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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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.
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- ID: 9780414027565
3rd Revised edition
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