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基本説明
A detailed and in-depth study of the enforcement regime administered by the Financial Services Authority.
Full Description
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.
Contents
Introduction ; 1. Regulation through Authorisation, Requirement and Approval ; 2. Mainstream and Regulatory Offences ; 3. The FSA's Powers of Investigation ; 4. Criminal Prosecutions by the FSA ; 5. Civil Liability and the Remedies and Sanctions Available to the FSA and Investors ; 6. Market Abuse ; 7. The FSA's Control of Money Laundering ; 8. Restrictions upon Financial Promotions ; 9. Practice and Procedure ; 10. Independent Challenges to the FSA's Actions ; 11. The Financial Ombudsman Service
