FINANCIAL ADVICE AND FINANCIAL PRODUCTS MCMEEL G., VIRGO J. Bankowa.pl

Financial Advice and Financial Products: Law and Liability

Gerard McMeel, Barrister, Guildhall Chambers, Bristol and Reader in Law, University of Bristol, and John Virgo, Barrister, Guildhall Chambers, Bristol, UK

Description

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 will fill a very notable gap in the market.

Readership: Practitioners, regulators and policy-makers working in and involved with the financial services industry and financial law; academic lawyers; academic and reference libraries.

Contents/contributors

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)

400 pages

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