Wednesday, September 12, 2012

Symposium on Revolution in the Regulation of Financial Advice: The US, UK and Australia

On Friday, October 12, 2012, St.  John's University in New York is hosting a all day symposium on The Revolution in the Regulation of Financial Advice: The U.S., the U.K. and Australia. 

Recently, Australia and the U.K. have been carrying out radical reforms in compensation practices for investment advice to retail customers. These reforms contrast sharply with the normal U.S. practices of transparency and increased disclosure requirements. The Symposium will feature panelists from the U.S., Australia and the U.K. exploring recent developments in the regulatory regimes of those countries. Specifically, panelists will discuss the future of investment adviser regulation after Dodd-Frank in the U.S., the Future of Financial Advice in Australia and the Retail Distribution Review in the U.K. The Symposium will also examine the benefits of different regulatory plans ranging from mandatory disclosure to more substantive regulation preventing conflicts of interest.

Opening Speaker

Brian Shea, Chief Executive Officer, Pershing LLC, a BNY Mellon Company

Keynote Speaker

Phyllis C. Borzi, Assistant Secretary of Labor, Employee Benefits Security


  • The Future of Fiduciary Duties for Financial Advice
  • The Structure of Regulation for Investment Advisers: A Self-Regulatory Organization or Not?
  • International Issues in the Regulation of Financial Advice

CLE credit is available. There is no fee to attend the symposium, but registration is required.  For more information, visit the symposium website.


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