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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).

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.

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.

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

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

This study aims to demonstrate the values and effects of innovation becomes a challenge when selecting clear and correlating measures. While there is extensive research in the area of innovation measurement, there is a lack of consistent quantifiable measures that organizations can use. The International Association of Innovation Professionals (IAOIP) has partnered with Spigit to crowdsource innovation measures via the Innovation Measurement Standard (IMS) challenge with IAOIP members and the global public to determine the various ways innovation is measured across industries.

This study used a mixed-methods approach and a sequential exploratory design to analyze the data collected during the IMS challenge. In the first phase, the qualitative methodology was used to analyze innovation measures submitted during the IMS challenge and participants’ interactions and comments. In the second phase, the innovation measures were analyzed quantitatively to identify the most prominent measures.

A total of 73 innovation measures were collected during the challenge. In total, 18 top measures were ranked based on the participants’ votes, and the top five measures were selected as the winning measures of the challenge. These five measures included intelligent failure rate, financial results of innovation, the results brought to the company, the number of innovative ideas selected for action and innovation portfolio balancing.

This study is the first to select the innovation metrics while considering their relevance to the community of innovators that included academics, CEOs, consultants, innovation managers, etc. Another original factor of this work is the crowdsourcing approach used to identify innovation measures. This approach allowed us to explore multiple perspectives on the significance of each submitted measure.

The purpose of this paper is to explore how the facial expression of the reviewer's avatar interacts with the valence of the consumer review to influence consumer purchase decisions.

A 2 (facial expression of the reviewer's avatar)× 2 (valence of the consumer review) between‐subjects online experimental design was used.

It was found that when the consumer review was positive, participants exposed to the reviewer's angry‐looking avatar were more likely to attribute the review to the product's performance than those exposed to the happy‐looking avatar. The causal attribution toward product performance, in turn, influenced the strength of intention to purchase the brand positively. When the consumer review was negative, however, there were no differential effects between the happy‐looking and the angry‐looking avatars.

This study contributes to the literature on consumer reviews by identifying an important source characteristic that consumers consider when processing consumer reviews – the facial expression of the reviewer's avatar.

The purpose of this paper is to advance our understanding of how information privacy concerns are derived from the combination effects of individual traits, compound traits, situational traits and surface traits that ultimately influence the consumer’s attitude toward data collection programs. The study investigates a hierarchical model of individual traits, information privacy orientation and consumer privacy concerns.

The empirical research utilizes structural equation modeling to analyze the responses from 964 respondents.

The results suggest that consumer attitudes toward data collection programs associated with personal shopping information (e.g. retail loyalty card programs) are determined through a hierarchical model of personal traits and contextual-dependent variables. Specifically, the authors find that the compound traits of risk orientation and need for cognition influence the situational trait of information privacy orientation which leads to the surface trait of consumer privacy concern and ultimately attitude toward the information collection program.

The results suggest several means to increase participation in data collection programs. Although high need for cognition and high risk orientation cannot be changed, communication plans can provide guarantees that mitigate perceived risk associated with sharing personal information and highlight the information value to the individual’s sharing of information.

While previous research focuses on either the internal traits or external traits, this research contributes to the current literature by offering insights into how privacy evolves from more abstract personality traits to more situational-specific behavioral tendencies, which then influence attitudes and behavior.

The study identifies the gap in the understanding of how employee resistance to change (RTC) could impact different stages of the process of innovation. To address this research gap, the paper introduces a new model, which theorizes three moderating effects of RTC on the different elements of absorptive capacity (ACAP).

This study empirically tests the proposed model, using survey data collected from healthcare organizations in the United States of America.

First, the study reveals that RTC could damage the critical “connectedness” between potential absorptive capacity (PACAP) and realized absorptive capacity (RACAP), thus limiting the organization's ability to exploit new knowledge. Second, the findings also reveal that RTC can reduce the positive effect of acquisition (ACQ) on assimilation – the function responsible for decoding the meaning and for assimilating new valuable information incoming from the market.

Research limitations of this study are discussed further.

The paper presents specific practical implications for managers.

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This paper advances past research and practice by revealing two new mechanisms. When employees resist new changes initiated in the organizations, the resistance of employees will hinder the process of innovation in the following ways. (1) At the beginning of the process, employees can oppose and reject new valuable ideas incoming from the market. (2) At the stage of the implementation, such employees can engage in behavior that will weaken the organization's ability to successfully implement new process improvements that could otherwise increase organizational effectiveness.

Consistent with traditional internationalization theory, we argue that, when a firm chooses franchising to achieve market penetration, market propinquity/similarity matters. Using a modified gravity model, we examine six country characteristics believed to enhance the flow of franchise activity among 39 nations. Our findings support the notion that market propinquity facilitates the flow of franchises between nations. Franchise expansion is greatest when the home and host nations are similar in terms of geography, culture, media availability, and political risk. The management implications of these findings are discussed in detail.