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A01=HHJ Jonathan Russen QC
A01=Robin Kingham
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Author_HHJ Jonathan Russen QC
Author_Robin Kingham
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Financial Services Litigation

English

By (author): HHJ Jonathan Russen QC Robin Kingham

This book primarily provides assistance to litigators who find themselves acting for or against firms in contentious regulatory matters. The material covered is broad in that it covers matters of civil, criminal, administrative, and public law. It is also highly focused in that it is intended to act as a practical handbook for litigators; detailed explanations are given of practice, procedure, evidence, and remedies at the expense of general commentary on the non-contentious aspects of financial regulation. The book starts with two chapters that are primarily contextual. Chapter 1 provides an overview of the UK financial regulators whilst paying particular attention to the relationships between them and the ways in which those interactions can pose problems for litigators and the firms they represent. Chapter 2 summarises the authorisation process and its procedures, as well as the Senior Managers and Certification Regime. In both cases, it provides practical advice for firms and individuals in composing and submitting applications for authorisation and approval. Chapter 3 deals with the increasingly important topic of investigations and information gathering. It pays particular attention to the settlement of investigations and the FCA's procedures for determining discounts. The heart of this book is found in Chapters 4-7, which cover the various forums in which firms can be challenged for failing to adhere to regulatory standards. Unlike many works dealing with financial services regulation, which so often seem to focus on civil liability, this book aspires to be equally helpful to the criminal litigator. Criminal liability is therefore split in two. Chapter 4 covers practice, procedure, and evidence. Chapter 5 covers the substantive offences, defences, and sentencing. Civil liability is found in Chapters 6 and 7. Civil enforcement action taken by regulators, including RDC procedure, penalties, and an analysis of the basis and scope of the raft of potential remedies available to the regulator, are covered in Chapter 6. Individual action by investors and consumers is considered in Chapter 7 alongside wider legal principles that may come into play such as litigation. This chapter for the first time includes a detailed analysis of the types of claims often encountered by firms, including case studies on PPI and interest rate hedging products. Redress, complaints, the Financial Ombudsman Service, and relevant procedure are analysed in Chapter 8. Finally, Chapter 9 provides an overview of the independent methods of challenging regulators, including judicial review and the Financial Services Complaints Commissioner. See more
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A01=HHJ Jonathan Russen QCA01=Robin KinghamAge Group_UncategorizedAuthor_HHJ Jonathan Russen QCAuthor_Robin Kinghamautomatic-updateCategory1=Non-FictionCategory=LNACCategory=LNFXCategory=LNPFCOP=United KingdomDelivery_Delivery within 10-20 working daysLanguage_EnglishPA=AvailablePrice_€100 and abovePS=Activesoftlaunch
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Product Details
  • Weight: 788g
  • Dimensions: 177 x 252mm
  • Publication Date: 05 Mar 2020
  • Publisher: Oxford University Press
  • Publication City/Country: United Kingdom
  • Language: English
  • ISBN13: 9780198846512

About HHJ Jonathan Russen QCRobin Kingham

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.

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