P.R.I.M.E. Finance Panel of Recognized International Market Experts in Finance Regulatory Approaches to ADR 2015 P.R.I.M.E. Finance Annual Conference 26.

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Presentation transcript:

P.R.I.M.E. Finance Panel of Recognized International Market Experts in Finance Regulatory Approaches to ADR 2015 P.R.I.M.E. Finance Annual Conference 26 & 27 January, Peace Palace, The Hague

Regulator Approaches to ADR/Use of Experts Germany – Conciliation boards can be used for disputes between consumers/investors and financial institutions – Conciliation boards are operated by BaFin and other regulatory bodies – Section 342 of the Investment Code (in German) sets out procedures – No similar process exists in connection with disputes between regulator and regulated entities

Regulator Approaches to ADR/Use of Experts France – AMF has an institutional mediator who resolves % of investor claims relating to financial instruments – Banking claims are outside AMF’s jurisdiction – Current mediator is a senior Supreme Court judge who was until recently a member of AMF Enforcement Committee – Banking agencies also have an ombudsman process

Regulator Approaches to ADR/Use of Experts Hong Kong – No ADR scheme exists for disputes between regulator and regulated entities – Financial Dispute Resolution Centre ( provides a service for monetary disputes between customer and financial institutionshttp://

Regulator Approaches to ADR/Use of Experts Australia – No formal requirement exists to utilize ADR in disputes – Limited use in Freedom of information act requests Resolution of tax audits Case conferencing Resolution of disputes prior to commencing proceedings – Recent ASIC disclosure agreement

Regulator Approaches to ADR/Use of Experts United Kingdom – Rules of Civil Procedure of England & Wales Since 1998, powerful encouragement for mediation – Enforcement Rules of the Financial Services Regulators Support for mediation in suitable enforcement matters Settlement and mediation portion of website ( – “Mediation can work within regulation to supplement the informal settlement discussions which can be part of the regulatory process and to provide a way of progressing a case where settlement discussions are unlikely to lead to an agreed settlement.” – Experience with mediation process

Regulator Approaches to ADR/Use of Experts United States – Interagency ADR Working Group ( Established pursuant to Administrative Dispute Resolution Act of 1996 – Act authorized use of ADR process to resolve disputes with the federal government Led by U.S. Department of Justice Many agencies contribute, including CFTC and SEC – Working Group focuses on following areas: Workplace disputes Contracts and procurement disputes Regulatory enforcement disputes Claims against the government