Securities Regulation: Opportunities exist for IIROC to regulate responsively

Lokanan, Mark (2015) Securities Regulation: Opportunities exist for IIROC to regulate responsively. Administration & Society. ISSN 0095-3997 (In Press)

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Official URL: http://dx.doi.org/10.1177/0095399715584637

Abstract

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.

Item Type: Article
Additional Information: Published online first.
Uncontrolled Keywords: responsive regulation, self-regulation, investment fraud, compliance
Subjects: M200 Law by Topic
N300 Finance
Department: Faculties > Business and Law > Newcastle Business School > Accounting and Finance
Depositing User: Ay Okpokam
Date Deposited: 01 May 2015 08:38
Last Modified: 10 May 2017 17:05
URI: http://nrl.northumbria.ac.uk/id/eprint/22280

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