Financial Services: Authorisation, Supervision and Enforcement: A Litigators Guide

Hardcover | May 25, 2006

byJonathan Russen

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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. Italso 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. Inaddition 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 ofthese 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.

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From the Publisher

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. Italso clearly sets out the processes for aut...

Jonathan is a practising barrister in a leading set of London chambers specialising in Chancery and Commercial litigation including financial services and market regulation.
Format:HardcoverDimensions:432 pages, 9.69 × 6.73 × 1.18 inPublished:May 25, 2006Publisher:Oxford University PressLanguage:English

The following ISBNs are associated with this title:

ISBN - 10:0199296650

ISBN - 13:9780199296651

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Table of Contents

Introduction1. Regulation through Authorisation, Requirement and Approval2. Mainstream and Regulatory Offences3. The FSA's Powers of Investigation4. Criminal Prosecutions by the FSA5. Civil Liability and the Remedies and Sanctions Available to the FSA and Investors6. Market Abuse7. The FSA's Control of Money Laundering8. Restrictions upon Financial Promotions9. Practice and Procedure10. Independent Challenges to the FSA's Actions11. The Financial Ombudsman Service