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Financial Services: Investigations and Enforcement, 3rd Edition

Financial Services: Investigations and Enforcement, 3rd Edition

Author: Freshfields Bruckhaus Deringer
Publisher: Bloomsbury Professional (formerly Tottel Publishing)
ISBN: 9781780431260
Published In: April 2014
Format: Hardback , 869 pages
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

List Price: HKD 3,055.00

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Description
Contents
Author

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.

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