Sofia Johan

Florida Atlantic University - Finance

Associate Professor of Finance

777 Glades Rd

Boca Raton, FL 33431

United States

http://sites.google.com/view/sofiajohan

University of Aberdeen

Chair in Entrepreneurial Finance

Dunbar Street

Aberdeen, Scotland AB24 3QY

United Kingdom

Tilburg Law and Economics Center (TILEC)

Research Fellow

Warandelaan 2

Tilburg, 5000 LE

Netherlands

SCHOLARLY PAPERS

86

DOWNLOADS
Rank 1,716

SSRN RANKINGS

Top 1,716

in Total Papers Downloads

31,249

SSRN CITATIONS
Rank 1,954

SSRN RANKINGS

Top 1,954

in Total Papers Citations

462

CROSSREF CITATIONS

380

Scholarly Papers (86)

Capital-Market Effects of Securities Regulation: Prior Conditions, Implementation, and Enforcement Revisited

Number of pages: 20 Posted: 29 Dec 2017 Last Revised: 17 Jan 2023
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 1,602 (20,367)
Citation 5

Abstract:

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Securities Regulation, Market Manipulation, Liquidity, Insider Trading, Broker-Agency Conflict, Law And Finance

Capital-Market Effects of Securities Regulation: Prior Conditions, Implementation, and Enforcement Revisited

Finance Research Letters, Forthcoming
Number of pages: 21 Posted: 29 Jan 2019
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 487 (104,590)

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Securities Regulation, Market Manipulation, Liquidity, Insider Trading, Broker-Agency Conflict, Law and Finance

The Economic Impact of Entrepreneurship: Comparing International Datasets

Corporate Governance: An International Review,Forthcoming
Number of pages: 41 Posted: 09 May 2013 Last Revised: 06 Jan 2014
Douglas J. Cumming, Sofia Johan and Minjie Zhang
Florida Atlantic University, Florida Atlantic University - Finance and Odette School of Business - University of Windsor
Downloads 1,384 (25,426)

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Entrepreneurship, Law and Economics, Credit, Governance and Risk-Taking, Uncertainty Avoidance, Culture, Exports, Unemployment, Patents, Venture Capital

The Economic Impact of Entrepreneurship: Comparing International Datasets

Corporate Governance: An International Review, Forthcoming
Number of pages: 41 Posted: 04 Jan 2014
Douglas J. Cumming, Sofia Johan and Minjie Zhang
Florida Atlantic University, Florida Atlantic University - Finance and Odette School of Business - University of Windsor
Downloads 82 (540,312)
Citation 1

Abstract:

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Entrepreneurship, Law and Economics, Credit, Governance and Risk-Taking, Uncertainty Avoidance, Culture, Exports, Unemployment, Patents, Venture Capital

3.

Risks and Returns in Crowdlending

Number of pages: 31 Posted: 26 Mar 2019
Vienna Graduate School of Finance (VGSF), EDHEC Business School and Florida Atlantic University - Finance
Downloads 1,465 (23,787)
Citation 3

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Crowdfunding, Crowdlending, FinTech, Peer-to-Peer Lending, Credit Risks, Innovation Financing, Financial Anomalies

4.

Determinants of Sovereign Wealth Fund Investment in Private Equity versus Public Equity

Journal of International Business Studies, forthcoming
Number of pages: 32 Posted: 26 Nov 2012 Last Revised: 19 Oct 2021
Sofia Johan, April M. Knill and Nathan Mauck
Florida Atlantic University - Finance, University of South Carolina - Darla Moore School of Business and University of Missouri - Kansas City
Downloads 1,033 (39,445)
Citation 8

Abstract:

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sovereign wealth fund, private equity, international financial markets, legality, government policy, political relations and regulation

5.
Downloads 1,012 (40,642)
Citation 3

Institutional Investment in Listed Private Equity

Number of pages: 31 Posted: 24 Jan 2010 Last Revised: 06 Feb 2010
Florida Atlantic University, Continuity Capital Partners and Florida Atlantic University - Finance
Downloads 861 (50,196)
Citation 3

Abstract:

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Institutional investment, pension funds, listed private equity, Europe

Institutional Investment in Listed Private Equity

European Financial Management, Forthcoming
Number of pages: 30 Posted: 14 Dec 2010
Florida Atlantic University, Continuity Capital Partners and Florida Atlantic University - Finance
Downloads 151 (345,696)
Citation 1

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Institutional investment, pension funds, listed private equity

6.
Downloads 969 (43,235)
Citation 21

The Role of Due Diligence in Crowdfunding Platforms

Number of pages: 50 Posted: 09 Dec 2016 Last Revised: 12 Sep 2019
Douglas J. Cumming, Sofia Johan and Yelin Zhang
Florida Atlantic University, Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 655 (72,150)
Citation 15

Abstract:

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crowdfunding, entrepreneurship, intermediaries

The Role of Due Diligence in Crowdfunding Platforms

Journal of Banking and Finance, Forthcoming
Number of pages: 50 Posted: 07 Oct 2019
Douglas J. Cumming, Sofia Johan and Yelin Zhang
Florida Atlantic University, Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 314 (172,199)
Citation 15

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Crowdfunding, Entrepreneurial Finance, Intermediaries

7.

Is Venture Capital in Crisis?

