The investment dealers association of Canada’s enforcement record: Are penalties “grossly inadequate”?
Subject
Securities; Fines (Penalties)Abstract
The IDA (since 2008, the Investment Industry Regulatory Organization of Canada (IIROC)) is the national self-regulatory organization (SRO) that is responsible for policing investment dealers and Member firms that trade in the debt and equity markets in Canada (Jenah 2008: 1-4). IIROC sets educational requirements, ethical standards, and compliance rules that govern the conduct of its registered members and Member firms (Jenah, 2007: 2, 8, & 15). Registered members and Member firms must comply with these rules, or face penalties that range from a written reprimand to permanent bans from participating in the market (see IIROC, 2008: 4). IIROC’s nine District Councils across Canada are responsible for enforcing these rules (IIROC, 2010: para. 1).
Collections
Date
2014Metadata
Show full item record| Author | Lokanan, Mark | |
| Date Accessioned | 2017-09-01T17:02:22Z | |
| Date Available | 2017-09-01T17:02:22Z | |
| Date of Issue | 2014 | |
| Identifier (Citation) | Lokanan, M. E. (2014). The investment dealers association of Canada’s enforcement record: Are penalties “grossly inadequate”? Journal of Financial Regulation and Compliance, 22(3), 235-251. | en |
| ISSN | 1358-1988 | |
| Identifier (Other) | https://doi.org/10.1108/JFRC-03-2013-0005 | |
| Identifier (URI) | http://hdl.handle.net/10613/5100 | |
| Identifier (URI) | http://dx.doi.org/10.25316/IR-85 | |
| Description | The IDA (since 2008, the Investment Industry Regulatory Organization of Canada (IIROC)) is the national self-regulatory organization (SRO) that is responsible for policing investment dealers and Member firms that trade in the debt and equity markets in Canada (Jenah 2008: 1-4). IIROC sets educational requirements, ethical standards, and compliance rules that govern the conduct of its registered members and Member firms (Jenah, 2007: 2, 8, & 15). Registered members and Member firms must comply with these rules, or face penalties that range from a written reprimand to permanent bans from participating in the market (see IIROC, 2008: 4). IIROC’s nine District Councils across Canada are responsible for enforcing these rules (IIROC, 2010: para. 1). | en |
| Language | en | en |
| Publisher | Journal of Financial Regulation and Compliance | en |
| Subject | Securities | en |
| Subject | Fines (Penalties) | en |
| Title | The investment dealers association of Canada’s enforcement record: Are penalties “grossly inadequate”? | en |
| Type | Article | en |