Regulations of the Investment Dealers' Association of Canada

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Publisher :
ISBN 13 :
Total Pages : 34 pages
Book Rating : 4.:/5 (228 download)

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Book Synopsis Regulations of the Investment Dealers' Association of Canada by : Investment Dealers' Association of Canada

Download or read book Regulations of the Investment Dealers' Association of Canada written by Investment Dealers' Association of Canada and published by . This book was released on 1960 with total page 34 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Constitution, By-laws and Regulations

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Publisher :
ISBN 13 :
Total Pages : pages
Book Rating : 4.:/5 (225 download)

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Book Synopsis Constitution, By-laws and Regulations by : Investment Dealers' Association of Canada

Download or read book Constitution, By-laws and Regulations written by Investment Dealers' Association of Canada and published by . This book was released on 1987 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:

Regulating Canada's Securities Market

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Publisher :
ISBN 13 :
Total Pages : 534 pages
Book Rating : 4.:/5 (911 download)

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Book Synopsis Regulating Canada's Securities Market by : Eshwar Mark Lokanan

Download or read book Regulating Canada's Securities Market written by Eshwar Mark Lokanan and published by . This book was released on 2012 with total page 534 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Canadian Securities Law, The Ontario Securities Act and Alberta Securities Act, “The Top 111 Cases”: A Primer

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Author :
Publisher : Lyndon Maither
ISBN 13 :
Total Pages : 2746 pages
Book Rating : 4./5 ( download)

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Book Synopsis Canadian Securities Law, The Ontario Securities Act and Alberta Securities Act, “The Top 111 Cases”: A Primer by : Lyndon Maither

Download or read book Canadian Securities Law, The Ontario Securities Act and Alberta Securities Act, “The Top 111 Cases”: A Primer written by Lyndon Maither and published by Lyndon Maither. This book was released on with total page 2746 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Annotated Ontario Securities Legislation

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Publisher : CCH Canadian Limited
ISBN 13 : 9781553675983
Total Pages : 3411 pages
Book Rating : 4.6/5 (759 download)

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Book Synopsis Annotated Ontario Securities Legislation by : Sean D Sadler

Download or read book Annotated Ontario Securities Legislation written by Sean D Sadler and published by CCH Canadian Limited. This book was released on 2006 with total page 3411 pages. Available in PDF, EPUB and Kindle. Book excerpt:

The Canadian Financial System

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Publisher : Nova Publishers
ISBN 13 : 9781590336724
Total Pages : 94 pages
Book Rating : 4.3/5 (367 download)

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Book Synopsis The Canadian Financial System by : Barbara L. Miles

Download or read book The Canadian Financial System written by Barbara L. Miles and published by Nova Publishers. This book was released on 2003 with total page 94 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Regulation and Ownership of Market Intermediaries in Canada

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Publisher :
ISBN 13 :
Total Pages : 84 pages
Book Rating : 4.:/5 (417 download)

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Book Synopsis Regulation and Ownership of Market Intermediaries in Canada by : Joint Securities Industry Committee

Download or read book Regulation and Ownership of Market Intermediaries in Canada written by Joint Securities Industry Committee and published by . This book was released on 1984 with total page 84 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Regulation and Ownership of Market Intermediaries in Canada

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Publisher :
ISBN 13 :
Total Pages : 41 pages
Book Rating : 4.:/5 (858 download)

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Book Synopsis Regulation and Ownership of Market Intermediaries in Canada by : Joint Industry Committee of the Canadian Securities Industry

Download or read book Regulation and Ownership of Market Intermediaries in Canada written by Joint Industry Committee of the Canadian Securities Industry and published by . This book was released on 1984 with total page 41 pages. Available in PDF, EPUB and Kindle. Book excerpt:

The Fundemental Guide to Getting Started and Succeeding with Investments

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Publisher : Keith Staar
ISBN 13 : 0987686623
Total Pages : 136 pages
Book Rating : 4.9/5 (876 download)

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Book Synopsis The Fundemental Guide to Getting Started and Succeeding with Investments by : K. C. Staar

Download or read book The Fundemental Guide to Getting Started and Succeeding with Investments written by K. C. Staar and published by Keith Staar. This book was released on 2011-08-09 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt: An Unconventional and Comprehensive Guide to everything Investing:This book is the first book in a series of books designed to help those that are looking to either take charge of there finances. If you are not interested in day trading this book will help all those that are looking to further understand the world of Stocks, bonds and everything in between.

