A practitioner's guide to financial services investigations and enforcement
By: consultant editors, Angela Hayes, King & Spaulding; Carlos Conceicao, Clifford Chance
Edition: Third edition.
Publisher: Sweet & Maxwell/Thomson Reuters
Published: 2013
Place of publication: London
Language: eng
Number of pages: 443
ISBN-13: 9780414027565
Subjects: Financial services industry; Law and legislation; Financial Conduct Authority (Great Britain)
Notes: Includes index.
Table of contents: title: Introduction and Overview / Angela Hayes and Carlos Conceicao; title: The FCA Perspective / Tracey McDermott; title: FSA and PRA Requests for Information : General Principles / Margaret Chamberlain and Stephen Paget-Brown; title: Notifying the Regulator of Regulatory Problems and Conducting Internal Investigations / Charles Evans; title: Use of Skilled Persons as a Regulatory Tool / Nathan Willmott and Polly James; title: Remedial Action / David Capps; title: Formal Regulatory Investigations : Civil Investigations / Arun Srivastava; title: Formal Regulatory Investigations : Criminal Investigations / Stephen Gentle; title: How the FCA makes enforcement decisions / Tony Woodcock; title: How the PRA makes disciplinary and enforcement decisions / Karen Anderson and Jenny Stainsby; title: Disciplinary Sanctions and Other Enforcement Options / Carlos Conceicao; title: Challenging the decsions of the regulators : the upper tribunal  / Javan Herberg and Simon Pritchard; title: Challenging FSA, PRA and Bank of England Decisions : the Courts and Other Avenues / Andrew Lidbetter; title: Parallel and cross-border investigations and proceedings / Angela Hayes.