Guide to the financial services and markets act 2000

By:

Blair Michael

Contributor(s):

Publication details: Oxford Oxford University Press 2009Edition: 2ndDescription: 627p xlvISBN:

9780199576333

Subject(s):

1. Company Law - Services - Regulation - U K2. Company Law - Financial Services - market Act - U K- Commentary

DDC classification:

346.06646 BLA

Contents:

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

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

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