Sofia Johan

Florida Atlantic University - Finance

777 Glades Rd

Boca Raton, FL 33431

United States

Tilburg Law and Economics Center (TILEC)

Research Fellow

Warandelaan 2

Tilburg, 5000 LE

Netherlands

SCHOLARLY PAPERS

72

DOWNLOADS
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Top 1,266

in Total Papers Downloads

22,536

SSRN CITATIONS
Rank 2,116

SSRN RANKINGS

Top 2,116

in Total Papers Citations

96

CROSSREF CITATIONS

422

Scholarly Papers (72)

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

Number of pages: 20 Posted: 29 Dec 2017 Last Revised: 03 Feb 2018
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 1,339 (14,241)
Citation 2

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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 248 (127,657)

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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 1,276 (15,383)

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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 62 (369,038)

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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, Vol. 22, Issue 2, pp. 162-178, 2014
Number of pages: 17 Posted: 08 Mar 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 0
Citation 1
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Corporate Governance, Law and Entrepreneurship, Unemployment, Patents, Venture Capital

3.
Downloads 939 ( 24,749)
Citation 13

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 820 (29,535)
Citation 2

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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 118 (246,152)
Citation 1

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Institutional investment, pension funds, listed private equity

Institutional Investment in Listed Private Equity

European Financial Management, Vol. 17, Issue 3, pp. 594-618, 2011
Number of pages: 25 Posted: 31 May 2011
Florida Atlantic University, Continuity Capital Partners and Florida Atlantic University - Finance
Downloads 1 (708,084)
Citation 5
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institutional investment, pension funds, listed private equity, G23, G24

4.

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 857 (28,205)
Citation 5

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

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 443 (66,363)
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 353 (86,934)
Citation 1

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

6.

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 742 (34,424)

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Venture Capital, Financial Crisis

7.
Downloads 740 ( 34,563)
Citation 53

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 The University of Hong Kong - School of Economics and Finance
Downloads 481 (60,024)
Citation 6

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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 The University of Hong Kong - School of Economics and Finance
Downloads 259 (122,017)
Citation 2

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Market Manipulation, Liquidity, Insider Trading, Broker-Agency Conflict, 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 692 (37,267)

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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

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Socially Responsible Investment; International Institutional Investment, Private Equity

9.
Downloads 682 ( 38,601)
Citation 4

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 682 (38,010)
Citation 4

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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

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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 681 (38,084)
Citation 1

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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

Abstract:

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Private Equity, Law and Finance

11.

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 583 (47,584)
Citation 4

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Venture Capital, Government, Public Policy, Entrepreneurship

12.

Determinants of Sovereign Wealth Fund Investment in Private Equity

TILEC Discussion Paper No. 2010-044
Number of pages: 42 Posted: 18 Dec 2010 Last Revised: 27 Sep 2011
Sofia Johan, April M. Knill and Nathan Mauck
Florida Atlantic University - Finance, Florida State University College of Business and University of Missouri - Kansas City
Downloads 545 (51,736)

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Sovereign wealth fund, private equity, international financial markets, legality, government policy, regulation

13.

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 544 (51,867)
Citation 2

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

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 487 (59,103)

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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, No. 4, pp. 535-574, September 2006
Number of pages: 40 Posted: 11 Aug 2006
Sofia Johan and Douglas J. Cumming
Florida Atlantic University - Finance and Florida Atlantic University
Downloads 27 (515,012)
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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

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, EMLYON Business School and Florida Atlantic University - Finance
Downloads 347 (88,701)
Citation 3

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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, EMLYON Business School and Florida Atlantic University - Finance
Downloads 156 (196,789)

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Securities Regulation, Enforcement, Law and Finance

16.
Downloads 482 ( 60,520)
Citation 6

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 452 (64,808)
Citation 9

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 30 (497,895)

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Crowdfunding, Entrepreneurial Finance, Intermediaries

17.

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 467 (62,937)
Citation 2

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Hedge Funds, Forum Shopping, Regulation, Law and Finance

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 465 (62,586)
Citation 4

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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

19.

