Contents Introduction and Overview Angela Hayes, Partner, Lawrence Graham Calum Burnett, Partner, Allen & Overy Chapter 1 The FSA Perspective Andrew Procter, Director of Enforcement, FSA Chapter 2 FSA Requests for Information Margaret Chamberlain and Stephen Paget-Brown, Partners, Travers Smith Braithwaite Chapter 3 Notifying the FSA of Regulatory Problems and Internal Investigations James Bagge and Charles Evans, Partners, Norton Rose Chapter 4 Skilled Persons Reports Peter Bibby, Partner, DLA Chapter 5 Remedial Action Simon Morris, Partner, CMS Cameron McKenna Chapter 6 Formal FSA Investigations: Civil Investigations Arun Srivastava Partner, and Patrick Brandt, Senior Associate, Baker & McKenzie Chapter 7 Formal FSA Investigations: Criminal Investigations Stephen Gentle, Kingsley Napley Chapter 8 How the FSA Makes Disciplinary and Eenforcement Decisions Tony Woodcock, Partner, Stephenson Harwood Chapter 9 The Role of Mediation David Scott, Partner, Freshfields Bruckhaus Deringer Chapter 10 Disciplinary Sanctions and Other Enforcement Options Andrew Carnes, 4-5 Gray's Inn Square Chapter 11 Challenging FSA Decisions - the Financial Services and Markets Tribunal Charles Flint QC and Javan Herberg, Blackstone Chambers Chapter 12 Challenging FSA Decisions - the Courts and Other Avenues Andrew Lidbetter, Partner, Herbert Smith Chapter 13 Interface with Other Investigations and Proceedings Angela Hayes, Partner, Lawrence Graham
