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Article
Publication date: 23 July 2019

John P. Nowak, Thomas A. Zaccaro and Katherine K. Solomon

The purpose of this article is to highlight a recent settlement by the United States Securities and Exchange Commission (the “SEC”) in which it alleged that a regulated…

Abstract

Purpose

The purpose of this article is to highlight a recent settlement by the United States Securities and Exchange Commission (the “SEC”) in which it alleged that a regulated entity failed to supervise a representative principally because the entity did not establish clear guidance as to how its personnel should investigate red flags of a representative’s potential misconduct (e.g., how to follow up on the red flags and define the scope of any inquiry).

Design/methodology/approach

This article provides an overview of failure-to-supervise liability for broker-dealers and investment advisers, and highlights key takeaways from the SEC’s recent enforcement resolution that may be applied in establishing compliance procedures relating to internal investigations going forward.

Findings

The article concludes that the SEC appears to expect regulated entities to implement procedures guiding employees on “how to investigate” suspicious activity. Companies, however, should define such procedures in general terms to allow for flexibility in investigations, which can present unique or unforeseen situations. Internal procedures must also account for and preserve attorney-client privilege and attorney work product protections.

Originality/value

This article provides expert analysis and practical guidance from experienced lawyers in the Investigations and White Collar Defense and Securities Enforcement practices

Details

Journal of Investment Compliance, vol. 20 no. 2
Type: Research Article
ISSN: 1528-5812

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Book part
Publication date: 12 December 2007

Lisa M. Berry

To date, many environmental policy discussions consider inequalities between groups (typically by comparing the average or aggregate resource use of one group to another…

Abstract

To date, many environmental policy discussions consider inequalities between groups (typically by comparing the average or aggregate resource use of one group to another group), but most ignore disproportionalities within groups. Disproportionality, as discussed in a small but growing body of work, refers to resource use that is highly unequal among members of the same group, and is characterized by a positively skewed distribution, where a small number of resource users create far more environmental harm than “typical” group members. Focusing on aggregated or average impacts effectively treats all members of a group as interchangeable, missing the few “outliers” that actually tend to be responsible for a large fraction of overall resource use. This chapter offers reasons why we should or should not expect disproportional production of environmental impacts (from both mathematical and sociological perspectives), looks at empirical evidence of disproportionality, and offers a framework for detecting disproportionality and assessing just how much difference the outliers make. I find that in cases where the within-group distribution of resource use is highly disproportionate (characterized by extreme outliers), targeting reduction efforts at the disproportionate polluters can offer opportunities to decrease environmental degradation substantially, at a relatively low cost.

Details

Equity and the Environment
Type: Book
ISBN: 978-0-7623-1417-1

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Article
Publication date: 1 June 2000

A. Savini

Gives introductory remarks about chapter 1 of this group of 31 papers, from ISEF 1999 Proceedings, in the methodologies for field analysis, in the electromagnetic…

Abstract

Gives introductory remarks about chapter 1 of this group of 31 papers, from ISEF 1999 Proceedings, in the methodologies for field analysis, in the electromagnetic community. Observes that computer package implementation theory contributes to clarification. Discusses the areas covered by some of the papers ‐ such as artificial intelligence using fuzzy logic. Includes applications such as permanent magnets and looks at eddy current problems. States the finite element method is currently the most popular method used for field computation. Closes by pointing out the amalgam of topics.

Details

COMPEL - The international journal for computation and mathematics in electrical and electronic engineering, vol. 19 no. 2
Type: Research Article
ISSN: 0332-1649

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Book part
Publication date: 11 November 2019

John Xeller and David J. Atkin

President Obama embraced social media and remains one of the most followed persons on Twitter. The focus of this study is twofold: to assess how the President’s use of…

Abstract

President Obama embraced social media and remains one of the most followed persons on Twitter. The focus of this study is twofold: to assess how the President’s use of Twitter affected (a) Millennials’ perception of Obama and (b) Millennials’ interest and likelihood to participate in the political process. Study findings provide support for a model derived from information processing theory. Results also suggest that message orientation (or perceived favorability) predicted source credibility, which stems from message content as well as the Twitter medium by which the message was delivered. Implications for study findings – including optimal strategies for cultivating a social media presence – are discussed.

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Book part
Publication date: 25 September 2013

Steven A. Peterson

Purpose – This chapter uses evolutionary theory to determine if certain aspects of political thinkers’ societal visions might comport with human nature.…

Abstract

Purpose – This chapter uses evolutionary theory to determine if certain aspects of political thinkers’ societal visions might comport with human nature.

Design/methodology/approach – This chapter summarizes the political views of two thinkers and then applies our evolutionary understanding of altruism/cooperation to determine if their views can in any way be considered consistent with human nature.

Findings – The chapter explores the underlying commonality between individualist anarchism and anarcho-communism. There is a subtle but credible relationship between these two libertarian perspectives through the evolution of cooperation in its several manifestations. It can be said that the key tenets of Max Stirner and Peter Kropotkin are underlain by evolutionary impulses, thus rendering their claims of cooperation and sociality plausible.

Details

The world of biology and politics: Organization and research areas
Type: Book
ISBN: 978-1-78190-728-3

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Article
Publication date: 1 April 2003

Georgios I. Zekos

Aim of the present monograph is the economic analysis of the role of MNEs regarding globalisation and digital economy and in parallel there is a reference and examination…

Abstract

Aim of the present monograph is the economic analysis of the role of MNEs regarding globalisation and digital economy and in parallel there is a reference and examination of some legal aspects concerning MNEs, cyberspace and e‐commerce as the means of expression of the digital economy. The whole effort of the author is focused on the examination of various aspects of MNEs and their impact upon globalisation and vice versa and how and if we are moving towards a global digital economy.

