... 24 09 2018 © Emerald Publishing Limited 2019 Emerald Publishing Limited Licensed re-use rights only Self-regulation Compliance and regulation Investment fraud Penalties Suitability The Investment Industry Regulatory Organization of Canada (IIROC) is a non-profit...

...Mark Lokanan Purpose This paper aims to examine the enforcement practices of the Investment Dealers Association of Canada (IDA) and argue that self-regulation simply does not work in the financial sector, as the sanctions available are neither applied with sufficient severity nor...

... the losses in case of failure instead of being rescued at taxpayers’ expense. Originality/value – The difficulties arising from extensive regulation suggest a more liberal approach to financial regulation. Zulauf then discussed the opportunities, risks and the future of self-regulation[ 15 ] The main...

...Rasheed Saleuddin Purpose – This paper aims to provide an explanation and evidence for the recent lack of retail financial product failures in Canada in the face of a (formal) regulatory failure. Design/methodology/approach – The paper applies the literature on self-regulation...

... will analyze the aggravating and mitigating factors considered by the IDA’s hearing panels when determining penalties. To do this, I will first conduct a brief review of the extant literature surrounding self-regulation in the securities industry. Next, I outline the methodology that was used to collect...