Financial Services: Investigations and Enforcement: Third Edition

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9781780431260: Financial Services: Investigations and Enforcement: Third Edition
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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.

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

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Book Description Bloomsbury Publishing PLC, United Kingdom, 2014. Hardback. Condition: New. 3rd Revised edition. 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. Seller Inventory # AAJ9781780431260

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Freshfields Bruckhaus Deringer
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Book Description Bloomsbury Publishing PLC, United Kingdom, 2014. Hardback. Condition: New. 3rd Revised edition. 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. Seller Inventory # AAJ9781780431260

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

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Book Description Hardback. Condition: New. Not Signed; 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 na. book. Seller Inventory # ria9781780431260_rkm

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Book Description Bloomsbury Publishing PLC. Hardback. 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. Seller Inventory # B9781780431260

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