Regulations Of The Investment Dealers Association Of Canada PDF Download
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Author | : Investment Dealers' Association of Canada |
Publisher | : |
Total Pages | : 569 |
Release | : 2003 |
Genre | : |
ISBN | : |
Download Investment Dealers' Association of Canada Rule Book Book in PDF, ePub and Kindle
Author | : Investment Dealers' Association of Canada |
Publisher | : |
Total Pages | : 34 |
Release | : 1960 |
Genre | : |
ISBN | : |
Download Regulations of the Investment Dealers' Association of Canada Book in PDF, ePub and Kindle
Author | : Investment Dealers' Association of Canada |
Publisher | : |
Total Pages | : |
Release | : 1987 |
Genre | : |
ISBN | : |
Download Constitution, By-laws and Regulations Book in PDF, ePub and Kindle
Author | : Eshwar Mark Lokanan |
Publisher | : |
Total Pages | : 0 |
Release | : 2012 |
Genre | : Securities fraud |
ISBN | : |
Download Regulating Canada's Securities Market Book in PDF, ePub and Kindle
Every year, thousands of Canadians fall prey to investment fraud. Estimates for 2007 indicate that roughly one-in-twenty Canadians are victims of investment fraud at some point in their lives. Given the frequency of investment fraud in Canada, it is not surprising that losses to Canadians amount to billions of dollars as well as other harmful personal consequences. Financial and personal losses, along with diminishing public confidence in capital markets, led to calls for stricter enforcement. This dissertation examines the enforcement practices of the Investment Dealers Association of Canada (IDA), the national self-regulatory organization responsible for policing investment dealers and Member firms that trade in the debt and equity markets. Data from 1984-2008 were collected from three sources -- the IDA Enforcement and Annual Reports, the IDA's tribunal cases, and appeal cases of the IDA's decisions to the Alberta, British Columbia, and Ontario securities commissions. The findings from the study show that while the IDA processed a significant number of complaints in the case assessment stage, the number shrank considerably as the complaints made their way through to the investigation and internal prosecution stages of the disciplinary system. The top two offences dealt with by formal disciplinary proceedings were unsuitable investment and inappropriate discretionary trading. The majority of investors had limited investment knowledge, and many were encouraged to borrow money to invest. Results also show that the IDA's by-law enforcement was often inadequate and did not send a sufficiently strong deterrent message to market participants. The majority of cases were disposed of via settlement agreements rather than hearings, and the fines imposed were often not proportionate to the offence(s). Between 2002 and 2007, the IDA collected less than 50% of the fines it levied. Harsher fines were imposed by hearing panels that were chaired by a public member. When determining penalties, more weight was given to mitigating rather than aggravating factors. Regulatory reforms should focus on greater transparency, stricter enforcement, and more attention to aggravating factors when assigning penalties. Fraud awareness programs should not be a one size fits all approach and must be tailored to different subsets of investors.
Author | : Lyndon Maither |
Publisher | : Lyndon Maither |
Total Pages | : 2746 |
Release | : |
Genre | : Biography & Autobiography |
ISBN | : |
Download Canadian Securities Law, The Ontario Securities Act and Alberta Securities Act, “The Top 111 Cases”: A Primer Book in PDF, ePub and Kindle
Author | : Sean D Sadler |
Publisher | : CCH Canadian Limited |
Total Pages | : 3411 |
Release | : 2006 |
Genre | : Securities |
ISBN | : 9781553675983 |
Download Annotated Ontario Securities Legislation Book in PDF, ePub and Kindle
Author | : Barbara L. Miles |
Publisher | : Nova Publishers |
Total Pages | : 94 |
Release | : 2003 |
Genre | : Business & Economics |
ISBN | : 9781590336724 |
Download The Canadian Financial System Book in PDF, ePub and Kindle
In light of the major changes in financial regulation introduced by the Gramm-Leach-Bliley Act of 1999, the significant security and operational concerns connected with the events of September 11, and the failure of Enron, the scope, structure, operations and functions of the US financial system are receiving a heightened level of attention. However, the United States is not unique in facing fundamental questions about markets and regulation. A number of other nations have instituted basic changes and overhauls in their financial system. This book provides a descriptive overview of the Canadian financial system. While the Canadian and American systems are generally similar in structure and function, there are significant differences in market and regulatory practices, and comparison may yield useful insights for oversight of the US financial system. Contents: Introduction; The Bank of Canada; Commercial Banking System; Securities Dealers and Markers; Other Financial Intermediaries; Summary of Canadian Financial Regulation; Appendix A-B; Bibliography; Index.
Author | : Joint Securities Industry Committee (Canada) |
Publisher | : Canada : Joint Securities Industry Committee |
Total Pages | : 84 |
Release | : 1984 |
Genre | : Financial institutions Law and legislation Canada |
ISBN | : |
Download Regulation and Ownership of Market Intermediaries in Canada : Report of the Joint Securities Industry Committee on Behalf of the Alberta, Montreal, Toronto and Vancouver Stock Exchanges and the Investment Dealers Association of Canada Book in PDF, ePub and Kindle
Author | : Joint Securities Industry Committee |
Publisher | : |
Total Pages | : 84 |
Release | : 1984 |
Genre | : Brokers |
ISBN | : |
Download Regulation and Ownership of Market Intermediaries in Canada Book in PDF, ePub and Kindle
Author | : Joint Industry Committee of the Canadian Securities Industry |
Publisher | : |
Total Pages | : 41 |
Release | : 1984 |
Genre | : Brokers |
ISBN | : |
Download Regulation and Ownership of Market Intermediaries in Canada Book in PDF, ePub and Kindle