Table of Contents

1: Background, Sources, and Structure
2: General Orohibition & Specified Investments
3: Specified Activities & Exclusions
4: Regulators
5: Authorisation
6: Individual Approval
7: Rules & Principles
8: Prudential Regulation
9: Conduct Regulation
10: Marketing
11: Supervision and Powers
12: Enforcement
13: Financial crime
14: Redress

About the Author

Simon Morris is a solicitor who has been a Partner at CMS Cameron McKenna LLP since 1988, and is a member of the firm's financial services group, advising financial institutions on a broad range of matters. He is a Commissioner of the Jersey Financial Services Commission and a member of the City of London Law Society Regulatory Committee.

Reviews

Any practitioner seeking to give advice on the numerous complex issues that relate to the many branches of financial services business faces a real struggle to find the answers that clients need. Dr. Morris has provided us with a compact but through summary of the key issues in this field, which hands the reader an excellent guide to finding the information needed.
*Dr. Edward J. Swan, Partner, Elborne Mitchell LLP*