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Contribution to Book
Fair Dealing: Governance and Conflicts of Interest at the Investment Dealers Association
Conflicts of Interest in Capital Market Structures: Papers Presented at the 10th Queen's Annual Business Law Symposium. Kingston, ON: Queen's University, 2004.
  • Poonam Puri, Osgoode Hall Law School of York University
Document Type
Book Chapter
Publication Date
1-1-2004
Keywords
  • corporate governance,
  • investment dealers association,
  • Regulation,
  • structural reform
Abstract

This paper analyzes the Investment Dealer’s Association’s (IDA) organizational structure and suggests that structural reform should be considered to eliminate or better manage the IDA’s conflict between its role as an advocate for its members and its role as a regulator. This analysis is conducted within the theoretical frameworks of corporate governance and the relationship between self regulation and governmental regulation.

Citation Information
Poonam Puri. "Fair Dealing: Governance and Conflicts of Interest at the Investment Dealers Association" Conflicts of Interest in Capital Market Structures: Papers Presented at the 10th Queen's Annual Business Law Symposium. Kingston, ON: Queen's University, 2004. (2004)
Available at: http://works.bepress.com/poonam_puri/22/