Fair Dealing: Governance and Conflicts of Interest at the Investment Dealers Association

Document Type

Book Chapter

Publication Date

2004

Source Publication

Conflicts of Interest in Capital Market Structures: Papers Presented at the 10th Queen's Annual Business Law Symposium. Kingston, ON: Queen's University, 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.

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