haku: @author Lynn, M. / yhteensä: 46
viite: 45 / 46
| Tekijä: | Lynn, M. |
| Otsikko: | A poor act to follow (!Financial Services Act (1986)) |
| Lehti: | Business
1989 : SEP, p. 68-73 |
| Asiasana: | COMMERCIAL LAW BUSINESS-GOVERNMENT RELATIONS REGULATIONS |
| Kieli: | eng |
| Tiivistelmä: | A review of the self-regulation laid down by the UK Financial Services Act. The impact of the Act as a regulatory system. Independent brokers overseen by two government bodies and need to join an association. The issue of commissions and full disclosure. The exposure of low standards by vetting. Higher ethical standards. The decline of the independent broker. The regulations and compliance officers. The codification of financial work. Complaints. New chairman of the Securities and Investments Board /SIB/, his scheme and moves to change the law. The difference between principles and rules. Move to put regulation back to the self-regulating organizations. |
SCIMA