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Please use this identifier to cite or link to this item: http://hdl.handle.net/1807/25848

Title: A Proposal for Principle-based Securities Regulation for Canada
Authors: Margaritis, Kelly
Advisor: Fadel, Mohammad
Department: Law
Keywords: Securities Regulation
Principle-Based Regulation
Canadian Capital Markets
Issue Date: 12-Jan-2011
Abstract: This paper argues in favour of principle-based securities regulation for Canada. The author examines the current state of Canadian securities regulation and why change is needed. The author then examines the characteristics of principle-based regulation and contrasts it against rule-based regulation while exposing the advantages and disadvantages of both regulatory models. In proposing a principle-based model for Canadian securities regulation, the author looks to the use of this type of regulation in the capital markets of certain Canadian provinces, the United States and the United Kingdom and then examines certain attributes of Canadian capital markets that have to be considered in the application of principle-based securities regulation to Canada. In supporting principle-based regulation as the modern form of securities regulation, the author discusses lessons learned from the global financial crisis and how those lessons can be applied in the promotion of principle-based securities regulation for Canada.
URI: http://hdl.handle.net/1807/25848
Appears in Collections:Master

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