Reforming Corporate Retail Investor Protection

Regulating to Avert Mis-Selling

Reforming Corporate Retail Investor Protectio ...
Diane Bugeja, Diane Bugeja
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Last edited by MARC Bot
April 30, 2025 | History

Reforming Corporate Retail Investor Protection

Regulating to Avert Mis-Selling

"The spate of mis-selling episodes that have plagued the financial services industries in recent years has caused widespread detriment to investors. Notwithstanding numerous regulatory interventions, curtailing the incidence of poor investment advice remains a challenge for regulators, particularly because these measures are taken in a 'fire-fighting' fashion without adequate consideration being given to the root causes of mis-selling. Against this backdrop, this book focuses on the sale of complex investment products to corporate retail investors by drawing upon the widespread mis-selling of interest rate hedging products to these investors in the UK and beyond. It brings to the fore the relatively understudied field concerning the different degrees of investor protection mechanisms applicable to individual retail investors as opposed to corporate retail investors by taking stock of past regulatory reforms and forthcoming regulatory initiatives, as well as, more importantly, the conclusions reached by the judiciary in IRHP mis-selling claims. The conclusions are particularly interesting in that it is demonstrated that corporate retail investors are in a vulnerable position when compared to individual retail investors, and hence the former are exposed to a heightened risk of mis-selling, meaning that regulatory intervention should be targeted accordingly. The recommendations made as a result of these findings are further supported by insights emerging from behavioural law and economics theories. This book is aimed at researchers, lawyers and students with an interest in the financial regulation field, who are keen to explore potential regulatory reforms to the investment services regime which aim to address the root causes of mis-selling and restore a level playing field amongst all retail investors"--

Publish Date
Language
English
Pages
256

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Edition Availability
Cover of: Reforming Corporate Retail Investor Protection
Reforming Corporate Retail Investor Protection: Regulating to Avert Mis-Selling
2021, Bloomsbury Publishing Plc
in English
Cover of: Reforming Corporate Retail Investor Protection
Reforming Corporate Retail Investor Protection: Regulating to Avert Mis-Selling
2019, Bloomsbury Publishing Plc
in English
Cover of: Reforming Corporate Retail Investor Protection
Reforming Corporate Retail Investor Protection: Regulating to Avert Mis-Selling
2019, Bloomsbury Publishing Plc
in English
Cover of: Reforming Corporate Retail Investor Protection
Reforming Corporate Retail Investor Protection: Regulating to Avert Mis-Selling
2019, Bloomsbury Publishing Plc
in English

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Book Details


Classifications

Library of Congress
KD1774.B84 2019, KD1774eb, KD1774 .B84 2019

Edition Identifiers

Open Library
OL29442248M
ISBN 13
9781509925865
LCCN
2019031387
OCLC/WorldCat
1110657919, 1101772060
Digital Object Identifier (DOI)
10.5040/9781509925896

Work Identifiers

Work ID
OL21652883W

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