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To discuss and analyze the US Securities and Exchange Commission’s (SEC’s) FY 2017 Annual Report, which details its priorities for the coming year and evaluates…
To discuss and analyze the US Securities and Exchange Commission’s (SEC’s) FY 2017 Annual Report, which details its priorities for the coming year and evaluates enforcement actions that occurred during FY2017.
Summarizes key shifts from FY 2016, outlines the Enforcement Division’s current priorities, and, in view of its stated focus on the conduct of investment professionals and protection of retail investors, provides guidance to the investment management industry as it gears up for the coming year.
The Report provides insight into changes in the SEC’s approach to enforcement actions, including a general shift in tone suggesting a more measured approach to enforcement and remedies and a move away from a statistics-oriented approach, and a glimpse into its priorities for the coming year, including five core principles guiding the Division’s enforcement decisions.
As those in the asset management industry consider revisions to their policies and procedures for FY 2018, as well as their risk profile more generally, they should keep in mind key insights into the Commission’s enforcement strategy offered by the Report.
Practical guidance from experienced securities enforcement, litigation, compliance and anti-corruption lawyers.
This chapter examines the role of stress and emotional well-being as critical antecedents of important outcomes in the military context. In it, we provide a framework for…
This chapter examines the role of stress and emotional well-being as critical antecedents of important outcomes in the military context. In it, we provide a framework for understanding the sources of stress among military personnel. Using this model, we review the risk factors associated with combat and deployment cycles in addition to protective factors, such as personality characteristics and social support, which mitigate the effects of stress on emotional well-being and performance. Finally, we evaluate efforts by military organizations to enhance the emotional well-being of service members through training programs designed to build resiliency.
In his apocalyptic book on the environment and public policy, Timothy C. Weiskel warned of the consequences of humanity's intrusion into the biological and geo‐chemical…
In his apocalyptic book on the environment and public policy, Timothy C. Weiskel warned of the consequences of humanity's intrusion into the biological and geo‐chemical processes of the natural world. He said that our intrusions have been massive and thorough; that they now threaten to transform ecosystemic parameters; and that unless responsible public policy directs itself toward moderating our current destructive impact on the environment, we will face ecosystemic collapse and human catastrophe “on a vastly greater scale than has ever been recorded in human history.”
This chapter contributes to drawing Melanesian ethnography out of the exoticizing interest for gift exchange and demand-sharing. Furthermore, it provides an analytical…
This chapter contributes to drawing Melanesian ethnography out of the exoticizing interest for gift exchange and demand-sharing. Furthermore, it provides an analytical perspective from which it is possible to conceptualize the manipulation of gift and commodity logics as mutually compatible frameworks. Rather than seeing them as contradictory, this perspective enables the theorization of shared calculative agencies that are becoming increasingly common in contemporary Melanesia.
The chapter draws on 13 months of ethnographic fieldwork in Gilbert Camp, a peri-urban settlement on the outskirts of Honiara, Solomon Islands with a focus on the domestic moral economy of its inhabitants.
The people of Gilbert Camp are confronting a difficult economic and moral dilemma. On the one hand, they are at constant risk of financial failure because of their general conditions of scarcity. On the other, they face the prospect of disrupting some of their much-valued social relationships because such scarcity prevents them from fulfilling their cultural obligations. In order to avoid both risks, they make use of their financial competence and cultural creativity to set up strategies that save them money and preserve these relationships. Situated at the interface between kinship and market values, these strategies contribute to achieving the kind of ‘good’ life that they see as the correct balance between financial prosperity and morality.
Current negotiations over the meaning of buying, selling and taking are changing the values of contemporary sociality in Honiara, Port Vila, and other Melanesian cities. Tradestores simultaneously supply households with food and money, create a sense of sharing, and limit the demand-sharing and the taking of wantoks. Hence they create the conditions for the resolution of tensions over the incompatibility of values of kinship and market that confront the inhabitants of Melanesian cities. Household tradestores thus constitute a major site of these negotiations, and they provide a unique vantage point from which to look at the moral and economic processes that are leading to the future identity of urban Melanesia.
