Journal of Financial Regulation and Compliance: Volume 8 Issue 3

Senior management responsibilities under the new regulatory regime

James Bagge

The Financial Services Authority (FSA) issued in July 1999 draft Statements of Principle and Code of Practice for Approved Persons in preparation for the new regulatory regime to…

Examining the new market abuse regime

Gay Wisbey

The Financial Services and Markets Act will introduce a new framework for dealing with cases of market abuse. In broad terms the framework will cover market manipulation, the…

Disciplinary procedure: ‘The new regime’

Philip Ryley, John Virgo

This paper is confined to an overview on the disciplinary and appeal procedures contained in the Financial Services and Markets Act 2000. The paper will not deal with market…

Investigation powers: ‘The new regime’

John Virgo, Philip Ryley

Section 1(1) of the Financial Services and Markets Act (the Act) provides: ‘the body corporate known as the Financial Services Authority (“the Authority” [the FSA]) is to have the…

The Financial Services and Markets Act cross‐border issues

Charles Abrams

After first being issued in draft in July 1998 and then taking a year to go through Parliament, the Financial Services and Markets Act 2000 (FISMA) finally became law on 14th…

The use of league tables in financial services

Rob Jones, Kevin Keasey

This paper considers the principles underpinning the proposals for a comparative information scheme for personal financial services products. In October 1999 the Financial…

Regulatory and Legal Commentary: From Chancellor's Statement to Statute Book: A retrospective on the Financial Services and Markets Act

Joanna Gray

As readers of this Journal are probably by now immersed in the strategic and practical preparatory work for the full implementation of the Financial Services and Markets Act (N2…