Financial services : investigations and enforcement by Freshfields Bruckhaus Deringer.
Material type:
TextLanguage: Publication details: Great Britain : Tottel pub., 2005.Edition: 2nd edDescription: 831 pISBN: - 9781845922054
- 343.03 DER/FIN
| Item type | Current library | Home library | Collection | Call number | Status | Date due | Barcode | Item holds | |
|---|---|---|---|---|---|---|---|---|---|
Reference
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NLUO | NLUO | Reference | 343.03 DER/FIN (Browse shelf(Opens below)) | Available | 9267 |
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| 343.096MEN/LAW Law of the Sea, Environmental Law and Settlement of Disputes | 343.03 BEN/FIN Financial law | 343.03 BUC/INT International financial system : | 343.03 DER/FIN Financial services : | 343.03 MCK/LAW Law of international finance | 343.03 RAM/LAW Law of transnational securitization | 343.03 WOO/CON Conflict of laws and international finance |
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.