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Article
Publication date: 2 May 2017

Nicolas Morgan, Art Zwickel, Thomas A. Zaccaro and Jenifer Q. Doan

To explain the import of a recent enforcement action by the US Securities and Exchange Commission (SEC) against an investment adviser for failing to prevent insider…

356

Abstract

Purpose

To explain the import of a recent enforcement action by the US Securities and Exchange Commission (SEC) against an investment adviser for failing to prevent insider trading against the context of an unsettled legal definition of “insider trading” as evidenced by the issue presented in a recent case before the US Supreme Court.

Design/methodology/approach

Reviews the principal issues raised by the SEC in its enforcement action, legal requirements imposed on investment advisers, and the insider trading issues presented by the US Supreme Court case.

Findings

Because the legal concept of insider trading has developed through case law and is not defined by statute, it remains uncertain, and therefore the practice of insider trading will be difficult to prevent without restricting activities that could ultimately be determined to be legal.

Practical implications

In light of the SEC’s high threshold for investment advisers to prevent insider trading and the uncertain legal definition of that concept, investment advisers should review their insider trading policies and err on the side of caution.

Originality/value

Practical guidance from an experienced former SEC counsel and SEC practitioners offers new insights into the steps investment advisers should take in response to SEC enforcement activities and nebulous legal definitions.

Details

Journal of Investment Compliance, vol. 18 no. 1
Type: Research Article
ISSN: 1528-5812

Keywords

Article
Publication date: 1 February 2001

Nicola Morgan and Chantelle Begley

Kids are getting aider younger. We all know that But is it the same for both sexes? And is the process accelerating? And whose fault is it? And from a communication…

Abstract

Kids are getting aider younger. We all know that But is it the same for both sexes? And is the process accelerating? And whose fault is it? And from a communication perspective, can the research cope? This article focuses on the effect of accelerated culture on the country's young girls and whether the media is totally to blame.

Details

International Journal of Advertising and Marketing to Children, vol. 3 no. 1
Type: Research Article
ISSN: 1464-6676

Keywords

Article
Publication date: 1 October 2006

Nicolas Morgan, Edward Totino and Perrie Weiner

This paper aims to draw conclusions about the likelihood that Securities and Exchange Commission (“SEC”) Chairman Christopher Cox will take significant action to reduce…

187

Abstract

Purpose

This paper aims to draw conclusions about the likelihood that Securities and Exchange Commission (“SEC”) Chairman Christopher Cox will take significant action to reduce regulation affecting hedge funds based on how the SEC has dealt with hedge fund regulation in both the rule making and enforcement arenas since Mr. Cox became Chairman.

Design/methodology/approach

Assesses actions taken by the SEC under Mr Cox's leadership with regard to PIPE (private investment in public equity) transactions by hedge funds, hedge fund registration rules, portfolio disclosure requirements, and alleged collusion among short‐selling hedge funds, research firms, and journalists.

Findings

The SEC's enforcement activities with respect to hedge funds that make short sales before the announcement of a PIPE transaction indicate that the SEC has no plans to lighten the regulatory or enforcement burden on hedge funds. The SEC's response to the DC Circuit Court's decision striking down the hedge fund registration rule likewise indicates that additional hedge fund regulation remains an SEC priority. While it remains to be seen how the SEC investigations and civil actions regarding the alleged collusion between short‐selling hedge funds, research firms and journalists will turn out, it appears unlikely that Chairman Cox will take any bold action to protect freedom of expression and the marketplace of ideas from attacks by disgruntled companies.

Originality/value

Provides a timely and insightful view of the near‐term outlook for SEC regulatory and enforcement policy toward hedge funds.

