Lecture Agenda
• • • • • • • Learning Objectives Important Terms Conflicts between Issuers and Investors Securities Legislation in Canada IPOs and Investment Banking Post-IPO Regulation and Seasoned Offerings Summary and Conclusions
Given the diversity of parties, interests, goals, skills and access to information, the financial marketplace is an attractive target for scam artists who seek to try to take advantage of others.
CHAPTER 17 – Investment Banking and Securities Law
17 - 12
Conflicts Between Issuers and Investors
Some Canadian Examples of Fraudulent Activities
• Broker-dealers (securities dealers) dealing in penny stocks known as “bucket shops”
17 - 8
CHAPTER 17 – Investment Banking and Securities Law
Other Participants in the Markets for Securities