World Financial Review (July-August), 69-72.
Number of pages: 15 Posted: 12 Jun 2012 Last Revised: 22 Nov 2014
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 959 (43,876)

Abstract:

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Venture Capital, Financial Crisis

8.

Information Asymmetries, Agency Costs and Venture Capital Exit Outcomes

Venture Capital, An International Journal of Entrepreneurial Finance, Vol. 10, pp. 197-231, 2008
Number of pages: 45 Posted: 11 Sep 2008 Last Revised: 16 Oct 2008
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 951 (44,387)
Citation 12

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Venture Capital, Exits, Financial Contracts, IPOs, Acquisitions, Secondary Sales, Buybacks, Write-offs

9.
Downloads 895 (48,338)
Citation 88

Exchange Trading Rules and Stock Market Liquidity

Journal of Financial Economics (JFE), Forthcoming
Number of pages: 41 Posted: 02 Feb 2010 Last Revised: 02 Mar 2010
Douglas J. Cumming, Sofia Johan and Dan Li
Florida Atlantic University, Florida Atlantic University - Finance and Chinese University of Hong Kong, Shenzhen
Downloads 594 (81,543)
Citation 17

Abstract:

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Market Manipulation, Liquidity, Insider Trading, Broker-Agency Conflict, Law and Finance

Exchange Trading Rules and Stock Market Liquidity

Number of pages: 43 Posted: 14 Nov 2009
Douglas J. Cumming, Sofia Johan and Dan Li
Florida Atlantic University, Florida Atlantic University - Finance and Chinese University of Hong Kong, Shenzhen
Downloads 301 (180,820)
Citation 3

Abstract:

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Market Manipulation, Liquidity, Insider Trading, Broker-Agency Conflict, Law and Finance

Demand Driven Securities Regulation: Evidence from Crowdfunding

Venture Capital: An International Journal of Entrepreneurial Finance 15, 361-379 (2013)
Number of pages: 36 Posted: 22 Jul 2013 Last Revised: 24 Nov 2014
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 511 (98,542)
Citation 1

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Crowdfunding, Securities Law, Race-to-the-Top, Race-to-the-Bottom

Demand Driven Securities Regulation: Evidence from Crowdfunding

Number of pages: 25 Posted: 22 Apr 2013 Last Revised: 02 Nov 2014
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 370 (144,059)
Citation 1

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Crowdfunding, Securities Regulation, Race to the Top, Race to the Bottom

11.
Downloads 803 (55,950)
Citation 8

Global Market Surveillance

TILEC Discussion Paper No. 2008-002, American Law and Economics Review, Forthcoming
Number of pages: 45 Posted: 19 Jul 2006 Last Revised: 10 Sep 2008
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 803 (55,133)
Citation 8

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Market Manipulation, Surveillance, Microstructure, Law and Finance

Global Market Surveillance

American Law and Economics Review, Vol. 10, Issue 2, pp. 454-506, 2008
Posted: 31 Dec 2008
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance

Abstract:

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G12, G14, G18, K22

Regulatory Harmonization and the Development of Private Equity Markets

Journal of Banking & Finance, Vol. 31, pp. 3218-3250, 2007
Number of pages: 37 Posted: 08 Nov 2005
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 742 (61,318)
Citation 4

Abstract:

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Private Equity, Venture Capital, Law and Finance

Regulatory Harmonization and the Development of Private Equity Markets

Journal of Banking and Finance, Vol. 31, pp. 3218-3250, 2007
Posted: 05 Jan 2007 Last Revised: 11 Sep 2008
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University

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Private Equity, Law and Finance

Socially Responsible Institutional Investment in Private Equity

Journal of Business Ethics, Vol. 75, pp. 395-416, 2007
Number of pages: 31 Posted: 12 Sep 2005 Last Revised: 10 Sep 2008
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 740 (61,655)
Citation 4

Abstract:

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Socially Responsible Investment, International Institutional Investment, Private Equity

Socially Responsible Institutional Investment in Private Equity

Journal of Business Ethics, Vol. 75, pp. 395-416, 2007
Posted: 25 Oct 2006 Last Revised: 10 Sep 2008
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance

Abstract:

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Socially Responsible Investment; International Institutional Investment, Private Equity

14.

Pre-Seed Government Venture Capital Funds

Journal of International Entrepreneurship, 2008
Number of pages: 32 Posted: 20 Nov 2007 Last Revised: 29 Sep 2013
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 664 (71,797)
Citation 6

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Venture Capital, Government, Public Policy, Entrepreneurship

15.

Preplanned Exit Strategies in Venture Capital

European Economic Review 52 (2008) 1209¿1241
Number of pages: 37 Posted: 26 Jul 2006 Last Revised: 13 Oct 2008
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 660 (72,367)
Citation 4

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Preplanned Exit, Contracts, Governance, Control Rights, Bargaining Power, Law and Finance

Same Rules, Different Enforcement: Market Abuse in Europe

TILEC Discussion Paper No. 2014-019
Number of pages: 53 Posted: 22 Feb 2014 Last Revised: 07 Jun 2016
Florida Atlantic University, Luiss Guido Carli University - Luiss Business School and Florida Atlantic University - Finance
Downloads 390 (135,677)
Citation 4

Abstract:

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Securities Regulation, Enforcement, Law and Finance

