Blackstone's guide to the Financial Services and Markets Act 2000
By: edited by Michael Blair QC ; with contributions by   Andrew Henderson ... [et al.].
Contributors: Blair, Michael C.; Great Britain.
Edition: 2nd ed.
Series: Blackstone's guide series
Publisher: Oxford University Press
Published: 2009
Place of publication: New York
Language: eng
ISBN-13: 9780199576333
Subjects: Financial services industry -- Law and legislation -- Great Britain; Financial services industry -- State supervision -- Great Britain
Other titles: Blackstone's guide to the Financial Services & Markets Act 2000.
Notes: Rev. ed. of: Blackstone's guide to the Financial Services & Markets Act 2000. 2001.
Table of contents: title: Machine generated contents note:; title: Introduction, Michael Blair QC; title: 1. The Policy Background, Paul Kennedy; title: Background to the Establishment of the FSA; title: Delivering the Policy Objectives; title: International Influences; title: Early Challenges; title: The Banking Crisis of 2007-8; title: Proposals for Reform; title: 2. Accountability and Objectives of the FSA, Paul Kennedy; title: A Private Company Discharging a Public Function; title: Institutional Mechanisms for Accountability; title: Objectives and Principles; title: Principles of Regulation; title: The Accountability Mechanisms in Practice; title: 3. Regulated and Prohibited Activities, Paul Kennedy; title: The General Prohibition; title: Regulated Activities; title: Activities Carried on 'By Way Of Business'; title: Territorial Scope of the General Prohibition; title: False Claims to be Authorised or Exempt; title: Sanctions for Breach of the General Prohibition; title: 4. Financial Promotion, Paul Kennedy; title: Other UK Legislation Relevant to Financial Promotion; title: Other Parts of FSMA Relevant to Financial Promotion; title: Why is a Financial Promotion Regime Needed at all?; title: Restriction on Financial Promotion; title: Territorial Scope; title: Introduction to the Financial Promotion Order; title: Sanctions; title: Financial Promotion by Authorised Persons; title: 5. Authorisation and Exemption, David Simpson; title: Authorisation; title: Passport Rights; title: Treaty Rights; title: Ending of Authorisation; title: Exemption Orders; title: Exemption of Appointed Representatives; title: 6. Permission to Carry on Regulated Activities, David Simpson; title: What Is Permission?; title: Conditions, Limitations and Requirements; title: The Threshold Conditions; title: Variation and Cancellation of Permission; title: Assets Requirements; title: Overseas Regulators; title: 7. Performance of Regulated Activities, David Simpson; title: Prohibition Orders; title: Positive Power of Approval; title: Statements of Principle on the Conduct of Approved Persons; title: Disciplinary Powers; title: Statement of Policy; title: 8. Official Listing, Andrew Henderson; title: Background to Part 6; title: Part 6 and the FSA; title: Listing; title: Offers to the Public; title: Sponsors; title: Continuing Obligations; title: Compensation, Penalties and Investigations; title: 9. Control of Business Transfers, David Simpson; title: 10. Penalties for Market Abuse, Helen Marshall; title: Market Offences; title: Drafting and Revision; title: Framework for Market Abuse Regime; title: Behaviours Constituting Market Abuse; title: Procedure; title: Penalties; title: 11. Hearings and Appeals, Helen Marshall; title: Composition of the Tribunal; title: References to the Tribunal; title: Proceedings before the Tribunal; title: Decisions of the Tribunal; title: Appeals; title: 12. Rules and Guidance, Andrew Henderson; title: Rules; title: Guidance; title: Competition Scrutiny; title: 13. Information Gathering and Investigations, Helen Marshall; title: Powers to Gather Information; title: Reports by Skilled Persons; title: General Investigations; title: Particular Investigations; title: Investigation into Collective Investment Schemes; title: Investigations in Support of Overseas Regulators; title: Investigation Powers: General Provisions; title: Powers of Investigators; title: Admissibility of Statements made to Investigators; title: Entry of Premises under Warrant; title: Consequences of Failure to Cooperate; title: 14. Control over Authorised Persons, Andrew Henderson; title: