A Practitioner's Guide to FSA Investigations and Enforcement
Published on 28. July 2005
Book
Paperback/Softback
352 pages
978-1-898830-93-1 (ISBN)
Description
Approaches the important subject of FSA Investigations and Enforcement by drawing on the acknowledged expertise of leading practitioners who have contributed chapters covering each aspect. This book covers every stage of investigation and enforcement from internal investigations through to the challenging of FSA decisions and the Tribunal.
More details
Language
English
Place of publication
Old Woking
United Kingdom
Publishing group
Sweet & Maxwell Ltd
Target group
Professional and scholarly
Dimensions
Height: 234 mm
Width: 156 mm
Weight
582 gr
ISBN-13
978-1-898830-93-1 (9781898830931)
Copyright in bibliographic data is held by Nielsen Book Services Limited or its licensors: all rights reserved.
Schweitzer Classification
Other editions
New editions
Book
04/2007
2nd Edition
City & Financial Publishing
€186.01
Article is exhausted; no reprint
Content
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