Practitioner's Guide to Financial Services Investigations and Enforcement

A Practitioner's Guide to Financial Services Investigations and Enforcement explains the key principles that underpin enforcement. This new 3rd edition: Shows how an investigation should be prepared for and handled Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action Explains the key principles that underpin the enforcement regime Shows how these principles must be followed so that investigation is not necessitated Goes through requests for information Deals with civil and criminal investigations Assesses remedial action and notifying regulatory problems and internal investigations Details how to challenge decisions Advises on the strategies and tactics that are likely to result in the best outcome if the investigation leads to enforcement action Takes into account the role of mediation Looks at disciplinary sanctions and other enforcement options