Financial Services Law

by Walker, George; Purves, Robert; Blair QC, Michael

• ISBN13: 9780191806964
• ISBN10: 019180696X
• Edition: 3rd
• Format: eBook
• Copyright: 2014-05-13
• Publisher: Oxford University Press

Author Biography

George Walker, Professor of Law, Centre for Commercial Law Studies, Queen Mary, London,Robert Purves, Partner, 3 Verulam Buildings

Professor George Walker is a Professor in International Financial Law at the Centre for Commercial Law Studies at Queen Mary University of London. He is also a solicitor and consultant to Farrer & Co.

Michael Blair QC has been in self employed practice at the Bar since 2000 and was previously General Counsel to the Board of the Financial Services Authority 1997-2000. He has been a leader among the specialists in the field of financial services since he first joined the Securities and Investments Board as its legal Director in 1987.


Robert Purves is a commercial lawyer at Three Verulam Buildings with strong specialism in financial services law and regulation. From April 2003, Robert was Chief Counsel, Insurance and Prudential Policy at the Financial Services Authority, the UK body responsible for the licensing, oversight and regulation of almost all financial services business in the UK.

Table of Contents

Part I - REGULATORY STRUCTURE
1. UK Financial Services Reform, George Walker
2. Statutory Framework for UK Financial Services Regulation, Paul Kennedy
3. European Financial Services, Jane Welch and Peter Parker
4. International Agreements and Supranational Bodies, Deborah Sabalot
Part II - FINANCIAL SERVICES REGULATION
5. The PRA and FCA and the Handbooks of Rules and Guidance, Robert Purves
6. Regulatory Processes - Authorisation, Supervision and Enforcement, Simon Gleeson
7. Financial Redress - Complaints, Disputes and Compensation, Alex Kuczynski and James Darbyshire
8. Listing and Public Offers, Julia Machin
9. Market Abuse, Jonathan Melrose
10. Insider Dealing, and Misleading Statements and Impressions, Jonathan Melrose and Richard Sims
11. Money Laundering and Financial Crime, Jonathan Herbst, Peter Snowdon and Matt Jones
12. Regulation and Financial Disputes in the Civil Courts, Richard Everett
Part III - FINANCIAL SECTORS AND ACTIVITIES
13. Banks and Banking, George Walker
14. Insurance Regulation, Noleen John, Maria Ross and Laura Hodgson
15. Wholesale Investment Firms, Etay Katz
16. Retail Investment Firms, Gerard McMeel
17. Home Finance Transactions, Robert Purves
18. Collective Investment Schemes, Eva Lomnicka
19. Islamic Financial Services, Andrew Henderson