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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

Keywords

Content available
Book part
Publication date: 19 December 2017

Karin Klenke

Abstract

Details

Women in Leadership 2nd Edition
Type: Book
ISBN: 978-1-78743-064-8

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Article
Publication date: 1 March 2002

Michael E. Roloff and Denise H. Solomon

Although relational commitment increases the likelihood that intimates will confront each other about relational problems, commitment may promote decisions to withhold…

Abstract

Although relational commitment increases the likelihood that intimates will confront each other about relational problems, commitment may promote decisions to withhold complaints in some circumstances. We conducted a survey of undergraduate daters that focused on the conditions under which relational commitment prompts individuals to express or withhold relational complaints. As expected, we documented a positive association between relational commitment and the willingness to confront a partner; the magnitude of this association was stronger among respondents who had dated for less than a year compared to those who had been involved for a longer time. Despite this general trend, we also found that relational commitment was positively associated with withholding grievances because the respondent believed that the problem was minor and perceived the partner would not change. Finally, we observed an interaction between relational commitment and partner's supportiveness when predicting the number of complaints withheld. Among individuals who were not very committed to their relationships, the association between partner supportiveness and the number of irritations withheld was negative and statistically significant. Among highly committed respondents, the same association was positive and not significant.

Details

International Journal of Conflict Management, vol. 13 no. 3
Type: Research Article
ISSN: 1044-4068

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Article
Publication date: 1 February 1974

Frances Neel Cheney

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Term. 37203. Mrs. Cheney does not sell the books listed here…

Abstract

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Term. 37203. Mrs. Cheney does not sell the books listed here. They are available through normal trade sources. Mrs. Cheney, being a member of the editorial board of Pierian Press, will not review Pierian Press reference books in this column. Descriptions of Pierian Press reference books will be included elsewhere in this publication.

Details

Reference Services Review, vol. 2 no. 2
Type: Research Article
ISSN: 0090-7324

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Abstract

Details

Transformative Leadership in Action: Allyship, Advocacy & Activism
Type: Book
ISBN: 978-1-83909-520-7

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Article
Publication date: 16 March 2015

Katherine Fulgence

The purpose of this paper is to assess the status of entrepreneurship courses offered in education schools. It provides recommendations for how to address the existing…

Abstract

Purpose

The purpose of this paper is to assess the status of entrepreneurship courses offered in education schools. It provides recommendations for how to address the existing challenges by developing entrepreneurship initiatives in education schools.

Design/methodology/approach

A survey was circulated to the management of all education schools in Tanzania, respective entrepreneurship educators and graduates from these schools. Random sampling was used to select teachers who had graduated from education schools.

Findings

The findings show that all education schools have an entrepreneurship module in the development studies course, which is mandatory for all students in first year. From 2008 to date, six education schools (31.6 per cent) have introduced stand-alone courses at undergraduate level reflecting entrepreneurship in their title and 68.4 per cent are planning to introduce entrepreneurship courses both at undergraduate and postgraduate level. Although entrepreneurship educators demonstrate subject specialty, they use traditional teaching and assessment techniques. The lack of books on entrepreneurship and the large number of students were cited as the main challenges affecting their role as subject facilitators.

Research limitations/implications

The study was limited to education schools in higher education institutions. Similar studies in non-business disciplines need to be conducted to establish how entrepreneurship is developed among graduates of higher education institutions.

Practical implications

The study recommends that the management of all education schools should be made aware of the need to provide courses in entrepreneurship, to integrate experiential learning and innovative techniques in the teaching and assessment processes and to involve students in extra-curriculum activities.

Originality/value

This is the first study to be conducted in Tanzanian higher education institutions that focuses on the teaching of entrepreneurship to education school students.

Details

Education + Training, vol. 57 no. 2
Type: Research Article
ISSN: 0040-0912

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: 9 May 2018

Katherine L. Friend

This chapter reviews the overall structure of the US financial aid system and the way in which students from underrepresented groups deal with the cost of participating in…

Abstract

This chapter reviews the overall structure of the US financial aid system and the way in which students from underrepresented groups deal with the cost of participating in higher education. Case studies of students from underrepresented groups are used to illustrate the type of problems experienced, including financial loan guilt, economic divisions amongst undergraduates and balancing employment with full-time undergraduate study. It is noted that financial aid only factors in tuition and housing costs, but does not take account of the need to participate in the ‘student experience’. Restricted finances mean that some students are unable to take part fully in social activities or purchase books, all of which are thought to be part of the typical undergraduate experience. Thus, despite efforts to widen participation, the concept of ‘college for all’ can be considered an illusion (Glass & Nygreen, 2011) because universities fail to acknowledge the class and racial hierarchies that shape the culture, an aspect that financial aid alone cannot remove.

Details

Higher Education Funding and Access in International Perspective
Type: Book
ISBN: 978-1-78754-651-6

Keywords

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Article
Publication date: 1 July 2004

Emma N. Banister and Margaret K. Hogg

Self‐esteem is an important motivational drive for consumption involving both the acceptance and rejection/avoidance of symbolic goods. This paper examines the…

Abstract

Self‐esteem is an important motivational drive for consumption involving both the acceptance and rejection/avoidance of symbolic goods. This paper examines the relationship between self‐esteem and the rejection of goods and brands within the context of fashion consumption by young professionals. A conceptualisation which accounts for consumers’ use of various strategies in their efforts to maintain or enhance their self‐esteem is suggested. A small‐scale exploratory study is used to examine first, how consumers invest products and brands with negative symbolic meanings; and second, how this leads consumers to reject products and brands. The importance of understanding negative symbolic consumption when marketing high involvement products such as fashion goods is identified; and the implications for fashion retailers and marketing management are discussed.

Details

European Journal of Marketing, vol. 38 no. 7
Type: Research Article
ISSN: 0309-0566

Keywords

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Book part
Publication date: 24 June 2020

Katherine T. Baggaley and Phillip C. Shon

Published over 30 years ago, Seductions of Crime has transformed criminology as a discipline, the foreground factors that make criminal behavior a morally alluring…

Abstract

Published over 30 years ago, Seductions of Crime has transformed criminology as a discipline, the foreground factors that make criminal behavior a morally alluring endeavor deemed an important point to consider in accounts of criminal action by those even in mainstream criminology. In this chapter, we provide an update and revision to Katz's theory of righteous slaughter in an institutional context. We argue that killing is an overcoming, a negotiated and contingent outcome that is accomplished through the emotional and behavioral management of the self, the killing a reflexive reaction, driven by fear and excitement of the situation, peppered with a heavy heaping of moral agonizing. We argue that the killings and refrained killings carried out by soldiers and police are negative character, lacking the sensuous and affirmative character of an ontological project that Katz described.

Details

Jack Katz
Type: Book
ISBN: 978-1-78756-072-7

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