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

77

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Rank 1,468

SSRN RANKINGS

Top 1,468

in Total Papers Downloads

25,197

SSRN CITATIONS
Rank 2,067

SSRN RANKINGS

Top 2,067

in Total Papers Citations

231

CROSSREF CITATIONS

407

Scholarly Papers (77)

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 1,438 (16,121)
Citation 5

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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 307 (123,085)

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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 1,328 (18,175)

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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 66 (421,931)
Citation 1

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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 1 (823,662)
Citation 3
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Corporate Governance, Law and Entrepreneurship, Unemployment, Patents, Venture Capital

3.
Downloads 966 ( 29,543)
Citation 14

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 835 (35,687)
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 130 (272,166)
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 (823,662)
Citation 6
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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 899 (32,737)
Citation 6

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

5.

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 836 (36,143)
Citation 3

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

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 466 (76,334)
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 357 (104,170)

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

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 817 (37,299)

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Venture Capital, Financial Crisis

8.
Downloads 780 ( 39,742)
Citation 63

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 509 (68,419)
Citation 17

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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 271 (140,406)
Citation 2

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

9.
Downloads 740 ( 42,676)
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 740 (42,085)
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

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G12, G14, G18, K22

10.
Downloads 724 ( 44,001)
Citation 9

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 574 (58,804)
Citation 13

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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 150 (242,921)
Citation 2

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Crowdfunding, Entrepreneurial Finance, Intermediaries

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 703 (45,108)
Citation 1

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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

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 701 (45,287)
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

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Private Equity, Law and Finance

13.

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 603 (55,956)
Citation 6

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Venture Capital, Government, Public Policy, Entrepreneurship

14.

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 574 (59,465)
Citation 4

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

15.

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 559 (61,506)

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

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 367 (100,987)
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 191 (197,011)
Citation 6

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Securities Regulation, Enforcement, 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 494 (71,057)

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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 (605,905)
Citation 2
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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

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 488 (72,107)
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

19.

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 471 (76,081)
Citation 2

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Hedge Funds, Forum Shopping, Regulation, 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 293 (129,411)
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 177 (210,752)
Citation 5

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

21.

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 435 (83,597)
Citation 8

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

22.

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 423 (86,404)
Citation 2

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Crowdfunding, Entrepreneurial Internationalization

23.

Legality and Fund Manager Compensation

Number of pages: 34 Posted: 02 Aug 2005
Sofia Johan
Florida Atlantic University - Finance
Downloads 378 (98,405)

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

24.

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 370 (100,791)

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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 - Lancaster University Management School, Florida Atlantic University - Finance and Concordia University
Downloads 231 (164,583)

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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 - Lancaster University Management School, Florida Atlantic University - Finance and Concordia University
Downloads 135 (264,488)

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Board Structure, China, Corporate Governance, Performance Persistence

26.
Downloads 353 (106,285)
Citation 6

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 272 (139,873)
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 81 (375,528)

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

27.

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 353 (106,285)

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Corruption, Law and Finance, Buyouts, Returns

28.
Downloads 336 (112,319)
Citation 1

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 250 (152,410)
Citation 1

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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 86 (361,965)
Citation 1

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Hedge Funds, Dodd-Frank, Law and Finance

29.

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 329 (114,933)

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

30.

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 317 (119,624)
Citation 5

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

31.

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 314 (120,855)

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Internet, Investment, Regional Development, Government Program

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 307 (123,773)
Citation 1

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

33.

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 299 (127,341)
Citation 3

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

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 294 (129,606)

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Venture Capital, IPO

35.

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 285 (133,942)
Citation 12

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

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 279 (136,213)
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

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 271 (141,062)
Citation 1

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

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 253 (150,601)
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
Downloads 0
Citation 2
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Analyst coverage, Analyst following, China, Modified audit opinion, State‐owned enterprises

39.

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 237 (161,082)
Citation 4

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

40.

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 234 (163,064)
Citation 3

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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 166 (222,814)

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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 58 (450,914)

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

42.

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 223 (170,771)
Citation 4

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Fraud, Political connection, Institutional investor, China

43.

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 187 (200,842)
Citation 9

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

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 175 (212,739)
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 170 (218,185)
Citation 5

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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 154 (237,149)

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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 University of Western Ontario
Downloads 100 (328,515)
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 University of Western Ontario
Downloads 44 (510,261)

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

48.

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 137 (260,504)
Citation 5

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49.

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 130 (271,128)
Citation 3

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Religiosity, Venture Capital, Risk-Aversion

50.

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 126 (277,547)

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

51.

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 125 (280,905)
Citation 1

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Fintech, Entrepreneurship, Credit Supply

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 71 (405,397)

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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 50 (483,025)

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Video Surveillance, Retail Entrepreneurs, Information Asymmetry, Search Costs

53.

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 119 (289,488)

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Entrepreneurship, Venture Capital, Tax Policy, Canada

54.

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 115 (296,400)
Citation 1

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

55.

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 107 (311,801)
Citation 4

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Fraud; Political connections; Institutional investor; China

56.

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 University of Western Ontario
Downloads 105 (315,778)
Citation 2

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

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 103 (319,901)
Citation 3

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Market Manipulation, M&As, Premiums, Regulation

58.

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 (326,219)

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Canadian Tax Policy, Entrepreneurship, Venture Capital

59.

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 97 (332,632)
Citation 2

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Venture Capital, Government Programs, Public Policy

60.

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 86 (358,725)
Citation 1

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Auditors; Information transfer; M&As

61.

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 80 (374,623)
Citation 1

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

62.

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 77 (382,878)
Citation 2

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Equity Crowdfunding, Information Asymmetry, Qualitative Information

63.

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 72 (397,538)
Citation 2

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

64.

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 - Lancaster University Management School, Florida Atlantic University - Finance and ESMT Berlin
Downloads 64 (423,208)

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Corporate Governance, Tunneling, Enforcement

65.

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 56 (451,717)
Citation 2

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

66.

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 49 (478,825)

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biotechnology, technological innovation, social innovation, certified organic operations

67.

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 46 (491,493)

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

68.

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
Ludvig Levasseur , Sofia Johan and Jon Eckhardt
Indian Institute of Management Bangalore, Florida Atlantic University - Finance and University of Wisconsin - Madison - Wisconsin Institute for Discovery
Downloads 38 (528,532)

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

69.

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 37 (533,398)
Citation 4

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

70.

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 University of Chile
Downloads 34 (549,053)

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business training; employment; entrepreneurship; institutional context

71.

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 33 (554,413)

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

72.

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 29 (576,951)

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Government Venture Capital; Crowding Out; Science and Public Policy

73.

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 20 (636,484)

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

74.

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 8 (727,075)

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Equity Crowdfunding, Industry Effect, Business Valuation

75.

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

76.

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 University of Western Ontario
Downloads 0 (804,439)
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Corporate Governance, Venture Capital, LSVCC, Tax Policy, Investments

77.

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