Details

Managerial Law, vol. 45 no. 1/2
Type: Research Article
ISSN: 0309-0558

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Book part
Publication date: 8 June 2012

Aycan Kara and Mark F. Peterson

Many international management scholars have expressed concern about whether societal culture changes so rapidly that research which attempts to represent it has little…

Abstract

Many international management scholars have expressed concern about whether societal culture changes so rapidly that research which attempts to represent it has little utility. We address this fundamental concern of international management by providing three theoretical lenses to examine the forces that produce and maintain a society's culture: functional theory, neo-institutional theory and complexity theory. We consider principles of progressive change and problems of social psychology from functional theory, the three pillars and conflicting institutional logics of neo-institutional theory and the ideas of stable equilibrium, oscillations and chaos of dynamic systems from complexity theory. Although these three theoretical lenses sometimes produce conflicting explanations of culture change, they often complement each other. Together, they provide a more realistic picture of the dynamics of the societal cultural milieu of organizations than do cultural representations that favour stability or those that completely discount the utility of any attempt at representing cultural continuity.

Details

Institutional Theory in International Business and Management
Type: Book
ISBN: 978-1-78052-909-7

Content available
Book part
Publication date: 13 October 2017

Anne Lafarre

Abstract

Details

The AGM in Europe
Type: Book
ISBN: 978-1-78743-533-9

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Article
Publication date: 26 May 2020

Rafał Mierzwiak, Marcin Nowak and Naiming Xie

The degree of greyness may be regarded as a measure of cognitive uncertainty. Therefore, it is a part of the epistemological core of the grey systems theory. The…

Abstract

Purpose

The degree of greyness may be regarded as a measure of cognitive uncertainty. Therefore, it is a part of the epistemological core of the grey systems theory. The theoretical importance of the degree of greyness concept is also due to its application in a range of uncertainty modelling methods: predictive, relational and decision-making methods. Greyness, being a result of cognitive uncertainty, was recently subjected to axiomatization in the form of grey space with the use of the classical sets theory. The purpose of this article is to develop a new approach to the degree of greyness, being consistent with the grey space concept.

Design/methodology/approach

In order to realise the article’s goals, the research is divided into three stages described in particular sections. The first section of the article presents a theoretical framework of the degree of greyness and the grey space. The second part includes the assumptions of the new degree of greyness concept, along with the mathematical models for the first, the second and the third degree of greyness. The third section contains numerical examples for each degree of greyness.

Findings

As a result of the research, a concept of a degree of greyness was created and it was linked with a concept of grey space. This new approach to the issue of the degree of greyness has allowed the analysing of this category in three dimensions dependent on an accepted reference base. As a result, a concept of concrete and abstractive grey numbers was introduced and relationships between these categories of numbers and the degree of greyness were determined.

Originality/value

The proposed approach to the issue of the degree of greyness is a theoretical unification of the previous considerations in this area. The proposed three dimensions of greyness degree will be derived from the grey space, so they will also be a function of quantity. Thus, the degree of greyness was linked with a classical set theory. An original input in this article is also a differentiation of concrete and abstractive grey numbers, which give a basis for deliberations connected with interpretation of grey numbers in the context of real applications.

Details

Grey Systems: Theory and Application, vol. 11 no. 2
Type: Research Article
ISSN: 2043-9377

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Article
Publication date: 30 July 2020

Christian Nold

The purpose of this paper is to articulate an ontological anarchist approach for an engaged post-human politics and present insurrection training as a pragmatic tool for…

Abstract

Purpose

The purpose of this paper is to articulate an ontological anarchist approach for an engaged post-human politics and present insurrection training as a pragmatic tool for researchers to directly transform the world.

Design/methodology/approach

The paper analyses how post-humanism has been criticised for dissolving political agency. It shows that this is due to the way post-humanism has been framed as sensitising and including non-humans into liberal politics. Instead, the paper examines anarchist-influenced post-humanism and combines this with the notion of multiple ontologies and ontological interventions. The paper presents the notion of insurrection training as offering the possibility for researchers to become emotionally sensitised to ontological difference. A case study of the “Seeds of Hope East Timor Ploughshares action” (1996) is used to illustrate what insurrection training and ontological interventions look like in practice. Finally, the paper makes suggestions as to how post-human researchers can apply this approach in their everyday lives.

Findings

The paper suggests that beyond a liberal framing of post-humanism as inclusion, there is also an ontological anarchist post-humanism that can support transformative impacts in the world. This form of post-humanism offers specificity of intervention and reflexive training practices. Insurrection training can offer new possibilities for post-humanist researchers: experience ontological difference, de-trivialise the everyday, connect to social movements, make post-human politics “doable” and offer “direct” change.

Originality/value

The paper addresses discussions that claim post-humanism is disabling political change. Its contribution is to map an anarchist post-humanism and extend this with concepts of multiple ontologies. It proposes the notion of insurrection training which places attention on the role of the researcher as an active agent that needs to be sensitised to ontological difference to carry out interventions. A case study of direct action illustrates what ontological intervention and insurrection training look like in practice. The case study suggests that insurrection training is an everyday performative practice that integrates and negotiates the personal, material and political. Finally, the paper suggests how researchers can adopt such an approach in their everyday lives.

Details

International Journal of Sociology and Social Policy, vol. 41 no. 3/4
Type: Research Article
ISSN: 0144-333X

Keywords

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