Securities regulation: Opportunities exist for IIROC to regulate responsively
Show FileMIME type:application/pdfFile Size:255.5 Kb
MetadataShow full item record
This article examines the applicability of responsive regulation within an inter-agency framework in the financial sector. To do so, the article uses the self-regulatory organization that is responsible for governing Canada’s investment dealers and brokerage firms—the Investment Industry Regulatory Organization of Canada (IIROC)—as a prototype example to illustrate how responsive regulation may be encouraged within an inter-agency framework. While the theory aspires to general applicability, particular consideration is given to its ability to govern multiple agencies. In particular, the article pays attention to jurisdictional boundaries to ensure that inter-agency relationships have some legitimacy in market regulation.
Showing items related by title, author, creator and subject.
Lokanan, Mark (International Journal of Law, Crime and Justice, 2015)The study analysed the processing of complaints against investment brokers and Dealer Members through the Investment Dealer Association (IDA) of Canada's disciplinary system between 2002 and 2007. The cases processed are ...
An update on self-regulation in the Canadian securities industry (2009-2016): Funnel in, funnel out, and funnel away Lokanan, Mark (Journal of Financial Regulation and Compliance, 2018)Purpose –The paper analyzed the processing of complaints against investment advisors and Member firms through the Investment Industry Regulatory Organization of Canada (IIROC) enforcement system between 2009 and 2016. The ...
Woodford, Jamie (Electronic version published by Vancouver Island University, 2014)There is extensive research about self-regulation and how self-regulation, with its attention to a student’s ability to control his/her emotions and behaviour, has been found to contribute to better results in school and ...