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Article
Publication date: 1 July 2004

Elizabeth M. Knoblock

Under the new Compliance Program Rules, each U.S. registered investment adviser and U.S. registered investment company was required to designate a Chief Compliance Officer…

Abstract

Under the new Compliance Program Rules, each U.S. registered investment adviser and U.S. registered investment company was required to designate a Chief Compliance Officer (“CCO)” by October 5, 2004. The CCO title is expected to carry supervisory responsibility for many of the newly appointed officers, which may lead to personal liability if they are charged with a failure of the duty to supervise. As a result, there is renewed interest in the standard of care applicable to supervisory personnel of investment advisers and the manner in which they may be insulated from regulatory liability for claims of failure to supervise persons under their control who violate certain federal securities laws (“Federal Securities Laws)”.

Details

Journal of Investment Compliance, vol. 5 no. 3
Type: Research Article
ISSN: 1528-5812

Keywords

Book part
Publication date: 11 February 2003

Dianne Ferguson, Elizabeth Kozleski and Anne Smith

In spite of the best efforts of educational policy analysts, local, state and federal legislation, researchers, and practitioners, the results of public schooling in the…

Abstract

In spite of the best efforts of educational policy analysts, local, state and federal legislation, researchers, and practitioners, the results of public schooling in the U.S. remains unsatisfactory on a variety of counts. This remains true particularly in our largest and most complex school systems. The limited impact of much school reform has led to a more systemic approach to educational reform. A systems perspective examines the whole organization and the interrelationships between its component parts. The systems approach to change, renewal and innovation is helpful not only as we think about the national picture but as we confront the everyday challenges of our work. The systemic change framework provides an approach to thinking about the work of practitioners, schools, and school districts to help reformers and change agents think about the benefits and counterbalances to innovations and improvements they propose.

Details

Effective Education for Learners with Exceptionalities
Type: Book
ISBN: 978-0-76230-975-7

Article
Publication date: 12 August 2021

Zhi Zhou, Xiangming Mu and Xin Lin

This paper aims to propose a novel approach to constructing an economic taxonomy that demonstrates the complex relationships between firms, which are not fully revealed by…

Abstract

Purpose

This paper aims to propose a novel approach to constructing an economic taxonomy that demonstrates the complex relationships between firms, which are not fully revealed by traditional industry classification systems such as the NAICS or ICB.

Design/methodology/approach

Based on narrative economic theory, data from CNBC news reports between 01/01/2019 and 03/27/2019 regarding four selected firms, namely, Walmart, Amazon, Netflix and Boeing, were analyzed and coded as the basis to guide the construction of a firm-to-firm relationship taxonomy.

Findings

The relationships between firms are more complex than the simple relationships defined by the traditional classification systems with yes or no in terms of production process (NAICS) or major profit resource (ICB). Based on the sample firms, the authors proposed a four-layer hierarchical taxonomy framework that quantitatively reveals the inherent contradictory relationships between firms, which the authors defined as competition vs consistency. The proposed taxonomy framework is sufficiently flexible to accommodate complex relationships between firms, and it is also adaptable to new information. Under both the competition and consistency categories in the taxonomy model, more detailed subcategories are further coded into two more layers quantitatively to represent the firms' nuanced relationships.

Originality/value

This study provides a novel atheoretical approach to reveal complex firm relationships utilizing narrative text data gathered from news media. The framework of the firm relationship taxonomy constructed in this study provides an alternative and supplementary approach to the classical industry classification systems that can quantitatively specify comprehensive and dynamic connections between firms.

Details

Data Technologies and Applications, vol. 56 no. 1
Type: Research Article
ISSN: 2514-9288

Keywords

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