Investigations and Enforcement

Designed specifically to emphasise the relevant provisions and implications of the rulebooks with regard to investigations and enforcement procedures, this title forms part of a series of guides to the FSA regime. Investigations and Enforcement will help you steer your way around the relevant provisions of the Financial Services and Markets Act 2000. It explains the FSA's stated policy and rules in related areas and addresses the practical issues that arise, and offers suggestions on how to deal with these issues. Notable features include: clear emphasis and explanation of the practical implications for compliance officers of the new Act, all the information you need on enforcement, investigations and the FSA in one volume, and the expertise and experience of seasoned authors, both experts in the field. This material is suitable for compliance officers, legal counsels, practitioners or students interested in the financial services area.