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Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Financial law
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Financial Services Litigation (Hardcover)
Loot Price: R6,423
Discovery Miles 64 230
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Financial Services Litigation (Hardcover)
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This book primarily provides assistance to litigators who find
themselves acting for or against firms in contentious regulatory
matters. The material covered is broad in that it covers matters of
civil, criminal, administrative, and public law. It is also highly
focused in that it is intended to act as a practical handbook for
litigators; detailed explanations are given of practice, procedure,
evidence, and remedies at the expense of general commentary on the
non-contentious aspects of financial regulation. The book starts
with two chapters that are primarily contextual. Chapter 1 provides
an overview of the UK financial regulators whilst paying particular
attention to the relationships between them and the ways in which
those interactions can pose problems for litigators and the firms
they represent. Chapter 2 summarises the authorisation process and
its procedures, as well as the Senior Managers and Certification
Regime. In both cases, it provides practical advice for firms and
individuals in composing and submitting applications for
authorisation and approval. Chapter 3 deals with the increasingly
important topic of investigations and information gathering. It
pays particular attention to the settlement of investigations and
the FCA's procedures for determining discounts. The heart of this
book is found in Chapters 4-7, which cover the various forums in
which firms can be challenged for failing to adhere to regulatory
standards. Unlike many works dealing with financial services
regulation, which so often seem to focus on civil liability, this
book aspires to be equally helpful to the criminal litigator.
Criminal liability is therefore split in two. Chapter 4 covers
practice, procedure, and evidence. Chapter 5 covers the substantive
offences, defences, and sentencing. Civil liability is found in
Chapters 6 and 7. Civil enforcement action taken by regulators,
including RDC procedure, penalties, and an analysis of the basis
and scope of the raft of potential remedies available to the
regulator, are covered in Chapter 6. Individual action by investors
and consumers is considered in Chapter 7 alongside wider legal
principles that may come into play such as litigation. This chapter
for the first time includes a detailed analysis of the types of
claims often encountered by firms, including case studies on PPI
and interest rate hedging products. Redress, complaints, the
Financial Ombudsman Service, and relevant procedure are analysed in
Chapter 8. Finally, Chapter 9 provides an overview of the
independent methods of challenging regulators, including judicial
review and the Financial Services Complaints Commissioner.
General
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