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Vol 21 No 11 Nov/Dec 2016

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This book is now Out of Print.
A new edition has been published, the details can be seen here:
A Practitioner's Guide to Financial Services Investigations and Enforcement 3rd ed isbn 9780414027565

A Practitioner's Guide to FSA Investigations and Enforcement 2nd ed

Edited by: Angela Hayes, Calum Burnett

ISBN13: 9781905121137
New Edition ISBN: 9780414027565
Previous Edition ISBN: 1898830932
Published: May 2007
Publisher: Sweet & Maxwell Ltd
Country of Publication: UK
Format: Paperback
Price: Out of print



The first edition of FSA Investigations and Enforcement was published shortly before the FSA’s publication of the Strachan review, and the subsequent implementation of the recommendations of that review.

This second edition takes into account all the developments following the review, as well as the significant amount of new case law and Tribunal decisions since the first edition was published. The review has led to new procedures involving the Regulatory Decisions Committee and measures to strengthen the objectivity of the RDC; a new legal review as part of the FSA’s process; a new discount system to encourage early settlement; and a recommendation that the FSA should instigate a system of feedback on their process and also publish an annual performance statement.

All references to the Handbook reflect the changes resulting from the review of the Enforcement and Decision making manuals, which are now combined into the Decision Procedure and Penalties manual and the Enforcement Guide.

The new edition also includes a chapter by the FSA’s Director of Enforcement giving the FSA’s perspective on its enforcement powers.

A Practitioner’s Guide to FSA Investigations and Enforcement 2nd Edition approaches this important subject by drawing on the acknowledged expertise of leading practitioners who have contributed particular chapters covering a specific aspect of the subject in great detail. The opening chapter will act as an overview to the subject, and also as a route-map to the remainder of the book, explaining how the different elements of the process fit together and where the reader should go for information depending on the specific circumstances.

This best-selling title brings together authors of exceptional quality. In 14 chapters, the contributors explain the key principles that underpin the FSA enforcement regime. The book offers a guide to how these principles must be followed so the question of an FSA investigation or enforcement action does not arise. In the event of an FSA investigation, the contributors explain how it should be prepared for and handled and, if the investigation leads to enforcement action, the strategies and tactics that are likely to result in the best outcome.

Subjects:
Banking and Finance
Contents:
Chapter 1: Introduction and Overview
Angela Hayes, Lawrence Graham LLP
Calum Burnett, Allen & Overy LLP
Chapter 2: The FSA Perspective
Margaret Cole, Director of Enforcement, FSA
Chapter 3: FSA Requests for Information
Margaret Chamberlain and Stephen Paget-Brown, Travers Smith LLP
Chapter 4: Notifying the FSA of Regulatory Problems and Internal Investigations
James Bagge and Charles Evans, Norton Rose
Chapter 5: Skilled Persons Reports
Peter Bibby, Bingham McCutchen LLP
Chapter 6: Remedial Action
Simon Morris, CMS Cameron McKenna
Chapter 7: Formal FSA Investigations: Civil Investigations
Arun Srivastava and Patrick Brandt, Baker & McKenzie
Chapter 8: Formal FSA Investigations: Criminal Investigations
Stephen Gentle, Kingsley Napley
Chapter 9: How the FSA Makes Disciplinary and Enforcement Decisions
Tony Woodcock, Stephenson Harwood
Chapter 10: The Role of Mediation
David Scott and Oliver Kerridge, Freshfields Bruckhaus Deringer
Chapter 11: Disciplinary Sanctions and Other Enforcement Options
Andrew Carnes and Saima Hanif, 4-5 Gray's Inn Square
Chapter 12: Challenging FSA Decisions: the Financial Services and Markets Tribunal
Charles Flint QC and Javan Herberg, Blackstone Chambers
Chapter 13: Challenging FSA Decisions: the Courts and Other Avenues
Andrew Lidbetter, Herbert Smith LLP
Chapter 14: Interface with Other Investigations and Proceedings
Angela Hayes, Lawrence Graham LLP

