Deringer, Freshfields Bruckhaus <br/><br/>
Financial services :   investigations and enforcement 
by Freshfields Bruckhaus Deringer. 
 - 2nd ed. 
 - Great Britain :  Tottel pub.,  2005. 
 - 831 p. 
<br/><br/> Table of contents:<br/>Chapter 1. Some basic principles<br/>Chapter 2. Steps to take when regulatory problems arise<br/>Chapter 3. Information gathering and investigation<br/>Chapter 4. The disciplinary and enforcement process<br/>Chapter 5. The tribunal and appeals<br/>Chapter 6. Disciplinary sanctions and other regulatory actions against firms<br/>Chapter 7. Disciplinary sanctions and other regulatory action against individuals<br/>Chapter 8. Own- initiative powers<br/>Chapter 9. Civil liabilities to third party<br/>Chapter 10. Criminal prosecutions<br/>Chapter 11. The ombudsman scheme<br/>Chapter 12. Mis-selling<br/>Chapter 13. Market misconduct<br/>Chapter 14. Listed companies<br/>Chapter 15. Challenges and complaints<br/>Index.<br/> 
<br/><br/><label>ISBN: </label>9781845922054 
<br/><br/><label>Subjects--Topical Terms: </label><br/>Miscellany/Finance Law.
<br/><br/><label>Dewey Class. No.: </label>343.03  / DER/FIN