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Financial services : investigations and enforcement

By: Deringer, Freshfields Bruckhaus
Material type: BookPublisher: Haywards Heath : Bloomsbury Professional, c2014.Edition: 3rd ed.Description: lxiv, 869 p. : 25 cm.ISBN: 9781780431260Subject(s): Financial services industry -- Law and legislation -- Great Britain | Financial services industry -- Law and legislation | Great BritainDDC classification: 346.41082 DE FI Online resources: Location Map
Summary:
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 Enforcement contains 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. The fourth 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. 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.
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Item type Home library Call number Status Date due Barcode Item holds
REGULAR University of Wollongong in Dubai
Main Collection 		346.41082 DE FI (Browse shelf) Available T0018723
Total holds: 0

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.

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 Enforcement contains 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. The fourth 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. 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.

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