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To explain a set of recent US Securities and Exchange Commission (SEC) administrative settlements targeting fund administrators and to alert fund administrators and other financial service providers to their growing “gatekeeper” obligations.

This article explores the factual and legal contours of SEC administrative settlements with a fund administrator, as well as related enforcement actions against investment managers, to better understand the affirmative steps the SEC is expecting financial service providers to take to help root out fraud and misappropriation in the financial services sector.

The SEC’s administrative settlements with this fund administrator illustrate the SEC’s expanding focus on the “gatekeeper” function and signal the intent of the SEC to impute culpability for wrongdoing to fund administrators and other financial service providers simply for not doing enough to root out fraud and misappropriation in the financial services sector.

This article contains valuable information about recent SEC enforcement activity and practical guidance from experienced white collar, securities, and investment management lawyers.

The purpose of this paper is to explore the ethical issues surrounding information systems (IS) practice with a view to encouraging greater involvement in this aspect of IS research. Information integrity relies upon the development and operation of computer-based information systems. Those who undertake the planning, development and operation of these information systems have obligations to assure information integrity and overall to contribute to the public good. This ethical dimension of information systems has attracted mixed attention in the IS academic discipline.

The authors are a multidisciplinary team providing a rich, diverse experience which includes professional and information ethics, management information systems, software engineering, data repositories and information systems development. Each author has used this experience to review the IS ethics landscape, which provides four complimentary perspectives. These are synthesised to tease out trends and future pointers.

It is confirmed that there is a serious lack of research being undertaken relating to the ethical dimension of the Information Systems field. There is limited crossover between the well-established multidisciplinary community of Computer Ethics research and the traditional Information Systems research community.

An outline framework is offered which could provide an opportunity for rich and valuable dialogue across the two communities. This is proposed as the starting point for a proactive research and practice action plan for information systems ethics.

This short viewpoint is a response to a lead paper on professional ethics in the information age. This paper aims to draw upon the authors’ experience of professional bodies such as the ACM over many years. Points of agreement and disagreement are highlighted with the aim of promoting wider debate.

An analysis of the lead paper is undertaken using a binary agree/disagree approach. This highlights the conflicting views which can then be considered in more detail.

Four major agreements and four major disagreements are identified. There is an emphasis on “acultural” professionalism to promote moral behavior rather than amoral behavior.

This is an original viewpoint which draws from the authors’ practical experience and expertise.

Traditionally, philosophers have ascribed moral agency almost exclusively to humans (Eshleman, 2004). Early writing about moral agency can be traced to Aristotle (Louden, 1989) and Aquinas (1997). In addition to human moral agents, Aristotle discussed the possibility of moral agency of the Greek gods and Aquinas discussed the possibility of moral agency of angels. In the case of angels, a difficulty in ascribing moral agency was that it was suspected that angels did not have enough independence from God to ascribe to the angels genuine moral choices. Recently, new candidates have been suggested for non‐human moral agency. Floridi and Sanders (2004) suggest that artificially intelligence (AI) programs that meet certain criteria may attain the status of moral agents; they suggest a redefinition of moral agency to clarify the relationship between artificial and human agents. Other philosophers, as well as scholars in Science and Technology Studies, are studying the possibility that artifacts that are not designed to mimic human intelligence still embody a kind of moral agency. For example, there has been a lively discussion about the moral intent and the consequential effects of speed bumps (Latour, 1994; Keulartz et al., 2004). The connections and distributed intelligence of a network is another candidate being considered for moral agency (Allen, Varner & Zinser, 2000). These philosophical arguments may have practical consequences for software developers, and for the people affected by computing. In this paper, we will examine ideas about artificial moral agency from the perspective of a software developer.

This paper aims to explore the ethical and social impact of augmented visual field devices (AVFDs), identifying issues that AVFDs share with existing devices and suggesting new ethical and social issues that arise with the adoption of AVFDs.

This essay incorporates both a philosophical and an ethical analysis approach. It is based on Plato’s Allegory of the Cave, philosophical notions of transparency and presence and human values including psychological well-being, physical well-being, privacy, deception, informed consent, ownership and property and trust.

The paper concludes that the interactions among developers, users and non-users via AVFDs have implications for autonomy. It also identifies issues of ownership that arise because of the blending of physical and virtual space and important ways that these devices impact, identity and trust.

Developers ought to take time to design and implement an easy-to-use informed consent system with these devices. There is a strong need for consent protocols among developers, users and non-users of AVFDs.