Same Rules, Different Enforcement: Market Abuse in Europe

Journal of International Financial Markets, Institutions and Money, Forthcoming
Number of pages: 56 Posted: 04 Oct 2017
Florida Atlantic University, Luiss Guido Carli University - Luiss Business School and Florida Atlantic University - Finance
Downloads 230 (236,511)
Citation 9

Abstract:

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Securities Regulation, Enforcement, Law and Finance

Reporting Bias in Private Equity: Reporting Frequency, Endowments, and Governance

29th Australasian Finance and Banking Conference 2016
Number of pages: 65 Posted: 21 Aug 2016
Sofia Johan and Minjie Zhang
Florida Atlantic University - Finance and Odette School of Business - University of Windsor
Downloads 369 (144,495)
Citation 9

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Private Equity, Reporting, Performance

Information Asymmetries in Private Equity: Reporting Frequency, Endowments, and Governance

TILEC Discussion Paper No. 2014-016
Number of pages: 55 Posted: 18 Mar 2014 Last Revised: 11 Jun 2020
Sofia Johan and Minjie Zhang
Florida Atlantic University - Finance and Odette School of Business - University of Windsor
Downloads 233 (233,653)
Citation 11

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Private Equity, Endowments, Financial Reporting, Law and Governance, Culture, Venture Capital

18.
Downloads 524 (96,652)
Citation 5

Advice and Monitoring in Venture Finance

Financial Markets and Portfolio Management, Vol. 21, No. 1, pp. 3-43, 2007 , TILEC Discussion Paper No. 2005-003
Number of pages: 41 Posted: 04 Jan 2005
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 524 (95,578)
Citation 5

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Venture Capital, Monitoring, Advice

Advice and Monitoring in Venture Finance

Financial Markets and Portfolio Management, Vol. 21, pp. 3-43, 2007
Posted: 23 Oct 2006 Last Revised: 15 Sep 2008
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University

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Venture Capital, Conflict, Advice

Is it the Law or the Lawyers? Investment Covenants Around the World

European Financial Management, Vol. 12, pp. 535-574, 2006
Number of pages: 40 Posted: 04 Jan 2005
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 515 (97,626)

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Empirical Contracts, Private Equity, Law and Finance

Is it the Law or the Lawyers? Investment Covenants Around the World

European Financial Management, Vol, 12, pp. 553-574, 2006
Posted: 26 Oct 2005 Last Revised: 10 Sep 2008
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University

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Empirical Contracts, Private Equity, Law and Finance

20.

Hedge Fund Forum Shopping

University of Pennsylvania Journal of Business and Employment Law, Vol. 10, No. 4, pp. 783-831, 2008
Number of pages: 32 Posted: 21 Apr 2008 Last Revised: 10 Sep 2008
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 494 (103,953)
Citation 4

Abstract:

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Hedge Funds, Forum Shopping, Regulation, Law and Finance

21.

Crowdfunding and Entrepreneurial Internationalization

N. Dai and D. Siegel, eds. Entrepreneurial Finance: Managerial and Policy Implications, The World Scientific Publishers, Chapter 5, Forthcoming
Number of pages: 27 Posted: 08 Jan 2016 Last Revised: 17 Mar 2016
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 486 (106,029)
Citation 2

Abstract:

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Crowdfunding, Entrepreneurial Internationalization

22.
Downloads 454 (114,808)
Citation 4

Dodd-Franking the Hedge Funds

Number of pages: 37 Posted: 20 Nov 2014 Last Revised: 10 May 2016
Douglas J. Cumming, Na Dai and Sofia Johan
Florida Atlantic University, SUNY at Albany - School of Business and Florida Atlantic University - Finance
Downloads 272 (200,226)
Citation 1

Abstract:

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Hedge Funds, Dodd-Frank, Law and Finance

Dodd-Franking the Hedge Funds

Journal of Banking and Finance, Forthcoming
Number of pages: 45 Posted: 20 Sep 2017 Last Revised: 21 Sep 2017
Douglas J. Cumming, Na Dai and Sofia Johan
Florida Atlantic University, SUNY at Albany - School of Business and Florida Atlantic University - Finance
Downloads 182 (293,898)
Citation 1

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Hedge Funds, Dodd-Frank, Law and Finance

Is Corporate Governance in China Related to Performance Persistence?

TILEC Discussion Paper No. 2013-015
Number of pages: 19 Posted: 15 May 2013
University of Iowa - Henry B. Tippie College of BusinessLancaster University - Lancaster University Management School, Florida Atlantic University - Finance and Concordia University
Downloads 260 (210,387)

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Board Structure, China, Corporate Governance, Performance Persistence

Is Corporate Governance in China Related to Performance Persistence?

Number of pages: 35 Posted: 06 Oct 2013
University of Iowa - Henry B. Tippie College of BusinessLancaster University - Lancaster University Management School, Florida Atlantic University - Finance and Concordia University
Downloads 169 (313,755)

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Board Structure, China, Corporate Governance, Performance Persistence

24.
Downloads 423 (125,181)
Citation 7

Venture's Economic Impact in Australia

Number of pages: 42 Posted: 29 Dec 2012 Last Revised: 29 Jul 2014
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 323 (167,660)
Citation 4

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Venture Capital, Private Equity, Patents, R&D, Employment, IPOs, Market Capitalization, Government Policy

Venture's Economic Impact in Australia

Journal of Technology Transfer, Forthcoming
Number of pages: 41 Posted: 16 Nov 2013
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 100 (474,717)

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Venture Capital, Private Equity, Patents, R&D, Employment, IPOs, Market Capitalization, Government Policy

25.

