Description
Book SynopsisNow that the Financial Services and Markets Act 2000 has had a chance to bed itself down and the Financial Services Authority (FSA) is developing its new regulatory toolkit and
modus operandi, financial regulation has moved on in interesting directions. This book takes a critical look at the principles and practices behind this regulation, as well as the theory that is involved.
This book goes further than a description of the laws that are currently out there, by analysing the impact and implications of the new financial regulations, making it a 'must-read' for law, finance and accounting practitioners. Coverage includes: Regulation and compliance; disclosure risk and regulation and stakeholders in financial regulation.
Table of ContentsPreface.
Acknowledgements.
1. Regulation in context.
2. Aligning risk and regulation: FSA’s risk-based operating framework.
3. Regulation within the regulated firm: legislation and rules.
4. Senior management regulation: evidence and practice since N2.
5. The wider regulatory and legal context for senior management.
6. Regulation and the emergence of the financial citizen.
7. An illustrated critique of meta regulation and concluding comments.
Index.
