- 英国金融服务业规范(国际本科财经基础全英文系列教材)
- - 作者：编者:黄海湜//刘婧|责编:岑品杰
  - 出版社：复旦大学
  - ISBN：9787309181876
  - 出版日期：2025/08/01
  - 页数：223
- 售价：24

内容大纲
本书响应国家“双循环”战略，为培养具备跨文化适应能力的商科人才提供教学资源支持。全书从个人理财和消费者保护视角阐释英国金融服务业监管，分为上下两编。上编解析英国金融监管体系架构、各机构职责与协作，涵盖英格兰银行、PRA、FCA等机构的监管职能与方法，以及支付、养老金、信息保护、竞争与市场等领域的监管举措。下编梳理维护消费者权益和市场诚信的举措及相关保障，包括金融行为监管细则、个人信息保护法律、消费者维权途径，以及防止市场滥用、反洗钱等方面的法律与监管规定。
本书融入英国金融市场的真实案例和数据，附有练习题、案例分析等资料，为学生学习跨国金融知识及相关从业者开展全球化个人金融服务提供监管知识基础。
作者介绍
目录
I  UK Financial Services Regulatory Framework
  1  Regulatory Structure of the UK Financial Services Sector
    1.1  The Need for Financial Services Regulation
    1.2  Historical Development of the UK Financial Services Regulation.
    1.3  Regulatory Structure of the UK Financial Services Sector
  2  The Bank of England
    2.1  The Mission
    2.2  Governance
    2.3  Monetary Stability
    2.4  Financial Stability
    2.5  Supervising Financial Market Infrastructures
    2.6  Other Roles and Responsibilities
  3  The Prudential Regulator
    3.1  Role, Responsibilities and Approaches
    3.2  Regulation
    3.3  Supervision
    3.4  Stress Testing
    3.5  Resolution
    3.6  Working with Other Regulators
  4  The Conduct Regulator
    4.1  Role and Responsibilities
    4.2  Statutory Objectives
    4.3  Authorisation
    4.4  Supervision
    4.5  Enforcement
    4.6  Working with Other Regulators
  5  The Payment Service Regulator
    5.1  Payment Systems
    5.2  Statutory Objectives and Responsibilities
    5.3  Approaches
    5.4  Working with Other Regulators
  6  The Pension Regulator
    6.1  Responsibilities
    6.2  Regulatory Approaches
    6.3  Working with Other Regulators
  7  The Information Regulator
    7.1  Responsibilities
    7.2  Working with Other Regulators
  8  The Competition Regulator
    8.1  Responsibilities
    8.2  Working with Other Regulators
  Summary, Case Studies and Further Reading Materials
II  Consumer Protection and Market Integrity
  9  Personal Financial Services Regulations
    9.1  Authorisation of Organisations
    9.2  Approval of Individuals
    9.3  Conduct of Business Rules
    9.4  Fair Treatment of Customers and Consumer Duty
    9.5  Dispute Resolution Requirements
  Summary, Case Studies and Further Reading Materials

  10  Data Protection
    10.1  Data Protection Principles
    10.2  Individual Rights
    10.3  Lawful Basis for Processing
    10.4  Data Protection Officer
    10.5  Personal Data Breach
  11 Complain and Compenstion
    11.1  Ombudsman Schemes
    11.2  Compensation and Protection Schemes
  12  Market Abuse Regulation
    12.1  The Market Abuse Regulation
    12.2  Market Abuse Offences
  13  Anti-Money Laundering
    13.1  Money Laundering
    13.2  Stages of Money Laundering
    13.3  Anti-Money Laundering Legislation
    13.4  Customer Due Diligence checks
    13.5  Suspicious Activity Report
  14  Anti-Bribery Regulations
    14.1  Anti-Bribery Regulations
    14.2  Whistleblowing
  Summary, Case Studies and Further Reading Materials
Appendix 1: Terms and Conditions
Appendix 2: Key Features Document Cash ISA
Appendix 3: Key Features Document Insurance
Bibliography

内容大纲

作者介绍

目录

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