Overview

The Financial Securities Act 1986 brought in a new and sophisticated system of regulation of investment business in the United Kingdom. However, certain aspects of it have been subject to repeated critiicism, in particular the sheer bulk of the initial rule books. As a result the Companies Act 1989 introduced enabling powers for new and simpler rules to be introduced, which have now appeared as the Statements of Principle and the Core Conduct of Business Rules. This book is a guide to these rules and has been written by the Legal Director of the Securities and Investments Board. In this capacity he was intimately involved in drafting these new rules and is therefore ideally placed to explain how they should work and what the practical implications will be for investment businesses and their clients. The book will be useful to those who are concerned with the conduct of investment buisness, whether as legal advisors, compliance officers, investment practitioners or members of the investing public. The annexes contain the complete text of the following documents: the Statements of Principle, the Core Conduct of Business Rules, the Financial Supervision Core Rules, the Financial Services Glossary 1991 and the Resolution of the International Organization of Securities Commissions - International Conduct of Business Principles. The author is Chairman of the Bar Association for Commerce, Finance and Industry.

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9781854310729

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