There is a social benefit to users sharing what is visible on their devices with those who are in close physical proximity, but this introduces tension between notions of personal privacy and the establishment and maintenance of social norms.

There is new analysis of how AVFDs impact individual identity and the attendant ties to notions of ownership of the space between an object and someone’s eyes and control over perception.

Several recent statistical analyses provide overwhelming evidence for substantial injustice in immigration court decisions. Writers also explored the data for evidence of bias. Several ended with recommendations for more legal training for judges and more professional appellate review. These recommendations assume that the problem is in the interpretation of the law and conduct of the trial. My own experience has been that there is actually a greater problem in the interpretation of facts, at several levels. Courts provide for translators, but merely verbal translation is not enough. Cultural translation is required. In this chapter I illustrate what cultural translation is with instances from five different asylum cases that I have been involved in as an expert witness. I conclude with recommendations to support better use of this kind of information.

Discrimination has been identified as a major stressor and influence on immigrant health. This study examined the role of perceived discrimination in relation to other factors, in particular, acculturation, in physical and mental health of immigrants and refugees. Data for US adults (18 +  years) were derived from the National Epidemiologic Survey on Alcohol and Related Conditions. Mental and physical health was assessed with SF-12. Acculturation and perceived discrimination were assessed with multidimensional measures. Structural equation models were used to estimate the effects of acculturation, stressful life effects, perceived discrimination, and social support on health among immigrants and refugees. Among first-generation immigrants, discrimination in health care had a negative association with physical health while discrimination in general had a negative association with mental health. Social support had positive associations with physical and mental health and mediated the association of discrimination to health. There were no significant associations between discrimination and health among refugees, but the direction and magnitude of associations were similar to those for first-generation immigrants. Efforts aiming at reducing discrimination and enhancing integration/social support for immigrants are likely to help with maintaining and protecting immigrants’ health and well-being. Further research using larger samples of refugees and testing moderating effects of key social/psychosocial variables on immigrant health outcomes is warranted. This study used multidimensional measures of health, perceived discrimination, and acculturation to examine the pathways between key social/psychosocial factors in health of immigrants and refugees at the national level. This study included possibly the largest national sample of refugees.

Sociology promotes and describes public health, helping to explain macro-social dynamics of mental health care through studies of organizations, networks, and systems of care.

This chapter summarizes sociological research on mental health care organizations and systems, illustrating a macro-social perspective by examining the problem of transitions in care for young adults. Summary findings from a regional mental health services research project describe a system of care that includes 100 organizations. This system helps young adults with mental health needs.

The scope and management of care involves a focus on modes of treatment supported by research evidence and delivered effectively by people with cultural competencies. Care and continuity of care are delivered through coordinated systems of inter-organizational networks, linking organizations and providers. Active inter-organizational linkages are needed to support mental health for young adults during challenging and sometimes difficult transitions.

This research summarizes original and regional data on mental health care organizations within a regional system of care. Practical implications include support for the importance of coordination, transition planning, and cultural competence within and among organizations. Sociological and original research on organizations and systems should continue to elaborate the needs and values of mental health services for regional planning and public health.

SIR KENNETH KEITH, chairman of the merchant bankers Hill, Samuel & Co Ltd, has been appointed chairman of Rolls Royce (1971) Ltd and K. G. WILKINSON, previously chief executive and chairman of BEA, has been appointed managing director.

The purpose of this paper is to present an audit which assessed compliance in documentation of crisis and contingency plans in the electronic Care Programme Approach (CPA) for working age adult patients discharged from an in‐patient setting.

Two explicit and evidence‐based standards were audited and a full audit cycle was completed. The electronic CPA documentation for all discharges from the adult in‐patient beds of the Trust June 2007 formed the sample for Cycle 1 and the same from June 2008 formed the sample for Cycle 2. Data were obtained from the local electronic database.

The paper finds that the rate of electronic CPA documentation increased over time, as did the crisis and contingency plan documentation within those CPA documents. Although the electronic CPA documentation improved from 33 per cent in June 2007 to 56 per cent in June 2008 (χ² 7.2, df 1, p < 0.01) with a significant improvement on most items measured, they were still far from achieving 100 per cent standards.

Clear guidance making the electronic CPA documentation mandatory so that it can be easily accessed out of hours in a crisis situation would be welcome. It is an important step in reducing the 90‐day re‐admission rates to in‐patient units in psychiatry.

The paper is the first of its kind and demonstrates that dissemination and re‐audit aimed at better electronic documentation are needed to achieve high standards of clinical practice.