Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Friday, May 18, 2012

Call For Papers: St. John's Law Review Symposium on Regulation of Financial Advice

Call For Papers
"Revolution in the Regulation of Financial Advice: the US, the UK and Australia"
Opening Speaker: Brian Shea, Chief Executive Officer of Pershing LLC, a BNY Mellon company

Recently, Australia and the UK have been carrying out radical reforms in compensation practices for investment advice to retail customers.   These reforms contrast sharply with the normal US practices of transparency and increased disclosure requirements.  On Friday, October 12, 2012, the St. John’s Law Review, in conjunction with the St. John’s Center for International and Comparative Law, will host a symposium featuring panelists from the United States, Australia, and the UK exploring recent developments in the regulatory regimes of those countries.  Specifically, the symposium will discuss the future of investment adviser regulation after Dodd-Frank in the US, the Future of Financial Advice in Australia, the Retail Distribution Review in the UK and other international developments in the regulation of financial advice. It will examine the benefits of different regulatory plans affecting broker-dealers and investment advisers ranging from mandatory disclosure to more substantive regulation preventing conflicts of interest.

The sponsors invite practitioners and scholars to submit papers advancing a novel perspective or proposal regarding the regulation of investment advisers in the United States, Australia, or the UK.  In order to include a broad range of papers, we ask that submissions be limited to a maximum of 8,000 words exclusive of footnotes.  All papers should be cited according to traditional journal conventions and submitted, along with the author’s curriculum vitae, to the following email address: RevRegConference.SJULaw@Gmail.Com. We ask that you submit your papers by August 20, 2012.

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