Gleeson; Principles of Financial Regulation

This single portable volume, written by a leading figure in the field, takes a thematic approach to the subject matter; provides expert analysis, and succinctly identifies regulatory principles. UK regulation is a topic deserving attention from special regulatory lawers, as well as financial practitioners and general company and commercial lawyers. This text will provide practitioners with a clear understanding of the regulatory aspects of their particular specialism. Table of Contents : Part I - The Regulatory Structure; 1. The FSA; 1.1. Powers and Responsibilities; 1.2. Territorial scope of FSAs powers; 1.3. Judicial and Administrative Control of the FSA; 2. Authorisation; 2.1. The necessity for authorisation; 2.2. The consequences of non-authorisation; 2.3. Passporting; 2.4. Non-EU firms in the UK; 2.5. Doing, Arranging and Agreeing; 3. Financial Promotion; 3.1. What is a financial promotion; 3.2. Real-time and non-real-time; 3.3. Definitions and Exclusions; 3.4. Television & newspapers; 3.5. Overseas communications; 4. The FSA Rulebook; 4.1. Conduct of Business Rules; 4.2. Systems and Controls; 4.3. Training and Competence; 4.4. Capital Adequacy; Part II - Regulated Activities; 5. Banking; 5.1. Deposit taking; 5.2. Deposit Advertising; 6. Corporate Finance; 6.1. Corporate finance advice; 6.2. Takeovers and mergers; 6.3. Company Share Schemes; 7. The Primary Markets; 7.1. Prospectuses; 7.2. Listing and Admission to Trading; 7.3. Stabilisation; 7.4. International Securities and the Euromarkets; 8. The Secondary Markets; 8.1. Markets & exchanges; 8.2. Market Abuse; 8.3. Clearing and settlement; 8.4. Continuing listing requirements and corporate communications; 9. Derivatives; 9.1. OTC; 9.2. On-exchange; 9.3. Retail warrants; 10. Securities; 10.1. Dealing; 10.2. Custody; 10.3. Stock Lending and Borrowing; 10.4. Prime Brokerage; 11. Funds and Fund Management; 11.1. Collective Investment Schemes and Open-ended investment Companies; 11.2. Investment management; 11.3. Regulated Funds; 11.4. Unregulated and Hedge Funds; 11.5. Repackaged products; 12. Dealing with Retail Customers; 12.1. Private client Duties; 12.2. Retail advertising; 12.3. Product Distribution; 12.3.1. Life Policies; 12.3.2. Regulated funds; 12.3.3. Unregulated funds; 12.3.4. Pension funds; 12.3.5. Repackaged products; 13. Mortgage lending; 14. Lloyds membership