The investment dealers association of Canada’s enforcement record: Are penalties “grossly inadequate”?
Bibliographic record
Abstract
The IDA (since 2008, the Investment Industry Regulatory Organization of Canada (IIROC)) is the national self-regulatory organization (SRO) that is responsible for policing investment dealers and Member firms that trade in the debt and equity markets in Canada (Jenah 2008: 1-4). IIROC sets educational requirements, ethical standards, and compliance rules that govern the conduct of its registered members and Member firms (Jenah, 2007: 2, 8, & 15). Registered members and Member firms must comply with these rules, or face penalties that range from a written reprimand to permanent bans from participating in the market (see IIROC, 2008: 4). IIROC’s nine District Councils across Canada are responsible for enforcing these rules (IIROC, 2010: para. 1).
Fetched live from OpenAlex and de-inverted. Abstracts are not stored in this database: the inverted indexes are 8.6 GB of the frame’s 9.3 GB of text, and the host has 13 GB free.
How this classification was reachedexpand
Full frame machine prediction
Teacher imitationNot calibrated prevalence, not ground truth. Human validation pending. The Gemma side is a direct model label for every work in the frame, read from the title-only record. The Codex side is a classifier learned from the 10,348 direct Codex labels and calibrated to design-weighted sample rates; fields without enough sample support carry no Codex call. Candidate is the union of the two sides; consensus is their intersection. These outputs are machine_predicted_unvalidated and are not human labels.
Distilled classifier scores by category (both heads)
| Category | Codex | Gemma |
|---|---|---|
| Metaresearch | 0.007 | 0.034 |
| Meta-epidemiology (narrow) | 0.000 | 0.001 |
| Meta-epidemiology (broad) | 0.000 | 0.000 |
| Bibliometrics | 0.002 | 0.004 |
| Science and technology studies | 0.016 | 0.005 |
| Scholarly communication | 0.012 | 0.002 |
| Open science | 0.003 | 0.001 |
| Research integrity | 0.006 | 0.008 |
| Insufficient payload (model declined to judge) | 0.008 | 0.001 |
Machine scores (provisional)
The two teacher heads of the student model, read on this work. A score orders the frame for review; it never asserts a category, and the validation status ships verbatim with every row.
Baseline scores from an immature model (maturity gate not passed, 7 training rounds). Scores rank; they never assert a category.
score_only:v0-immature-baseline · verbatim from the scoring run: score_only means the number may rank works, and no category label ships from itClassification
machine, unvalidatedMachine predicted; a candidate call from one source (direct Gemma or distilled Codex), not a consensus.
How this classification was reached, model by model and score by score, is at the end of the page under "How this classification was reached".