Securities Law Prof Blog

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

Tuesday, September 11, 2012

St. John's Law Hosts Symposium on Regulation of Financial Advice

St. John's School of Law is hosting a symposium on Revolution in the Regulation of Financial Advice: The U.S., the U.K. and Australia on October 12, 2012:

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.

For additional information, and to register for the symposium, see the law school's website.

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