A Practitioner's Guide to Financial Services Investigations and Enforcement (3rd Revised edition)

A Practitioner's Guide to Financial Services Investigations and Enforcement (3rd Revised edition)

By: Carlos Conceicao (author), Angela Hayes (consultant_editor), Calum Burnett (consultant_editor)Paperback

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Contents

Introduction and Overview; the FCA Perspective; Requests for Information; Notifying the FCA of Regulatory Problems and Internal Investigations; Skilled Persons Reports; Remedial Action; Formal FCA Investigations: Civil Investigations; Formal FCA Investigations: Criminal Investigations; How the FCA Makes Disciplinary and Enforcement Decisions; How the PRA Makes Disciplinary and Enforcement Decisions; The Role of Mediation; Disciplinary Sanctions and Other Enforcement Options; Challenging FCA Decisions: the Financial Services and Markets Tribunal; Challenging FCA Decisions: the Courts and Other Avenues; Interface with Other Investigations and Proceedings.

Product Details

  • publication date: 24/03/2014
  • ISBN13: 9780414027565
  • Format: Paperback
  • Number Of Pages: 460
  • ID: 9780414027565
  • ISBN10: 0414027566
  • edition: 3rd Revised edition

Delivery Information

  • Saver Delivery: Yes
  • 1st Class Delivery: Yes
  • Courier Delivery: Yes
  • Store Delivery: Yes

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