Investment Adviser Regulation

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Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.4/5 (77 download)

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Book Synopsis Investment Adviser Regulation by : Clifford E. Kirsch

Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.

Submission by the Investment Dealers Association of Canada to the Hon. Andre Ouellet, Minister of Consumer and Corporate Affairs as to the Effect of Bill C-2, an Act to Amend the Combines Investigations Act, on the Canadian Capital Markets and Securities Industry

Download Submission by the Investment Dealers Association of Canada to the Hon. Andre Ouellet, Minister of Consumer and Corporate Affairs as to the Effect of Bill C-2, an Act to Amend the Combines Investigations Act, on the Canadian Capital Markets and Securities Industry PDF Online Free

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Publisher :
ISBN 13 :
Total Pages : 84 pages
Book Rating : 4.:/5 (157 download)

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Book Synopsis Submission by the Investment Dealers Association of Canada to the Hon. Andre Ouellet, Minister of Consumer and Corporate Affairs as to the Effect of Bill C-2, an Act to Amend the Combines Investigations Act, on the Canadian Capital Markets and Securities Industry by : Association canadienne des courtiers en valeurs mobilières

Download or read book Submission by the Investment Dealers Association of Canada to the Hon. Andre Ouellet, Minister of Consumer and Corporate Affairs as to the Effect of Bill C-2, an Act to Amend the Combines Investigations Act, on the Canadian Capital Markets and Securities Industry written by Association canadienne des courtiers en valeurs mobilières and published by . This book was released on 1975 with total page 84 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Federal Register

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Publisher :
ISBN 13 :
Total Pages : 278 pages
Book Rating : 4.3/5 (121 download)

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Book Synopsis Federal Register by :

Download or read book Federal Register written by and published by . This book was released on 2013-12 with total page 278 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Investing For Canadians All-in-One For Dummies

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Publisher : John Wiley & Sons
ISBN 13 : 111973665X
Total Pages : 599 pages
Book Rating : 4.1/5 (197 download)

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Book Synopsis Investing For Canadians All-in-One For Dummies by : Tony Martin

Download or read book Investing For Canadians All-in-One For Dummies written by Tony Martin and published by John Wiley & Sons. This book was released on 2020-12-03 with total page 599 pages. Available in PDF, EPUB and Kindle. Book excerpt: The all-encompassing guide to getting smart about the market While investing is one of the smartest ways to become financially worry-free, making the decisions that get you there can be intimidating and overwhelming. Today's investors have a huge array of options open to them and sorting the wheat from the chaff—and the get-rich-quick Ponzi schemes from the real deal—is an exhausting process. Investing For Canadians All-in-One For Dummies takes the fear out of the complexity by providing you with a clear and honest overview of Canada's unique investing landscape—and shows you how to make it work for you. Bringing together essential and jargon-free information from Investing For Canadians For Dummies, Stock Investing For Canadians For Dummies, Mutual Funds For Canadians For Dummies, Real Estate Investing For Canadians For Dummies, Day Trading For Canadians For Dummies, Cryptocurrency Investing For Dummies, and Investing in Silver & Gold For Dummies together in one convenient place, this rich resource is an arsenal of techniques and advice for guaranteeing you a secure and prosperous future. Develop and manage a portfolio Find investments that suit your income Get the latest information on tax laws Follow time-tested strategies Invest in gold, silver, and other precious metals

Governing the Corporation

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Publisher : John Wiley & Sons
ISBN 13 : 0470017538
Total Pages : 406 pages
Book Rating : 4.4/5 (7 download)

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Book Synopsis Governing the Corporation by : Justin O'Brien

Download or read book Governing the Corporation written by Justin O'Brien and published by John Wiley & Sons. This book was released on 2005-11-01 with total page 406 pages. Available in PDF, EPUB and Kindle. Book excerpt: Governing the Corporation is a unique forum combining the insights of some of the most influential minds involved in the governance of global financial markets with internationally recognised academics and practitioners. Divided into three sections, the book first examines changes to the regulation of markets and assesses the global implications of the export of Sarbanes-Oxley for financial sector governance. The second section examines the challenges facing the professions with critical analysis from leading lawyers and accountants. The final section calculates the effectiveness of state and self-regulatory policy and posits the importance of institutionalising an ethical framework tied to incentives. Each section of the book features contributions from regulators, practitioners and academics from a range of disciplines, including finance, political science, criminology, law and philosophy.

