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ISBN-13:9781780431260
Book Title:Financial Services: Investigations and Enforcement
Number of Pages:934 Pages
Language:English
Publication Name:Financial Services: Investigations and Enforcement
Publisher:Bloomsbury Publishing
Publication Year:2014
Subject:Law
Item Height:248 mm
Item Weight:1466 g
Type:Textbook
Author:Freshfields Bruckhaus Deringer
Item Width:156 mm
Format:Hardcover
FREE SHIPPING UK WIDE Financial Services: Investigations and Enforcement by Freshfields Bruckhaus Deringer 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: 9781845922054This title is included in Bloomsbury Professionals Banking and Finance online service. FORMAT Hardcover LANGUAGE English CONDITION Brand New Author Biography Written by an expert team from international law firm Freshfields Bruckhaus Deringer Table of Contents Section A Introduction to the Regulatory RegimeChapter 1 An introduction to the UK and European regulatory authorities Chapter 2 The UK regime in more detail Section B InvestigationsChapter 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 EnforcementChapter 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 PowersChapter 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 TopicsChapter 17 Market misconduct Chapter 18 Criminal prosecutions Chapter 19 Civil liability Chapter 20 Listed companies Chapter 21 Complaints and challenges against the Regulators Promotional 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. Promotional «Headline» 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. Feature 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 Details ISBN1780431260 Author Freshfields Bruckhaus Deringer Publisher Bloomsbury Publishing PLC Edition 3rd ISBN-10 1780431260 ISBN-13 9781780431260 Format Hardcover Imprint Bloomsbury Professional Place of Publication London Country of Publication United Kingdom DEWEY 346.42082 Media Book Year 2014 Pages 934 Replaces 9781845922054 Publication Date 2014-04-30 Short Title FINANCIAL SERVICES INVESTIGATI Language English Subtitle Investigations and Enforcement UK Release Date 2014-04-30 NZ Release Date 2014-04-30 Edition Description 3rd edition Audience Professional & Vocational AU Release Date 2014-04-29 We’ve got this At The Nile, if you’re looking for it, we’ve got it. With fast shipping, low prices, friendly service and well over a million items — you’re bound to find what you want, at a price you’ll love! 30 DAY RETURN POLICY No questions asked, 30 day returns! FREE DELIVERY No matter where you are in the UK, delivery is free. SECURE PAYMENT Peace of mind by paying through PayPal and eBay Buyer Protection TheNile_Item_ID:161575981;
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