The Digital Credit Divide: Marketplace Lending and Entrepreneurship

Journal of Financial and Quantitative Analysis, forthcoming.
Number of pages: 50 Posted: 27 Jan 2019 Last Revised: 12 Feb 2021
Florida Atlantic University, University of Birmingham - Birmingham Business School, Florida Atlantic University - Finance and University of Birmingham
Downloads 421 (125,493)
Citation 8

Abstract:

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Fintech, Entrepreneurship, Credit Supply

26.

Exchange Trading Rules and Stock Market Liquidity

Journal of Financial Economics (JFE), Vol. 99, No. 3, 2011
Number of pages: 41 Posted: 16 Jan 2009 Last Revised: 22 Nov 2014
Douglas J. Cumming, Sofia Johan and Dan Li
Florida Atlantic University, Florida Atlantic University - Finance and Chinese University of Hong Kong, Shenzhen
Downloads 407 (130,494)

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Market Manipulation, Insider Trading, Broker Agency Conduct, Law and Finance

27.

Legality and Fund Manager Compensation

Number of pages: 34 Posted: 02 Aug 2005
Sofia Johan
Florida Atlantic University - Finance
Downloads 395 (134,943)

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Managerial Compensation, Incentive Contracts, Private Equity, Law and Finance

28.

A Dissection of Mutual Fund Fees, Flows, and Performance

Number of pages: 128 Posted: 24 Oct 2015 Last Revised: 22 Jun 2017
Douglas J. Cumming, Sofia Johan and Yelin Zhang
Florida Atlantic University, Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 379 (141,308)
Citation 1

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Mutual Funds, Management Expense Ratio (MER), Trailer Fees, 12b-1s

29.

Legal Protection, Corruption and Private Equity Returns in Asia

Journal of Business Ethics, Forthcoming
Number of pages: 36 Posted: 01 Apr 2011
Florida Atlantic University, Continuity Capital Partners, Florida Atlantic University - Finance and Wilshire Private Markets
Downloads 374 (143,489)
Citation 3

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Corruption, Law and Finance, Buyouts, Returns

30.

Financial Market Misconduct and Agency Conflicts: A Synthesis and Future Directions

Journal of Corporate Finance, Forthcoming
Number of pages: 37 Posted: 19 Jul 2015
Florida Atlantic University, CFA Institute and Florida Atlantic University - Finance
Downloads 352 (153,383)
Citation 21

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Financial Market Misconduct, Fraud, Insider trading, Regulation, Enforcement, Law and Finance

31.

Is the Crowd Sensitive to Distance? — How Investment Decisions Differ by Investor Type

Small Business Economics, Forthcoming
Number of pages: 40 Posted: 02 Feb 2016 Last Revised: 13 Oct 2016
WHU - Otto Beisheim School of Management, Florida Atlantic University - Finance and Concordia University
Downloads 348 (155,252)
Citation 3

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Distance, Equity Crowdfunding, Entrepreneurial Finance, Entrepreneurship, Home Bias, Internet

32.

Exchanges and Their Investors: A New Look at Reporting Issues, Fraud, and Other Problems by Exchange

Number of pages: 39 Posted: 15 Jan 2012
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 347 (155,765)

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Corporate fraud; Exchange listing standards, Securities commissions, NYSE, NASDAQ, TSX, TSXV, LSE, AIM, Pinksheets

33.

The IPO as an Exit Strategy for Venture Capitalists: Regional Lessons from Canada with International Comparisons

Handbook of Research on IPOs, Mario Levis and Silvio Vismara, eds., Edgar Elgar, 2012.
Number of pages: 45 Posted: 30 Dec 2012
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 346 (156,294)

Abstract:

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Venture Capital, IPO

34.

The Differential Impact of the Internet on Spurring Regional Entrepreneurship

Entrepreneurship Theory and Practice, Forthcoming
Number of pages: 39 Posted: 19 Oct 2005 Last Revised: 13 Oct 2013
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 344 (157,266)

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Internet, Investment, Regional Development, Government Program

35.

Demand Driven Securities Regulation: Evidence from Crowdfunding

Venture Capital: An International Journal of Entrepreneurial Finance, 15, 361-379 (2013).
Number of pages: 36 Posted: 20 Sep 2013 Last Revised: 24 Nov 2014
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 331 (163,917)
Citation 5

Abstract:

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crowd-funding, securities law, race-to-the-top, race-to-the-bottom

36.

The Problems with and Promise of Entrepreneurial Finance

Strategic Entrepreneurship Journal, Forthcoming
Number of pages: 24 Posted: 21 Aug 2017
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 318 (171,222)
Citation 9

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Entrepreneurial Finance, Venture Capital, Private Equity, IPOs, Crowdfunding, Debt, Trade Credit, Angel Investors

37.

Venture Capital Investment Duration

Journal of Small Business Management, Forthcoming
Number of pages: 41 Posted: 12 Dec 2008 Last Revised: 20 Jan 2009
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 300 (181,973)
Citation 1

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Venture Capital, Duration, Exits, Initial Public Offerings, Write-offs, Public Policy

38.
Downloads 293 (186,558)
Citation 2

Provincial Preferences in Private Equity

Financial Markets and Portfolio Management, Vol. 20, No. 4, pp. 369-398, 2006
Number of pages: 30 Posted: 07 Feb 2005
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 293 (185,395)
Citation 2

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Venture capital, private equity, home bias

Provincial Preferences in Private Equity

Financial Markets and Portfolio Management, Vol. 20, pp. 369-398, 2006
Posted: 07 Nov 2006
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University

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home bias, private equity

39.