Business Law and Economics for Civil Law Systems

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Publisher : Edward Elgar Publishing
ISBN 13 : 1788118286
Total Pages : 392 pages
Book Rating : 4.7/5 (881 download)

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Book Synopsis Business Law and Economics for Civil Law Systems by : Rousseau, StŽphane

Download or read book Business Law and Economics for Civil Law Systems written by Rousseau, StŽphane and published by Edward Elgar Publishing. This book was released on 2021-11-19 with total page 392 pages. Available in PDF, EPUB and Kindle. Book excerpt: Business Law and Economics for Civil Law Systems highlights the relevance of economic analysis of business law from a civilian perspective. It integrates a comparative approach (common law and civil law) to economic analysis using tools and illustrations to assist in conducting critical economic analysis of rules in the field of business law. This book is a valuable contribution to the reflection on the place and meaning of value creation and accountability as goals for business law. It will be of great value to academics interested in business law, competition law, comparative law and legal theory, students studying law, business and economics, and to policy makers and regulators.

Arbitrability

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Publisher : Kluwer Law International B.V.
ISBN 13 : 9403530871
Total Pages : 370 pages
Book Rating : 4.4/5 (35 download)

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Book Synopsis Arbitrability by : Fabien Gélinas

Download or read book Arbitrability written by Fabien Gélinas and published by Kluwer Law International B.V.. This book was released on 2023-11-17 with total page 370 pages. Available in PDF, EPUB and Kindle. Book excerpt: As simple as the arbitrability question might appear (namely, what types of issues may and may not be submitted to arbitration), for a legal system to set a clear and consistent approach to arbitration, it must consider many complicated factors that relate to public policy and economic priorities as well as international relations. This comprehensive, precise, and practical book identifies and analyzes the fundamentals of, and major approaches to, arbitrability in the current international context. The authors focus on nine major arbitration jurisdictions—the United States, Canada, France, England and Wales, Switzerland, Germany, China (Mainland), Hong Kong, and Singapore—with meticulous attention to each jurisdiction’s pertinent case law and legislative framework as well as relevant commentary. For each jurisdiction, the arbitrability of disputes in the following fields of law is discussed: antitrust/competition; bankruptcy/insolvency; consumer; corporate; family/domestic relations; intellectual property (copyright, patent, and trademark); labor/employment; securities; and torts. Based on the jurisdiction-by-jurisdiction analysis, the authors identify key areas in which the selected jurisdictions share similarities and evince differences with respect to each of the above-mentioned fields. With a structure that enables readers to easily locate what they are looking for and gives clear-cut answers, this unique book fully elucidates the notion of arbitrability by identifying the key concepts, the applicable rules, and different criteria for arbitrability and by explaining how different jurisdictions deal with specific types of disputes. It will be welcomed by counsel, arbitrators, judges, students, and academics active in international arbitration and the enforcement of arbitral awards.

Crime and Regulation

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Publisher : Routledge
ISBN 13 : 1351126059
Total Pages : 554 pages
Book Rating : 4.3/5 (511 download)

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Book Synopsis Crime and Regulation by : Fiona Haines

Download or read book Crime and Regulation written by Fiona Haines and published by Routledge. This book was released on 2017-11-30 with total page 554 pages. Available in PDF, EPUB and Kindle. Book excerpt: This volume brings together key articles in the burgeoning field of regulation. The collection is interdisciplinary, in keeping with study of regulation itself, yet the book arranges and explores these articles to make the bewildering array of issues and concepts that comprise the study of regulation comprehensible to a criminological audience. It will be of interest to all scholars and students of criminology and criminal justice, as well as those concerned with reducing the crimes and harms of the powerful.