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Article
Publication date: 4 September 2017

Bradley J. Bondi, Charles A. Gilman, Kimberly C. Petillo-Décossard, John J. Schuster and Sara Ortiz

To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to…

Abstract

Purpose

To explain a recent US Securities and Exchange Commission (SEC) administrative proceeding targeting a broker-dealer as part of the Commission’s continuing efforts to enforce anti-money laundering (AML) regulations and reporting.

Design/methodology/approach

This article explores the factual and legal contours of a specific SEC administrative proceeding to better understand the affirmative steps the Commission expects of financial service providers as it relates to AML activities and reporting.

Findings

Given the SEC’s current enforcement focus, it is critical that financial institutions conduct their activities with a clear understanding of the AML regulations, investigatory expectations and related reporting requirements associated with the provision of brokerage and advisory services to US clients and customers.

Originality/value

This article highlights the SEC’s continuing interest in broker-dealer AML policies and compliance and provides analysis from experienced lawyers with expertise in financial services, securities and white collar crime.

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Article
Publication date: 23 September 2019

Helene R. Banks, Bradley J. Bondi, Charles A. Gilman, Elai Katz, Geoffrey E. Liebmann, Ross Sturman and Nicholas S. Millington

To explain the rule changes in Nasdaq’s new Listing Rule IM-5315-1, approved by the US Securities and Exchange Commission (SEC) on February 15, 2019, that permit direct…

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Abstract

Purpose

To explain the rule changes in Nasdaq’s new Listing Rule IM-5315-1, approved by the US Securities and Exchange Commission (SEC) on February 15, 2019, that permit direct listings on Nasdaq without an initial public offering, similar to the New York Stock Exchange (NYSE) rule changes approved in 2018.

Design/methodology/approach

Explains the legislative and regulatory background, historic limitations on direct Nasdaq listings, and de-tailed provisions of Nasdaq’s new Listing Rule IM-5315-1.

Findings

The direct listing alternative to an IPO may appeal to cash-rich companies that do not need the publicity or new capital associated with a traditional IPO.

Originality/value

Expert analysis from experienced securities litigation and corporate governance lawyers.

Details

Journal of Investment Compliance, vol. 20 no. 3
Type: Research Article
ISSN: 1528-5812

Keywords

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Article
Publication date: 8 May 2018

Bradley J. Bondi, David Slovick and Michael Wheatley

To provide an overview of the Commodity Futures Trading Commission’s (CFTC’s) new self-reporting and cooperation program.

Abstract

Purpose

To provide an overview of the Commodity Futures Trading Commission’s (CFTC’s) new self-reporting and cooperation program.

Design/methodology/approach

Summarizes the key features of the CFTC’s new cooperation program and the CFTC’s statement of its purpose in enacting the program; provides the authors’ views on the likely implications of the program for CFTC enforcement actions.

Findings

Whether the CFTC’s self-reporting and cooperation program will be a useful tool for deterring misconduct remains to be seen as the CFTC begins to implement it, but there are indications that it may encourage cooperation. If properly implemented, the program has the potential to benefit the CFTC and regulated parties significantly.

Originality/value

Practical insights on a new CFTC policy from experienced civil enforcement lawyers.

Details

Journal of Investment Compliance, vol. 19 no. 1
Type: Research Article
ISSN: 1528-5812

Keywords

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Book part
Publication date: 1 January 2005

Kelly Farley, Rick Walker, Harry Bondy and Dan Mendoza

Unlike many militaries in Europe, the Canadian Forces (CF) have no union or representative association. Although two separate studies have shown that more than one-third…

Abstract

Unlike many militaries in Europe, the Canadian Forces (CF) have no union or representative association. Although two separate studies have shown that more than one-third of military members think positively about forming a union (Bradley & Charbonneau, 2004; Deneumoustier, 1971), there has traditionally been little movement towards any form of associationism within Canada's military. While there is no formal ‘contract’ between the CF and the government of Canada, an informal social contract has appeared to be successful in maintaining the status quo. Critics of the social contract argue the agreement is one-sided; that is, the responsibilities of the member to Canada are well defined in the National Defence Act and Queen's Regulations and Orders but there is “no such articulation of the responsibilities of the Government of Canada to the men and women of the CF” (Milner, 1998, p. 10).

