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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

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Book part
Publication date: 6 September 2021

Jane Garner

This chapter explores the provision of library services to children residing in juvenile justice facilities. The small body of scholarly literature published on the topic…

Abstract

This chapter explores the provision of library services to children residing in juvenile justice facilities. The small body of scholarly literature published on the topic over the last 50 years is examined, followed by a description of the findings of a recent Australian survey of juvenile justice library provision in that country. Australia presents a very poor example of the provision of library services to children living in correctional detention. A contrast to the Australian context is provided through a case study of the library service to the South Carolina Birchwood School, in the United States. Housed in the South Carolina Juvenile Justice Centre, the Birchwood School library is presented as an example of better practice and an illustration of what can be achieved by a juvenile justice facility library when it is sufficiently staffed and funded. Opportunities for further research are identified and conclusions are drawn regarding the need for libraries in juvenile justice facilities.

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Exploring the Roles and Practices of Libraries in Prisons: International Perspectives
Type: Book
ISBN: 978-1-80043-861-3

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Article
Publication date: 1 January 1989

Stuart Hannabuss

The management of children′s literature is a search for value andsuitability. Effective policies in library and educational work arebased firmly on knowledge of materials…

Abstract

The management of children′s literature is a search for value and suitability. Effective policies in library and educational work are based firmly on knowledge of materials, and on the bibliographical and critical frame within which the materials appear and might best be selected. Boundaries, like those between quality and popular books, and between children′s and adult materials, present important challenges for selection, and implicit in this process are professional acumen and judgement. Yet also there are attitudes and systems of values, which can powerfully influence selection on grounds of morality and good taste. To guard against undue subjectivity, the knowledge frame should acknowledge the relevance of social and experiential context for all reading materials, how readers think as well as how they read, and what explicit and implicit agendas the authors have. The good professional takes all these factors on board.

Details

Library Management, vol. 10 no. 1
Type: Research Article
ISSN: 0143-5124

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Book part
Publication date: 26 July 2016

Mary Jo Deegan

This chapter challenges and augments the received view of the history of symbolic interaction at the University of Chicago. The history of the discipline’s development at…

Abstract

This chapter challenges and augments the received view of the history of symbolic interaction at the University of Chicago. The history of the discipline’s development at the University of Chicago between 1889 and 1935 is well-known, especially the work of George Herbert Mead and John Dewey, sometimes called “the Chicago school of sociology” or symbolic interaction. But the Hull-House school of sociology, led by Jane Addams, is largely unknown. In this chapter I explore her founding role in feminist symbolic interaction. Her perspective analyzes micro, meso, and macro levels of theory and practice. Feminist symbolic interaction is structural, political, rational, and emotional, and employs abstract and specific models for action. Addams led a wide network of people, including sociologists, her neighbors, and other citizens, who implemented and institutionalized their shared visions. Addams led many controversial social movements, including the international peace movement, recognized in 1931 by the Nobel Peace Prize. “Feminist symbolic interaction” expands the scope of symbolic interaction by being more action-oriented, more political, and more focused on a successful social change model than the traditional approach to this theory. In addition, many new sociologists are added to the lists of important historical figures.

Details

The Astructural Bias Charge: Myth or Reality?
Type: Book
ISBN: 978-1-78635-036-7

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Book part
Publication date: 15 July 1991

Abstract

Details

Advances in Librarianship
Type: Book
ISBN: 978-0-12024-615-1

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Book part
Publication date: 3 October 2006

Martin Ruef

Although recent public attention has focused on boom-and-bust cycles in industries and financial markets, organizational theorists have made only limited contributions to…

Abstract

Although recent public attention has focused on boom-and-bust cycles in industries and financial markets, organizational theorists have made only limited contributions to our understanding of this issue. In this chapter, I argue that a distinctive strategic insight into the mechanisms generating boom-and-bust cycles arises from a focus on entrepreneurial inertia – the lag time exhibited by organizational founders or investors entering a market niche. While popular perceptions of boom-and-bust cycles emphasize the deleterious effect of hasty entrants or overvaluation, I suggest instead that slow, methodical entries into an organizational population or market may pose far greater threats to niche stability. This proposition is explored analytically, considering the development of U.S. medical schools since the mid-18th century.

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Ecology and Strategy
Type: Book
ISBN: 978-1-84950-435-5

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Book part
Publication date: 30 November 2006

Daphnée Rentfrow

Writing in 1995, what seems from our vantage point an almost primitive moment in technological evolution, hypertext theorist, and fiction writer Catherine Marshall, with…

