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A Practitioner's Guide to Financial Services Investigations and Enforcement, 3rd Edition

A Practitioner's Guide to Financial Services Investigations and Enforcement, 3rd Edition

Author: Angela Hayes; Calum Burnett
Publisher: Sweet & Maxwell U.K.
ISBN: 9780414027565
Published In: March 2014
Format: Paperback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents
Author

Details

A Practitioner's Guide to Financial Services Investigations and Enforcement explains the key principles that underpin enforcement.

This new 3rd edition:

Shows how an investigation should be prepared for and handled
Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action
Explains the key principles that underpin the enforcement regime
Shows how these principles must be followed so that investigation is not necessitated
Goes through requests for information
Deals with civil and criminal investigations
Assesses remedial action and notifying regulatory problems and internal investigations
Details how to challenge decisions
Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action
Takes into account the role of mediation
Looks at disciplinary sanctions and other enforcement options

Introduction and Overview
The FCA Perspective
Requests for Information
Notifying the FCA of Regulatory Problems and Internal Investigations
Skilled Persons Reports
Remedial Action
Formal FCA Investigations:
Civil Investigations
Formal FCA Investigations: Criminal Investigations
How the FCA Makes Disciplinary and Enforcement Decisions
The Role of Mediation
Disciplinary Sanctions and Other Enforcement Options
Challenging FCA Decisions: the Financial Services and Markets Tribunal
Challenging FCA Decisions: the Courts and Other Avenues
Interface with Other Investigations and Proceedings
Acting for Individuals

Angela Hayes is a partner at Mayer Brown International and a specialist in contentious financial services work. She is a member of the City of London Law Society’s Regulatory Committee, and is recommended by the Legal 500, She is a contributing author to several City Library publications and has been co-consultant editor on this title since its first edition.

Carlos Conceicao is a partner at Clifford Chance specialising in regulatory work, particularly contentious matters. He was formerly head of Wholesale Enforcement at the FSA.

Contributors:

Tracey McDermott, Director of Enforcement and Financial Crime, FCA

Margaret Chamberlain and Stephen Paget-Brown, Travers Smith

Charles Evans, Milbank

Nathan Willmott and Polly James, BLP

David Capps, Ashurst

Arun Srivastava, Baker & McKenzie

Stephen Gentle, Simmons & Simmons

Tony Woodcock, Stephenson Harwood

Karen Anderson and Jenny Stainsby, Herbert Smith Freehills

Javan Herberg QC and Simon Pritchard, Blackstone Chambers

Andrew Lidbetter, Herbert Smith Freehills