skip to content
A practitioner's guide to FSA investigations and enforcement Preview this item
ClosePreview this item
Checking...

A practitioner's guide to FSA investigations and enforcement

Author: Angela Hayes; Calum Burnett
Publisher: Old Woking, Surrey, UK : City & Financial Publishing, ©2007.
Edition/Format:   Print book : English : 2nd edView all editions and formats
Summary:

Containing 14 chapters, this book explains the principles that underpin FSA enforcement regime. It offers a guide to how these principles must be followed so the question of an FSA investigation or  Read more...

Rating:

(not yet rated) 0 with reviews - Be the first.

Subjects
More like this

 

Find a copy in the library

&AllPage.SpinnerRetrieving; Finding libraries that hold this item...

Details

Document Type: Book
All Authors / Contributors: Angela Hayes; Calum Burnett
ISBN: 9781905121137 190512113X
OCLC Number: 137239957
Notes: Includes index.
Description: xvi, 398 pages ; 23 cm
Contents: Introduction and overview --
The FSA perspective --
FSA requests for information-General Principles --
Notifying the FSA of regulatory problems and conducting internal investigations --
Skilled persons report --
Remedial action under FSMA 2000 --
Formal FSA Investigations: Civil Investigations --
Formal FSA investigations: criminal investigations --
How the FSA makes disciplinary and enforcement decisions --
The role of Mediation --
Disciplinary sanctions and other enforcement options --
Challenging FSA decisions --
the financial services and markets tribunal --
Challenging FSA decisions-the courts and other avenues --
Interface with other investigations and proceedings.
Responsibility: consultant editors, Angela Hayes and Calum Burnett.

Reviews

User-contributed reviews
Retrieving GoodReads reviews...
Retrieving DOGObooks reviews...

Tags

Be the first.
Confirm this request

You may have already requested this item. Please select Ok if you would like to proceed with this request anyway.

Linked Data


Primary Entity

<http://www.worldcat.org/oclc/137239957> # A practitioner's guide to FSA investigations and enforcement
    a schema:Book, schema:CreativeWork ;
   library:oclcnum "137239957" ;
   library:placeOfPublication <http://experiment.worldcat.org/entity/work/data/479496893#Place/old_woking_surrey_uk> ; # Old Woking, Surrey, UK
   library:placeOfPublication <http://id.loc.gov/vocabulary/countries/enk> ;
   schema:about <http://id.loc.gov/authorities/subjects/sh2008120579> ; # Financial services industry--Great Britain
   schema:about <http://id.worldcat.org/fast/924636> ; # Financial institutions
   schema:about <http://id.loc.gov/authorities/subjects/sh2008103744> ; # Financial institutions--Great Britain
   schema:about <http://id.worldcat.org/fast/1204623> ; # Great Britain.
   schema:about <http://id.worldcat.org/fast/924738> ; # Financial services industry
   schema:about <http://id.loc.gov/authorities/classification/KD1715> ;
   schema:about <http://viaf.org/viaf/265741599> ; # Financial Services Authority (Great Britain)
   schema:about <http://experiment.worldcat.org/entity/work/data/479496893#Organization/financial_services_authority_great_britain> ; # Financial Services Authority (Great Britain)
   schema:about <http://dewey.info/class/346.4108/e22/> ;
   schema:bookEdition "2nd ed." ;
   schema:bookFormat bgn:PrintBook ;
   schema:contributor <http://viaf.org/viaf/33977038> ; # Angela Hayes
   schema:contributor <http://viaf.org/viaf/19200583> ; # Calum Burnett
   schema:copyrightYear "2007" ;
   schema:datePublished "2007" ;
   schema:description "Introduction and overview -- The FSA perspective -- FSA requests for information-General Principles -- Notifying the FSA of regulatory problems and conducting internal investigations -- Skilled persons report -- Remedial action under FSMA 2000 -- Formal FSA Investigations: Civil Investigations -- Formal FSA investigations: criminal investigations -- How the FSA makes disciplinary and enforcement decisions -- The role of Mediation -- Disciplinary sanctions and other enforcement options -- Challenging FSA decisions -- the financial services and markets tribunal -- Challenging FSA decisions-the courts and other avenues -- Interface with other investigations and proceedings."@en ;
   schema:exampleOfWork <http://worldcat.org/entity/work/id/479496893> ;
   schema:inLanguage "en" ;
   schema:name "A practitioner's guide to FSA investigations and enforcement"@en ;
   schema:productID "137239957" ;
   schema:publication <http://www.worldcat.org/title/-/oclc/137239957#PublicationEvent/old_woking_surrey_uk_city_&_financial_publishing_2007> ;
   schema:publisher <http://experiment.worldcat.org/entity/work/data/479496893#Agent/city_&_financial_publishing> ; # City & Financial Publishing
   schema:workExample <http://worldcat.org/isbn/9781905121137> ;
   umbel:isLike <http://bnb.data.bl.uk/id/resource/GBA874465> ;
   wdrs:describedby <http://www.worldcat.org/title/-/oclc/137239957> ;
    .


Related Entities

<http://experiment.worldcat.org/entity/work/data/479496893#Agent/city_&_financial_publishing> # City & Financial Publishing
    a bgn:Agent ;
   schema:name "City & Financial Publishing" ;
    .

<http://experiment.worldcat.org/entity/work/data/479496893#Organization/financial_services_authority_great_britain> # Financial Services Authority (Great Britain)
    a schema:Organization ;
   schema:name "Financial Services Authority (Great Britain)" ;
    .

<http://experiment.worldcat.org/entity/work/data/479496893#Place/old_woking_surrey_uk> # Old Woking, Surrey, UK
    a schema:Place ;
   schema:name "Old Woking, Surrey, UK" ;
    .

<http://id.loc.gov/authorities/subjects/sh2008103744> # Financial institutions--Great Britain
    a schema:Intangible ;
   schema:name "Financial institutions--Great Britain"@en ;
    .

<http://id.loc.gov/authorities/subjects/sh2008120579> # Financial services industry--Great Britain
    a schema:Intangible ;
   schema:name "Financial services industry--Great Britain"@en ;
    .

<http://id.worldcat.org/fast/1204623> # Great Britain.
    a schema:Place ;
   schema:name "Great Britain." ;
    .

<http://id.worldcat.org/fast/924636> # Financial institutions
    a schema:Intangible ;
   schema:name "Financial institutions"@en ;
    .

<http://id.worldcat.org/fast/924738> # Financial services industry
    a schema:Intangible ;
   schema:name "Financial services industry"@en ;
    .

<http://viaf.org/viaf/19200583> # Calum Burnett
    a schema:Person ;
   schema:familyName "Burnett" ;
   schema:givenName "Calum" ;
   schema:name "Calum Burnett" ;
    .

<http://viaf.org/viaf/265741599> # Financial Services Authority (Great Britain)
    a schema:Organization ;
   schema:name "Financial Services Authority (Great Britain)" ;
    .

<http://viaf.org/viaf/33977038> # Angela Hayes
    a schema:Person ;
   schema:familyName "Hayes" ;
   schema:givenName "Angela" ;
   schema:name "Angela Hayes" ;
    .

<http://worldcat.org/isbn/9781905121137>
    a schema:ProductModel ;
   schema:isbn "190512113X" ;
   schema:isbn "9781905121137" ;
    .


Content-negotiable representations

Close Window

Please sign in to WorldCat 

Don't have an account? You can easily create a free account.