Conduct Of Business Regulation

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Conduct Of Business Regulation

Conduct of Business Regulation via SSRN

Andrew F. Tuch

Washington University in Saint Louis – School of Law

June 30, 2014

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Oxford Handbook of Financial Regulation (N Moloney, E Ferran and J Payne eds) (OUP 2015, Forthcoming)

Washington University in St. Louis Legal Studies Research Paper No. 14-06-04

Abstract:

This chapter provides a survey and comparative analysis of conduct of business (COB) regulation. COB regulation governs financial intermediaries’ conduct toward their clients, that is, toward the actors – whether individuals or institutions – with whom financial intermediaries transact in providing financial products and services. Modal regulatory strategies include anti-fraud rules, and duties of care, loyalty, fair-dealing and best-execution – and variants of these duties.

The chapter describes the justifications for COB regulation, the modal regulatory strategies used and the complex frameworks within which COB regulation operates. It then generally assesses US COB regulation, focusing on the