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The purpose of this paper is to summarize the Financial Services Authority's (FSA's) enforcement procedures pursuant to powers granted by the Financial Services and Markets Act 2000 (“FMSA”) to impose a variety of sanctions on firms and individuals for breaches of rules under FSMA and other legislation.

Describes FSA's approach to enforcement; how the FSA decides to commence an enforcement investigation; the FSA's powers to gather information and investigate; the FSA's policies and procedures on interviews; the FSA's policies on publicity; how a firm under investigation should involve both internal and external counsel; how the FSA decides to take enforcement action; the role of the Regulatory Decisions Committee (RDC); the FSA's power to prosecute criminal offenses; civil court proceedings, including injunctions, restitution orders, and insolvency proceedings; FSA disciplinary actions; the Statutory Notice Procedure; how the FSA issues decision notices; the role of the Tribunal; and settlement and mediation procedures.

The FSA is increasingly ready to commence enforcement proceedings and where necessary, impose significantly higher financial penalties than before in respect of rules breaches. While familiarity with the detailed procedural rules is important, it is not a substitute for the exercise of common sense and judgement. Each case is different. A final determination of the matter through settlement negotiations is strongly encouraged by the FSA.

An essential summary and reference guide to the FSA's enforcement powers and procedures especially relevant to senior management and to those in compliance who are dealing with actual or potential FSA enforcement action.

This study aims to compare the impacts of proceedings papers in the fields of social science and humanities (SSH) and science.

This study involved not only citations but also altmetric indexes to compare the impacts of proceedings papers among multiple disciplines with 1,779,166 records from Conference Proceedings Citation Index (CPCI) in the Web of Science (WoS) in the period of 2013–2017. The mean value, concentration ratio, Lorenz curves and correlation analysis are utilized into the comparative analysis.

(1) Proceedings papers in science fields had higher scholarly impacts than those in SSH fields. (2) As for societal impact, clinical, pre-clinical and health still ranked first, whereas physical science and engineering and technologies were transcended by SSH fields, which is different from the scholarly impact of proceedings papers. (3) As for proceedings papers, citations and altmetric indexes have weak or moderate correlations in all six fields, indicating that altmetrics can be supplemented when assessing proceedings papers.

This study is expected to enhance the understanding of proceedings papers and to promote accuracy of evaluation for them by exhibiting the multidisciplinary differences of their scholarly and societal impacts.

The purpose of this paper is to explore approaches to the regulation of healthcare complaints and disciplinary processes.

A literature review was conducted across Medline, Sociological Abstracts, Web of Science, Google Scholar and the health, law and social sciences collections of Informit, using terms tapping both the complaints process and regulation generally.

A total of 118 papers dealing with regulation of health complaints or disciplinary proceedings were located. The review reveals a shift away from self-regulation towards greater external oversight, including innovative regulatory approaches including “networked governance” and flexible or “responsive” regulation. It reports growing interest in adoption of strategic and responsive approaches to health complaints governance, by rejecting traditional legal forms in favor of more strategic and responsive forms, taking account of the complexity of adverse health events by tailoring responses to individual circumstances of complainants and their local environments.

The challenge of how to collect and harness complaints data to improve the quality of healthcare at a systemic level warrants further research. Scope also exists for researching health complaints commissions and other “meta-regulatory” bodies to explore how to make these processes fairer and better able to meet the complex needs of complainants, health professionals, health services and society.

In 1972, Mr Andreou became a member of the Institute of Chartered Accountants for England and Wales (The Institute). On 14th December 1993, the disciplinary committee of the Institute found him guilty of serious disciplinary charges and as a result he was excluded from membership. Mr Andreou wished to overturn this decision but failed to bring an internal appeal within 28 days, the time prescribed by the Institute's by‐law 85(c). Mr Andreou was refused an extension of time in which to appeal, being informed in a letter from the Institute that stated ‘The Institute had no discretion to extend the time limit’. Being unable to appeal, Mr Andreou then made an application for leave to apply for judicial review in order to challenge the vires of by‐law 85(c) and the decision of the Institute that it had no power to extend time. On 26th April 1995, Mr Andreou was granted leave by the Court of Appeal. He was also allowed to amend his application to include a claim for damages. However, he failed to enter a notice of motion within 14 days required by RSC Ord 53 r5(5). He then applied for an extension of time in which to enter his notice of motion. This was refused on the grounds of unjustified delay. The Court of Appeal dismissed his appeal against that decision but ordered that the claim continue as if it begun by writ pursuant to RSC Ord 53 r9(5). By amended notice the plaintiff applied for an order of certiori quashing the Institute's decision of 22nd February. A declaration that the by‐laws insofar as they imposed the 28‐day period for appeal without exception, were unlawful and damaging. The application was dismissed on the ground that the complaint was of a private character, notwithstanding it involved an examination of the Institute's by‐laws. The Institute appealed.

The decision of the Secretary of State for Trade and Industry to seek disqualification orders in the High Court against several former senior executives of Barings under the Company Directors' Disqualification Act 1986 (CDDA) has brought the bank's collapse firmly into the province of company law. The immediate cause of Barings' collapse in February 1995 was put down to the unauthorised trading activities of a group subsidiary, Baring Futures (Singapore) Pte Ltd, on the Singapore International Monetary Exchange. These activities were attributable to Nick Leeson, the senior floor trader and general manager of Baring Futures. The unauthorised trading produced losses amounting to some £827m which were concealed by Leeson in an unnamed client account. The bank's collapse raised fundamental questions about the system of financial regulation and, in particular, the interaction of banking supervision and the regulation of financial services under the Financial Services Act 1986. For present purposes, it also exposed the failure of the bank's senior management to maintain a proper system of internal controls.

