's priorities. There is no other source that collates and provides an authoritative guide to the FSA Final Notices and the FSMT Decisions and this will be an essential reference work for financial services practitioners, accountants and compliance officers and a vital addition to law libraries, driving advice and practice in the financial services industry. Contents: Ch. 1 Introduction Ch. 2 Market abuse Ch. 3 Listing rules Ch. 4 Anti-money laundering Ch. 5 Treating customers fairly Ch. 6 Systems and controls Ch. 7 Authorisation and approval Ch. 8 Tribunal procedure