Do Financial Analysts Perform a Monitoring Role in China? Evidence from Modified Audit Opinions

Abacus, Forthcoming
Number of pages: 50 Posted: 14 Apr 2012 Last Revised: 09 Jun 2015
Jiandong Chen, Rong Ding, Wenxuan Hou and Sofia Johan
Southwestern University of Finance and Economics, NEOMA Business School, University of Edinburgh - Business School and Florida Atlantic University - Finance
Downloads 287 (190,571)
Citation 2

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Modified Audit Opinion (MAO), Analyst Coverage, Analyst Following, State-owned enterprises, China

40.

Global Fintech Trends and Their Impact on International Business: A Review

Multinational Business Review, 2023
Number of pages: 44 Posted: 16 May 2023 Last Revised: 01 Aug 2023
Florida Atlantic University, Florida Atlantic University - Finance and Florida Atlantic University
Downloads 284 (193,319)

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fintech, digital finance, financial inclusion, international business, internet banking, mobile money, crowdfunding, p2p

41.

Governance and Success in U.S. Securities-Based Crowdfunding

Number of pages: 72 Posted: 12 Nov 2021 Last Revised: 07 Jul 2023
Florida Atlantic University, Florida Atlantic University - Finance and Florida Atlantic University
Downloads 277 (199,070)
Citation 2

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Equity Crowdfunding, Governance, Delaware Incorporation, Fintech, COVID-19

42.

Private Equity Exits in Emerging Markets

Number of pages: 47 Posted: 05 Apr 2015
Sofia Johan and Minjie Zhang
Florida Atlantic University - Finance and Odette School of Business - University of Windsor
Downloads 271 (202,080)
Citation 3

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Private Equity, emerging markets, IPO, BRIC countries, corruption

43.

Institutional Investors, Political Connections and Incidence of Corporate Fraud

TILEC Discussion Paper No. 2012-042
Number of pages: 36 Posted: 29 Nov 2012
Shanghai Jiao Tong University - Antai College of Economics & Management, Florida Atlantic University - Finance and China Europe International Business School (CEIBS)affiliation not provided to SSRN
Downloads 261 (209,832)
Citation 4

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Fraud, Political connection, Institutional investor, China

A New Look at Reporting Fraud: By Exchange

TILEC Discussion Paper No. 2011-050
Number of pages: 39 Posted: 25 Nov 2011
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 181 (295,295)

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Corporate fraud, Exchange listing standards, Securities commissions, NYSE

A New Look at Reporting Fraud: By Exchange

Number of pages: 38 Posted: 27 Oct 2011
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 70 (593,162)

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Corporate Fraud, Exchange Listing Standards, Securities Commissions, NYSE, NASDAQ, TSX, TSXV, LSE, AIM, Pinksheets

45.

Public Policy Towards Entrepreneurial Finance: Spillovers and the Scale-Up Gap

Number of pages: 35 Posted: 31 Jan 2018 Last Revised: 21 May 2018
Douglas J. Cumming, Sofia Johan and Yelin Zhang
Florida Atlantic University, Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 208 (260,926)
Citation 7

Abstract:

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46.

Are Hedge Funds Registered in Delaware Different?

Number of pages: 46 Posted: 16 May 2013 Last Revised: 02 Dec 2014
Douglas J. Cumming, Na Dai and Sofia Johan
Florida Atlantic University, SUNY at Albany - School of Business and Florida Atlantic University - Finance
Downloads 208 (260,926)
Citation 1

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Hedge Funds, Delaware, Law and Finance

47.

Determinants of Cross-Border Venture Capital Investments in Emerging and Developed Economies: The Effects of Relational and Institutional Trust

Journal of Business Ethics, Forthcoming
Number of pages: 49 Posted: 22 Jan 2014 Last Revised: 10 Mar 2016
Daniel Hain, Sofia Johan and Daojuan Wang
IKE, DRUID, Aalborg University, Florida Atlantic University - Finance and Aalborg University - Department of Business and Management
Downloads 206 (264,544)
Citation 9

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Venture capital, institutional trust, relational trust, corruption, China, syndication, emerging economies

48.

Do Political Connections Matter in Accessing Capital Markets? Evidence from China

Number of pages: 39 Posted: 05 Apr 2015 Last Revised: 09 Oct 2015
Xiaolu Bao, Sofia Johan and Kenji Kutsuna
Kobe University, Florida Atlantic University - Finance and Kobe University - Graduate School of Business Administration
Downloads 201 (269,248)
Citation 8

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IPO; Political connection; Start-ups; China; capital market regulation

Corporate Finance and the Governance Implications of Removing Government Support Programs

TILEC Discussion Paper No. 2014-021
Number of pages: 43 Posted: 12 Jan 2014 Last Revised: 30 Aug 2015
University of Navarra, IESE Business School, Florida Atlantic University - Finance, Concordia University and Western University
Downloads 121 (411,931)
Citation 1

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Investment funds, Labour-Sponsored Venture Capital Corporations (LSVCCs), tax subsidies, value destruction

Corporate Finance and the Governance Implications of Removing Government Support Programs

Journal of Banking and Finance, Forthcoming
Number of pages: 43 Posted: 03 Nov 2015
University of Navarra, IESE Business School, Florida Atlantic University - Finance, Concordia University and Western University
Downloads 66 (612,641)

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Investment funds, Labour-Sponsored Venture Capital Corporations (LSVCCs), tax subsidies, value destruction

50.

