Description
This book is a guide to the enforcement regime administered by the Financial Services Authority. It is an invaluable guide for litigators advising those affected by the regime, as well as for those who hold a position of responsibility within investment firms who need to understand the purpose, of the detailed and complex regulatory requirements to which firms are subject.
This new book presents a detailed and in-depth study of the enforcement regime administered by the Financial Services Authority. An invaluable guide for litigators advising those affected by the regime, as well for those who hold a position of responsibility within investment firms who need to understand the purpose, of the detailed and complex regulatory requirements to which firms are subject. It also assist those setting out to obtain authorised status as investment firms by providing a guide to the processes.
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