{"product_id":"financial-services-investigations-and-enforcement-9781780431260","title":"Financial Services: Investigations and","description":"\u003cb\u003eBook Synopsis\u003c\/b\u003e\u003cbr\u003e\u003cb\u003eFinancial Services: Investigations and Enforcement\u003c\/b\u003e is a comprehensive, practical, step-by-step guide to the often complex enforcement aspects of the regulatory regime. Designed to be used before, during and after an investigation\u003cb\u003e, \u003c\/b\u003eit provides the support and guidance that legal advisers need when navigating an investigation or disciplinary enquiry.   Split in to five sections (Introduction to the Regulatory Regime; Investigations; Enforcement; Mis-selling, Consumer Redress and Intervention Powers; and Specific Topics) the third edition has been completely revised and updated to take account of the significant structural changes to regulation including the work of the FSA being divided between the FCA and PRA and the introduction of new statutory objectives. There are also new chapters on regulatory intervention in markets dealing with upstream disputes which are increasingly important and the competition elements of the regime; and on multi-jurisdictional investigations reflecting the increasing amount of cooperation and coordination between global regulators.  \u003cb\u003eFinancial Services: Investigations and Enforcement\u003c\/b\u003e is designed to be used by lawyers in private practice, in house lawyers in financial services providers, compliance professionals in financial services providers and post graduate students.   Previous edition ISBN: 9781845922054  This title is included in Bloomsbury Professional's Banking and Finance online service.\u003cbr\u003e\u003cbr\u003e\u003cb\u003eTable of Contents\u003c\/b\u003e\u003cbr\u003eSection A Introduction to the Regulatory Regime Chapter 1 An introduction to the UK and European regulatory authorities  Chapter 2 The UK regime in more detail  Section B Investigations Chapter 3 Steps to take when an issue arises  Chapter 4 FCA and PRA powers of information gathering  Chapter 5 Enforcement investigations  Chapter 6 Skilled persons’ reports  Chapter 7 Handling multi-jurisdictional investigations  Section C Enforcement Chapter 8 Disciplinary sanctions and other regulatory action against firms  Chapter 9 Disciplinary sanctions and other regulatory action against individuals  Chapter 10 FCA enforcement process  Chapter 11 PRA enforcement process  Chapter 12 The Tribunal and appeals  Section D Mis-selling, Consumer Redress and Intervention Powers Chapter 13 Mis-selling  Chapter 14 Complaints handling and the Financial Ombudsman Scheme  Chapter 15 Product and market intervention  Chapter 16 ‘Own-initiative’ powers  Section E Specific Topics Chapter 17 Market misconduct  Chapter 18 Criminal prosecutions  Chapter 19 Civil liability  Chapter 20 Listed companies  Chapter 21 Complaints and challenges against the Regulators","brand":"Bloomsbury Publishing PLC","offers":[{"title":"Default Title","offer_id":49411759767895,"sku":"9781780431260","price":223.25,"currency_code":"GBP","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0817\/1739\/5799\/files\/9781780431260.jpg?v=1730514597","url":"https:\/\/bookcurl.com\/products\/financial-services-investigations-and-enforcement-9781780431260","provider":"Book Curl","version":"1.0","type":"link"}