Organizational behavior scholars have long recognized the importance of a variety of emotion-related phenomena in everyday work life. Indeed, after three decades, the span…
Organizational behavior scholars have long recognized the importance of a variety of emotion-related phenomena in everyday work life. Indeed, after three decades, the span of research on emotions in the workplace encompasses a wide variety of affective variables such as emotional climate, emotional labor, emotion regulation, positive and negative affect, empathy, and more recently, specific emotions. Emotions operate in complex ways across multiple levels of analysis (i.e., within-person, between-person, interpersonal, group, and organizational) to exert influence on work behavior and outcomes, but their linkages to human resource management (HRM) policies and practices have not always been explicit or well understood. This chapter offers a review and integration of the bourgeoning research on discrete positive and negative emotions, offering insights about why these emotions are relevant to HRM policies and practices. We review some of the dominant theories that have emerged out of functionalist perspectives on emotions, connecting these to a strategic HRM framework. We then define and describe four discrete positive and negative emotions (fear, pride, guilt, and interest) highlighting how they relate to five HRM practices: (1) selection, (2) training/learning, (3) performance management, (4) incentives/rewards, and (5) employee voice. Following this, we discuss the emotion perception and regulation implications of these and other discrete emotions for leaders and HRM managers. We conclude with some challenges associated with understanding discrete emotions in organizations as well as some opportunities and future directions for improving our appreciation and understanding of the role of discrete emotional experiences in HRM.
This study applies social identity theory (SIT) to explore the perceptual differences among various stakeholder groups regarding the relevance of social and environmental…
This study applies social identity theory (SIT) to explore the perceptual differences among various stakeholder groups regarding the relevance of social and environmental accounting (SEA), SEA education and mandatory disclosure of SEA.
The study adopts a mixed method applying a qualitative and quantitative approach. In total, 325 structured questionnaires were analyzed quantitatively, using ANOVA and group comparison methods. Responses from 18 interviews were analyzed qualitatively to provide complementary evidence for the quantitative study.
There were significant differences between various stakeholder groups regarding the relevance of SEA practice and SEA education. Regulators were mostly affected by considerations about the external perception of work quality, followed by financiers. Practitioners and shareholders were influenced by the ability of SEA in its current state to affect actual work quality. This possibly indicates that academic qualifications have marginal effects on predicting considerations about SEA compared to social identity.
This is the first application of SIT to SEA research and contributes to the effort to improve SEA within emerging economies, highlighting that a one-size-fits-all approach may be ineffective.
The 2008/2009 World Financial Crisis underlined the importance of social responsibility for the sustainable functioning of economic markets. Heralding an age of novel…
The 2008/2009 World Financial Crisis underlined the importance of social responsibility for the sustainable functioning of economic markets. Heralding an age of novel heterodox economic thinking, the call for integrating social facets into mainstream economic models has reached unprecedented momentum. Financial Social Responsibility bridges the finance world with society in socially conscientious investments. Socially Responsible Investment (SRI) integrates corporate social responsibility in investment choices. In the aftermath of the 2008/2009 World Financial Crisis, SRI is an idea whose time has come. Socially conscientious asset allocation styles add to expected yield and volatility of securities social, environmental, and institutional considerations. In screenings, shareholder advocacy, community investing, social venture capital funding and political divestiture, socially conscientious investors hone their interest to align financial profit maximization strategies with social concerns. In a long history of classic finance theory having blacked out moral and ethical considerations of investment decision making, our knowledge of socio-economic motives for SRI is limited. Apart from economic profitability calculus and strategic leadership advantages, this paper sheds light on socio-psychological motives underlying SRI. Altruism, need for innovation and entrepreneurial zest alongside utility derived from social status enhancement prospects and transparency may steer investors’ social conscientiousness. Self-enhancement and social expression of future-oriented SRI options may supplement profit maximization goals. Theoretically introducing potential SRI motives serves as a first step toward an empirical validation of Financial Social Responsibility to improve the interplay of financial markets and the real economy. The pursuit of crisis-robust and sustainable financial markets through strengthened Financial Social Responsibility targets at creating lasting societal value for this generation and the following.
This chapter examines EI, presents a history of EI including the various models, and a discussion of the three streams approach to classifying EI literature. The author…
This chapter examines EI, presents a history of EI including the various models, and a discussion of the three streams approach to classifying EI literature. The author advocates for the efficacy of the Stream One Ability Model (SOAM) of EI citing previous authors and literature. The commonly used SOAM instruments are discussed in light of recent studies. The discussion turns to alternate tests of the SOAM of EI including Situational Judgment Tests (SJTs). Recommendations include an analysis of SOAM instruments, a new approach to measurement, and increased use of SJTs to capture the four-branch ability model of EI.