财政法规实施：理论与实践 IMPLEMENTING FINANCIAL REGULATION
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作者： Joanna Gray著
出 版 社： John Wiley & Sons
出版时间： 2007-1-1字数：版次： 1页数： 271印刷时间： 2006/12/01开本：印次：纸张： 胶版纸I S B N ： 9780470869291包装： 精装内容简介
Now that the Financial Services and Markets Act 2000 has had a chance to bed itself down and the Financial Services Authority (FSA) is developing its new regulatory toolkit and modus operandi, financial regulation has moved on in interesting directions. This book takes a critical look at the principles and practices behind this regulation, as well as the theory that is involved.
This book goes further than a description of the laws that are currently out there, by analysing the impact and implications of the new financial regulations, making it a ’must-read’ for law, finance and accounting practitioners. Coverage includes: Regulation and compliance; disclosure risk and regulation and stakeholders in financial regulation.
作者简介：JOANNA GRAY LL.B. (Newcastle), LL.M. (Yale) Reader in Financial Regulation, University of Newcastle upon Tyne and Solicitor (England and Wales) has also taught at the Universities of London, Dundee, and Strathclyde and qualified as a solicitor with a leading City of London practice for whom she subsequently worked as a consultant. In 2000 returned to practice full-time doing advisory work relating to financial regulation at a leading Edinburgh law firm.
She taught the first UK undergraduate Law School course of its kind in 1986-1987 in financial services regulation at UCL (jointly with Dr Cento Veljanovski an economist). She has had extensive experience in training and consultancy work in financial services law and regulation both for law firms and for industry and has published widely in academic and industry journals on financial services law and company law.
目录
Preface
Acknowledgements
1. Regulation in context
2. Aligning risk and regulation: FSA’s risk-based operating framework
3. Regulation within the regulated firm: legislation and rules
4. Senior management regulation: evidence and practice since N2
5. The wider regulatory and legal context for senior management
6. Regulation and the emergence of the financial citizen
7. An illustrated critique of meta regulation and concluding comments
Index