Does Religiosity Influence Venture Capital Investment Decisions?

Journal of Corporate Finance, Forthcoming
Number of pages: 46 Posted: 28 Aug 2017 Last Revised: 25 Mar 2020
Lancaster University Management School, Florida Atlantic University - Finance and University of Exeter Business School
Downloads 181 (295,728)
Citation 11

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Religiosity, Venture Capital, Risk-Aversion

51.

Listing Standards and Fraud

Managerial and Decision Economics, Forthcoming
Number of pages: 47 Posted: 31 Mar 2013
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 168 (315,591)

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Corporate fraud, Exchange listing standards, Securities commissions, NYSE, NASDAQ, TSX, TSXV, LSE, AIM, PinkSheets

52.

Corporate Failures: Declines, Collapses, and Scandals

Journal of Corporate Finance, Forthcoming
Number of pages: 29 Posted: 16 Dec 2022
Rebel A. Cole, Sofia Johan and Denis Schweizer
Florida Atlantic University, Florida Atlantic University - Finance and Concordia University
Downloads 160 (332,623)

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Law and Finance, Financial Market Misconduct, Fraud, Regulation, Trust

Cameras Tracking Shoppers: The Economics of Retail Video Surveillance

Number of pages: 29 Posted: 25 Jul 2013
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 89 (512,943)

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Video Surveillance, Retail Stores

Cameras Tracking Shoppers: The Economics of Retail Video Surveillance

Eurasian Business Review, Forthcoming
Number of pages: 32 Posted: 31 May 2015
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 61 (638,789)

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Video Surveillance, Retail Entrepreneurs, Information Asymmetry, Search Costs

54.

Governance and Success in U.S. Securities-Based Crowdfunding

Center for Financial Studies Working Paper No. 668, 2021
Number of pages: 72 Posted: 02 Feb 2022 Last Revised: 07 Jul 2023
Florida Atlantic University, Florida Atlantic University - Finance and Florida Atlantic University
Downloads 148 (351,044)

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Equity Crowdfunding, Governance, Delaware Incorporation, Fintech, COVID-19

55.

Developments in Financial Institutions, Governance, Agency Costs, and Misconduct

Journal of International Financial Markets, Institutions and Money, Forthcoming
Number of pages: 26 Posted: 23 Jun 2017
Douglas J. Cumming, Sofia Johan and Rejo Peter
Florida Atlantic University, Florida Atlantic University - Finance and York University - Schulich School of Business
Downloads 148 (351,044)
Citation 2

Abstract:

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Misconduct, Fraud, Corporate Governance, Auditors, Directors, CEO Turnover

56.

Technology Parks and Entrepreneurial Outcomes around the World

International Journal of Managerial Finance, Forthcoming
Number of pages: 25 Posted: 22 Feb 2013
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 148 (351,044)

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technology parks, entrepreneurship, new firm creation, growth, entrepreneurial finance

57.

End-of-Day Price Manipulation and M&As

British Journal of Management, Forthcoming
Number of pages: 49 Posted: 16 Oct 2018 Last Revised: 22 Nov 2019
Florida Atlantic University, Capital Markets CRC, Florida Atlantic University - Finance and University of Exeter Business School
Downloads 146 (354,948)
Citation 3

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Market Manipulation, M&As, Premiums, Regulation

58.

Quality Revealing Versus Overstating in Equity Crowdfunding

Journal of Corporate Finance, Forthcoming
Number of pages: 58 Posted: 08 May 2020 Last Revised: 17 Sep 2020
Sofia Johan and Yelin Zhang
Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 143 (360,981)
Citation 10

Abstract:

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Equity Crowdfunding, Information Asymmetry, Qualitative Information

59.

Institutional Investors, Political Connections, and the Incidence of Regulatory Enforcement Against Corporate Fraud

Number of pages: 43 Posted: 07 Oct 2014
Shanghai Jiao Tong University - Antai College of Economics & Management, Florida Atlantic University - Finance and China Europe International Business School (CEIBS)affiliation not provided to SSRN
Downloads 137 (373,146)
Citation 21

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Fraud; Political connections; Institutional investor; China

60.

Banks Joining Venture Capital Investments: Portfolio Selection, Strategic Objectives, Performance and Exit

TILEC Discussion Paper No. 2018-039
Number of pages: 59 Posted: 19 Nov 2018
Sofia Johan and Samuele Murtinu
Florida Atlantic University - Finance and Utrecht University - School of Economics
Downloads 136 (375,199)
Citation 3

Abstract:

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bank, venture capital, syndication, Europe, matching, performance

61.

Phasing Out an Inefficient Venture Capital Tax Credit

Journal of Industry, Competition and Trade, Forthcoming
Number of pages: 35 Posted: 14 May 2010
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 133 (381,791)

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Entrepreneurship, Venture Capital, Tax Policy, Canada

62.

