Introduction to Symposium: Revolution in the Regulation of Financial Advice: The U.S., the U.K. and Australia

17 Pages Posted: 6 Jun 2019

Date Written: Spring 2013

Abstract

This Symposium brought together legal academics, practicing lawyers and business people to discuss new directions in the regulation of financial advice to retail investors. Recently, this has been the subject of many initiatives around the world. The Symposium examined three of these initiatives in the United States, the United Kingdom and Australia. In the U.S., the approach historically has been based on disclosure to manage conflicts of interest. Although the U.K. and Australia have not done away with disclosure, they have moved to banning certain practices, especially in the area of compensation to investment advisers from product providers that can result in conflicts of interest between an investment adviser and its clients.

Suggested Citation

Facciolo, Francis, Introduction to Symposium: Revolution in the Regulation of Financial Advice: The U.S., the U.K. and Australia (Spring 2013). St. John's Law Review Vol. 87, Numbers 2-3, Article 1 (2013), St. John's Legal Studies Research Paper No. 19-0013, Available at SSRN: https://ssrn.com/abstract=3357766

Francis Facciolo (Contact Author)

St. John's University School of Law ( email )

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