The paper maintains that all acts of financial crimes can be explained within a general
theory of moral action and analyzed as such. In this regard, the paper presents such a theory …

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 …

Abstract The Tinder Swindler is a Netflix documentary that documents the stories of three
women who were swindled of their life savings by a man, Simon Leviev (" Leviev"), who …

Investment fraud continues to be a severe problem in the Canadian securities industry. This
paper aims to employ machine learning algorithms and artificial neural networks (ANN) to …

In Canada, financial advisors and dealers are required by provincial securities commissions
and self-regulatory organizations—charged with direct regulation over investment dealers …

This paper aims to classify disciplinary hearings into two types (settlement and contested).
The objective is to employ binary machine learning classifier algorithms to predict the …

Purpose 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 …

Purpose This paper aims to analyze the processing of complaints against investment
advisors and Member firms through the Investment Industry Regulatory Organization of …

This article analyzes the enforcement practices of the Investment Industry Regulatory
Organization of Canada (IIROC) and compares them with its predecessor, the Investment …

This study employed Stilger's (1971) capture theory to investigate whether the Investment
Dealers Association (IDA) of Canada experienced regulatory capture by weak enforcement …