This web site is dedicated to investment fund investor education and protection. The multi-billion fund industry plays a key role in the savings and retirement plans of millions of Canadians. Many industry practices provide beartraps for the unsuspecting investor and securities regulations have not kept up with the pace of change in the industry.
Tuesday, January 9, 2018
Agravating and Mitigating factors and Associated Issues
We examine IIROC Settlement Agreements along the line of the factors that determine the sanction. Aggravating factors increase the sanction while mitigating factors decrease the sanction. We find that IIROC Hearing panels have a systemic bias towards including mitigating factors while omitting aggravating factors. The result are sanctions that are lower than the evidence suggests they should be. Read the Report here.
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