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Practitioner's Guide to the UK Financial Services Rulebooks, A
Practitioner's Guide to the UK Financial Services Rulebooks, A
7th Edition
ISBN:  9780414056978
Published by:  Sweet & Maxwell
Consultant Editors:Hywel Jenkins; Cat Dankos
Publication Date:  28 Feb 2019
Subscription Information:  Non-Subscribable Product
Format:  Hardback
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PRODUCT DESCRIPTION
A Practitioner’s Guide to the UK Financial Services Rulebooks is the leading guide and commentary to the Handbook of the Financial Conduct Authority and the Rulebook of the Prudential Regulation Authority.

Five years since the creation of the two handbooks, the 7th edition covers significant regulatory developments and how they affect your day-to-day operations. Since the last edition, the PRA has developed its new Rulebook format, and the text reflects the increasing divergence of the FCA and PRA rules (with more focus on the former). There are two new chapters on specialist sourcebooks COLL (Collective Investment Schemes) and CONC (Consumer Credit sourcebook). In addition, the Approved Persons chapter has been completely revised to reflect the Senior Managers and Certification Regime, while the Conduct of Business chapter now reflects the significant change introduced by the second Markets in Financial Instruments Directive package and other European legislation.

Closely following the structure of the handbooks for ease of use and written by a team of leading practitioners who are among the best-known advisers in the City, this book is a detailed, thorough guide and commentary on the handbooks.

FEATURES
  • Closely follows the structure of the rule books
  • Covers the impact of EU and international level developments including MiFID II, MAR, IDD, Solvency II and Basel III
  • Explains how conduct of business, prudential regulation, authorisation, enforcement and consumer issues are dealt with in the books
  • Includes chapters from some of the foremost financial services legal practitioners in the UK

WHAT’S NEW?
  • This revised edition reflects the divergence of the FCA and PRA rules since the two regulators emerged from the FSA (with a practical emphasis on the former).
  • Includes two new chapters covering specialist sourcebooks, COLL and CONC
  • An updated conduct of business chapter incorporates changes arising from MiFID II and the IDD.
  • The Approved Persons chapter has been significantly updated to reflect the introduction of the Senior Managers and Certification Regime
  • The chapters contain commentary on recent enforcement cases and regulatory interventions providing additional insight where relevant.
CONTENTS
  • The Regulatory Landscape; 
  • The Role and Statutory Powers of the Prudential Regulation Authority and the Financial Conduct Authority; 
  • The FCA’s and PRA’s high level standards; 
  • Prudential Rules and Guidance; Conduct of business; 
  • Clients’ assets; 
  • The Approved Persons Regime, Training and Competence; 
  • Market Abuse and the Code Of Market Conduct; 
  • Financial crime; Authorisation and Regulatory Processes;
  • Discipline and Enforcement; 
  • Consumer Relations: Complaints and Compensation; 
  • The Consumer Credit Sourcebook; 
  • Collective Investment Schemes
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