Financial Services: Investigations and Enforcement

Financial Services: Investigations and Enforcement cover


Financial Services: Investigations and Enforcement is a comprehensive, practical, step-by-step guide to the often complex enforcement aspects of the regulatory regime. Designed to be used before, during and after an investigation, it provides the support and guidance that legal advisers need when navigating an investigation or disciplinary enquiry.

Split in to five sections (Introduction to the Regulatory Regime; Investigations; Enforcement; Mis-selling, Consumer Redress and Intervention Powers; and Specific Topics) the third edition has been completely revised and updated to take account of the significant structural changes to regulation including the work of the FSA being divided between the FCA and PRA and the introduction of new statutory objectives. There are also new chapters on regulatory intervention in markets dealing with upstream disputes which are increasingly important and the competition elements of the regime; and on multi-jurisdictional investigations reflecting the increasing amount of cooperation and coordination between global regulators.

Financial Services: Investigations and Enforcement 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.

Previous edition ISBN: 9781845922054

This title is included in Bloomsbury Professional's Banking and Finance online service.

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

Product details

Published 30 Apr 2014
Format Hardback
Edition 3rd
Extent 934
ISBN 9781780431260
Imprint Bloomsbury Professional
Dimensions 248 x 156 mm
Publisher Bloomsbury Publishing

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