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Financial Services & Markets Act 2000

Introduction to the New Regime
Key features of the existing system
The need for change

The Financial Services and Markets Act
Overview
The general prohibition
The FSA's statutory objectives
Routes to authorisation
Enforcement and discipline

The FSA Handbook
High level standards
Conduct of Business sourcebook
Client classification
Rules relevant to advising and selling
Rules relevant to dealing and managing

Financial promotions
The financial promotion prohibition
The communication of a financial prohibition
Key exemptions under the Financial Promotion Exemption Order
FSA guidance on the new regime
Relevant corporate finance examples.

Market Conduct
Insider dealing
Misleading statements
Market abuse
Money laundering

HOW YOU WILL BENEFIT

The course will focus around the impact of The Financial Services and Markets Act, which came into force on 30th November 2001. The new civil offence of market abuse will be considered as well as those criminal offences the Financial Services Authority is keen to detect and prevent. Participants will learn how the new legislation changes the way firms conduct investment business, what the consequences are of being an authorised firm or an approved person and the personal responsibility and liability of employees.

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