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- Title
The nature of a financial investment intermediary's duty to his client.
- Authors
Chiu, Iris H-Y
- Abstract
The landscape of legal duties imposed on financial investment intermediaries is characterised by the imposition of regulatory duties as well as duties arising under general law, in the realms of fiduciary duties and duties of care and skill. This article examines the relationship between public regulation and general private law in providing legal principles governing the conduct of financial investment intermediaries. This article also inquires into whether, in light of the Financial Services Authority's (FSA) desire to move into higher level ‘principles-based’ regulation of financial investment intermediaries, there may be a set of unifying principles that could govern financial investment intermediaries' relationships with their clients.
- Subjects
LEGAL status of investment advisors; INVESTMENT laws; TAX laws; FINANCIAL Services Authority (Great Britain); FINANCIAL services industry
- Publication
Legal Studies, 2008, Vol 28, Issue 2, p254
- ISSN
0261-3875
- Publication type
Article
- DOI
10.1111/j.1748-121X.2008.00087.x