Overview

Designed to be used before, during and after an investigation, ""Financial Services: Investigations and Enforcement, 3rd Edition"" contains the practical start-to-finish advice and direction that will guide you through this often complicated and highly stressful process with confidence. This highly practical step-by-step guide will provide the support and guidance that legal advisers will come to rely on when navigating an investigation or disciplinary enquiry. This new, fully updated second edition covers: the Strachan Review; new Listing Principles; the 'treating customers fairly' project; changes affecting the Financial Ombudsman Service; the introduction of FSA responsibility for insurance regulation; the Market Abuse Directive; and recent FSA action over rule breaches and key developments in the retail sector.

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9781845922054

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