Banking / Finance

Financial Services: Investigations and Enforcement, 3rd Edition

By Freshfields Bruckhaus Deringer
Bloomsbury Professional (formerly Tottel Publishing) April 2014

Specifications

ISBN-13
9781780431260
Publisher
Bloomsbury Professional (formerly Tottel Publishing)
Publication
April 2014
Format
Hardback , 869 pages
Jurisdiction
U.K. ? Countri(es) for reference only

Details

Financial Services: Investigations and Enforcement is a comprehensive and practical point of reference which guides the user through the very complex area of investigations and enforcement.

Designed to be used before, during and after an investigation, Financial Services: Investigations and Enforcementcontains the practical start-to-finish advice and direction that will guide you through this often complicated and highly stressful process with confidence.

This highly practical step-by-step guide will provide the support and guidance that legal advisers will come to rely on when navigating an investigation or disciplinary enquiry.

Contents includes:
The Structure of the Regulatory Regime;
Internal and External Investigations;
Disciplinary and Enforcement Action;
Pro-Active Regulation;
Consumer Protection;
Markets.

Written by an expert team from international law firm Freshfields Bruckhaus Deringer

This brand new edition is designed to be used by lawyers in private practice, in House lawyers in financial services providers, compliance professionals in financial services providers and post graduate students.

Table of Contents

Section A Introduction to the Regulatory Regime
Chapter 1 An introduction to the UK and European regulatory authorities 
Chapter 2 The UK regime in more detail 
Section B Investigations
Chapter 3 Steps to take when an issue arises 
Chapter 4 FCA and PRA powers of information gathering 
Chapter 5 Enforcement investigations 
Chapter 6 Skilled persons’ reports 
Chapter 7 Handling multi-jurisdictional investigations 
Section C Enforcement
Chapter 8 Disciplinary sanctions and other regulatory action against firms 
Chapter 9 Disciplinary sanctions and other regulatory action against individuals 
Chapter 10 FCA enforcement process 
Chapter 11 PRA enforcement process 
Chapter 12 The Tribunal and appeals 
Section D Mis-selling, Consumer Redress and Intervention Powers
Chapter 13 Mis-selling 
Chapter 14 Complaints handling and the Financial Ombudsman Scheme 
Chapter 15 Product and market intervention 
Chapter 16 ‘Own-initiative’ powers 
Section E Specific Topics
Chapter 17 Market misconduct 
Chapter 18 Criminal prosecutions 
Chapter 19 Civil liability 
Chapter 20 Listed companies 
Chapter 21 Complaints and challenges against the Regulators 

About the Author

Written by an expert team from international law firm Freshfields Bruckhaus Deringer

HKD 2,963.35 −3%
HKD 3,055.00

Inclusive of HK delivery

Ready to ship
Delivery Time: around 4 weeks
Extra 2-10 working days if shipping address outside Hong Kong
  • Free HK shipping over HK$1,000
  • International shipping to 35+ countries
Order Form
Save

Recommended

You may also be interested in these books:

More titles from Banking / Finance

View all