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Trust, Conflicts of Interest, and Fiduciary Duties: Ethical Issues in the Financial Planning Industry in Australia

Seumas Miller

in Capital Failure: Rebuilding Trust in Financial Services

Published in print:
2014
Published Online:
October 2014
ISBN:
9780198712220
eISBN:
9780191780752
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198712220.003.0014
Subject:
Economics and Finance, Financial Economics, Economic Systems

This chapter describes the Future of Financial Advice (FOFA) legislation introduced in Australia to deal with problems in the professional ethics of financial advisors. The legislation bans various ... More


Manipulation abounds

Oonagh McDonald

in Holding bankers to account: A decade of market manipulation, regulatory failures and regulatory reforms

Published in print:
2019
Published Online:
September 2019
ISBN:
9781526119438
eISBN:
9781526144577
Item type:
chapter
Publisher:
Manchester University Press
DOI:
10.7228/manchester/9781526119438.003.0003
Subject:
Business and Management, Finance, Accounting, and Banking

This chapter charts the loss of faith in LIBOR that began to set in during the Financial Crisis, particularly following two articles in the Wall Street Journal. Investigation by the regulators ... More


Manipulating the foreign exchange market

Oonagh McDonald

in Holding bankers to account: A decade of market manipulation, regulatory failures and regulatory reforms

Published in print:
2019
Published Online:
September 2019
ISBN:
9781526119438
eISBN:
9781526144577
Item type:
chapter
Publisher:
Manchester University Press
DOI:
10.7228/manchester/9781526119438.003.0007
Subject:
Business and Management, Finance, Accounting, and Banking

This chapter uses evidence collected by regulators to demonstrate how dealers’ practice of acting as principals rather than agents put their clients at risk. Containing extensive excerpts from ... More


Share Buy-backs and Redeemable Shares

Eilís Ferran and Look Chan Ho

in Principles of Corporate Finance Law

Published in print:
2014
Published Online:
April 2014
ISBN:
9780199671342
eISBN:
9780191788895
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199671342.003.0008
Subject:
Law, Company and Commercial Law, Public International Law

This chapter discusses the regulation of share buy-backs and redeemable shares. Topics covered include arguments for and against allowing companies share buy-back/redeemable share issuance powers; ... More


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