A Practitioner's Guide to FSA Investigations and Enforcement (2nd Edition)

Banking / Finance

A Practitioner's Guide to FSA Investigations and Enforcement (2nd Edition)

Edited by Angela Hayes · Calum Burnett
Sweet & Maxwell U.K. April 2007

Specifications

ISBN-13
9781905121137
Publisher
Sweet & Maxwell U.K.
Publication
April 2007
Format
Paperback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

The first edition of FSA Investigations and Enforcement was published shortly before the FSA’s publication of the Strachan review, and the subsequent implementation of the recommendations of that review.
This second edition takes into account all the developments following the review, as well as the significant amount of new case law and Tribunal decisions since the first edition was published. The review has led to new procedures involving the Regulatory Decisions Committee and measures to strengthen the objectivity of the RDC; a new legal review as part of the FSA’s process; a new discount system to encourage early settlement; and a recommendation that the FSA should instigate a system of feedback on their process and also publish an annual performance statement.
All references to the Handbook reflect the changes resulting from the review of the Enforcement and Decision making manuals, which are now combined into the Decision Procedure and Penalties manual and the Enforcement Guide.
The new edition also includes a chapter by the FSA’s Director of Enforcement giving the FSA’s perspective on its enforcement powers.
A Practitioner’s Guide to FSA Investigations and Enforcement 2nd Edition approaches this important subject by drawing on the acknowledged expertise of leading practitioners who have contributed particular chapters covering a specific aspect of the subject in great detail. The opening chapter will act as an overview to the subject, and also as a route-map to the remainder of the book, explaining how the different elements of the process fit together and where the reader should go for information depending on the specific circumstances.
This best-selling title brings together authors of exceptional quality. In 14 chapters, the contributors explain the key principles that underpin the FSA enforcement regime. The book offers a guide to how these principles must be followed so the question of an FSA investigation or enforcement action does not arise. In the event of an FSA investigation, the contributors explain how it should be prepared for and handled and, if the investigation leads to enforcement action, the strategies and tactics that are likely to result in the best outcome.

Table of Contents

Chapter 1: Introduction and Overview
Angela Hayes, Lawrence Graham LLP
Calum Burnett, Allen & Overy LLP
 
Chapter 2: The FSA Perspective
Margaret Cole, Director of Enforcement, FSA
 
Chapter 3: FSA Requests for Information
Margaret Chamberlain and Stephen Paget-Brown, Travers Smith LLP
 
Chapter 4: Notifying the FSA of Regulatory Problems and Internal Investigations
James Bagge and Charles Evans, Norton Rose
 
Chapter 5: Skilled Persons Reports
Peter Bibby, Bingham McCutchen LLP
 
Chapter 6: Remedial Action
Simon Morris, CMS Cameron McKenna
 
Chapter 7: Formal FSA Investigations: Civil Investigations
Arun Srivastava and Patrick Brandt, Baker & McKenzie
 
Chapter 8: Formal FSA Investigations: Criminal Investigations
Stephen Gentle, Kingsley Napley
 
Chapter 9: How the FSA Makes Disciplinary and Enforcement Decisions
Tony Woodcock, Stephenson Harwood
 
Chapter 10: The Role of Mediation
David Scott and Oliver Kerridge, Freshfields Bruckhaus Deringer
 
Chapter 11: Disciplinary Sanctions and Other Enforcement Options
Andrew Carnes and Saima Hanif, 4-5 Gray's Inn Square
 
Chapter 12: Challenging FSA Decisions: the Financial Services and Markets Tribunal
Charles Flint QC and Javan Herberg, Blackstone Chambers
 
Chapter 13: Challenging FSA Decisions: the Courts and Other Avenues
Andrew Lidbetter, Herbert Smith LLP
 
Chapter 14: Interface with Other Investigations and Proceedings
Angela Hayes, Lawrence Graham LLP

About the Author

Angela Hayes, Lawrence Graham LLP
Calum Burnett, Allen & Overy LLP
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