A Practitioner's Guide to FSA Investigations and Enforcement has been specially written for all firms and individuals that may find themselves the subject of, or asked to assist in, an FSA investigation or enforcement action.
A Practitioner's Guide to FSA Investigations and Enforcement provides a practical guide for company directors, in-house lawyers and compliance professionals on dealing with FSA investigations in a way that promotes the best interests of the firm or individual concerned whilst complying with regulatory requirements.
Table of Contents
Introduction and Overview
Calum Burnett, Allen & Overy and Angela Hayes,
Lawrence Graham
The FSA Perspective
Andrew Procter, Director of Enforcement FSA
FSA Requests for Information
Margaret Chamberlain and Stephen Paget-Brown, Travers
Smith Braithwaite
Notifying the FSA of Regulatory Problems
and Internal Investigations
James Bagge and Charles Evans, Norton Rose
Skilled Persons Reports
Peter Bibby, DLA
Remedial Action
Simon Morris, CMS Cameron McKenna
Formal FSA Investigations: Civil Investigations
Arun Srivastava, Baker & McKenzie
Formal FSA Investigations: criminal investigations
David Byrne, Byrne & Partners
How the FSA Makes Disciplinary and Enforcement Decisions
Tony Woodcock, Stephenson Harwood
The Role of Mediation
David Scott, Freshfields Bruckhaus Deringer
Disciplinary Sanctions and Other Enforcement Options
Andrew Carnes, 4-5 Gray's Inn Square
Challenging FSA decisions – the Financial Services and
Markets Tribunal
Charles Flint QC and Javan Herberg, Blackstone Chambers
Challenging FSA Decisions – the Courts and Other Avenues
Andrew Lidbetter, Herbert Smith
Interface with other investigations and proceedings
Angela Hayes, Lawrence Graham
|
