Financial Services: Authorisation, Supervision and Enforcement: A Litigator's Guide (Hardback)Jonathan Russen (author)
Hardback 434 Pages / Published: 25/05/2006
- We can order this
Financial Services: Authorisation, Supervision and Enforcement provides litigators and compliance advisers with an understanding of the powers available to the Financial Services Authority in the context of the regulatory regime established under the Financial Services and Markets Act 2000. It also clearly sets out the processes for authorisation and examines the meaning of 'regulated activity'. The text comprehensively explains the investigatory powers, sanctions and remedies available to the FSA, and the procedures applicable to their exercise, giving invaluable assistance to those advising and representing firms in proceedings involving the FSA. All such proceedings are considered, whether they take the form of an FSA investigation, disciplinary proceedings involving the Regulatory Decisions Committee or the Financial Services and Markets Act Tribunal, civil proceedings in the High Court, or a criminal prosecution. Russen not only makes extensive reference to the detailed provisions of the FSA Handbook, but also addresses, where appropriate, particular issues of practice and procedure that are likely to have an impact upon FSA investigations and any civil or criminal proceedings instituted by the FSA. In addition to its detailed treatment of the procedure governing action and litigation by the FSA, the book contains chapters on the authorisation process and on the substantive law (including complex secondary legislation) relating to money laundering, market abuse and financial promotions. Each of these areas is at the heart of the FSA's role as the single regulator of the financial markets in the UK and has been the subject of recent and substantial change both internally and as result of European developments. The powers of the FSA and the procedures relating to enforcement and litigation in this area are examined in the context of the authorisation rules and ways in which authorised entities may commit regulatory offences.
Publisher: Oxford University Press
Number of pages: 434
Weight: 887 g
Dimensions: 250 x 180 x 30 mm
You may also be interested in...
Please sign in to write a review
Simply reserve online and pay at the counter when you collect. Available in shop from just two hours, subject to availability.
Thank you for your reservation
Your order is now being processed and we have sent a confirmation email to you at
When will my order be ready to collect?
Following the initial email, you will be contacted by the shop to confirm that your item is available for collection.
Call us on or send us an email at
Unfortunately there has been a problem with your order
Please try again or alternatively you can contact your chosen shop on or send us an email at