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

Number of pages: 32 Posted: 26 Nov 2012
Sofia Johan, April M. Knill and Nathan Mauck
Florida Atlantic University - Finance, Florida State University College of Business and University of Missouri - Kansas City
Downloads 410 (73,712)
Citation 5

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

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 240 (132,004)
Citation 6

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Private Equity, Reporting, Performance

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

TILEC Discussion Paper No. 2014-016
Number of pages: 52 Posted: 18 Mar 2014 Last Revised: 09 Jun 2014
Sofia Johan and Minjie Zhang
Florida Atlantic University - Finance and Odette School of Business - University of Windsor
Downloads 149 (204,571)
Citation 6

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

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 382 (79,879)
Citation 1

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Crowdfunding, Entrepreneurial Internationalization

22.

Legality and Fund Manager Compensation

Number of pages: 34 Posted: 02 Aug 2005
Sofia Johan
Florida Atlantic University - Finance
Downloads 374 (81,935)

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

23.

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 The University of Hong Kong - School of Economics and Finance
Downloads 354 (87,293)

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Market Manipulation, Insider Trading, Broker Agency Conduct, 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
Lars Helge Hass, Sofia Johan and Denis Schweizer
Lancaster University - Management School, Florida Atlantic University - Finance and Concordia University
Downloads 219 (144,534)

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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
Lars Helge Hass, Sofia Johan and Denis Schweizer
Lancaster University - Management School, Florida Atlantic University - Finance and Concordia University
Downloads 126 (234,186)

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Board Structure, China, Corporate Governance, Performance Persistence

25.

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 342 (90,827)

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Corruption, Law and Finance, Buyouts, Returns

26.
Downloads 326 ( 95,747)
Citation 5

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 250 (126,624)
Citation 3

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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 76 (329,642)

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

27.

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 321 (97,411)

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

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 306 (102,098)

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Internet, Investment, Regional Development, Government Program

The Differential Impact of the Internet on Spurring Regional Entrepreneurship

Entrepreneurship Theory and Practice, Vol. 34, No. 5, pp. 857-883, September 2010
Number of pages: 28 Posted: 07 Sep 2010
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 2 (694,318)
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The Differential Impact of the Internet on Spurring Regional Entrepreneurship

Entrepreneurship Theory and Practice, Vol. 34, Issue 5, pp. 857-883, 2010
Number of pages: 28 Posted: 01 Jun 2016
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
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29.

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 304 (103,378)
Citation 4

Abstract:

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

30.

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 303 (103,758)
Citation 1

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

31.
Downloads 298 (105,713)

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 236 (134,263)

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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 62 (369,038)

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Hedge Funds, Dodd-Frank, Law and Finance

32.

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 287 (110,062)
Citation 1

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

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 272 (115,925)
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

Abstract:

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home bias, private equity

34.

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 270 (117,398)

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Venture Capital, IPO

35.

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 264 (120,181)
Citation 3

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

36.
Downloads 261 (121,623)
Citation 13

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 260 (121,484)

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

Venture Capital Investment Duration

Journal of Small Business Management, Vol. 48, Issue 2, pp. 228-257, January 2010
Number of pages: 30 Posted: 29 Mar 2010
Douglas J. Cumming and Sofia Johan
Florida Atlantic University and Florida Atlantic University - Finance
Downloads 1 (708,084)
Citation 1
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37.

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 249 (127,739)
Citation 1

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

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, University of Warwick, University of Edinburgh - Business School and Florida Atlantic University - Finance
Downloads 241 (131,483)
Citation 2

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

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

Abacus, Vol. 52, Issue 3, pp. 473-500, 2016
Number of pages: 28 Posted: 09 Sep 2016
Jiandong Chen, Rong Ding, Wenxuan Hou and Sofia Johan
Southwestern University of Finance and Economics, University of Warwick - Warwick Business School, University of Edinburgh - Business School and Florida Atlantic University - Finance
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Analyst coverage, Analyst following, China, Modified audit opinion, State‐owned enterprises

39.

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 217 (146,191)
Citation 2

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

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 160 (192,528)

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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 57 (385,205)

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

41.

Institutional Investors, Political Connections and Incidence of Corporate Fraud

TILEC Discussion Paper No. 2012-042
Number of pages: 36 Posted: 29 Nov 2012
Wenfeng Wu, Sofia Johan and Oliver M. Rui
Shanghai Jiao Tong University - Antai College of Economics & Management, Florida Atlantic University - Finance and China Europe International Business School (CEIBS)
Downloads 201 (157,016)
Citation 4

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Fraud, Political connection, Institutional investor, China

42.

