Contact Us
contact@jurisproductions.co.uk
Tel: +44 (0)20 8348 7401

Financial Markets and Securities
Regulation (JP001)

Contents

  1. Introduction ( 1:53 )

    A. History & Context

  2. Before FSMA ( 7:33 )
    'Big Bang' and the Financial Services Act 1986
  3. The Financial Services and Markets Act 2000 ( 3:58 )
    The principles behind FSMA and the role of the Financial Services Authority
  4. The FSA ( 6:31 )
    The FSA’s statutory objectives, principles of good regulation and principles for business; approved persons, appointed representatives and the Financial Services & Markets Tribunal

    B. Law & Practice

  5. Map of the Area ( 5:58 )
    The different layers of regulation, domestic and European
  6. European Harmonisation & Passporting ( 5:58 )
    The key EU directives and the passporting regime
  7. Perimeter Issues & Authorisation ( 7:32 )
    Authorisation requirements, the 'general prohibition' and the Regulated Activities Order
  8. Conduct of Business Rules ( 5:22 )
    Conduct of Business rules (COBs), their ambit, application and jurisdiction
  9. Management Systems & Controls ( 3:04 )
    The FSA sourcebook on Senior Management Systems and Controls (SYSC), their scope, objectives and enforcement
  10. Financial Promotions & Marketing ( 8:35 )
    The definition, the restrictions, the penalties for breach, jurisdiction
  11. Market Abuse ( 14:20 )
    The need for civil offences, key features, the Market Abuse Directive, some cases and how they come to light
  12. Investigation and Enforcement ( 11:10 )
    The FSA’s powers, approach and criteria for enforcement and penalties, and an overview of the process

Total time 81:54

<< Back