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Books > Law > Laws of other jurisdictions & general law > Financial, taxation, commercial, industrial law > Commercial law
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Financial Services: Authorisation, Supervision and Enforcement - A Litigator's Guide (Hardcover, New)
Loot Price: R10,014
Discovery Miles 100 140
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Financial Services: Authorisation, Supervision and Enforcement - A Litigator's Guide (Hardcover, New)
Expected to ship within 12 - 19 working days
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Financial Services: Authorisation, Supervision and Enforcement
provides litigators and compliance advisers with an understanding
of the powers available to the Financial Services Authority in the
context of the regulatory regime established under the Financial
Services and Markets Act 2000. It also clearly sets out the
processes for authorisation and examines the meaning of 'regulated
activity'. The text comprehensively explains the investigatory
powers, sanctions and remedies available to the FSA, and the
procedures applicable to their exercise, giving invaluable
assistance to those advising and representing firms in proceedings
involving the FSA. All such proceedings are considered, whether
they take the form of an FSA investigation, disciplinary
proceedings involving the Regulatory Decisions Committee or the
Financial Services and Markets Act Tribunal, civil proceedings in
the High Court, or a criminal prosecution. Russen not only makes
extensive reference to the detailed provisions of the FSA Handbook,
but also addresses, where appropriate, particular issues of
practice and procedure that are likely to have an impact upon FSA
investigations and any civil or criminal proceedings instituted by
the FSA. In addition to its detailed treatment of the procedure
governing action and litigation by the FSA, the book contains
chapters on the authorisation process and on the substantive law
(including complex secondary legislation) relating to money
laundering, market abuse and financial promotions. Each of these
areas is at the heart of the FSA's role as the single regulator of
the financial markets in the UK and has been the subject of recent
and substantial change both internally and as result of European
developments. The powers of the FSA and the procedures relating to
enforcement and litigation in this area are examined in the context
of the authorisation rules and ways in which authorised entities
may commit regulatory offences.
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