|
Research Papers on
Securities Regulation in Canada
(for Audit Reports on the IDA see
IDA Audits) |
|
Accommodating Power:
The “Common Sense” of Regulators |
Laureen Snider
Department of Sociology
Queen’s University |
19 April 2008 |
 |
|
Canada:
Financial Sector Assessment Program—Detailed Assessment of the Level of
Implementation of the IOSCO Principles and Objectives of Securities
Regulation |
International
Monetary Fund |
February 2008 |
|
|
Human Rights in
Financial Services:
the Boundaries
between Discipline and Crime |
European Journal of
Crime,
Criminal Law and Criminal Justice (2007) 173–203
Audrey Guinchard*
University of Essex, UK |
2007 |
|
|
Queen’s Centre for Governance
Technical Report |
Steve Salterio Ph.D.
FCA |
14 October 2007 |
|
|
Self-Regulation in Today’s Securities Markets Outdated System or Work in
Progress? |
CFA Institute Study |
01 October 2007 |
|
|
Report of the
Provincial Auditor of the Legislative Assembly of Saskatchewan |
Excerpt: Justice
-Saskatchewan Financial Services Commission |
December 2007 |
|
|
Enhancing Integrated
Market Enforcement Teams, Achieving Results in Fighting Capital Markets
Crime |
Nick Le Pan, Special
Advisor to the Commissioner of the RCMP |
25 October 2007 |
|
|
2007 CSA Investor
Study:
Understanding the
Social Impact of Investment Fraud |
Innovative Research
Group, Inc. |
01 October 2007 |
|
|
Independent Review of the Ombudsman for Banking Services and Investments
(OBSI)
The Navigator Company |
Phil Khoury
Debra Russell |
September 2007 |
|
|
The Financial
Services OmbudsNetwork:
A Framework for Collaboration |
|
10 August 2007 |
|
|
Senate of Canada
Bill S-226
An Act to regulate securities and to
provide for a single securities commission for Canada |
Hon. Senator
Grafstein |
29 May 2007 |
|
|
CSA SRO Oversight
Project 2006 |
AMF, ASC, OSC, BCSC,
MSC |
December 2006 |
|
|
Cross-Border
Securities Litigation:
Two Heads are
Better Than One |
Janice L. Wright
Sara J. Erskine |
November 2006 |
|
|
Canada Steps Up |
Task Force to
Modernize Securities Regulation in Canada |
October 2006 |
|
|
Canada Steps Up: Critical Issues in
Enforcement |
The Hon. Peter de C. Cory,C.C.
Marilyn L. Pilkington |
September 2006 |
|
|
Grasping the Nettles:
Clearing the Path to Financial Services Reform in Canada |
David Laidler
C.D. Howe Institute |
September 2006 |
|
|
Consumer Protection
in the Financial Services Sector:
The Unfinished Agenda |
Report of the
Standing Senate Committee on Banking, Trade and Commerce |
June 2006 |
|
|
Involving Consumers
in Securities Regulation |
Julia Black |
23 June 2006 |
|
|
Blueprint For A
Canadian Securities Commission:
Crawford Panel on a
Single Canadian Securities Regulator |
Purdy Crawford |
June 2006 |
|
|
Conduct & Practices
Handbook |
Canadian Securities
Institute |
March 2006 |
|
|
Enforcement
Effectiveness in the Canadian Capital Markets |
Poonam Puri |
01 December 2005 |
|
|
Report of the Auditor
General on the Alberta Securities Commission’s Enforcement System |
|
October 2005 |
|
|
Liability and Damages
in Unsuitable Investment Advice Cases |
Geoff A. Clarke
Fasken Martineau DuMoulin LLP |
August 2005 |
|
|
Town Hall Questions
and Answers |
Ontario Securities
Commission |
14 June 2005 |
|
|
Regulatory Analysis
of Hedge Funds |
Investment Dealers
Association |
18 May 2005 |
|
|
Securities Litigation
2005:
Recent Criminal and Quasi-Criminal Developments in Securities Litigation |
H. Roderick Anderson
Steve Vorbrodt |
April 2005 |
|
|
Inefficiency and Path
Dependency in Canada's Securities Regulatory System: Towards a Reform
Agenda |
Anita Indira Anand
and Peter Charles Klein |
29 March 2005 |
|
|
Report on the Five
Year Review of the Securities Act |
Ontario Standing
Committee on Finance and Economic Affairs |
October 2004 |
|
|
Giving Small
Investors a Fair Chance:
Reforming the Mutual Fund Industry |
S.I.P.A.
C.A.R.P.
Robert Kyle |
September 2004 |
|
|
RBCDS Branch Manager
Supervision Manual |
RBCDS |
September 2004 |
|
|
Report of the
Fairness Committee to the Ontario Securities Commission
(Osborne Report) |
Hon.
Coulter A. Osborne, Q.C.
