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Financial Industry Regulatory Authority (FINRA)

Australian regulation of financial advice lags in protecting investors but there is a fast catch-up

Australian regulation of financial advice lags in protecting investors but there is a fast catch-up

Prompted by the recent criticisms of the Australian Securities and Investments Commission’s (ASIC) management of regulation and the Commonwealth Bank’s questionable treatment of investors, Paul Resnik examines why Australian regulation of financial advice lags in protecting investors, and proposes a fast way to catch up. It’s useful to ask why the Australian community has lost so

Paul Resnik

July 21, 2014

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