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Article
Publication date: 8 April 2021

Russ Ryan, Matthew H. Baughman, Carmen J. Lawrence, Aaron W. Lipson, Richard H. Walker, Jessica Rapoport, Katie Barry and Scott Hiers

To analyze the impact of recent legislation that amended the Securities Exchange Act of 1934 to expressly empower the U.S. Securities and Exchange Commission (SEC) to seek…

Abstract

Purpose

To analyze the impact of recent legislation that amended the Securities Exchange Act of 1934 to expressly empower the U.S. Securities and Exchange Commission (SEC) to seek disgorgement in federal district court proceedings and to codify applicable statutes of limitations.

Design/methodology/approach

This article provides an overview of the authors’ prior work analyzing courts’ treatment of SEC disgorgement and summarizes how the scope of the remedy has evolved since Kokesh v. SEC (2017). Then, the article analyzes the changes to the Securities Exchange Act of 1934 contained in Section 6501 the 2021 National Defense Authorization Act (NDAA), which statutorily empowered the SEC to seek and obtain disgorgement in federal court actions. Finally, the authors discuss the impact of the legislation on the Supreme Court’s decisions in Kokesh and Liu v. SEC (2020).

Findings

The availability and appropriateness of SEC disgorgement have been the subject of vigorous debate. Just as courts began to iron out the contours of SEC disgorgement in the wake of Kokesh and Liu, Congress intervened by granting to the SEC explicit statutory authority to seek a remedy traditionally obtained at equity. In passing this legislation, Congress answered some questions that remained after Liu but also raised many new ones. These new questions will likely take years to resolve through subsequent litigation and potentially additional legislation.

Originality/value

Original, practical analysis and guidance from experienced lawyers in financial services regulatory and enforcement practices, many of whom have previously worked in the SEC’s Division of Enforcement.

Details

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

Keywords

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Article
Publication date: 4 December 2020

M. Alexander Koch, Carmen J. Lawrence, Aaron Lipson, Russ Ryan, Richard H. Walker, Jessica Rapoport and Katie Barry

To analyze the impact of the U.S. Supreme Court’s decision in Liu v. SEC, where the Court confronted the issue of whether the SEC can obtain disgorgement in federal…

Abstract

Purpose

To analyze the impact of the U.S. Supreme Court’s decision in Liu v. SEC, where the Court confronted the issue of whether the SEC can obtain disgorgement in federal district court proceedings.

Design/methodology/approach

This paper provides an overview of the authors’ prior work analyzing courts’ treatment of SEC disgorgement and a summary of the background and opinion in Liu v. SEC. This article then focuses on the practical implications of Liu on SEC disgorgement by considering questions left open by the decision.

Findings

The Court in Liu held that the SEC is authorized to seek disgorgement as “equitable relief” as long as it “does not exceed a wrongdoer’s net profits and is awarded for victims.” But the Court left many unanswered questions, such as whether disgorged funds must always be returned to investors for disgorgement to be a permissible equitable remedy, whether the SEC can obtain joint-and-several disgorgement liability from unrelated co-defendants, what “legitimate expenses” should be deducted in disgorgement calculations, and to what extent the SEC can seek disgorgement in cases when victims are difficult to identify.

Originality/value

Original, practical guidance from experienced lawyers in financial services regulatory and enforcement practices, many of whom have previously worked in the SEC’s Division of Enforcement.

Details

Journal of Investment Compliance, vol. 21 no. 2/3
Type: Research Article
ISSN: 1528-5812

Keywords

Content available
Article
Publication date: 17 April 2019

Jonathan Stephen Roger Leach

The purpose of this paper is to explore the perceptions of staff members working in a psychiatric therapeutic community in relation to ideas of “madness” and “chaos”.

Abstract

Purpose

The purpose of this paper is to explore the perceptions of staff members working in a psychiatric therapeutic community in relation to ideas of “madness” and “chaos”.

Design/methodology/approach

The paper is a qualitative study based on oral history group witness seminars.

Findings

The findings indicate that many of the participants experienced working in a therapeutic community as both exciting and unsettling; some found themselves questioning their own mental health at the time. Despite a sense of “madness” and chaos in the life of the community, there was also a feeling that it provided a containing environment for some very disturbed patients.

Originality/value

This study is unusual in drawing upon staff member’s perceptions of their own relationship to “madness” in response to being involved in the life of a therapeutic community.

