Guide to Financial Investigations and Disciplinary Proceedings

This new book is the first available guide to the new procedures implemented by the Financial Services Authority. Written in a practical style, the text brings together provisions from Financial Services and Markets Act, new FSA regulations and Lord Chancellors' rules for Appeal Tribunals. It also examines the implications of the Human Rights Act. The book covers all areas where the FSA sets out the new disciplinary regime, including: insider dealing; market abuse; breach of FSA rules/principles; other disciplinary action against member firms; assistance to foreign regulators and Stock Exchange enquiries. Covering a wide range of issues, this book sets out the practical and legal aspects of dealing with the new disciplinary and enforcement regime, and discusses the consequences for related civil or criminal proceedings.