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The Financial Services Authority FSA issued in July 1999 draft Statements of Principle and Code of Practice for Approved Persons in preparation for the new regulatory regime to be introduced under the proposed new Financial Services and Markets Act. In December it issued draft rules and guidance...
The Financial Services and Markets Act will introduce a new framework for dealing with cases of market abuse. In broad terms the framework will cover market manipulation, the misuse of information not generally available to the market and the dissemination of misleading information. The...
This paper is confined to an overview on the disciplinary and appeal procedures contained in the Financial Services and Markets Act 2000. The paper will not deal with market abuse, civil remedies, intervention or criminal prosecutions. It will, however, deal with discipline procedure and the...
Section 11 of the Financial Services and Markets Act the Act provides the body corporate known as the Financial Services Authority the Authority the FSA is to have the functions conferred on it by or under this Act.
After first being issued in draft in July 1998 and then taking a year to go through Parliament, the Financial Services and Markets Act 2000 FISMA finally became law on 14th June, 2000. The Treasury, the government department responsible for the UK financial services industry, has, however, just...
This paper considers the principles underpinning the proposals for a comparative information scheme for personal financial services products. In October 1999 the Financial Services Authority FSA issued Consultation Paper 28 Comparative Information for Financial Services which outlines the...
As readers of this Journal are probably by now immersed in the strategic and practical preparatory work for the full implementation of the Financial Services and Markets Act N2 next year which, at the time of writing, is expected to be summer 2001 it is nevertheless worthwhile casting a backward...
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