Series: The City Library

U.S. Regulation for Asset Managers Outside the United States 2nd ed ISBN 9780414031968
To be published October 2018
Sweet & Maxwell Ltd
£130.00
A Practitioner's Guide to Authorised Investment Funds 2nd ed ISBN 9780414033535
To be published October 2018
Sweet & Maxwell Ltd
£150.00
A Practitioner's Guide to Financial Promotions 2nd ed ISBN 9781905121229
To be published October 2018
Sweet & Maxwell Ltd
£135.00
Consumer Financial Services Complaints and Compensation 2nd ed ISBN 9780414034044
To be published October 2018
Sweet & Maxwell Ltd
£135.00
A Practitioner's Guide to Directors' Duties and Responsibilities 6th ed
Edited by: Tim Boxell
ISBN 9780414056992
To be published October 2018
Sweet & Maxwell Ltd
£175.00
A Practitioner's Guide to the UK Financial Services Rulebooks 7th ed ISBN 9780414056978
To be published October 2018
Sweet & Maxwell Ltd
£175.00
A Practitioner's Guide to Banking Regulation: Mastering the New Regulatory Landscape ISBN 9780414061286
Published November 2016
Sweet & Maxwell Ltd
£175.00
A Practitioner's Guide to the FCA Listing Regime 2016/2017 ISBN 9780414056985
Published August 2016
Sweet & Maxwell Ltd
£175.00
A Practitioner's Guide to Solvency II ISBN 9780414054851
Published April 2016
Sweet & Maxwell Ltd
£175.00
A Practitioner's Guide to UK Money Laundering Law and Regulation 3rd ed
Edited by: Ben Kingsley
ISBN 9780414052574
Published December 2015
Sweet & Maxwell Ltd
£165.00
A Practitioner's Guide to Alternative Investment Funds 3rd ed ISBN 9780414034006
Published September 2015
Sweet & Maxwell Ltd
£160.00
A Practitioner's Guide to MiFID II: The Markets in Financial Instruments Directive 2nd ed ISBN 9780414026858
Published March 2015
Sweet & Maxwell Ltd
£145.00
A Practitioner's Guide to The AIM Rules 7th ed
Edited by: Tom Nicholls
ISBN 9780414034020
Published September 2014
Sweet & Maxwell Ltd
£155.00
A Practitioner's Guide to the Regulation of Insurance 5th ed
Edited by: John Young
ISBN 9780414028357
Published August 2014
Sweet & Maxwell Ltd
£173.00
£169.00
A Practitioner's Guide to the UK Financial Services Rulebooks 6th ed ISBN 9780414027480
Published December 2013
Sweet & Maxwell Ltd
£173.00
A Practitioner's Guide to the Regulation of Investment Banking 3rd ed
Edited by: Simon Gleeson
ISBN 9780414028135
Published November 2013
Sweet & Maxwell Ltd
£173.00
A Practitioner's Guide to Directors' Duties and Responsibilities 5th ed
Edited by: Tim Boxell
ISBN 9780414028241
Published October 2013
Sweet & Maxwell Ltd
£169.00
Business Services, Partnering and Outsourcing Contracts: A Practical Guide 4th ed ISBN 9780414024335
Published December 2012
Sweet & Maxwell Ltd
£155.00
Practitioner's Guide to European Bond Markets
Edited by: Nick CollierHead of Regulatory Policy, ICMA, Michael RaffanFreshfields Bruckhaus Deringer
ISBN 9781905121168
Published November 2012
Sweet & Maxwell Ltd
Publication Abandoned
A Practitioner's Guide to Inside Information 2nd ed ISBN 9780414026988
Published September 2012
Sweet & Maxwell Ltd
£169.00
A Practitioner's Guide to Trade and Commodity Finance
Edited by: Geoffrey Wynne
ISBN 9780414045392
Published August 2012
Sweet & Maxwell Ltd
£113.00
A Practitioner's Guide to Basel III and Beyond ISBN 9780414045385
Published June 2011
Sweet & Maxwell Ltd
£185.00
£185.00
A Practitioner's Guide to Derivatives
Edited by: Jonathan Marsh
ISBN 9780414043053
Published November 2010
Sweet & Maxwell Ltd
£185.00
A Practitioner's Guide to Alternative Investment Funds 2nd ed ISBN 9780414043107
Published October 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Directors' Duties and Responsibilities 4th ed
Edited by: Tim Boxell
ISBN 9780414043114
Published September 2010
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Authorised Investment Funds ISBN 9781905121403
Published June 2010
Sweet & Maxwell Ltd
£155.00
A Practitioner's Guide to Syndicated Lending
Edited by: Andrew Shutter
ISBN 9781905121366
Published January 2010
Sweet & Maxwell Ltd
£195.00
A Practitioner's Guide to Private Equity ISBN 9781905121342
Published July 2009
Sweet & Maxwell Ltd
£232.00
Outsourcing Contracts: A Practical Guide 3rd ed ISBN 9781905121373
Published July 2009
Sweet & Maxwell Ltd
Out of print