Details

Therapeutic Communities: The International Journal of Therapeutic Communities, vol. 40 no. 1
Type: Research Article
ISSN: 0964-1866

Keywords

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Article
Publication date: 8 June 2015

Stijn Vandevelde, Jessica De Maeyer, Clara De Ruysscher, Dirk Bryssinck, Dirk Meesen, Johan Vanderstraeten and Eric Broekaert

Influenced by evolutions in mental health, a meeting house, “Villa Voortman”, was recently developed. It is based on an integration of therapeutic community (TC) and…

Abstract

Purpose

Influenced by evolutions in mental health, a meeting house, “Villa Voortman”, was recently developed. It is based on an integration of therapeutic community (TC) and psychoanalytical Lacanian thinking. The purpose of this paper is to investigate the position of Villa Voortman in the treatment continuum for dually diagnosed clients. Two research questions are addressed: how does Villa Voortman operate ? and how do clients perceive the Villa?

Design/methodology/approach

The first question was tackled by a personal account of the founders of Villa Voortman. The second question was addressed by a qualitative study using video-material of 19 visitors’ personal accounts.

Findings

The visitors mentioned three themes: social inclusion, personal development and equality. These aspects are further refined into sub-themes including the provision of “asylum”; the instalment of a warm and welcoming atmosphere; the focus on real human encounter; a permissive, supportive and “waiting” environment; a minimal but “good enough” structure; the necessity of a place where persons can develop themselves; the striving for social inclusion and future perspectives; and the support in becoming inclusive citizens again.

Originality/value

The value of the paper lies in disclosing the visitors’ lived experience. This is an essential part of shedding light on the “active ingredients” of support, In reference to the title, visitors nor treatment staff have “carte blanche” with regard to how support develops, as this is driven by the dialectal course of everything that occurs during the support process.

Details

Therapeutic Communities: The International Journal of Therapeutic Communities, vol. 36 no. 2
Type: Research Article
ISSN: 0964-1866

Keywords

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Article
Publication date: 14 March 2016

Ruth Elizabeth Sanderson and Stephen Whitehead

– The purpose of this paper is to examine the barriers women identify to their promotion in international schools and also the ways in which women can overcome these barriers.

Abstract

Purpose

The purpose of this paper is to examine the barriers women identify to their promotion in international schools and also the ways in which women can overcome these barriers.

Design/methodology/approach

The field of enquiry is international schools, with the study drawing on qualitative research. The researchers interviewed 11 women from a leading international school in Seoul, South Korea.

Findings

The women interviewed provided rich qualitative data and identified a number of barriers relating to culture, including gender stereotyping and self-confidence issues, and organisational behaviour, including the lack of a work-life balance and the patriarchal and hierarchical structures in place. The suggested ways in which women could overcome the barriers included building self-confidence and seeking mentoring.

Practical implications

The women also developed a list of factors that any woman would need to contemplate if she is thinking about applying to be a senior manager, including qualifications, communication skills and acknowledging, tolerating and overcoming gender unfairness, in that men do not need to think about the same issues when seeking leadership positions.

Originality/value

This paper examines an area of gendered leadership that has received little critical academic scrutiny, international schools and is particularly valuable to women working in these schools. However, its scope extends to all international school leaders who seek to improve the effectiveness of their organisations by employing and promoting the best leaders available.

Details

Education + Training, vol. 58 no. 3
Type: Research Article
ISSN: 0040-0912

Keywords

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Article
Publication date: 1 December 2016

Samer Bagaeen

In offering reflections on key themes affecting sustainability in the Middle East, this paper explores how an imprecise concept such as sustainability can, co-constituted…

Abstract

In offering reflections on key themes affecting sustainability in the Middle East, this paper explores how an imprecise concept such as sustainability can, co-constituted with other powerful political and economic systems, such as nation building, drive forward new agendas for urban development. Rather than focus on specific empirical findings, the paper reflects instead on some of the assumptions underpinning competing approaches to sustainability highlighting multiple alternate visions of urban sustainability. In doing so, the paper engages with the literature on sustainability, master-planning and real estate development inviting the reader in the process to think about and ponder on the role of vision in the process. The reader is therefore invited to consider the aggregate impact of individual master planned projects on the urban fabric of fast growing cities and to think about how projects such as Masdar City in Abu Dhabi and the Msheireb downtown redevelopment in Doha demonstrate how sustainability and nationalist discourses are intertwined offering competing visions of what a sustainable city might become while at the same time hiding urban inequalities in plain sight with the help of the ‘forward looking’ facade of sustainability.

