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Home Policy Articles: Monetary & Capital Management: Securities Regulation


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The Canadian Financial Services Industry: The Year in Review

This briefing summarizes the 2002-03 edition of The Canadian Financial Services Industry: The Year in Review. This publication reviews major developments in both the financial services sector and its policy environment, in Canada and abroad; it focuses specifically on legislation designed to restore investor confidence in corporate governance and financial markets.

The Enforcement of Corporate Criminal and Securities Laws

In late 2002 the Public Policy Forum convened a roundtable discussion on the subject of white-collar crime in Canada, inviting regulators, public service officials, private industry executives, and academics to participate. This publication, authored by David Brook, is a summary of the evening’s discussion. Brook explains that roundtable participants were asked to focus on four issues: 1) the adequacy of Canadian criminal and securities laws; 2) investigation; 3) prosecution; and, 4) sentencing. The report summarizes discussion on these issues and provides recommendations for actions roundtable participants felt could be taken to strengthen Canada’s legal system.

The Governance of the Ontario Securities Commission: Lessons from International Comparisons

This article by Neil Mohindra examines the Ontario Securities Commission (OSC) and finds that it has recently “become larger, has absorbed more powers and responsibilities, and has achieved greater independence.” Considering the pressure the OSC puts on companies to have good corporate governance, Mohindra turns his analysis onto the governmental structure of the OSC itself – a body that is supposed to “lead by example.” Through comparisons with similar government organizations in the US, UK, Australia and Hong Kong, the author assesses the OSC’s relative strengths and weaknesses, in addition to offering several prescriptions for its improvement.

The Implications of the Collapse of Enron for Canada – Summary of Discussion

The collapse of Enron led to much discussion – within both Canada and the United States – regarding the overall impact of such a large corporation’s downfall. Shortly after Enron’s collapse the Public Policy Forum brought together leading figures from the arenas of Canadian fiscal, monetary, and regulatory policy for a discussion pertaining to what the incident might mean for Canadian capital markets and regulatory institutions. This report, by David Brook, is the product of that dialogue.