Financial Advice and Investor Protection

Contents:

Foreword by Peter Ellinger xiv
Preface xvi

PART I INTRODUCTION
1 Financial advice and investor protection: a comparative overview 2
Sandra Booysen
2 Robo financial advice: the new frontier 19
Yaru Chia

PART II THE PRIVATE LAW
3 Tort law as regulation in the financial industry 39
Christian Witting
4 Financial advice and the duty to advise 64
Sandra Booysen
5 Non-reliance clauses, entire agreement clauses and contractual estoppel 84
Hugh Beale QC FBA with Georgia Palmer
6 Banks, financial intermediaries and fiduciary duties 106
Gerard McMeel QC
7 Causation, remoteness and calculation of damages for financial mis-selling 130
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 165
Jeannie Marie Paterson
9 China: confronting a growing wealth management sector 190
Alex Zhou Qin
10 Hong Kong: balancing laissez-faire and investor protection 214
Carrie Ding Chunyan and John Ho
11 Singapore: boosting regulation to protect vulnerable investors 237
Dora Neo
12 The United Kingdom: the primacy of regulation in protecting the retail investor 261
Keith Stanton
13 The United States of America: shifting conduct standards for retail investment advice 284
Mercer Bullard
Bibliography

Index

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• Direito do consumidor
• Lei dos Serviços Financeiros e regulação

financial advice; financial inclusion; retail investor protection; investor protection regulation; financial dispute resolution; financial robo-advice