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- W2810335035 abstract "This chapter examines the UK regulatory framework governing retail investment firms. It begins with a discussion of financial scandals related to mis-selling of pensions, mortgage endowments and payment protection insurance. It then considers the changing regulatory environment for investment business, the general principles of conduct for investment firms, and the question of whether a representative or intermediary is under a duty to provide accurate or adequate information or has a duty to advise as to the suitable course of conduct. It also analyses the relevant provisions spelled out in the Conduct of Business Sourcebook (COBS) and the Markets in Financial Instruments Directive before concluding with an analysis of the effect of the legal ‘cut-over’ from the Financial Services Authority to the Financial Conduct Authority (FCA)." @default.
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- W2810335035 date "2018-03-08" @default.
- W2810335035 modified "2023-09-26" @default.
- W2810335035 title "Part III Financial Sectors and Activities, 19 Retail Investment Firms" @default.
- W2810335035 doi "https://doi.org/10.1093/law/9780198793809.003.0019" @default.
- W2810335035 hasPublicationYear "2018" @default.
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