All Publications

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Books

Essentials of Securities Regulation (with Chris Nicholls) (Toronto: Irwin Law, 2002).

Competitive Industrial Development in the Age of Information Richard Braudo and Jeffrey G. MacIntosh, eds., (London: Routledge, 1999).
 

Articles

“A Drop in an Empty Pond: Canadian Public Policy towards Venture Capital” (2017) (with Douglas J. Cumming, Sofia Johan, and Jeffrey G. MacIntosh, 44 Journal of Industrial and Business Economics 103-117

“Tantalus Unbound: Government Policy and Innovation in Canada” (2012), 5(7) SPP Research Papers (School of Public Policy, University of Calgary).

“Politics, Not Law”, (2011) 52 Can. Bus. L. J. 179

"BCE and the Peoples' Corporate Law: Learning to Live on Quicksand" (2009) 48(2) Canadian Business Law Journal 255.

"BCE and Directors' Duties: A Fork in the Road" (2009) 15 Corp. Fin. 1.

"Mutual Funds that Invest in Private Equity? An Analysis of Labour-Sponsored Investment Funds" (with Douglas J. Cumming) (2007) 31 Cambridge Journal of Economics 445.

"Crowding Out Private Equity: Canadian Evidence" (with Douglas J. Cumming) (2006) 21 Journal of Business Venturing 569.

"Selection Effects, Corporate Law, and Firm Value" (with Douglas J. Cumming) (2005) 3 Finance Letters 7.

"Boom, Bust and Litigation in Venture Capital Finance" (with Douglas Cumming) (2004) 40 Willamette Law Review 867. 

"Venture Capital Exits in Canada and the United States" (with Douglas J. Cumming) (2003) 53 University of Toronto Law Journal 101.

"A Cross-Country Comparison of Full and Partial Venture Capital Exits" (with Douglas Cumming) (2003) 27 Journal of Banking and Finance 511.

"The Rationales Underlying Reincorporation and Implications for Canadian Corporations" (with Douglas J. Cumming) (2002) 22 International Review of Law and Economics 277.

"Venture Capital Investment Duration in Canada and the United States" (with Douglas J. Cumming) (2001) 11 Journal of Multinational Financial Management 445. (view abstract)

"The Determinants of R&D Expenditures: A Study of the Canadian Biotechnology Industry" (with Douglas J. Cumming) (2001) 17 Review of Industrial Organization 357. (view abstract)

"The Role of Interjurisdictional Competition in Shaping Canadian Corporate Law" (with Douglas J. Cumming) (2000) 20 International Review of Law and Economics 141.

"The OSC's Exempt Market Proposal" (2000) 7(2) Corporate Finance 430.

"Lessons of Bre-X (?)" (1999) 30 Canadian Business Law Journal 223.

"Consumer Controversy and the Funding of Biotechnology Research" (with Douglas J. Cumming) (1998) 21 Journal of Consumer Policy 411.

"Institutional Shareholders and Corporate Governance in Canada" (1996) 26 Canadian Business Law Journal 145. 

"The Corporate Oppression Remedy Continues to Transform Corporate and Securities Law" (1996) 3(4) Corporate Financing 181.

"Continuous Disclosure and Civil Liability: Part II" (1995) 3(3) Corporate Financing 158.

"Continuous Disclosure and Civil Liability: Part I" (1995) 3(2) Corporate Financing 138.

"What Constitutes Oppression?" Law Society of Upper Canada, Continuing Legal Education Series (approximately 40 double-spaced pages)

"First Interpretation of a "Market-Out" Clause by a Canadian Court" 2(4) Corporate Financing 102.

"The Interim Report of the Task Force on Securities Regulation" (1994) 2(3) Corporate Financing 92.

"An Agenda for the Ontario Securities Commission: Part I" (1994) 2(2) Corporate Financing 73-76

"Are Poison Pills Good for Shareholders?  The Empirical Evidence" (1994) 6(6) Corp. Gov. Rev. 2.

"Regulatory Barriers to Raising Capital for Small Firms" (1994) 6(8) Canadian Financial Services 57.

"Securities Regulation and the Public Interest: Of Politics, Procedures, and Policy Statements -- Part II" (1994) 24 Canadian Business Law Journal 287.

"Securities Regulation and the Public Interest: Of Politics, Procedures, and Policy Statements -- Part I" (1994) 24 Canadian Business Law Journal 77.

"The Role of Institutional and Retail Shareholders in Canadian Capital Markets" (1993) 31 Osgoode Hall Law Journal 371.

"Time for the Regulators to Reconsider Small Firm Financing" (1994) 2(1) Corporate Financing 59.

