ScholarLens Back to search
2004•LexisNexis Butterworths eBooksRequires access

The Financial Services and Markets Act 2000

Deborah A. Sabalot, Richard J C Everett

Open publisher page 0 citations

Abstract

1. History and background. 2. The FSA and its powers. 3. Regulated activities. 4. The Authorisation Process. 5. Conduct of regulated activities. 6. Financial promotion. 7. FSA's disciplinary powers. 8. FSA as listing authority. 9. Competition issues. 10. Market abuse. 11. The Tribunal - hearings and appeals. 12. The Financial Services Compensation Scheme. 13. The Ombudsman Scheme. 14. Collective investment schemes. 15. Recognised investment exchanges and clearing houses. 16. Lloyd's. 17. The supervision of professional firms. 18. Mutual societies. 19. Auditors and actuaries. 20. Insolvency provisions under the Act. Appendix: The Financial Services and Markets Act 2000 (with annotations).

About this research paper

What this paper is about

1. History and background. 2. The FSA and its powers. 3. Regulated activities. 4. The Authorisation Process. 5. Conduct of regulated activities. 6. Financial promotion. 7. FSA's disciplinary powers. 8. FSA as listing authority. 9. Competition issues. 10. Market abuse. 11. The Tribunal - hearings and appeals. 12. The Financial Services Compensation Scheme. 13. The Ombudsman Scheme. 14. Collective investment schemes. 15. Recognised investment exchanges and clearing houses. 16. Lloyd's. 17. The supervision of professional firms. 18. Mutual societies. 19. Auditors and actuaries. 20. Insolvency provisions under the Act. Appendix: The Financial Services and Markets Act 2000 (with annotations).

Why it matters

A significance statement is not available in the OpenAlex record.

Key contribution

A contribution statement is not available in the OpenAlex record.

Method / approach

Method details are not available in the OpenAlex metadata.

Main findings

Findings are not separately available in the OpenAlex metadata.

Limitations

Limitations are not available in the OpenAlex metadata.

Applications

Application details are not available in the OpenAlex metadata.

Available abstract

1. History and background. 2. The FSA and its powers. 3. Regulated activities. 4. The Authorisation Process. 5. Conduct of regulated activities. 6. Financial promotion. 7. FSA's disciplinary powers. 8. FSA as listing authority. 9. Competition issues. 10. Market abuse. 11. The Tribunal - hearings and appeals. 12. The Financial Services Compensation Scheme. 13. The Ombudsman Scheme. 14. Collective investment schemes. 15. Recognised investment exchanges and clearing houses. 16. Lloyd's. 17. The supervision of professional firms. 18. Mutual societies. 19. Auditors and actuaries. 20. Insolvency provisions under the Act. Appendix: The Financial Services and Markets Act 2000 (with annotations).

Key concepts: Insolvency, Business, Financial services, Financial market, Investment banking, Audit, Competition (biology), Capital market

Related papers

Related paper 1Related paper 2Related paper 3
Back to paper searchBrowse research topicsOriginal source
The Financial Services and Markets Act 2000 — Research Paper | ScholarLens