Financial Services: Regulating Investment Business

Background to regulation. Financial Services Authority. Who requires authorisation? Authorisation for firms. Approval for individuals. Marketing investments. FSA s rules and fiduciary duties. How FSA regulates firms. Enforcement. Financial Crime. Obtaining redress. Regulation of the UK Equity market. Regulation of the wholesale market. Regulation of the retail market. Regulation of mortgage & insurance business. Regulation of collective funds.