Financial services : investigations and enforcement by Freshfields Bruckhaus Deringer.

By:

Deringer, Freshfields Bruckhaus

Material type: Text

TextLanguage: Publication details: Great Britain : Tottel pub., 2005.Edition: 2nd edDescription: 831 pISBN:

9781845922054

Subject(s):

Miscellany/Finance Law

DDC classification:

343.03 DER/FIN

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Holdings ( 1 )
Title notes ( 1 )

Holdings
Item type	Current library	Home library	Collection	Call number	Status	Date due	Barcode	Item holds
Reference	NLUO	NLUO	Reference	343.03 DER/FIN (Browse shelf(Opens below))	Available		9267

Total holds: 0

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.

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