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04356aam a2200421 i 4500 001 ED5B1870C7F211EAB1F2873797128E48 003 SILO 005 20200717010022 008 190723t20192019enk b 001 0 eng 010 $a 2019031387 020 $a 1509925864 020 $a 9781509925865 035 $a (OCoLC)1101772060 040 $a DLC $b eng $e rda $c DLC $d OCLCF $d UKMGB $d OCLCQ $d BDX $d GUL $d OCLCO $d OCLCQ $d YDX $d SILO 042 $a pcc 043 $a e-uk--- 050 00 $a KD1774 $b .B84 2019 100 1 $a Bugeja, Diane, $e author. 245 10 $a Reforming corporate retail investor protection : $b regulating to avert mis-selling / $c Diane Bugeja. 264 1 $a Oxford ; $b Hart, $c 2019. 300 $a xxviii, 222 pages ; $c 24 cm. 490 1 $a Hart studies in commercial and financial law 500 $a Based on author's dissertation (doctoral - King's College London, Dickson Poon School of Law, 2018) issued under title: An analysis of the UK corporate retail investor protection framework regulating the sale of complex investment products. 504 $a Includes bibliographical references (pages 177-206) and index. 505 0 $a Breadth of Investor Protection Regulation -- Understanding Corporate Retail Investors and their Behavioural Biases -- Applying Regulatory Reforms and Redress Avenues to the Case of Corporate Retail -- Distinguishing between 'Information' and 'Investment Advice' -- Championing the Written Contract as the Decisive Tool for Managing Expectations: A Focus on the Mis-selling of IRHPs to Corporate Retail Investors -- Exploring the Co-extensive Relationship between Private Law and Regulation -- Regulating to Prevent Mis-selling : Proposals for Reform 520 $a "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"-- $c Provided by publisher. 650 0 $a Securities $z Great Britain. 650 0 $a Individual investors $x Legal status, laws, etc. $z Great Britain. 650 0 $a Consumer protection $x Law and legislation $z Great Britain. 650 7 $a Consumer protection $x Law and legislation. $2 fast $0 (OCoLC)fst00876372 650 7 $a Securities. $2 fast $0 (OCoLC)fst01110743 651 7 $a Great Britain. $2 fast $0 (OCoLC)fst01204623 653 $a Complex Investment Products 776 08 $i Online version: $a Bugeja, Diane, $t Reforming corporate retail investor protection $d Oxford ; New York : Hart 2019. $z 9781509925889 $w (DLC) 2019031388 830 0 $a Hart studies in commercial and financial law. 941 $a 1 952 $l OVUX522 $d 20210721015359.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=ED5B1870C7F211EAB1F2873797128E48Initiate Another SILO Locator Search