Mixed Methods in Venture Capital Research: An Illustrative Study and Directions for Future Work

Accepted for publication in the British Journal of Management. To cite that paper: Levasseur, L., Johan, S., & Eckhardt, J. (2021). Mixed methods in venture capital research: An illustrative study and directions for future work. British Journal of Management. DOI: 10.1111/1467-8551.12514.
Number of pages: 55 Posted: 07 Apr 2021 Last Revised: 13 Apr 2021
Indian Institute of Management Bangalore, Florida Atlantic University - Finance and University of Wisconsin - MadisonUniversity of Wisconsin - Madison - Wisconsin Institute for Discovery
Downloads 131 (386,211)
Citation 2

Abstract:

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Entrepreneurship, Entrepreneurial Finance, Venture Capital, Learning, Mixed Methods

63.

The Changing Latitude: Labour-Sponsored Venture Capital Corporations in Canada

Corporate Governance: An International Review, Forthcoming
Number of pages: 40 Posted: 02 Apr 2013 Last Revised: 11 Jan 2014
Sofia Johan, Denis Schweizer and Feng Zhan
Florida Atlantic University - Finance, Concordia University and Western University
Downloads 126 (398,127)
Citation 2

Abstract:

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Venture capital, Private equity, LSVCCs, Government policy, Corporate governance, Retail investors, Mutual funds, Tournament behaviour theory

64.

A Drop in an Empty Pond: Canadian Public Policy towards Venture Capital

Journal of Industrial and Business Economics, Forthcoming
Number of pages: 26 Posted: 07 Nov 2016
Florida Atlantic University, Florida Atlantic University - Finance and University of Toronto - Faculty of Law
Downloads 119 (415,438)
Citation 2

Abstract:

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Venture Capital, Government Programs, Public Policy

65.

Phasing Out an Inefficient Tax Credit

Number of pages: 28 Posted: 01 Nov 2008
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 115 (426,152)

Abstract:

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Canadian Tax Policy, Entrepreneurship, Venture Capital

66.

Crowdfunding and Intellectual Property

Colorado Technology Law Journal
Number of pages: 27 Posted: 20 Dec 2023 Last Revised: 09 Feb 2024
Florida Atlantic University, Florida Atlantic University - Finance and Florida Atlantic University
Downloads 109 (446,197)

Abstract:

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crowdfunding, intellectual property, misconduct, academic integrity

67.

What is Mutual Fund Flow?

Journal of International Financial Markets, Institutions and Money, Vol. 62, No. 222-251, 2019
Number of pages: 71 Posted: 07 Oct 2019
Douglas J. Cumming, Sofia Johan and Yelin Zhang
Florida Atlantic University, Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 109 (443,259)
Citation 6

Abstract:

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Mutual Fund Flows, Mutual Fund Returns, Trailer Fees, Information Asymmetry

68.

Common Auditors and Cross-Country M&A Transactions

Journal of International Financial Markets, Institutions and Money, Forthcoming
Number of pages: 41 Posted: 20 May 2016 Last Revised: 08 Apr 2017
Lancaster University Management School, Florida Atlantic University - Finance and University of Exeter Business School
Downloads 109 (443,259)
Citation 1

Abstract:

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Auditors; Information transfer; M&As

69.

The Unintended Consequences of Biotechnology Innovation Adoption

Number of pages: 44 Posted: 20 Dec 2018
Florida Atlantic University, Florida Atlantic University - Finance, Silver Oak Services Partners and Howard University - School of Business
Downloads 103 (461,752)

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biotechnology, technological innovation, social innovation, certified organic operations

70.

Comparative Capitalisms and Energy Transitions: Renewable Energy in the European Union

Number of pages: 35 Posted: 17 Feb 2019
Manchester Metropolitan University, The University of Manchester - Alliance Manchester Business School, Florida Atlantic University and Florida Atlantic University - Finance
Downloads 101 (468,221)
Citation 2

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Institutional Theory; International Business; Varieties of Capitalism; Renewable Energy; European Union

71.

How Alternative Finance Informs Central Themes in Corporate Finance

Farag, H. and Johan, S., 2021. How alternative finance informs central themes in corporate finance. Journal of Corporate Finance, 67, p.101879.
Number of pages: 23 Posted: 04 May 2021 Last Revised: 02 May 2021
Hisham Farag and Sofia Johan
University of Birmingham - Birmingham Business School and Florida Atlantic University - Finance
Downloads 100 (471,465)
Citation 2

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Peer-to-Peer lending, Fintech, Cryptocurrencies, ICOs, Digital Finance, Alternative Finance

72.

Business Advisory Services and Innovation during Pandemic Times: Evidence from Small Businesses*

Number of pages: 31 Posted: 15 Jun 2022
Universidad de los Andes, Chile - School of Business and Economics, ESE Business School, Florida Atlantic University - Finance and Universidad de los Andes, Chile
Downloads 96 (484,381)

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entrepreneurship, innovation, pandemic, small businesses

73.

The Effects of Institutional Ownership on Corporate Venture Capital Investment Decisions

Number of pages: 57 Posted: 15 Oct 2022 Last Revised: 31 Oct 2022
Sofia Johan and Yuan Li
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 89 (511,874)

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Corporate venture capital, institutional ownership, ownership heterogeneity, exploration and exploitation investments

74.

