A2B Symposium - Academic 2 Business - Research informing Business
19th November 2014, InterContinental Sydney, 117 Macquarie St, Sydney NSW, Australia
Professor Geoff Kingston
Topic: Regulating Financial Advice: Lessons from the United States, the United Kingdom and Canada (joint work with Professor Hazel Bateman, School of Risk and Actuarial Studies, University of New South Wales)
In mid 2014 the Corporations Amendment (Streamlining of Future of Financial Advice) Bill had undergone a second draft, with minor changes initiated by crossbench parliamentarians, but had not been enacted. Some commentators have suggested starting again from scratch. Accordingly, we stand back and review how financial advice is regulated in the leading common-law countries, namely the United States, the United Kingdom and Canada. We also review the debates in those countries about the regulation of advice. We draw out implications for both the old and the revised versions of FoFA.
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