Butterworths Securities and Financial Services Law Handbook (Paperback)

by Deborah A. Sabalot

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Butterworths Securities & Financial Services Law Handbook brings together in one convenient volume the primary, secondary and European legislation of importance to lawyers, compliance officers and regulators working in the financial services sector. The past 12 months have seen the most important changes to the UK financial services sector in over a decade. This, the fourteenth edition of this Handbook, contains the new legislation effecting those changes. Part 1 contains the complete and updated text of the Financial Services and Markets Act 2000 including all amendments made by the Financial Services Act 2012. It also includes the substantive Parts of the 2012 Act itself. Appendix 1 in Part 1 contains a table of commencement dates for the 2000 Act, including all new provisions added to the Act since its enactment, complete with details of transitional provisions. Appendix 2 in Part 1 contains a similar table of commencements for the Financial Services Act 2012. Part 2 consists of a wide-ranging selection of other primary legislation, including: *Financial Services Act 2010 *Relevant provisions of the Companies Act 2006 *Provisions in relation to insider dealing and anti-money laundering (Criminal Justice Act 1993 and Proceeds of Crime Act 2002) *Banking legislation including the Bank of England Act 1998 and the Banking Act 2009. Sections A and B of Part 3 contain more than 80 FSMA 2000 statutory instruments including fully updated versions of the Regulated Activities Order and the Financial Promotion Order. It also contains the 2013 statutory instruments made under FSMA 2000 as amended by FSA 2012, including: *FSMA 2000 (Prescribed Financial Institutions) Order 2013 *FSMA 2000 (Qualifying EU Provisions) Order 2013 *FSMA 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 *FSMA 2000 (PRA-regulated Activities) Order 2013. Appendix 3 in Part 3 provides a list of all statutory instruments made under the 2000 Act together with a brief summary of their effect. Section C of Part 3 contains the statutory instruments made under the Financial Services Act 2012. These are all new to this edition and include: *The first, second and third commencement orders for the 2012 Act *FSA 2012 (Transitional Provisions) (Rules and Miscellaneous Provisions) Order 2013 *FSA 2012 (Misleading Statements and Impressions) Order 2013 *FSA 2012 (Transitional Provisions) (Permission and Approval) Order 2013 *FSA 2012 (Transitional Provisions) (Enforcement) Order 2013. Appendix 4 in Part 3 lists and summarises all statutory instruments made under the Financial Services Act 2012. Section D of Part 3 contains a wide selection of other statutory instruments. These cover such areas as proceeds of crime, money laundering and banking, and include: *Insider Dealing (Securities and Regulated Markets) Order 1994 *Uncertificated Securities Regulations 2001 *Financial Services (Distance Marketing) Regulations 2004 *Payment Services Regulations 2009 *Electronic Money Regulations 2011 *FSMA 2000 (Short Selling) Regulations 2012 *Bank of England Act 1998 (Macro-prudential Measures) Order 2013. Changes on the European front in the past 12 months have been as substantial and wide-ranging as changes to UK legislation. Part 4 (European legislation) contains over 20 new Regulations, including: *Short Selling Regulation (2012) *Short Selling Disclosure Regulation (2012) *CRA Periodic Reporting Regulation (2012) *European Market Infrastructure Regulation (2012) *EMIR - Trade Repositories Registration Regulation (2012) *Six 2013 Regulations with regard to regulatory technical standards for the EMIR Regulation. Consolidated material in Part 4 includes MiFID and the Third Money Laundering Directive, the recast UCITS Directive and the Omnibus Directive, the Payment Services Directive and the E-Money Directive, and the legislation creating the new European Supervisory Authorities. The Appendix to Part 4 gives details of the UK implementation measures for all the Directives included in this Part. Containing more than 200 pieces of UK legislation and over 70 of the most important European Regulations and Directives, all lawyers, compliance officers and regulators working in the financial services field will find that Butterworths Securities & Financial Services Law Handbook provides a portable, comprehensive, up-to-date and indispensable reference source.

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