An Anatomy of Entrepreneurial Pursuits in Relation to Poverty

Entrepreneurship and Regional Development, Forthcoming
Number of pages: 41 Posted: 28 May 2019 Last Revised: 29 May 2019
Florida Atlantic University, Florida Atlantic University - Finance and Howard University - School of Business
Downloads 88 (511,874)

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Entrepreneurial activity, income inequality, opportunity, poverty, public policy, development

75.

The Effectiveness of Public Enforcement: Evidence from the Resolution of Tunneling in China

Journal of Business Ethics, Forthcoming
Number of pages: 58 Posted: 11 Sep 2014
University of Iowa - Henry B. Tippie College of BusinessLancaster University - Lancaster University Management School, Florida Atlantic University - Finance and University of Cologne
Downloads 84 (526,846)

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Corporate Governance, Tunneling, Enforcement

76.

Who is Entrepreneurial? Evidence from Late Bloomer Firms with M&A strategies

Number of pages: 51 Posted: 30 Sep 2021 Last Revised: 03 Nov 2021
EDHEC Business School, University of Vaasa, Florida Atlantic University - Finance and EDHEC Business School
Downloads 81 (538,408)

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Entrepreneurial orientation, Entrepreneurial posturing, Sustainable Competitive Advantage, Competitive aggressiveness, IPO, Mergers and Acquisitions, Industry Lifecycle, Resource Advantage.

77.

Investors’ Industry Preference in Equity Crowdfunding

Number of pages: 43 Posted: 02 Aug 2021
Sofia Johan and Yelin Zhang
Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 79 (546,456)
Citation 10

Abstract:

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Equity Crowdfunding, Industry Effect, Business Valuation

78.

Does Crowdfunding Democratize Success? Revisiting the Effects of Agglomeration and Localized Knowledge Spillover on Creative Projects

Number of pages: 41 Posted: 20 Nov 2019
Sofia Johan and Jon Taylor
Florida Atlantic University - Finance and Florida Gulf Coast University - Department of Accounting, Finance & Business Law
Downloads 78 (554,522)

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Art, Crowdfunding, Entrepreneurial Finance, Entrepreneurship, FinTech, Geography

79.

Government Venture Capital Research: Fake Science and Bad Public Policy

Venture Capital: An International Journal of Entrepreneurial Finance, Forthcoming
Number of pages: 16 Posted: 27 Dec 2018
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 76 (558,654)

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Government Venture Capital; Crowding Out; Science and Public Policy

80.

Quality Revealing or Overstating? — Analysis on Qualitative Startup Information in Equity Crowdfunding

Number of pages: 70 Posted: 03 Dec 2018
Sofia Johan and Yelin Zhang
Florida Atlantic University - Finance and Gonzaga University - School of Business Administration
Downloads 70 (584,654)
Citation 3

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Equity Crowdfunding, Information Asymmetry, Textual Information, Title III of JOBS Act

81.

E-Commerce Policy and International Business

Management International Review, Forthcoming
Number of pages: 38 Posted: 19 Oct 2022
Florida Atlantic University, Florida Atlantic University - Finance, University of Aberdeen and University of Aberdeen
Downloads 58 (643,291)

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e-commerce, cross-border online business activities, global ecommerce, platforms, networks, institutions

82.

Business Advisory Services and Female Employment in an Extreme Institutional Context

British Journal of Management
Number of pages: 36 Posted: 20 Nov 2019 Last Revised: 25 Sep 2020
Sofia Johan and Patricio Valenzuela
Florida Atlantic University - Finance and Universidad de los Andes, Chile
Downloads 58 (643,291)
Citation 3

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business training; employment; entrepreneurship; institutional context

83.

Does Climate Change Risk Influence the Performance of Newly Listed Firms?

Posted: 01 May 2023
University of Leeds, Florida Atlantic University - Finance, University of Birmingham - Birmingham Business School and University of Leeds - Faculty of Business

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Climate Change Risk, ESG, IPOs, Underpricing, Long-term Performance

84.

Religious and Social Narratives and Crowdfunding Success

Journal of International Financial Markets, Institutions and Money, 80(4):101595
Posted: 17 Jun 2022 Last Revised: 22 Aug 2023
Syarif Hidayatullah State Islamic University Jakarta, University of Aberdeen, Florida Atlantic University - Finance, Loughborough University - School of Business and Economics and Independent

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Crowdfunding; religiosity; linguistic narrative; moral foundation

85.

Investment Ties Gone Awry

Academy of Management Journal (Forthcoming)
Posted: 13 Jun 2016 Last Revised: 11 Apr 2019
Kourosh Shafi, Ali Mohammadi and Sofia Johan
California State University, East Bay, Copenhagen Business School - Department of Strategy and Innovation and Florida Atlantic University - Finance

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Inter-organizational relationships, reputation, signaling theory, tie discontinuation, venture capital

86.

Listing Standards as a Signal of IPO Preparedness and Quality

International Review of Law and Economics, Vol. 30, No. 2, 2010
Posted: 26 Oct 2013
Sofia Johan
Florida Atlantic University - Finance

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Initial public offerings; Listing standards; Junior stock markets

Other Papers (1)

Total Downloads: 128
1.

Employee welfare, social capital, and IPO survival

Number of pages: 42 Posted: 11 Oct 2021
University of Leeds, Florida Atlantic University - Finance, University of Birmingham - Birmingham Business School and University of Leeds - Faculty of Business
Downloads 128

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IPO survival, employee welfare, social capital, longevity