Abstract

Writing in 1995, what seems from our vantage point an almost primitive moment in technological evolution, hypertext theorist, and fiction writer Catherine Marshall, with her colleague David Levy, presciently described modern libraries;The academic and public libraries most of us have grown up with are the products of innovation begun approximately 150 years ago. We would find libraries that existed prior to that time largely unrecognizable. It is certain that the introduction of digital technologies will again transform libraries, possibly beyond recognition by transforming the mix of materials in their collections and the methods by which these materials are maintained and used. But the better word for these evolving institutions is “libraries,” not digital libraries, for ultimately what must be preserved is the heterogeneity of materials and practices. As library materials and practices of the past have been diverse—more diverse than idealized accounts allow—so they no doubt will remain in the future (Levy and Marshall, 1995, p. 77).By reminding us that libraries were always much more than repositories of collated pages of print, Levy and Marshall highlight the characteristics of modern libraries that mark them not as something new and different, but as something wholly in keeping with the diversity of “traditional” library holdings. “Our idealized image of a library imbues it with qualities of fixity and permanence. This is hardly surprising, since the library is considered to be the Home of the Book, and books are by and large one of the more fixed, more permanent types of documents,” the authors write, but “libraries have always contained materials other than books. Special collections and archives are filled with unbound and handwritten ephemera—correspondence, photographs, and so on … [And] traditional libraries have long contained a diversity of technologies and media; today these include film and video, microfilm and microfiche, vellum and papyrus” (p.77). Now that libraries contain various forms of digital media as standard parts of their collections (electronic journals, electronic catalogs, digital images, digitized sound files), the distinction between “traditional” and “digital” libraries has lost much of its original use, and so has the distinction between traditional and new types of librarians, the stewards of the libraries in any and all forms.

Details

Advances in Librarianship
Type: Book
ISBN: 978-1-84950-007-4

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Article
Publication date: 18 June 2019

Roseline Barbara Easmon, Adelaide Naa Amerley Kastner, Charles Blankson and Mahmoud Abdulai Mahmoud

The purpose of this paper is to understand the direct impact of social capital and the influence of market-based capabilities as intervening variables on the export…

Abstract

Purpose

The purpose of this paper is to understand the direct impact of social capital and the influence of market-based capabilities as intervening variables on the export performance of small and medium-sized enterprises (SMEs) in Ghana.

Design/methodology/approach

Questionnaire-based survey was used to collect data from top executives and senior managers of exporting companies in Ghana. Data obtained were analysed using the structural equation modelling.

Findings

The findings revealed that social capital of SMEs exert the greatest influence on their export performance. Innovation and marketing capabilities are also key drivers of export performance among SMEs as they fully mediate the social capital–export performance relationship. Notwithstanding, marketing capabilities appear to exert a greater influence than innovation capabilities on the export performance of SMEs.

Research limitations/implications

The study used perceptual measures of international performance by managers of SMEs in the Ghanaian exporting sector making it difficult to determine respondent bias.

Practical implications

Managers of exporting firms should build stronger relationships with their customers and suppliers who contribute significantly to their export performance. SMEs would also have to hone their innovation and marketing skills as strategic components in enhancing their export performance.

Social implications

Market-based resources such as marketing and innovation should not be taken for granted by SMEs in the export business.

Originality/value

The study offers some lessons on how small firms can sharpen their marketing and innovation capabilities to derive export performance benefits from social capital. Theoretically, while the findings offer strong evidence reinforcing the DC theory, an exploration of the nexus of the theories brings to the fore the need to reassess the resource-based view and SC theories.

Details

African Journal of Economic and Management Studies, vol. 10 no. 3
Type: Research Article
ISSN: 2040-0705

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Article
Publication date: 8 March 2011

Christophe Estay, C. Lakshman and Jacques‐Olivier Pesme

This paper aims to focus on the deep‐seated ideological, economic, and social roots of the notion and practice of profit sharing in French enterprise, from a historical…

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Abstract

Purpose

This paper aims to focus on the deep‐seated ideological, economic, and social roots of the notion and practice of profit sharing in French enterprise, from a historical perspective. Although this practice is legally mandated in France today, this paper seeks to identify the historical roots of such practices and to locate them in the ideological, social, and economic domains of discourse.

Design/methodology/approach

The authors provide a brief review of the literature on profit sharing and identify the current knowledge on the relationship between profit sharing and firm performance, in addition to the motivations for implementing profit sharing and its non‐financial consequences.

Findings

From the mid‐nineteenth century onwards, profit sharing entailed more than just a few anecdotal experiments and actually raised a number of deep‐seated ideological, economic and social questions. The French practice of profit sharing has a profoundly “social responsibility” argument at its base. De Gaulle's argument for this was embedded in a broader rhetoric of finding a third alternative between unbridled capitalism and unrestricted socialism, and one that could ameliorate the human condition.

Research limitations/implications

Psychological ownership among employees can be promoted through profit sharing and employee ownership programs.

Practical implications

It is critical for managers to ensure the success of profit sharing schemes by providing for higher levels of employee voice and including employee involvement programs.

Social implications

Whereas the ideological basis (social responsibility), had a dominant impact in France, in the evolution of such practices leading up to their legislation other countries focused more on the instrumental and utilitarian benefits.

Originality/value

The authors use the approach of historical analysis of profit sharing practices in France to draw cross‐national lessons for today's managers around the globe.

Details

Social Responsibility Journal, vol. 7 no. 1
Type: Research Article
ISSN: 1747-1117

Keywords

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