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Financial Services: Investigations and Enforcement 2nd ed: Supplement

Freshfields Bruckhaus Deringer

New Edition ISBN: 9781780431260

Published: November 2009

Publisher: Freshfields Bruckhaus Deringer LLP

Country of Publication: UK

Format: Paperback

Price: Out of print

This supplement outlines key developments in each area covered by chapters in the second edition of Financial Services: Investigations and Enforcement

It is not a line-by-line update of the book but instead focuses on key themes in each area. Also produced in the appendix is a table of derivations, which shows where the relevant provisions of the old enforcement handbook (ENF and DEC) can be found in the new Enforcement Guide and Decision Procedure and Penalties manual.

Subjects:: Banking and Finance, Supplements

Contents:: 1. Basic principles; 2. Steps to take when regulatory problems arise; 3. Information-gathering and investigation; 4. The disciplinary and enforcement process; 5. The Tribunal and appeals; 6. Disciplinary action against firms; 7. Disciplinary sanctions against individuals; 8. 'Own-initiative' powers; 9. Civil liability to third parties; 10. Criminal Prosecutions; 11. The ombudsman scheme; 12. Mis-selling; 13. Market misconduct; 14. Listed companies; 15. Challenges and complaints; Appendix: Enforcement rules derivation tables;