To read this content please select one of the options below:

(excl. tax) 30 days to view and download

Senior managers and discipline

Philip Ryley, John Virgo

Journal of Financial Regulation and Compliance

ISSN: 1358-1988

Article publication date: 1 September 2002

424

Abstract

The Financial Services and Markets Act 2000 (the Act) establishes extensive investigative powers and disciplinary powers that may be exercised by the Financial Services Authority (FSA) in certain circumstances. The Act further empowers the FSA to take disciplinary action against approved persons, as well as authorised firms. This paper examines the circumstances in which senior managers may find themselves personally culpable for regulatory breaches and become the subject of disciplinary proceedings.

Keywords

Citation

Ryley, P. and Virgo, J. (2002), "Senior managers and discipline", Journal of Financial Regulation and Compliance, Vol. 10 No. 3, pp. 284-289. https://doi.org/10.1108/13581980210810274

Publisher

:

MCB UP Ltd

Copyright © 2002, MCB UP Limited

Related articles