Banking and Financial Service Regulation

Banks and the Regulatory Regime. The Financial Services Authority and Financial Services and Markets Act Regulated Activities – Banking and Investment Business Other Regulated Activities Authorisation and Approved Persons Deposit Taking and Banking Supervision  Investment Management Marketing and Financial Promotion Market Misconduct The Prevention of Money Laundering and Terrorist Finance Client Care Client Money Record Keeping and notifications Ensuring Compliance: Managing Regulatory and Reputational Risk Capital Adequacy Financial Derivatives Global Custody Listing and Regulated Exchanges and Clearing Houses Investigations, Discipline and Enforcement FSA decision making and the Financial Services and Markets Tribunal International Supervisory Co-operation