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A Practitioner's Guide to Financial Services Investigations and Enforcement, 3rd Edition

A Practitioner's Guide to Financial Services Investigations and Enforcement, 3rd Edition

作者： Angela Hayes; Calum Burnett
出版商： Sweet & Maxwell U.K.
ISBN: 9780414027565
出版时间 March 2014
规格： Paperback
适应领域： U.K. ? 免责申明：
Countri(es) stated herein are used as reference only

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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
1. Introduction and Overview
2. The FCA Perspective
3. Requests for Information
4. Notifying the FCA of Regulatory Problems and Internal Investigations
5. Skilled Persons Reports
6. Remedial Action
7. Formal FCA Investigations:
8. Civil Investigations
9. Formal FCA Investigations: Criminal Investigations
10. How the FCA Makes Disciplinary and Enforcement Decisions
11. The Role of Mediation
12. Disciplinary Sanctions and Other Enforcement Options
13. Challenging FCA Decisions: the Financial Services and Markets Tribunal
14. Challenging FCA Decisions: the Courts and Other Avenues
15. Interface with Other Investigations and Proceedings
16. Acting for Individuals
Angela Hayes is a partner at Mayer Brown International and a specialist in contentious financial services work. She is a member of the City of London Law Society’s Regulatory Committee, and is recommended by the Legal 500, She is a contributing author to several City Library publications and has been co-consultant editor on this title since its first edition.

Carlos Conceicao is a partner at Clifford Chance specialising in regulatory work, particularly contentious matters. He was formerly head of Wholesale Enforcement at the FSA.

Contributors:

Tracey McDermott, Director of Enforcement and Financial Crime, FCA

Margaret Chamberlain and Stephen Paget-Brown, Travers Smith

Charles Evans, Milbank

Nathan Willmott and Polly James, BLP

David Capps, Ashurst

Arun Srivastava, Baker & McKenzie

Stephen Gentle, Simmons & Simmons

Tony Woodcock, Stephenson Harwood

Karen Anderson and Jenny Stainsby, Herbert Smith Freehills

Javan Herberg QC and Simon Pritchard, Blackstone Chambers

Andrew Lidbetter, Herbert Smith Freehills

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