Introduction; title: EC Legislation: The Acquisitions Directive; title: Notices of Acquisition; title: Assessment by the FSA; title: Enforcement Powers; title: Offences; title: 15. Incoming Firms: Intervention by the FSA, Helen Marshall; title: Domestic Ground for Intervention; title: Scope of the Power of Intervention; title: Exercise of Powers in Support of Overseas Regulators; title: Consumer Credit; title: 16. Disciplinary Measures, Helen Marshall; title: What Contraventions may be Disciplined?; title: FSA Approach to Discipline; title: FSA Approach to Public Censure; title: FSA Approach to Financial Penalties; title: Early Settlement Scheme; title: Disciplinary Procedure; title: Financial Penalties: What Happens to the Money?; title: Article 6 of the European Convention on Human Rights; title: 17. Compensation, Alex Kuczynski; title: Introduction; title: The Scheme Manager; title: European Directives; title: The Scheme; title: Funding; title: Claims Experience; title: 18. The Ombudsman Scheme, Alex Kuczynski; title: Introduction; title: The Scheme Operator; title: Jurisdiction - Compulsory and Voluntary; title: Dispute Resolution; title: Funding; title: FOS'S Experience; title: 19. Collective Investment Schemes, Andrew Henderson; title: General Provisions; title: Restrictions on Promotion; title: Authorised Unit Trust Schemes; title: Open-Ended Investment Companies; title: Overseas Recognised Schemes; title: Investigations; title: 20. Recognised Investment Exchanges and Clearing Houses, Emma Vick; title: The Investment Exchanges; title: The Clearing Houses Today; title: The Recognition Regime; title: Applications for Recognition as an RIE or RCH; title: Overseas Investment Exchanges and Clearing Houses; title: The Recognition Requirements; title: Default Rules; title: The RIE and RCH Sourcebook; title: Complaints against a Recognised Body; title: Competition Scrutiny; title: The FSA's Rule-Making Powers; title: Investment Exchanges and Clearing Houses Act 2006; title: MiFID; title: Revocation of a Recognition Order; title: 21. Lloyd's of London, David Simpson; title: Regulation of Lloyd's under FSMA; title: Powers Exercised by the FSA; title: Other Lloyd's Participants Regulated under FSMA 2000; title: 22. Provision of Financial Services by Members of the Professions, Andrew Henderson; title: Introduction; title: Exemption from the General Prohibition; title: Professional Designated Bodies; title: Role of the FSA; title: Disclosure of Exempt Status; title: Authorised Professional Firms; title: 23. Mutual Societies, Paul Kennedy; title: 24. Auditors and Actuaries, Andrew Henderson; title: Introduction; title: Appointment; title: Information; title: Disclosure and Immunity; title: Notification on Leaving Office; title: Disqualification; title: 25. Public Record, Disclosure of Information and Cooperation, Helen Marshall; title: The Public Record to be Maintained by the FSA; title: Restrictions on Disclosure of Confidential Information; title: Duty of the FSA to Cooperate with other Authorities; title: 26. Insolvency, Helen Marshall; title: Voluntary Arrangements; title: Administration Orders; title: Receiverships; title: Voluntary Winding Up; title: Winding Up by the Court; title: Winding Up Petitions for EEA and Treaty Firms; title: Bankruptcy; title: Provisions against Debt Avoidance; title: Supplemental Provisions in Insurance Cases; title: 27. Injunctions and Restitution, Helen Marshall; title: Contravention of Relevant Requirements; title: Market Abuse; title: Restitution Required by the FSA; title: 28. Notices, Helen Marshall; title: Statutory Notices; title: Warning Notices; title: Decision Notices; title: Notices of Discontinuance; title: Final Notices; title: Publication; title: Third-Party Rights; title: Access to FSA Material; title: Supervisory Notices; title: 29. Criminal Offences and their Prosecution, Helen Marshall; title: Prosecution of Offences; title: Specific Offences; title: 30. Miscellaneous, Interpretation and Supplemental, Paul Kennedy; title: Reviews of Compliance Failures; title: Third Countries: Community Measures; title: International Obligations; title: Gaming; title: Interpretation; title: Supplemental Provisions; title: Appendix 1: Financial Services and Markets Act 2000 (as amended).