Financial Advice and Financial Products
Oxford University Press (Verlag)
978-0-19-826823-9 (ISBN)
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Timed so as to coincide with the Financial Services & Markets Act 2000 coming into force, which will markedly affect the regulatory regime, this book looks in detail at the extent to which financial advisors (whether institutional or independent) are liable to those whom they advise (and perhaps to others) for the accuracy and quality of their advice. In the wake of pension and endowment mortgage mis-selling, the Equitable Life case, and the continued concern about the role of commissions paid by the financial institutions to advisers when they sell a particular financial product, this work fills a very notable gap in the market.
PART I: THE FRAMEWORK; 1. Theoretical Foundations; 2. Historical Foundations; 3. The Financial Services Industry; 4. The Regulatory Framework; 5. Financial Products; 6. The Impact of a Breach of Duty on the Integrity of Transactions; PART II: CAUSES OF ACTION; 7. Causes of Action Based on Breach of Statutory Duty; 8. The Contractual Regime; 9. Misrepresentation and Duties of Disclosure; 10. Negligence; 11. Equitable Claims: Fiduciary Obligations, Undue Influence and Unconscionability; PART III: INTERMEDIARIES; 12. Intermediaries; PART IV: STANDARDS OF CONDUCT; 13. Financial Promotion; 14. Standards of Liability and the Conduct of Business Rules; PART V: CAUSATION; 15. Causation; PART VI: REMEDIES; 16. Private Law Remedies; 17. Public Law Remedies; PART VII: DEFENCES; 18. Contributory Negligence; 19. Limitation of Actions; PART VIII: CONSUMER COMPLAINTS AND COMPENSATION; 20. The Financial Ombudsman Service; 21. The Financial Services Compensation Scheme; PART IX: AUTHORIZATION, DISCIPLINE AND ENFORCEMENT; 22. The Powers and Procedures of the Financial Service Authority; 23. Authorization and Policing the Enforcement; 24. Discipline and Enforcement; 25. Injunctions and Restitution Orders; PART X: PRACTICAL MATTERS; 26. Expert Evidence; 27. Some Aspects of Civil Procedure; 28. Alternative Dispute Resolution; 29. Some Aspects of Insurance Law; 30. Financial Services and the Professions; ANNEXES; ANNEX A: PRIMARY LEGISLATION; [Extracts from the] Financial Services and Markets Act 2000; ANNEX B: SECONDARY LEGISLATION; [Extracts from] Regulated Activities Order; [Extracts from] Rights of Action Order; [Extracts from] Appointed Representatives Order; [Extracts from] By Way of Business Order; ANNEX C: FSA HIGH-LEVEL PRINCIPLES; [Extracts from] The Principles for Businesses; ANNEX D: FSA RULES AND GUIDANCE; [Extracts from] The Conduct of Business Sourcebook; ANNEX E: SOME LEADING CASES (PRE 2000 ACT)
| Erscheint lt. Verlag | 20.12.2001 |
|---|---|
| Co-Autor | John Virgo |
| Verlagsort | Oxford |
| Sprache | englisch |
| Themenwelt | Sachbuch/Ratgeber ► Beruf / Finanzen / Recht / Wirtschaft ► Geld / Bank / Börse |
| Recht / Steuern ► EU / Internationales Recht | |
| Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht | |
| Wirtschaft ► Betriebswirtschaft / Management ► Marketing / Vertrieb | |
| ISBN-10 | 0-19-826823-8 / 0198268238 |
| ISBN-13 | 978-0-19-826823-9 / 9780198268239 |
| Zustand | Neuware |
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