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

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