Read more
This book provides a dedicated and comprehensive work on contentious financial regulatory matters. It draws together all of the elements necessary for bringing or defending a civil or criminal law financial services matter.
List of contents
- 1: The UK Financial Regulators
- 2: Regulation Through Authorisation and Approval
- 3: Investigations and Information Gathering
- 4: Criminal Prosecutions by Regulators - Procedural Considerations
- 5: Criminal Prosecutions by Regulators - The Offences
- 6: Civil Enforcement by Regulators
- 7: Civil Liability of Firms for Regulatory Breaches
- 8: Redress
- 9: Independent Challenges to the Regulators
About the author
Previously a silk in practice at Maitland Chambers, HHJ Russen QC is now a Specialist Circuit Judge and the appointed Commercial Circuit and TCC Judge sitting in the Business and Property Courts in Bristol (also holding a ticket for Chancery High Court work). He is the sole author of the previous edition of Financial Services: A Litigator's Guide and a contributor to Civil Fraud: Law, Practice and Procedure, Sweet & Maxwell (2018).
Robin Kingham is a barrister in private practice at Gough Square Chambers. Twice seconded to the FCA, he specialises in financial services law with a focus on contentious regulatory cases. He is the general editor of The Encyclopedia of Financial Services Law, Sweet & Maxwell (loose-leaf) and a contributing author of A Practitioner's Guide to the UK Financial Services Rulebooks, Sweet & Maxwell, (7th ed). He is also the author of several published articles.
Summary
This book provides a dedicated and comprehensive work on contentious financial regulatory matters. It draws together all of the elements necessary for bringing or defending a civil or criminal law financial services matter.