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 175 (178,106)
Citation 5

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

43.

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 167 (185,388)

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

44.

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 161 (191,221)
Citation 1

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Hedge Funds, Delaware, Law and Finance

45.

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 160 (192,322)
Citation 1

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

46.

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 149 (204,149)

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

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
WHU - Otto Beisheim School of Management, Florida Atlantic University - Finance, Concordia University and John Carroll University - Boler School of Business
Downloads 96 (284,679)
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
WHU - Otto Beisheim School of Management, Florida Atlantic University - Finance, Concordia University and John Carroll University - Boler School of Business
Downloads 40 (449,728)

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

48.

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 123 (237,582)

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

49.

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 115 (249,685)

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Entrepreneurship, Venture Capital, Tax Policy, Canada

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 67 (354,107)

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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 45 (428,774)

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Video Surveillance, Retail Entrepreneurs, Information Asymmetry, Search Costs

51.

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 105 (266,149)
Citation 1

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

52.

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 100 (275,198)

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Canadian Tax Policy, Entrepreneurship, Venture Capital

53.

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

Number of pages: 43 Posted: 07 Oct 2014
Wenfeng Wu, Sofia Johan and Oliver M. Rui
Shanghai Jiao Tong University - Antai College of Economics & Management, Florida Atlantic University - Finance and China Europe International Business School (CEIBS)
Downloads 98 (278,888)
Citation 2

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Fraud; Political connections; Institutional investor; China

54.

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 John Carroll University - Boler School of Business
Downloads 98 (278,888)
Citation 2

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

55.

Does Religiosity Influence Venture Capital Investment Decisions?

Number of pages: 46 Posted: 28 Aug 2017 Last Revised: 11 Jan 2019
Lancaster University Management School, Florida Atlantic University - Finance and University of Exeter Business School
Downloads 97 (280,767)

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Religiosity, Venture Capital, Risk-Aversion

56.

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 96 (282,689)
Citation 3

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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 82 (312,040)
Citation 2

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Market Manipulation, M&As, Premiums, Regulation

58.

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 80 (316,646)

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Venture Capital, Government Programs, Public Policy

59.

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 80 (316,646)
Citation 1

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Auditors; Information transfer; M&As

60.

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
Lancaster University - Management School, Florida Atlantic University - Finance and WHU - Otto Beisheim School of Management
Downloads 61 (367,129)

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Corporate Governance, Tunneling, Enforcement

61.

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

Number of pages: 35 Posted: 17 Feb 2019
Manchester Metropolitan University, University of Manchester - Alliance Manchester Business School, Florida Atlantic University and Florida Atlantic University - Finance
Downloads 57 (379,525)

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

62.

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 University of Groningen
Downloads 50 (402,714)

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

63.

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 31 (480,051)

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

64.

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 Ohio University
Downloads 25 (511,732)

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

65.

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 Ohio University
Downloads 24 (517,586)

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biotechnology, technological innovation, social innovation, certified organic operations

66.

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 20 (541,373)
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Equity Crowdfunding, Information Asymmetry, Textual Information, Title III of JOBS Act

67.

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 19 (547,553)

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Government Venture Capital; Crowding Out; Science and Public Policy

68.

Business Advisory Services and Female Employment in an Extreme Institutional Context

Number of pages: 35 Posted: 20 Nov 2019
Sofia Johan and Patricio Valenzuela
Florida Atlantic University - Finance and University of Chile
Downloads 17 (559,785)

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business training; employment; entrepreneurship; institutional context

69.

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 Atlantic University - Finance
Downloads 6 (631,574)

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

70.

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

71.

The Changing Latitude: Labor‐Sponsored Venture Capital Corporations in Canada

Corporate Governance: An International Review, Vol. 22, Issue 2, pp. 145-161, 2014
Number of pages: 17 Posted: 08 Mar 2014
Sofia Johan, Denis Schweizer and Feng Zhan
Florida Atlantic University - Finance, Concordia University and John Carroll University - Boler School of Business
Downloads 0 (691,978)
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Corporate Governance, Venture Capital, LSVCC, Tax Policy, Investments

72.

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