"Designing an Efficient Fiduciary Law" (1993) 43 University of Toronto Law Journal 425.

"The Canadian Securities Administrators' Takeover Proposals: Old Wine in Old Bottles?" (1993) 22 Canadian Business Law Journal 231.

"Legal Impediments to Institutional Shareholder Activism" (1993) 5(4) Corp. Gov. Rev. 11.

"Insider Trading Liability: An Impediment to Institutional Shareholder Activism" (1993) 5(5) Corp. Gov. Rev. 2.

"Regulation of Takeover Bids in Canada" (1993) 5(3) Corp. Gov. Rev. 3.

"Standard Trustco Case Signals Expansion of the 'Public Interest' Powers of the Securities Regulators" (1993) 1 Corporate Financing 38.

"The Excessive Use of Policy Statements by Canadian Securities Regulators" (1993) 1 Corporate Financing 19.

"Toward a Distinctive Canadian Corporate Law Regime" (with Ronald J. Daniels) (1992) 29 Osgoode Hall Law Journal 863.

"The Oppression Remedy: Personal or Derivative?" (1991) 70 Canadian Bar Review 29.

"The Puzzle of Shareholder Fiduciary Duties" (with Janet Holmes and Steve Thompson) (1991) 19 Canadian Business Law Journal 86.

"Poison Pills in Canada: A Reply to Dey and Yalden" (1991) 17 Canadian Business Law Journal 323.

"Corporations" in Law Society of Upper Canada, Special Lectures, 1990: Fiduciary Duties 189.

"Capital Markets and the Law: The Peculiar Case of Canada" (with Ron Daniels) (1990) 3(2) Canadian Investment Review 77.

"Bad faith and the Oppression Remedy: Uneasy Marriage or Amicable Divorce?" (1990) 69 Canadian Bar Review 276.

"The Poison Pill: A Noxious Nostrum for Canadian Shareholders" (1989) 18 Canadian Business Law Journal 276.

"Minority Shareholder Rights in Canada and England: 1860-1987" (1989) 27 Osgoode Hall Law Journal 561.

"An Investment Approach to a Theory of Contract Mitigation" (with D. Frydenlund) (1987) 37 University of Toronto Law Journal 113.

"Employment Discrimination: An Economic Perspective" (1987) 19 Ottawa Law Review 275.

"The Retrospectivity of the Oppression Remedy" (1987) 13 Canadian Business Law Journal 219.

"The Shareholders' Appraisal Right in Canada: A Critical Reappraisal" (1986) 24 Osgoode Hall Law Journal 201.

Also published in (1988) 13 Canada-United States Law Journal 299.

"Racketeer Influenced and Corrupt Organizations Act: Powerful New Tool of the Defrauded Securities Plaintiff" (1982) 31 University of Kansas Law Review 7.
 

Chapters in Books

“Securities Law Enforcement and the Rule of Law” (with Jeffrey G. MacIntosh) Enforcement of Corporate and Securities Law: China and the World, eds. Robin Hui Huang and Nicholas Calcina Howson (Cambridge: Cambridge University Press, 2017)

“Securities Law Enforcement and the Rule of Law”, in Public and Private Enforcement of Company Law and Securities Regulation – China and the World, Robin Huang, ed. (Cambridge: Cambridge Univ. Press, 2016) 

“Revisioning Revisionism: A Glance at HFT's Critics”, in Greg N. Gregoriou ed., The Handbook of High Frequency Trading (Oxford: Elsevier, 2014)

“Directors’ Duties in Canada: Paintings in a Stream”, in Adolpho Paolini, ed., Directors Duties: An International Perspective (London, Edward Elgar,  2014) (11,285 words)

“A National Securities Commission?  The Headless Horseman Rides Again”, chapter 12 in Anita Anand, ed., What’s Next for Canada? Securities Regulation After the Reference” (Toronto: Irwin Law, 2012)

"The Extent of Venture Capital Exits: Evidence from Canada and the United States"  (with Douglas Cumming), in Joe McCahery and Luc Renneboog, eds., Venture Capital Contracting and the Valuation of High-Tech Firms (Oxford: Oxford University Press, 2003), pp. 339-370

"Canadian Labour Sponsored Venture Capital Corporations: Bane or Boon?" (with Douglas J. Cumming), in A. Ginsberg and I. Hasan, eds., New Venture Creation (Amsterdam: Elsevier Science Academic Press, 2003), pp. 169-200

"Economic and Institutional Determinants of Venture Capital Investment Duration" (with Douglas Cumming), in Gary Libecap, ed., 14 Advances in the Study of Entrepreneurship, Innovation and Economic Growth  (Amsterdam: JAI Press, 2003) (view abstract)

