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Financial Advice and Investor Protection: Comparative Law and Practice

Edited by: Sandra Booysen

ISBN13: 9781800884618
To be Published: December 2021
Publisher: Edward Elgar Publishing Limited
Country of Publication: UK
Format: Hardback
Price: £155.00



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.

Divided into three thematic parts, Financial Advice and Investor Protection begins with a holistic discussion of the subject, including an examination of the impact of relatively recent technical innovations such as robo-advice. The second part evaluates the role of private law in achieving investor protection, considering in particular how tort law, contract law and equity allocate risk and liability for investment advice. Finally, the book outlines the investor protection frameworks in the jurisdictions of six significant financial centres.

This book will be a crucial read for various stakeholders in the investor protection debate including practitioners advising clients who work in this field, particularly across several of the jurisdictions covered, as well as policymakers interested in the development of law and regulation in this area. Scholars and students of financial law will also benefit from its comprehensive and critical treatment of the subject.

Subjects:
Banking and Finance
Contents:
Foreword by Peter Ellinger
Preface
PART I. INTRODUCTION
1. Financial advice and investor protection: a comparative overview
Sandra Booysen
2. Robo financial advice: the new frontier
Yaru Chia
PART II. THE PRIVATE LAW
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 QC FBA with Georgia Palmer
6. Banks, financial intermediaries and fiduciary duties
Gerard McMeel QC
7. Causation, remoteness and calculation of damages for financial mis-selling
Katy Barnett
PART III. A JURISDICTIONAL PERSPECTIVE
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
Bibliography
Index