Financial Services: Authorisation, Supervision and Enforcement: A Litigator's Guide

— —

Jonathan Russen (Barrister at Maitland Chambers, Lincoln's Inn)

Financial Services

Authorisation, Supervision and Enforcement: A Litigator's Guide

Jonathan Russen (Barrister at Maitland Chambers, Lincoln's Inn)

$654

Hardback

Not in-store but you can order this
How long will it take?

Availability Information

We source books from suppliers in Australia and overseas. For books we don't currently have in stock, the time it takes to get them from our suppliers can vary widely - from a few days to a few months - so we check each book with each supplier to determine the expected time it will take to be supplied to us.

We then advise you accordingly. If the time taken to get any book is too long for you, you can let us know and we will cancel or adjust your order, and refund as required.

To find out the anticipated arrival time for specific items prior to ordering, please contact us by phone or email:

Phone +61 2 9264 3111, or 1800 4 BOOKS (1800 4 26657) if outside Sydney:
option 1 Abbey's Bookshop (Crime, History, Science, Kids & more) • info@abbeys.com.au
option 2 Language Book Centre (ESL & Foreign Languages) • language@abbeys.com.au
option 3 Galaxy Bookshop (Sci-fi, Fantasy, Romance, Graphic Novels) • sf@galaxybooks.com.au

QTY:

English

Oxford University Press
01 July 2006

Financial services industry; Civil procedure, litigation & dispute resolution; Commercial law; Financial law; Financial services law & regulation

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.

By: Jonathan Russen (Barrister at Maitland Chambers Lincoln's Inn)
Imprint: Oxford University Press
Country of Publication: United Kingdom
Dimensions: Height: 250mm, Width: 180mm, Spine: 30mm
Weight: 887g
ISBN: 9780199296651
ISBN 10: 0199296650
Pages: 434
Publication Date: 01 July 2006
Audience: Professional and scholarly , Undergraduate
Format: Hardback
Publisher's Status: Active

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

Jonathan is a practising barrister in a leading set of London chambers specialising in Chancery and Commercial litigation including financial services and market regulation.

Reviews for Financial Services: Authorisation, Supervision and Enforcement: A Litigator's Guide

'Bewitchingly readable, authoritative' -- The Times 'Excellent reading ! there can be little left to say after a biography of this length and thoroughness' -- Sunday Telegraph 'Flora Fraser is to be heartily congratulated in telling an entirely fascinating story in which all her characters come vividly, and sometimes pitiably, to life' -- Country Life 'A splendid, satisfying biography' -- Books and Bookmen 'Flora Fraser has produced a beautifully written, absorbing account of Emma's life' -- Times Educational Supplement 'Beloved Emma is a deeply moving biography of one of the most enigmatic and tragic figures of the late Eighteenth Century. During her lifetime, Lady Hamilton was the subject of countless portraits, after her death the victim of harsh caricatures. At last, in Flora Fraser she has a biographer able to capture both the woman and her times. Beloved Emma deserves to become a classic' -- Amanda Foreman 'A truly captivating and compelling tale' -- The Good Book Guide 20031101