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Vol 21 No 9 Sept/Oct 2016

Book of the Month

Cover of Goode on Commercial Law

Goode on Commercial Law

Edited by: Ewan McKendrick
Price: £170.00

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A new edition has been published, the details can be seen here:
Financial Services: Investigations and Enforcement 3rd ed isbn 9781780431260

Financial Services: Investigations and Enforcement 2nd ed: Supplement

New Edition ISBN: 9781780431260
Published: November 2009
Publisher: Freshfields Bruckhaus Deringer LLP
Country of Publication: UK
Format: Paperback
Price: £50.00

In stock.

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.

Banking and Finance, Supplements
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;