Financial Services Law

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

• ISBN13: 9780199685592
• ISBN10: 0199685592
• Edition: 3rd
• Format: Hardcover
• 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. New Regulatory Agencies, Robert Purves
4. European Financial Services, Jane Welch and Peter Parker
5. International Agreements and Supranational Bodies, Deborah Sabalot
Part II - FINANCIAL SERVICES REGULATION
6. The PRA, FCA and Shared Handbooks, and High Level Standards, Robert Purves
7. Regulatory Processes - Authorisation, Supervision, Enforcement, Simon Gleeson
8. Financial Redress - Complaints, Disputes, and Compensation, Alex Kuczynski
9. Listing and Public Offers
10. Market Abuse, Jonathan Melrose
11. Insider Dealing, Misleading Statements and Practices, Jonathan Melrose
12. Money Laundering and Financial Crime, Jonathan Herbst and Peter Snowdon
13. Regulation and Financial Disputes in the Civil Courts, Richard Everett
Part III - FINANCIAL SECTORS AND ACTIVITIES
14. Banking, George Walker
15. Wholesale Investment Firms, Etay Katz
16. Insurance Regulation, Noleen John and Maria Ross
17. Retail Investment Firms, Gerard McMeel
18. Home Finance Transactions, Robert Purves
19. Collective Investment Schemes, Eva Lomnicka
20. Islamic Financial Services, Andrew Henderson