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Keywords: Aggravating and Mitigating Factors
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Journal Articles
The Investment Dealers Association of Canada’s enforcement record: Are penalties grossly inadequate
Available to Purchase
Journal of Financial Regulation and Compliance (2014) 22 (3): 235–251.
Published: 08 July 2014
...Mark Lokanan Purpose – The purpose of this study is to analyze the aggravating and mitigating factors considered by the Investment Dealer Association (IDA)’s (Now IIROC) hearing panels when determining penalties. Design/methodology/approach – To conduct this research, Quicklaw’s database...
