Financial Services: Investigations and Enforcement: Third Edition

0 avg rating
( 0 ratings by Goodreads )
 
9781780431260: Financial Services: Investigations and Enforcement: Third Edition

This book is a comprehensive and practical point of reference which will guide the reader through the very complex area of UK financial service investigations and enforcement. Designed to be used before, during, and after an investigation, the book contains practical start-to-finish advice and guidance through this often complicated and highly stressful process. Highly-practical, it offers the support that legal advisers will come to rely on when navigating an investigation or disciplinary enquiry in the UK. Contents includes: the structure of the regulatory regime * internal and external investigations * disciplinary and enforcement action * pro-active regulation * consumer protection * markets.

"synopsis" may belong to another edition of this title.

About the Author:

Written by an expert team from international law firm Freshfields Bruckhaus Deringer

"About this title" may belong to another edition of this title.

Top Search Results from the AbeBooks Marketplace

1.

Freshfields Bruckhaus Deringer
Published by Bloomsbury Publishing PLC, United Kingdom (2014)
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Hardcover Quantity Available: 10
Seller
The Book Depository US
(London, United Kingdom)
Rating
[?]

Book Description Bloomsbury Publishing PLC, United Kingdom, 2014. Hardback. Book Condition: New. 3rd Revised edition. 250 x 164 mm. Language: English . Brand New Book. 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. Bookseller Inventory # AAJ9781780431260

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 190.31
Convert Currency

Add to Basket

Shipping: FREE
From United Kingdom to U.S.A.
Destination, Rates & Speeds

2.

Freshfields Bruckhaus Deringer
Published by Bloomsbury Publishing PLC 2014-04-30, London (2014)
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Hardcover Quantity Available: 1
Seller
Blackwell's
(Oxford, OX, United Kingdom)
Rating
[?]

Book Description Bloomsbury Publishing PLC 2014-04-30, London, 2014. hardback. Book Condition: New. Bookseller Inventory # 9781780431260

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 187.80
Convert Currency

Add to Basket

Shipping: US$ 3.84
From United Kingdom to U.S.A.
Destination, Rates & Speeds

3.

Freshfields Bruckhaus Deringer
Published by Bloomsbury Publishing PLC, United Kingdom (2014)
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Hardcover Quantity Available: 10
Seller
The Book Depository
(London, United Kingdom)
Rating
[?]

Book Description Bloomsbury Publishing PLC, United Kingdom, 2014. Hardback. Book Condition: New. 3rd Revised edition. 250 x 164 mm. Language: English . Brand New Book. 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. Bookseller Inventory # AAJ9781780431260

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 198.16
Convert Currency

Add to Basket

Shipping: FREE
From United Kingdom to U.S.A.
Destination, Rates & Speeds

4.

Freshfields Bruckhaus Deringer
Published by Bloomsbury Publishing PLC (2014)
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Quantity Available: 10
Seller
Books2Anywhere
(Fairford, GLOS, United Kingdom)
Rating
[?]

Book Description Bloomsbury Publishing PLC, 2014. HRD. Book Condition: New. New Book. Shipped from UK in 4 to 14 days. Established seller since 2000. Bookseller Inventory # CA-9781780431260

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 193.43
Convert Currency

Add to Basket

Shipping: US$ 11.53
From United Kingdom to U.S.A.
Destination, Rates & Speeds

5.

Freshfields Bruckhaus Deringer
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Quantity Available: > 20
Seller
BWB
(Valley Stream, NY, U.S.A.)
Rating
[?]

Book Description Book Condition: New. Depending on your location, this item may ship from the US or UK. Bookseller Inventory # 97817804312600000000

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 206.63
Convert Currency

Add to Basket

Shipping: FREE
Within U.S.A.
Destination, Rates & Speeds

6.

Freshfields Bruckhaus Deringer
Published by Bloomsbury Publishing PLC
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Hardcover Quantity Available: 5
Seller
THE SAINT BOOKSTORE
(Southport, United Kingdom)
Rating
[?]

Book Description Bloomsbury Publishing PLC. Hardback. Book Condition: new. BRAND NEW, Financial Services: Investigations and Enforcement (3rd Revised edition), Freshfields Bruckhaus Deringer, 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. Previous edition ISBN: 9781845922054. Bookseller Inventory # B9781780431260

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 227.36
Convert Currency

Add to Basket

Shipping: US$ 8.89
From United Kingdom to U.S.A.
Destination, Rates & Speeds

7.

Deringer Freshfields Bruckhaus
Published by Bloomsbury Publishing
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Quantity Available: 3
Seller
Majestic Books
(London, ,, United Kingdom)
Rating
[?]

Book Description Bloomsbury Publishing. Book Condition: New. pp. 135. Bookseller Inventory # 55143415

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 238.37
Convert Currency

Add to Basket

Shipping: US$ 7.07
From United Kingdom to U.S.A.
Destination, Rates & Speeds

8.

Freshfields Bruckhaus Deringer
Published by Tottel Publishing, United Kingdom (2014)
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Hardcover Quantity Available: 4
Seller
Powell's Books
(Portland, OR, U.S.A.)
Rating
[?]

Book Description Tottel Publishing, United Kingdom, 2014. Hardcover. Book Condition: New. HARDCOVER Legendary independent bookstore online since 1994. Reliable customer service and no-hassle return policy. History and Social Science>Law>Legal Guides and Reference. Book: NEW, New. Bookseller Inventory # 67978178043126000. Bookseller Inventory # 67978178043126000

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 245.50
Convert Currency

Add to Basket

Shipping: US$ 4.49
Within U.S.A.
Destination, Rates & Speeds

9.

Freshfields Bruckhaus Deringer
Published by Bloomsbury Professional (2014)
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Hardcover Quantity Available: 1
Seller
Irish Booksellers
(Rumford, ME, U.S.A.)
Rating
[?]

Book Description Bloomsbury Professional, 2014. Hardcover. Book Condition: New. book. Bookseller Inventory # 1780431260

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 272.59
Convert Currency

Add to Basket

Shipping: FREE
Within U.S.A.
Destination, Rates & Speeds

10.

Deringer, Freshfields Bruckhaus
Published by Bloomsbury Professional (2014)
ISBN 10: 1780431260 ISBN 13: 9781780431260
New Hardcover Quantity Available: 1
Seller
Revaluation Books
(Exeter, United Kingdom)
Rating
[?]

Book Description Bloomsbury Professional, 2014. Hardcover. Book Condition: Brand New. 3rd edition. 869 pages. 10.25x6.50x2.00 inches. In Stock. Bookseller Inventory # __1780431260

More Information About This Seller | Ask Bookseller a Question

Buy New
US$ 267.03
Convert Currency

Add to Basket

Shipping: US$ 7.69
From United Kingdom to U.S.A.
Destination, Rates & Speeds

There are more copies of this book

View all search results for this book