Securities Regulation: Opportunities exist for IIROC to regulate responsively

Mark Lokanan

Research output: Contribution to journalArticlepeer-review

7 Citations (Scopus)
4 Downloads (Pure)

Abstract

This article examines the applicability of responsive regulation within an inter-agency framework in the financial sector. To do so, the article uses the self-regulatory organization that is responsible for governing Canada’s investment dealers and brokerage firms—the Investment Industry Regulatory Organization of Canada (IIROC)—as a prototype example to illustrate how responsive regulation may be encouraged within an inter-agency framework. While the theory aspires to general applicability, particular consideration is given to its ability to govern multiple agencies. In particular, the article pays attention to jurisdictional boundaries to ensure that inter-agency relationships have some legitimacy in market regulation.
Original languageEnglish
Pages (from-to)402-428
JournalAdministration & Society
Volume50
Issue number3
Early online date29 Apr 2015
DOIs
Publication statusPublished - 1 Mar 2018

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