Implementing Financial Regulation: Theory and Practice

✍ Scribed by Joanna Gray, Jenny Hamilton

• Publisher: Wiley
• Year: 2006
• Tongue: English
• Leaves: 288
• Series: The Wiley Finance Series
• Category: Library

✦ Synopsis

Now 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 Contents

Implementing Financial Regulation......Page 2
Contents......Page 10
Preface......Page 12
Acknowledgements......Page 16
1 Regulation in Context......Page 18
2 Aligning Risk and Regulation: FSA’s Risk-Based Operating Framework......Page 42
3 Regulation within the Regulated Firm: Legislation and Rules......Page 72
4 Senior Management Regulation: Evidence and Practice Since N2......Page 110
5 The Wider Regulatory and Legal Context for Senior Management......Page 160
6 Regulation and the Emergence of the Financial Citizen......Page 204
7 An Illustrated Critique of Meta Regulation and Concluding Comments......Page 244
Index......Page 282