A Practitioners Guide To Financial Services Investigations And Enforcement PDF Download
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Author | : Carlos Conceicao |
Publisher | : |
Total Pages | : 443 |
Release | : 2014-03-24 |
Genre | : Financial services industry |
ISBN | : 9780414027565 |
Download A Practitioner's Guide to Financial Services Investigations and Enforcement Book in PDF, ePub and Kindle
This is a practical resource for all firms and individuals that may find themselves the subject of, or be asked to assist in, an investigation or enforcement action. Covering procedure under the new UK financial services regulatory structure, it deals with every stage of the investigation and enforcement process, from internal investigations through to challenging decisions of the Financial Services Tribunal.
Author | : Angela Hayes |
Publisher | : |
Total Pages | : 352 |
Release | : 2005 |
Genre | : Financial institutions |
ISBN | : 9781898830931 |
Download A Practitioner's Guide to FSA Investigations and Enforcement Book in PDF, ePub and Kindle
Approaches the important subject of FSA Investigations and Enforcement by drawing on the acknowledged expertise of leading practitioners who have contributed chapters covering each aspect. This book covers every stage of investigation and enforcement from internal investigations through to the challenging of FSA decisions and the Tribunal.
Author | : Judith Seddon |
Publisher | : Law Business Research Ltd. |
Total Pages | : 987 |
Release | : 2018-01-19 |
Genre | : |
ISBN | : 1912377837 |
Download Practitioner's Guide to Global Investigations Book in PDF, ePub and Kindle
There's never been a greater likelihood a company and its key people will become embroiled in a cross-border investigation. But emerging unscarred is a challenge. Local laws and procedures on corporate offences differ extensively - and can be contradictory. To extricate oneself with minimal cost requires a nuanced ability to blend understanding of the local law with the wider dimension and, in particular, to understand where the different countries showing an interest will differ in approach, expectations or conclusions. Against this backdrop, GIR has published the second edition of The Practitioner's Guide to Global Investigation. The book is divided into two parts with chapters written exclusively by leading names in the field. Using US and UK practice and procedure, Part I tracks the development of a serious allegation (whether originating inside or outside a company) - looking at the key risks that arise and the challenges it poses, along with the opportunities for its resolution. It offers expert insight into fact-gathering (including document preservation and collection, witness interviews); structuring the investigation (the complexities of cross-border privilege issues); and strategising effectively to resolve cross-border probes and manage corporate reputation.Part II features detailed comparable surveys of the relevant law and practice in jurisdictions that build on many of the vital issues pinpointed in Part I.
Author | : |
Publisher | : |
Total Pages | : 398 |
Release | : 2007 |
Genre | : Financial institutions |
ISBN | : 9781905121137 |
Download A Practitioner's Guide to FSA Investigations and Enforcement Book in PDF, ePub and Kindle
Containing 14 chapters, this book explains the principles that underpin FSA enforcement regime. It offers a guide to how these principles must be followed so the question of an FSA investigation or enforcement action does not arise.
Author | : Peter Snowdon |
Publisher | : |
Total Pages | : 636 |
Release | : 2016-06-24 |
Genre | : Banking law |
ISBN | : 9780414050730 |
Download A Practitioner's Guide to Individual Conduct and Accountability in Financial Services Firms Book in PDF, ePub and Kindle
This title gives detailed and practical guidance on the new rules governing the conduct and behaviour of individuals in financial institutions, from obtaining approval through to supervision, enforcement and liability. Separate chapters will deal with different classes of individual, and the text will include checklists and case studies
Author | : Judith Seddon |
Publisher | : |
Total Pages | : 0 |
Release | : 2024 |
Genre | : Corporate internal investigations |
ISBN | : 9781804492734 |
Download The Practitioner's Guide to Global Investigations Book in PDF, ePub and Kindle
Author | : |
Publisher | : Sweet & Maxwell |
Total Pages | : 478 |
Release | : 2012-06 |
Genre | : Business & Economics |
ISBN | : 0414024389 |
Download A Practitioner's Guide to the Financial Services Authority Listing Regime, 2012/2013 Book in PDF, ePub and Kindle
Author | : Paul Fontes |
Publisher | : Bloomsbury Publishing |
Total Pages | : 517 |
Release | : 2019-02-19 |
Genre | : Law |
ISBN | : 1526504227 |
Download Eversheds Sutherland: The Employment Practitioner’s Guide to Financial Institutions Book in PDF, ePub and Kindle
The financial crisis both in the US and UK led to concerns that individual accountability of senior managers in the banking sector had to be strengthened and risk and reward aligned more closely. Sweeping amendments were made to legislation, with new regimes introduced to improve accountability and greater powers bestowed upon regulators. The landscape has changed significantly with onerous rules faced by employers from recruitment to departure and beyond. Eversheds Sutherland: The Employment Practitioner's Guide to Financial Institutions: Key Aspects of the Regulatory Framework (originally titled: The Employment Practitioner's Guide to Financial Institutions: The Senior Managers and Certification Regime and Accountability) covers the full roll-out of the Senior Managers and Certification Regime to all financial services firms in 2018. The complexity of the rules and the difficulty for practitioners in finding resources to help them understand the new regime has led to much confusion and uncertainty. This book provides an invaluable guide to the new regime with practical analysis of the issues raised and how the changes should be implemented.
Author | : Stacey English |
Publisher | : Bloomsbury Publishing |
Total Pages | : 359 |
Release | : 2018-11-23 |
Genre | : Law |
ISBN | : 1526505223 |
Download Conduct and Accountability in Financial Services Book in PDF, ePub and Kindle
Are you fully prepared for the implementation of the Senior Managers and Certification Regime across financial services firms and the related regulatory scrutiny on conduct and accountability? The 2008 financial crisis sparked major changes in global financial services regulation with attention and resources focused on the behaviour of firms and senior individuals and how they conduct their business. Regulatory reforms have been designed and implemented globally to address accountability and conduct in financial services. In the UK this has resulted in the Senior Managers and Certification Regime (SM&CR) being implemented across all FSMA-regulated firms. Conduct and Accountability in Financial Services: A Practical Guide provides comprehensive and expert guidance on how best to implement and comply with the SM&CR. In addition to acting as a guide to rule book requirements and regulatory expectations, it provides an in-depth look at the implications of the global focus on culture and conduct risk. A must-read text for all staff in UK financial services firms, professional associations, industry bodies, regulators, academics and advisers to financial services organisations, it covers: The context and regulatory basis for SM&CR including an overview of the development and roll-out of the regime Analysis of key changes from the previous 'approved person' approach Practical considerations for HR, internal audit and non-executive directors The increasing role of culture and conduct risk A practical overview of enforcement, penalties and learning lessons from enforcement actions Overarching principles of how to manage personal regulatory risk Regulatory relationship management The impact of technology An overview of related global developments Appendices with timeline, bibliography and a selection of other useful sources for senior managers Conduct and Accountability in Financial Services: A Practical Guide is on the syllabus reading list for the Regulation and Compliance exam offered by the Chartered Institute of Securities and Investments.
Author | : Rory C. Flynn |
Publisher | : |
Total Pages | : 192 |
Release | : 2016-12-01 |
Genre | : Business & Economics |
ISBN | : 9781627229746 |
Download A Practitioner's Guide to Finra Sanctions Analysis Book in PDF, ePub and Kindle
This guide will help lawyers gain a comprehensive overview and practical advice regarding one segment of FINRA s disciplinary process sanctions analysis. This book contains the historical development of various FINRA sanctions, limitations on FINRA s ability to impose certain sanctions, and much more. A unique resource on securities regulation for the new and experienced practitioner."