Do Financial Gatekeepers Under-Protect Investors? Evidence from Criminal Background Checks

Author:

Law Kelvin,Mills Lillian F.

Publisher

Elsevier BV

Reference84 articles.

1. HNW) clients, which are defined as those individuals with at least $750,000 managed by advisors, or whose net worth exceeds $1,500,000. We are able to collect from Form ADV the percentage of HNW clients and the total amount of assets under management (AUM) for a small number of advisory firms. We re-estimate our baseline specifications in panel A of Table 7 based on those advisory firms with at least 50% of clients or AUM are attributable to HNW clients;We confirm (untabulated) that our results are robust to firms catering high net worth

2. Ban the Box, Criminal Records, and Racial Discrimination: A Field Experiment;A Agan;Quarterly Journal of Economics,2018

3. The Association between Individual Audit Partners' Risk Preferences and the Composition of Their Client Portfolios;E.; J.-P Amir;Review of Accounting Studies,2014

4. Criminal Convictions and Risk Taking;E.; J.-P Amir;Australian Journal of Management,2014

5. What's My Style? The Influence of Top Managers on Voluntary Corporate Financial Disclosure;L S.; J X Bamber;The Accounting Review,2010

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