Professor David J. Mullan
Bryan Finlay, Q.C. |
Dated 05 March 2004
Released
18 August 2004 |
|
|
Favoritism in Mutual
Fund Families
Evidence on Strategic Cross-Fund Stabilization |
Jose Migel Jasper
Massimo Massa
Pedro Matos |
15 March 2004 |
|
|
Conflicts of Interest
in Self-Regulation:
Can Demutualized
Exchanges Successfully Manage Them? |
John W. Carson
World Bank Consultant |
December 2003 |
|
|
Ontario Securities
Commission Regulatory Burden
Task Force |
Morley P. Carscallen,
F.C.A.
W. Keith Gray
J. Garnet (Gar)
Pink, Q.C. |
December 2003 |
|
|
Wise Persons'
Committee Final Report |
|
December 2003 |
|
|
Do Insiders Play By
the Rules? |
William J. McNally
Brian F. Smith
Wilfred Laurier
University |
December 2003 |
|
|
Mutual Fund Advisory
Fees: The Cost of Conflicts of Interest |
John P. Freeman
Stewart L. Brown |
December 2003 |
|
|
Illegal Insider
Trading in Canada: Recommendations on
Prevention, Detection and Deterrence |
BCSC, ASC, OSC, AMF,
ME, MRS, IDA |
12 November 2003 |
|
|
Navigating "Through
the Perfect Storm": Safeguards to Restore Investor Confidence |
Report
of the Standing Committee on Banking, Trade and Commerce |
June 2003 |
|
|
Five Year Review
Committee Report :
Reviewing the Securities Act (Ontario) |
|
DRAFT |
|
May2002 |
|
29 May 2003 |
FINAL
|
|
Do Insider Trading
Laws Work? |
Arturo Bris |
February 2003 |
|
|
Enforcement of the
Ontario Securities Act:
A Requiem for Provincial Court Prosecutions under Section 122
Brave New World: Securities Litigation & Enforcement |
Janice Wright
Kellie Freeman |
26 February 2003 |
|
|
The impact on public
law of privatization, deregulation, outsourcing, and downsizing: a
Canadian perspective. |
Antonella Ceddia |
January 01, 2003 |
|
|
OBSI
By-Laws |
OBSI |
03 December 2002 |
|
|
The Corporation in
the 21st Century:
Disclosure |
Glorianne Stromberg |
08 November 2002 |
|
|
Enron, Fear and
Loathing on Bay Street |
Joseph Groia
Kellie Seaman |
November 2002 |
|
|
A Symposium on
Canadian Securities Regulation: Harmonization or Nationalization? |
University of Toronto
Capital Markets Institute |
08 October 2002 |
|
|
The Governance of the
Ontario Securities Commission: Lessons from International Comparisons |
Neil Mohindra |
August 2002 |
|
|
2002 Critical Issues
Bulletin Securities Market
Regulation in Canada |
Neil Mohindra
Fraser Institute |
April 2002 |
|
|
2001 Critical Issues
Bulletin Commissions Unbound:
The Changed Status of Securities Regulators in Canada |
John F. Chant
Neil Mohindra
Fraser Institute |
19 November 2001 |
|
|
Canada’s Regulatory
Burden; How Many Regulations? At What Cost? |
Laura Jones
Stephen Graf
Fraser Institute |
August 2001 |
|
|
Can Self-Regulation
work? A game-theoretic approach. |
Javier Núnẽz, Guillermo Díaz and Miguel Vargas |
18 May 2001 |
|
|
Scorpion and the Frog
A Consumer View of
Canadian Financial Services and Ways to Transform Them
A Report prepared
for Consumers Council of Canada for presentation to the Office of
Consumer Affairs, Industry Canada |
David
Yudelman for Consumers Council of Canada |
March 2001 |
|
|
Market Driven
Consumer Redress
Case Studies &
Legal Issues |
Government of Canada
Industry Canada -
Office of Consumer Affairs |
January 2001 |
|
|
Making it Mutual:
Aligning the Interests of Investors and Managers
Recommendations for
a Mutual Fund Governance Regime for Canada |
Stephen I. Erlichman |
June 2000 |
|
|
Model For Effective
Regulation:
|
Report of the SRO
Consultative Committee of the International Organization of Securities
Commissions |
May 2000 |
|
|
Investment Funds in
Canada: Strategies for the Millennium |
Glorianne Stromberg |
October 1998 |
|
|
The Privatization of
Regulation: Five Models of Self-Regulation |
Margot Priest |
(1997-1998) |
|
|
Responsibility &
Responsiveness: Interim Report of The Ontario Task Force on Securities
Regulation |
The Daniel's Report |
February 25, 1994 |
|
|
Regulatory Strategies
for the Mid-'90s: Recommendations for Regulating Investment Funds in
Canada
The "Stromberg
Report" |
Glorianne Stromberg |
February 1995 |
|
|
Emerging Trend Toward
Jail Sentences for Securities Act Violations in Ontario |
David E Lang |
27 January 1995 |
|
|
Ontario Standing
Committee on Finance & Economic Affairs |
Hansard: Ontario
Securities Amendment Act, 1994 |
01 December 1994 |
|
