Financial Advice and Investor Protection: Comparative Law and Practice

Author: Sandra Booysen
Publisher: Edward Elgar Publishing
ISBN: 9781800884618
Published In: December 2021
Format: Hardback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents

Details

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.

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