Details

Military Missions and their Implications Reconsidered: The Aftermath of September 11th
Type: Book
ISBN: 978-1-84950-012-8

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Book part
Publication date: 16 September 2021

Abstract

Details

International Perspectives on Supporting and Engaging Online Learners
Type: Book
ISBN: 978-1-80043-485-1

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Book part
Publication date: 19 November 2020

Abstract

Details

The Impact of Global Drug Policy on Women: Shifting the Needle
Type: Book
ISBN: 978-1-83982-885-0

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Book part
Publication date: 7 January 2019

Emily C. Bouck and Courtney Maher

The term intellectual disability is broad and encompassing. Regardless of the severity of a child’s intellectual disability, early education is important. This chapter…

Abstract

The term intellectual disability is broad and encompassing. Regardless of the severity of a child’s intellectual disability, early education is important. This chapter discusses educational considerations of young learners with intellectual disability. Specially, the chapter focuses on academics, life skills, social skills and social development, and behavior. Instructional content and instructional strategies are shared for these areas considering young children, although particular attention in paid to preschool and early elementary age students.

Details

Special Education for Young Learners with Disabilities
Type: Book
ISBN: 978-1-78756-041-3

Keywords

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Article
Publication date: 21 March 2018

Oliver James Bradley and Gloria Oforiwaa Botchway

The purpose of this paper is to identify the sustainability indicators disclosed by ten British Coffee Association corporate members in their sustainability reporting and…

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Abstract

Purpose

The purpose of this paper is to identify the sustainability indicators disclosed by ten British Coffee Association corporate members in their sustainability reporting and examine whether the indicators correspond to the sustainability challenges faced by the coffee industry, as identified in the literature.

Design/methodology/approach

A normative account of sustainability challenges was developed based on a review of extant literature. A content analysis of the sustainability reports and/or Webpages of the companies was conducted to identify quantitative and qualitative sustainability indicators. Frequency and thematic analysis enabled the subsequent examination.

Findings

A total of 94 sustainability indicators (44 environmental, 30 social and 20 economic) were identified in company reporting. The indicators correspond to the sustainability challenges identified in the literature. In addition to broad challenges, indicators are used to communicate specific issues. A significant number (47) of single-use indicators were identified, communicating less frequently reported challenges. Some companies account for sustainability from bean to cup, attributed to crucial differences in organisational characteristics (degree of vertical integration). Furthermore, the findings highlight the discretionary nature of sustainability reporting, finding considerable variance in indicators disclosed.

Research limitations/implications

As this paper relies on self-reported corporate disclosures, it critically examines the reporting practices of organisations, as opposed to verifying the activities associated with their claims. The authors minimised subjectivity by reducing the interpretation of what constituted “an indicator” using a clearly agreed definition and multiple rounds of coding.

Practical implications

This paper examines the reporting practices of organisations, providing a useful insight and a competitor benchmark. By comprehensively examining the sustainability challenges faced by the coffee industry, it offers “sustainability context” that can be used by organisations to improve their accounting and reporting practices.

Social implications

This paper acknowledges and addresses social initiatives that call for the systematic development of practical and appropriate sustainability indicators that can become embedded in policy and decision-making, affecting the measurement of progress and responses to important sustainability challenges.

Originality/value

This paper presents the first systematic review of sustainability indicator disclosure in an industry that faces significant sustainability challenges.

Details

Sustainability Accounting, Management and Policy Journal, vol. 9 no. 2
Type: Research Article
ISSN: 2040-8021

Keywords

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Book part
Publication date: 6 April 2018

Vail Matsumoto, Jon Yoshioka and Lori Fulton

Teacher preparation programs (TPPs) in the professional development school model can serve as a valuable channel for teacher leadership opportunities. Using the…

Abstract

Teacher preparation programs (TPPs) in the professional development school model can serve as a valuable channel for teacher leadership opportunities. Using the distributed leadership perspective, this chapter explores how one school–university partnership focused on developing teacher leaders rather than simply teacher candidates. Viewing the TPP as an incubator for teacher leaders primes candidates to not only teach in the classroom, but to also seek out leadership opportunities based on their passions. This chapter highlights components of the TPP, such as assignments and innovative practices, and provides two specific examples of teacher candidates following their passions to leadership.

Content available
Book part
Publication date: 19 December 2017

Karin Klenke

Abstract

Details

Women in Leadership 2nd Edition
Type: Book
ISBN: 978-1-78743-064-8

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