Economics, Econometrics and Finance
3 years ago

Australian proposals aim to enhance investor protection in securities industry intermediaries.

SSRN Electronic Journal
Regulation of Security Industry Intermediaries Australian Proposals
Paul Latimer

Paper Summary

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The article analyzes a report on improving the licensing of securities industry intermediaries in Australia. The goal was to enhance investor protection while promoting commercial certainty and efficiency in the capital market. The report suggested adopting elements from the US/Canadian model of supervised self-regulation by self-regulatory organizations.