A practitioner's guide to financial services investigations and enforcement
著者
書誌事項
A practitioner's guide to financial services investigations and enforcement
（The city library）
Sweet & Maxwell, 2014
3rd ed
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注記
Includes index
内容説明・目次
内容説明
A Practitioner's Guide to Financial Services Investigations and Enforcement explains the key principles that underpin enforcement. This new 3rd edition: Shows how an investigation should be prepared for and handled Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action Explains the key principles that underpin the enforcement regime Shows how these principles must be followed so that investigation is not necessitated Goes through requests for information Deals with civil and criminal investigations Assesses remedial action and notifying regulatory problems and internal investigations Details how to challenge decisions Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action Takes into account the role of mediation Looks at disciplinary sanctions and other enforcement options
目次
- 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 OtherAvenues
- Interface with Other Investigations and Proceedings.
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