A Practical Guide to PPP in the United Kingdom ISBN 9781905121236
Published May 2009
Sweet & Maxwell Ltd
£155.00
A Practitioner's Guide to European Leveraged Finance ISBN 9781905121359
Published April 2009
Sweet & Maxwell Ltd
£195.00
A Practitioner’s Guide to Corporate Restructuring ISBN 9781905121311
Published August 2008
Sweet & Maxwell Ltd
£195.00
A Practical Guide to PPP in Europe 2nd ed
Edited by: Maurice Button
ISBN 9781905121298
Published June 2008
Sweet & Maxwell Ltd
£232.00
A Practitioner’s Guide to Takeovers and Mergers in the European Union 5th ed
Edited by: City & Financial
ISBN 9781905121304
Published June 2008
Sweet & Maxwell Ltd
£232.00
U.S. Regulation for Asset Managers Outside the United States ISBN 9781905121199
Published March 2008
Sweet & Maxwell Ltd
£185.00
Practitioner's Guide to Mortgage Regulation ISBN 9781905121243
Published July 2007
Sweet & Maxwell Ltd
£139.00
A Practitioner's Guide to MiFID: The Markets in Financial Instruments Directive ISBN 9781905121151
Published June 2007
Sweet & Maxwell Ltd
Out of print
US Securities Laws and Foreign Private Issuers
Edited by: Brian Lane
ISBN 9781905121144
Published April 2007
Sweet & Maxwell Ltd
£185.00
A Practical Guide to PPP in Europe
Edited by: Maurice Button
ISBN 9781905121090
Published October 2006
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to EU Financial Services Directives 2nd ed ISBN 9781905121076
Published September 2006
Sweet & Maxwell Ltd
£185.00
Practitioner's Guide to Securitisation ISBN 9781898830788
Published January 2006
Sweet & Maxwell Ltd
£185.00
A Practitioner's Guide to Takeovers and Mergers in the European Union 4th ed ISBN 9781905121069
Published October 2005
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to FSA Investigation and Enforcement ISBN 9781898830931
Published September 2005
Sweet & Maxwell Ltd
Out of print
Pensions Risk and Strategy ISBN 9781898830757
Published August 2005
Sweet & Maxwell Ltd
£139.00
Consumer Complaints and Compensation: A Guide for the Financial Service Market ISBN 9781898830993
Published June 2005
Sweet & Maxwell Ltd
£139.00
A Practitioner's Guide to the Basel Accord ISBN 9781898830979
Published March 2005
Sweet & Maxwell Ltd
£45.00
(Second Hand)
A Practitioner's Guide to The FSA Regulation of Lloyd's 2nd ed ISBN 9781898830870
Published January 2005
Sweet & Maxwell Ltd
£155.00
International Insider Dealing ISBN 9781898830801
Published January 2005
Sweet & Maxwell Ltd
£245.00
A Practitioner's Guide to Audit regulation in the UK ISBN 9781898830894
Published December 2004
Sweet & Maxwell Ltd
£99.00
Practical Company Law and Corporate Transactions ISBN 9781898830733
Published November 2004
Sweet & Maxwell Ltd
Out of print
Financial Promotion - A Practitioner's Guide ISBN 9781898830726
Published October 2004
Sweet & Maxwell Ltd
Out of print
A Practical Guide to the FSA's Regulation of Mortgages ISBN 9781898830849
Published March 2004
Sweet & Maxwell Ltd
£25.00
(Second Hand)
A Practitioner's Guide to the Company Law Review ISBN 9781898830535
Published June 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to International Money Laundering Law and Regulation ISBN 9781898830689
Published April 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to EU Financial Services Directives ISBN 9781898830696
Published March 2003
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Hong Kong Takeover Code ISBN 9781898830603
Published November 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Acquisition of Companies in the United States ISBN 9781898830665
Published September 2002
Sweet & Maxwell Ltd
Out of print
Out of print
Public Company Takeovers in Germany ISBN 9781898830658
Published July 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the FSA Regulation of Lloyd's ISBN 9781898830467
Published June 2002
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to Partnership and LLP Law and Regulation ISBN 9781898830566
Published January 2002
Sweet & Maxwell Ltd
Out of print
Venture Capital and Private Equity: A Practitioner's Manual ISBN 9781898830528
Published December 2001
Sweet & Maxwell Ltd
Out of print
A Practitioner's Guide to the Regulation of the Internet 2nd ed ISBN 9781898830511
Published April 2001
Sweet & Maxwell Ltd
Out of print