This article examines the applicability of responsive regulation within an inter-agency framework in the financial sector.
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
This study employed Stilger’s (1971) capture theory to investigate whether the Investment Dealers Association (IDA) of Canada experienced regulatory capture by weak enforcement.
This paper aims to analyze the processing of complaints against investment advisors and Member firms through the Investment Industry Regulatory Organization of Canada (IIROC) enforcement system between 2009 and 2016.
The purpose of this paper is to use statistical techniques to mine and analyze suspicious transactions. With the increase in money laundering activities across various sectors in some of the world’s leading democracies, the ability to detect such transactions is gaining grounds with more urgency.
Conducting primary research using financial crimes’ databases can be difficult, particularly in areas where documentation does not only involve instances of financial misconduct but also big data and cases of multiple wrongdoings.
The purpose of this paper is to evaluate the possibility of rating the credit worthiness of a firm’s quarterly financial report using a dynamic anomaly detection method.
Protecting financial consumers from investment fraud has been a recurring problem in Canada. The purpose of this paper is to predict the demographic characteristics of investors who are likely to be victims of investment fraud.
Presented at the 6th Academic International Conference on Law, Economics and Finance LIVE Virtual Presentation hosted by FLE Learning Ltd. from 23rd-25th November, 2020.
We are happy to present our findings of our projects examining the regulatory bodies in the Canadian financial market at 11th International Conference of Governance, Fraud, Ethics and Corporate Social Responsibility, and the 11th International Women and Business Conference conducted by Guildhall School of Business and Law, London in August 2020.