Financial advice and investor protection : comparative law and practice / edited by Sandra Booysen.

Format:

Book

Contributor:

Edward Elgar Publishing, publisher.

Booysen, Sandra (Commercial law researcher), editor.

Series:

Elgar financial law and practice.

Elgar financial law and practice

Language:

English

Subjects (All):

Financial services industry--Law and legislation.

Financial services industry.

Investments--Law and legislation.

Investments.

Accounting--Law and legislation.

Accounting.

Physical Description:

1 online resource (380 pages)

Place of Publication:

Cheltenham, UK ; Northampton, MA : Edward Elgar Publishing Limited The Lypiatts, [2021]

Summary:

This comprehensive book offers a rigorous analysis of the legal debates, approaches and practice-related issues surrounding financial advice and investor protection. Despite widespread recognition of the importance of financial inclusion more broadly construed, recent financial crises have highlighted deficits in retail investor protection - this book informs the development of robust yet adaptable frameworks to protect investors, including effective enforcement and dispute resolution.

Contents:

Front Matter

Copyright

CONTENTS

EXTENDED CONTENTS

CONTRIBUTORS

FOREWORD BY PETER ELLINGER

PREFACE

ACKNOWLEDGEMENTS

TABLE OF CASES

TABLE OF LEGISLATION

PART I INTRODUCTION

1 FINANCIAL ADVICE AND INVESTOR PROTECTION: A COMPARATIVE OVERVIEW

2 ROBO FINANCIAL ADVICE: THE NEW FRONTIER

PART II THE PRIVATE LAW

3 TORT LAW AS REGULATION IN THE FINANCIAL INDUSTRY

4 FINANCIAL ADVICE AND THE DUTY TO ADVISE

5 NON-RELIANCE CLAUSES, ENTIRE AGREEMENT CLAUSES AND CONTRACTUAL ESTOPPEL

6 BANKS, FINANCIAL INTERMEDIARIES AND FIDUCIARY DUTIES

7 CAUSATION, REMOTENESS AND CALCULATION OF DAMAGES FOR FINANCIAL MIS-SELLING

PART III A JURISDICTIONAL PERSPECTIVE

8 FROM DISCLOSURE TO DESIGN: THE AUSTRALIAN REGULATORY RESPONSE TO MIS-SELLING TO CONSUMER INVESTORS BY FINANCIAL SERVICES PROVIDERS

9 CHINA: CONFRONTING A GROWING WEALTH MANAGEMENT SECTOR

10 HONG KONG: BALANCING LAISSEZ-FAIRE AND INVESTOR PROTECTION

11 SINGAPORE: BOOSTING REGULATION TO PROTECT VULNERABLE INVESTORS

12 THE UNITED KINGDOM: THE PRIMACY OF REGULATION IN PROTECTING THE RETAIL INVESTOR

13 THE UNITED STATES OF AMERICA: SHIFTING CONDUCT STANDARDS FOR RETAIL INVESTMENT ADVICE

BIBLIOGRAPHY

INDEX.

Notes:

Includes bibliographical references and index.

Description based on print version record.

Other Format:

Print version: Booysen, Sandra Financial Advice and Investor Protection

ISBN:

1-80088-462-1

OCLC:

1289371933