Search results

To explain expectations of the US Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) as to what constitutes successful branch inspection programs for broker-dealers.

Summarizes FINRA’s rules requiring firms to implement branch inspection programs; examines the SEC’s and FINRA’s joint 2011 National Examination Risk Alert, which expanded upon FINRA’s rules, requiring firms to conduct risk-based analyses on each branch office to determine the appropriate frequency, intensity, and focus of inspections; discusses FINRA’s expectation that firms examine their registered representatives’ financial circumstances to reduce the risk of fraud; explains how FINRA’s Comprehensive Automated Risk Data System may impact branch inspections; and recommends several sources that firms should review when implementing a successful branch inspection program.

Regulators have heightened their expectations as to what constitutes successful branch inspection programs for broker-dealers.

To avoid regulatory intervention and discipline, firms should continue to review their policies and procedures to ensure that their programs are sufficiently comprehensive.

This article will encourage firms with branch offices to review their branch inspection programs, and assist those firms in implementing sufficiently comprehensive policies and procedures.

Although scholars have considered the success factors of process improvement (PI) projects, limited research has considered the factors that influence failure. The purpose of this paper is to extend the understanding of PI project failure by systematically reviewing the research on generic project failure, and developing research propositions and future research directions specifically for PI projects.

A systematic literature review protocol resulted in a total of 97 research papers that are reviewed for contributions on project failure.

An inductive category formation process resulted in three categories of findings. The first category are the causes for project failure, the second category is about relatedness between failure factors and the third category is on failure mitigation strategies. For each category, propositions for future research on PI projects specifically are developed. Additional future research directions proposed lay in better understanding PI project failure as it unfolds (i.e. process studies vs cross-sectional), understanding PI project failure from a theoretical perspective and better understanding of PI project failure antecedents.

This paper takes a multi-disciplinary and project type approach, synthesizes the existing knowledge and reflects upon the developments in the field of research. Propositions and a framework for future research on PI project failure are presented.

Presents a special issue, enlisting the help of the author’s students and colleagues, focusing on age, sex, colour and disability discrimination in America. Breaks the evidence down into manageable chunks, covering: age discrimination in the workplace; discrimination against African‐Americans; sex discrimination in the workplace; same sex sexual harassment; how to investigate and prove disability discrimination; sexual harassment in the military; when the main US job‐discrimination law applies to small companies; how to investigate and prove racial discrimination; developments concerning race discrimination in the workplace; developments concerning the Equal Pay Act; developments concerning discrimination against workers with HIV or AIDS; developments concerning discrimination based on refusal of family care leave; developments concerning discrimination against gay or lesbian employees; developments concerning discrimination based on colour; how to investigate and prove discrimination concerning based on colour; developments concerning the Equal Pay Act; using statistics in employment discrimination cases; race discrimination in the workplace; developments concerning gender discrimination in the workplace; discrimination in Japanese organizations in America; discrimination in the entertainment industry; discrimination in the utility industry; understanding and effectively managing national origin discrimination; how to investigate and prove hiring discrimination based on colour; and, finally, how to investigate sexual harassment in the workplace.

This study aims to utilize the cognitive appraisal theory of stress and coping by conducting a joint investigation of the mediating role of knowledge hiding behaviors in the relationship of exploitative leadership on employee’s work related attitudes (i.e. turnover intentions) and behaviors (e.g. job performance, creativity) and fear of negative evaluation in influencing this mediation.

Using the Preacher and Hayes’ (2004) moderated-mediation approach, the authors tested the model by collecting multi-wave and two-source data from employees and fellow peers (n = 281) working in the service sector of Pakistan.

Results of the study demonstrate that exploitative leadership adversely influences one’s performance and turnover intentions through knowledge hiding behaviors. The fear of negative evaluation moderates the indirect effects of exploitative leadership on employee’s outcomes through knowledge hiding behaviors such that these indirect effects are stronger for individuals possessing low levels of fear of negative evaluation.

The current study contributes to knowledge management and dark leadership literature by suggesting knowledge hiding behaviors as a process through which exploitative leaders unveil their negative effects on employee’s outcomes. This study is also unique in the sense, as it posits that employees might vary because of their dispositional traits (i.e. low fear of negative evaluation) in responding to exploitative leadership with greater knowledge hiding behaviors.

The International Society for Hybrid Microelectronics invites the submission of technical papers for presentation at the above event. All original unpublished papers on microelectronics related topics are welcomed.

This paper aims to study the evolution of definitions of internet of things (IoT) through time, critically assess the knowledge these definitions contain and facilitate sensemaking by providing those unfamiliar with IoT with a theoretical definition and an extended framework.

164 articles published between 2005 and 2019 are collected using snowball sampling. Further, 100 unique definitions are identified in the sample. Definitions are examined using content analysis and applying a theoretical framework of five knowledge dimensions.

In declarative/relational dimensions of knowledge, increasing levels of agreement are observed in the sample. Sources of tautological reasoning are identified. In conditional and causal dimensions, definitions of IoT remain underdeveloped. In the former, potential limitations of IoT related to resource scarcity, privacy and security are overlooked. In the latter, three main loci of agreement are identified.

This study does not cover all published definitions of IoT. Some narratives may be omitted by our selection criteria and process.

This study supports sensemaking of IoT. Main loci of agreement in definitions of IoT are identified. Avenues for further clarification and consensus are explored. A new framework that can facilitate further investigation and agreement is introduced.

This is, to the authors’ knowledge, the first study that examines the historical evolution of definitions of IoT vis-à-vis its technological features. This study introduces an updated framework to critically assess and compare definitions, identify ambiguities and resolve conflicts among different interpretations. The framework can be used to compare past and future definitions and help actors unfamiliar with IoT to make sense of it in a way to reduce adoption costs. It can also support researchers in studying early discussions of IoT.

This paper discusses plausible future scenarios for small and medium tourism enterprises (SMTEs) in the “sun, sea and sand” destination of the Canary Islands (Spain) and assesses to what extent they are prepared to adjust to market changes and technological developments in the light of both sudden disruptions and long-term shocks.

A scenario analysis was made based upon expert interviews, leading to a 2 × 2 scenario matrix.

Although regional, national and European strategies advocate digital transformation as a step towards building resilience and towards a more sustainable future, this study identifies two major uncertainties that can put that transformation at risk: a change of the traditional “sun, sand and sea” visitor to a more conscious, individual and inquisitive traveller or “Promad”, and the business culture of SMTEs.

Resilience for sudden and for slow-paced disruptions poses different challenges for SMTEs. Their next step in the digital transformation must take them form marketing and sales-oriented e-business to growing interconnectivity and innovation across supply chains.

A market change towards the “Promad” type of traveller causes at least a temporary mismatch of demand and supply. As many SMTEs miss either the knowledge or the resources to invest in digital transformation, the process will depend on support and coordination at destination level.

The study identifies, with the example of the Canary Islands, the difficulties for destinations and individual businesses in making the envisioned transition of mass tourism to more competitive forms of tourism with a smaller ecological footprint.