"The End of Corporate Existence: Should Boards Act as Mediating Hierarchs?" in A. Anand and W. Flanagan, eds., The Corporation in the 21st Century: Proceedings of the 9th Annual Queen's Annual Business Law Symposium (Kingston: Queen's Printer, 2002), pp. 276-326

"Private Equity and Venture Capital", in Advisor's Guide to New Investment Opportunities (Bonham Centre for Finance at the Joseph L. Rotman School of Management, University of  Toronto), 48-54

"The Banks and Innovative Enterprise: Opportunities and Constraints", in Richard J.  Braudo and Jeffrey G. MacIntosh, eds., Competitive Industrial Development in the Age of  Information (London: Routledge, 1999).

"A National Securities Commission for Canada?", in Thomas J. Courchene and Edwin H. Neave, eds., Reforming the Canadian Financial Sector: Canada in Global Perspective (Kingston, Ontario: John Deutsche Institute for the Study of Economic Policy, 1997)

"Venture Capital Exits in Canada and the United States", in Paul J.N. Halpern, ed., Financing Growth in Canada (Calgary: Univ. of Calgary Press, 1997) 279-356

"Executive Compensation: The Importance of Context", in Value for Money: Executive Compensation in the 1990's (Toronto: The C.D. Howe Institute, 1996), p.88

"Do Institutional and Controlling Shareholders Increase Corporate Value?" (with Larry  Schwartz), in Ronald J. Daniels and Randall Morck, eds., Corporate Decision-Making in Canada (Calgary: Univ. of Calgary Press, 1995) 303-340

"Corporate Governance in Canada: A Broad-Brush Assessment", in Securities Regulation: Issues and Perspectives (Carswell: Scarborough, Ont., 1994) 321-332

"Corporations and Partnerships -- Canada", in the International Encyclopaedia of Laws, Kluwer Publications, Netherlands, (approx. 40 pages) (1993)
 

Book Reviews

Review of Adams, Annotated Ontario Business Corporations Act, Can. Bar Rev. (1992)

Review of T. Hadden, R.E. Forbes and R.A. Simmonds, Canadian Business Organizations Law, 11 Can. Bus. L .J. 366-384 (1986).  

Monographs, Reports, etc.

2014 “Comment on CCMRA (Submission to the Ontario Securities Commission re proposed Cooperative Canadian Market Regulatory Authority, December 8, 2014) (14,870 words)

2007 "Comparative Takeover Defenses: Canada and the United States" (research for Bank of Canada) (15 single-spaced pages)

2006 "Differences Between Canadian and U.S. Corporate Law" (research for Bank of Canada) (32 single-spaced pages)

2006 "Securities Regulation: Differences in Institutional Structure Between Canada and the United States" (research for Bank of Canada) (25 single-spaced pages)

2006 "Corporate Governance: An Evaluation of the Post-SOX Differences Between Canada and the United States" (with Kamil Ahmed) (research for Bank of Canada) (25 single-spaced pages)

2005-2006  "Review of Shareholder Rights in Canada and Comparison to the United States", prepared for the Bank of Canada (approximately 200 double-spaced pages)

2001  "Change at the Exchange", paper for Ministry of Finance (Ontario) examining the OSC's exempt market proposal, the affect of the stock exchange reorganization and ATS trading systems on the financing of small, technology firms (approx. 150 double-spaced pages)

1997 "Questions Relating to Pension Fund Governance", and "Background Paper for Kirby Committee on Pension Fund Governance", prepared for the Standing Senate Committee on Banking, Trade and Commerce (Chairman, The Honourable Michael Kirby)

1996 "Questions for Institutional Investors" and "Explanatory Paper Accompanying Text of Questions for Institutional Investors", prepared for the Standing Senate Committee on Banking, Trade and Commerce (Chairman, The Honourable Michael Kirby)

1996 Ontario Securities Commission Task Force on Small Business Financing: Final Report (Task Force member)

1995 Ontario Securities Commission Task Force on Small Business Financing: Proposal for Comment (Task Force member)

1994 Legal and Institutional Barriers to Financing Innovative Enterprise in Canada, monograph repared for the Government and Competitiveness Project, School of Policy Studies, Queen's University, Discussion Paper 94-10 (Summer, 1994, 189 journal-set pages)

1990 National Securities Regulation: Costs and Benefits: A Preliminary Study: study done for the Federal Department of Consumer and Corporate Affairs, Fall, 1990, with Ronald Daniels,  Paul Halpern, and Lawrence Booth (approx. 200 pages)

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