Financial Services: Investigations and Enforcement
This book is a comprehensive and practical point of reference which will guide the reader through the very complex area of UK financial service investigations and enforcement. Designed to be used before, during, and after an investigation, the book contains practical start-to-finish advice and guidance through this often complicated and highly stressful process. Highly-practical, it offers the support that legal advisers will come to rely on when navigating an investigation or disciplinary enquiry in the UK. Contents includes: the structure of the regulatory regime * internal and external investigations * disciplinary and enforcement action * pro-active regulation * consumer protection * markets.
Publication Date: 4/30/2014