Retail Market Conduct: Drivers & Current Regulatory Approaches

Moderator:

  • Gerard Fitzpatrick, Australian Securities and Investments Commission (ASIC) and Lead for IOSCO’s Retail Market Conduct Task Force

Speakers:

  • Talis Putnins, Professor of Finance at the University of Technology Sydney and Chief Scientist at the Digital Finance Co-operative Research Centre
  • Miles Larbey, Head of Financial Consumer Protection, Directorate for Financial and Enterprise Affairs, OECD
  • Angelina Kwan, Chief Executive Officer, Stratford Finance Limited, Hong Kong​

In conjunction with the recent publication of IOSCO’s Retail Market Conduct Task Force report, experts from diverse backgrounds, including academia, regulatory and the industry shared their insights on key topics such as risks faced by retail investors with the impact of new technologies, the influence of gamification and the evolving role of AI. It also discussed effective regulatory approaches in combating fraudulent activities.