Financial services :
Deringer, Freshfields Bruckhaus
Financial services : investigations and enforcement by Freshfields Bruckhaus Deringer. - 2nd ed. - Great Britain : Tottel pub., 2005. - 831 p.
Table of contents:
Chapter 1. Some basic principles
Chapter 2. Steps to take when regulatory problems arise
Chapter 3. Information gathering and investigation
Chapter 4. The disciplinary and enforcement process
Chapter 5. The tribunal and appeals
Chapter 6. Disciplinary sanctions and other regulatory actions against firms
Chapter 7. Disciplinary sanctions and other regulatory action against individuals
Chapter 8. Own- initiative powers
Chapter 9. Civil liabilities to third party
Chapter 10. Criminal prosecutions
Chapter 11. The ombudsman scheme
Chapter 12. Mis-selling
Chapter 13. Market misconduct
Chapter 14. Listed companies
Chapter 15. Challenges and complaints
Index.
9781845922054
Miscellany/Finance Law.
343.03 / DER/FIN
Financial services : investigations and enforcement by Freshfields Bruckhaus Deringer. - 2nd ed. - Great Britain : Tottel pub., 2005. - 831 p.
Table of contents:
Chapter 1. Some basic principles
Chapter 2. Steps to take when regulatory problems arise
Chapter 3. Information gathering and investigation
Chapter 4. The disciplinary and enforcement process
Chapter 5. The tribunal and appeals
Chapter 6. Disciplinary sanctions and other regulatory actions against firms
Chapter 7. Disciplinary sanctions and other regulatory action against individuals
Chapter 8. Own- initiative powers
Chapter 9. Civil liabilities to third party
Chapter 10. Criminal prosecutions
Chapter 11. The ombudsman scheme
Chapter 12. Mis-selling
Chapter 13. Market misconduct
Chapter 14. Listed companies
Chapter 15. Challenges and complaints
Index.
9781845922054
Miscellany/Finance Law.
343.03 / DER/FIN