Details

Open House International, vol. 41 no. 4
Type: Research Article
ISSN: 0168-2601

Keywords

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Book part
Publication date: 6 May 2004

Jeffrey Stamps and Jessica Lipnack

This chapter is about the relationship between Networked Organizations and Appreciative Inquiry. To set a context, Theory about networks is related to the expressed needs…

Abstract

This chapter is about the relationship between Networked Organizations and Appreciative Inquiry. To set a context, Theory about networks is related to the expressed needs of Appreciative Inquiry. Stories follow, from both appreciative and network perspectives. Ideas are put to work through practice as expressed by method – consisting of principles, practices, and processes. Further, method is embedded in technology to support functioning networks. In research, we look at learning about human systems and suggest that online digital places form natural laboratories to collect, analyze, and synthesize data. Concluding with Search, we revisit the question of consciousness in human systems.

Details

Constructive Discourse and Human Organization
Type: Book
ISBN: 978-0-76230-892-7

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Article
Publication date: 12 June 2017

Jan Lees, Rex Haigh and Sarah Tucker

The purpose of this paper is to highlight theoretical and clinical similarities between therapeutic communities (TCs) and group analysis (GA).

Abstract

Purpose

The purpose of this paper is to highlight theoretical and clinical similarities between therapeutic communities (TCs) and group analysis (GA).

Design/methodology/approach

Literature review shows comparison of TC and group-analytic concepts with illustrative case material.

Findings

Findings reveal many similarities between TCs and GA, but also significant divergences, particularly in practice.

Practical implications

This paper provides theoretical basis for TC practice, and highlights the need for greater theorising of TC practice.

Social implications

This paper highlights the importance of group-based treatment approaches in mental health.

Originality/value

This is the first paper to review the relevant literature and compare theory and practice in TCs and GA, highlighting their common roots in the Northfields Experiments in the Second World War.

Details

Therapeutic Communities: The International Journal of Therapeutic Communities, vol. 38 no. 2
Type: Research Article
ISSN: 0964-1866

Keywords

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Book part
Publication date: 8 February 2016

Susan Frelich Appleton and Susan Ekberg Stiritz

This paper explores four works of contemporary fiction to illuminate formal and informal regulation of sex. The paper’s co-authors frame analysis with the story of their…

Abstract

This paper explores four works of contemporary fiction to illuminate formal and informal regulation of sex. The paper’s co-authors frame analysis with the story of their creation of a transdisciplinary course, entitled “Regulating Sex: Historical and Cultural Encounters,” in which students mined literature for social critique, became immersed in the study of law and its limits, and developed increased sensitivity to power, its uses, and abuses. The paper demonstrates the value theoretically and pedagogically of third-wave feminisms, wild zones, and contact zones as analytic constructs and contends that including sex and sexualities in conversations transforms personal experience, education, society, and culture, including law.

Details

Special Issue: Feminist Legal Theory
Type: Book
ISBN: 978-1-78560-782-0

Keywords

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Book part
Publication date: 7 October 2019

Charlotte Ryan and Gregory Squires

We argue that by conducting systematic research with communities rather than on communities, community-based research (CBR) methods can both advance the study of human…

Abstract

We argue that by conducting systematic research with communities rather than on communities, community-based research (CBR) methods can both advance the study of human interaction and strengthen public understanding and appreciation of social sciences. CBR, among other methods, can also address social scientists’ ethical and social commitments. We recap the history of calls by leading sociologists for rigorous, empirical, community-engaged research. We introduce CBR methods as empirically grounded methods for conducting social research with social actors. We define terms and describe the range of methods that we include in the umbrella term, “community-based research.” After providing exemplars of community-based research, we review CBR’s advantages and challenges. We, next, summarize an intervention that we undertook as members of the Publication Committee of the URBAN Research Network’s Sociology section in which the committee developed and disseminated guidelines for peer review of community-based research. We also share initial responses from journal editors. In the conclusion, we revisit the potential of community-based research and note the consequences of neglecting community-based research traditions.

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