Rules and regulatorsPDF电子书下载

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Introduction 1

1. Using Rules 5

The Nature of Rules 6

Using Rules 19

Conclusion 44

2. The Development of the Regulatory Structure 46

Designing the Regulatory Structure 46

The Current Structure 66

Characterizing the System—‘Self-Regulation within a Statuton Framework’？ 77

3. The Regulatory Policy of Rule Use 81

The Formation of the Initial Rules 83

The New Settlement 91

The Large Report： Changes in the Uses of Rules 129

Conclusion 133

4. Regulating the Retail Sector 138

Introduction 138

Structuring the Market： Polarization 148

Regulation of Commissions 155

Disclosure of Product Information 162

The Limits of Rules： Suitability and Best Advice 175

Conclusion 181

5. Rules and Regulatory Technique 185

Introduction 185

The Nature of Soft Commission Agreements 185

Regulatory Concerns 188

Regulatory Options 191

The Development of Regulation 192

Conclusion 207

6. Making Rules 213

Using Rules 215

Making Rules 224

Conclusion： Towards a Theory of Rule Making 246

Bibliography 251

Index 271

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