Practitioner's Guide to Investigations & Enforcement 3rd ed

Practitioner's Guide to Investigations & Enforcement 3rd ed

By Angela Hayes, Angela Burnett

Book

$422.00 RRP

Date: 24/03/2014

Code: 9780414027565

Sweet & Maxwell, UNITED KINGDOM

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Format Title Date Code Price
Book Practitioner's Guide to Investigations & Enforcement 3rd ed 24/03/2014 9780414027565 $422.00 Add to cart

Description

A Practitioner's Guide to Financial Services Investigations and Enforcement explains the key principles that underpin enforcement.

This new 3rd edition:

  • Shows how an investigation should be prepared for and handled
  • Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action
  • Explains the key principles that underpin the enforcement regime
  • Shows how these principles must be followed so that investigation is not necessitated
  • Goes through requests for information
  • Deals with civil and criminal investigations
  • Assesses remedial action and notifying regulatory problems and internal investigations
  • Details how to challenge decisions
  • Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action
  • Takes into account the role of mediation
  • Looks at disciplinary sanctions and other enforcement options

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