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Journal Articles

An update on self-regulation in the Canadian securities industry (2009-2016): Funnel in, funnel out and funnel away

Journal of Financial Regulation and Compliance (2019) 27 (3): 324–344.

https://doi.org/10.1108/JFRC-05-2018-0075

Published: 02 May 2019

View article titled, An update on self-regulation in the Canadian securities industry (2009-2016): Funnel in, funnel out and funnel away

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Journal Articles

Self-regulation and compliance enforcement practices by the Investment Dealers Association in Canada: 1984 to 2008

Journal of Financial Regulation and Compliance (2017) 25 (1): 2–21.

https://doi.org/10.1108/JFRC-04-2016-0038

Published: 13 February 2017

View article titled, Self-regulation and compliance enforcement practices by the Investment Dealers Association in Canada: 1984 to 2008

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Journal Articles

The Investment Dealers Association of Canada’s enforcement record: Are penalties grossly inadequate

Journal of Financial Regulation and Compliance (2014) 22 (3): 235–251.

https://doi.org/10.1108/JFRC-03-2013-0005

Published: 08 July 2014

View article titled, The Investment Dealers Association of Canada’s enforcement record: Are penalties grossly inadequate

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