Securities regulation: Opportunities exist for IIROC to regulate responsively
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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.
DescriptionUnder SAGE's Green Open Access policy, this accepted manuscript version of the article may be posted in this repository and reuse is restricted to non-commercial and no derivative uses. The version of record is available at https://doi.org/10.1177/0095399715584637.
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