The purpose of this paper is to give a better insight to the legal society, practitioners and legislators of the working mechanisms of money laundering activities, as well as the functionalities of the Anti‐Money Laundering and Anti‐terrorism Financing Act 2003 (AMLATFA) in Malaysia, in curbing money laundering and terrorism funding activities. At the same time, the paper provides an overview on the applicability and practicability of the enforcement mechanisms in Malaysia by exploring legislations from different jurisdictions that are more developed.

The paper achieves this by having a cross‐sectional analysis onto the legislation in Malaysia such as AMLATFA and also similar legislations found in countries such as the UK. A complete insight is further gained by having interviews with experts in the judiciary, Bank Negara, as well as the experts from the Attorney General's Chamber in Malaysia regarding their insight into the subject matter. Last but not least, the authors also surveyed into the different points of view from journal articles in Malaysia and globally.

Malaysia has a legal framework for curbing money laundering but the current AMLATFA provisions are considered to have failed to be effectively enforced. A more comprehensive, specific and well elaborated legal framework will have to be laid down in order to create a better platform for the prosecutors to bring a good case against these money launderers.

This paper will give a deeper insight to the legal society of the capability of AMLATFA and the lack of it, in curbing money laundering in Malaysia and, at the same time, creating awareness among policy makers of the difficulties faced by the enforcement bureaus in prosecuting these money launderers due to the lacunas in the current law.

This paper could be useful source of information for practitioners, academics, policymakers and students and a guide for any possible future amendments to the current insufficiency.

Although there is a growing body of work on immigrants' information behavior, little is known about the pre-arrival information experiences of immigrants who consult formal information sources such as immigration agents. Drawn from a larger study on the information behavior of immigrants, this paper mainly reports the semi-structured interview findings on the pre-arrival information experiences of Bangladeshi immigrants who used formal information sources with discussion on how that affected their post-arrival settlement into Canada.

The study used a mixed method approach with semi-structured interviews (n = 60) and surveys (n = 205) with participants who arrived in Canada between the years of 1971 and 2017. Data were collected from May 2017 to February 2018.

Although the overall scope of the original study is much larger, this paper features findings on the pre-arrival information experiences derived mainly from an analysis of interview data. This study provides insights into the pre-arrival information experiences of Bangladeshi immigrants consulting formal information sources such as immigration firms, individual immigration consultants and more formal government agencies. The author introduces a new concept of “information crafting” by exploring the negative consequences of selective information sharing by immigration consultants/agents in newcomers' settlements in Canada, primarily positive information about life in Canada, sometimes with exaggeration and falsification. The interview participants shared story after the story of the settlement challenges they faced after arriving in Canada and how the expectations they built through the information received from immigration consultants and government agencies did not match after arrival. This study emphasizes the importance of providing comprehensive information about life in Canada to potential newcomers so that they can make informed decisions even before they apply.

The findings of this study have theoretical and practical implications for policy and research. This study provides insights into the complicated culturally situated pre-arrival information experiences of Bangladeshi immigrants. Moreover, the study findings encourage researchers in various disciplines, including psychology, migration studies and geography, to delve more deeply into newcomers' information experiences using an informational lens to examine the information newcomers receive from diverse sources and their effects on their post-arrival settlement in a new country. The study challenges the general assumptions that formal information sources are always reputable, useful, and comprehensive, and it provides some future directions for research that seeks to understand the culturally situated information behavior of diverse immigrant groups.

This study aims to explore the perception of physicians and nurses toward the prevalence of workplace bullying behaviors (verbal, physical, social, and cyber) in Jordanian public hospitals.

The study population consisted of 1,056 physicians and nurses working on the day and night shifts in four leading public hospitals in Jordan. A convenient nonprobability sample of 460 physicians and nurses was chosen randomly to answer the self-administrated questionnaire developed by the authors. Descriptive and inferential statistics were conducted using SPSS 26.0. Statistical significance was set at p < 0.05.

Participants reported that the prevalence of workplace bullying behaviors was 23% (M = 1.15). The practice of the bullying types was in descending order as follows: verbal (25%), social (24.8%), physical (21.4%), and cyber (21%). Abusers spread rumors about the victims (31%), verbally harass them for provocation (29%), physically damage their things without any reason (26%), and make fun of their posts on social media (21%). Cyberbullying was significantly and strongly associated with social bullying (0.88). Ph.D. and master's holders reported higher practice of workplace bullying behaviors than respondents who hold a diploma or a bachelor's degree. In addition, respondents who work the day shift reported higher verbal bullying than the night shift respondents.

There is a need to develop effective policies and procedures that tackle the practice of workplace bullying by educating employees about the nature of workplace bullying, its effects on individual and organizational outcomes, and how to prevent its adverse consequences.

This is one of the first comprehensive studies in the Arab context that explores workplace bullying against physicians and nurses.

This paper examines the problems of parallel proceedings against financial intermediaries, and the solutions offered by German law. The first part identifies the practical problems and principal questions of parallel proceedings. The second part describes the proceedings which can be brought against financial intermediaries in Germany. The third part provides an overview of how the fundamental problems and questions of parallel proceedings are dealt with under German law. The fourth and final part analyses special problems and constellations.