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.
1. Financial advice and investor protection: a comparative overview (Sandra Booysen)
2. Robo financial advice: the new frontier (Yaru Chia)
3. Tort law as regulation in the financial industry (Christian Witting)
4. Financial advice and the duty to advise (Sandra Booysen)
5. Non-reliance clauses, entire agreement clauses and contractual estoppel (Hugh Beale with Georgia Palmer)
6. Banks, financial intermediaries and fiduciary duties (Gerard McMeel)
7. Causation, remoteness and calculation of damages for financial mis-selling (Katy Barnett)
8. From disclosure to design: the Australian regulatory response to mis-selling to consumer investors by financial services providers (Jeannie Marie Paterson)
9. China: confronting a growing wealth management sector (Alex Zhou Qin)
10. Hong Kong: balancing laissez-faire and investor protection (Carrie Ding Chunyan and John Ho)
11. Singapore: boosting regulation to protect vulnerable investors (Dora Neo)
12. The United Kingdom: the primacy of regulation in protecting the retail investor (Keith Stanton)
13. The United States of America: shifting conduct standards for retail investment advice (Mercer Bullard)
Sandra Booysen (ed), Financial Advice and Investor Protection: Comparative Law and Practice. Edward Elgar Publishing, December 2021. 384pp. ISBN-10 1800884613, ISBN-13 978-1800884618.
First posted 2021-12-09 09:50:01
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