Details

Journal of Investment Compliance, vol. 7 no. 4
Type: Research Article
ISSN: 1528-5812

Keywords

Content available
Article
Publication date: 1 October 2006

Henry A. Davis

191

Abstract

Details

Journal of Investment Compliance, vol. 7 no. 4
Type: Research Article
ISSN: 1528-5812

Expert briefing
Publication date: 2 February 2016

These encompass the euro-area's economic governance, enhanced competitiveness and cutting red tape, the "special" UK situation as regards further political integration…

Details

DOI: 10.1108/OXAN-DB208200

ISSN: 2633-304X

Keywords

Geographic
Topical
Article
Publication date: 5 February 2018

Gregory Nicholas de Boer, Adam Johns, Nicolas Delbosc, Daniel Burdett, Morgan Tatchell-Evans, Jonathan Summers and Remi Baudot

This aim of this work is to investigate different modelling approaches for air-cooled data centres. The study employs three computational methods, which are based on…

Abstract

Purpose

This aim of this work is to investigate different modelling approaches for air-cooled data centres. The study employs three computational methods, which are based on finite element, finite volume and lattice Boltzmann methods and which are respectively implemented via commercial Multiphysics software, open-source computational fluid dynamics code and graphical processing unit-based code developed by the authors. The results focus on comparison of the three methods, all of which include models for turbulence, when applied to two rows of datacom racks with cool air supplied via an underfloor plenum.

Design/methodology/approach

This paper studies thermal airflows in a data centre by applying different numerical simulation techniques that are able to analyse the thermal airflow distribution for a simplified layout of datacom racks in the presence of a computer room air conditioner.

Findings

Good quantitative agreement between the three methods is seen in terms of the inlet temperatures to the datacom equipment. The computational methods are contrasted in terms of application to thermal management of data centres.

Originality/value

The work demonstrates how the different simulation techniques applied to thermal management of airflow in a data centre can provide valuable design and operational understanding. Basing the analysis on three very different computational approaches is new and would offer an informed understanding of their potential for a class of problems.

Details

International Journal of Numerical Methods for Heat & Fluid Flow, vol. 28 no. 2
Type: Research Article
ISSN: 0961-5539

Keywords

Article
Publication date: 9 October 2019

Robert J. Snowden, Jordan Holt, Nicola Simkiss, Aimee Smith, Daniel Webb and Nicola S. Gray

Wales Applied Risk Research Network (WARRN) is a formulation-based technique for the assessment and management of serious risk (e.g. violence to others, suicide, etc.) for…

Abstract

Purpose

Wales Applied Risk Research Network (WARRN) is a formulation-based technique for the assessment and management of serious risk (e.g. violence to others, suicide, etc.) for users of mental health services. It has been gradually adopted as the risk evaluation and safety-planning technique for all seven health boards in Wales. The purpose of this paper is to examine the opinions of WARRN as used within these health boards.

Design/methodology/approach

An online survey was disseminated to NHS clinicians in secondary mental health services to evaluate their perceptions of the use and effectiveness of WARRN. Data from 486 clinicians were analysed with both quantitative and qualitative methods.

Findings

Results indicated that the overall impact of WARRN on secondary mental health care was very positive, with clinicians reporting increased skills in the domains of clinical risk formulation, safety-planning and communication, as well as increased confidence in their skills and abilities in these areas. Clinicians also reported that the “common-language” created by having all NHS health boards in Wales using the same risk assessment process facilitated the communication of safety-planning. Crucially, NHS staff believed that the safety of service users and of the general public had increased due to the adoption of WARRN in their health board and many believed that lives had been saved as a result.

Originality/value

WARRN is perceived to have improved clinical skills in risk assessment and safety-planning across Wales and saved lives.

Details

The Journal of Mental Health Training, Education and Practice, vol. 14 no. 6
Type: Research Article
ISSN: 1755-6228

Keywords

Book part
Publication date: 3 December 2014

Douglas H. Constance, William H. Friedland, Marie-Christine Renard and Marta G. Rivera-Ferre

This introduction provides an overview of the discourse on alternative agrifood movements (AAMs) to (1) ascertain the degree of convergence and divergence around a common…

Abstract

This introduction provides an overview of the discourse on alternative agrifood movements (AAMs) to (1) ascertain the degree of convergence and divergence around a common ethos of alterity and (2) context the chapters of the book. AAMs have increased in recent years in response to the growing legitimation crisis of the conventional agrifood system. Some agrifood researchers argue that AAMs represent the vanguard movement of our time, a formidable counter movement to global capitalism. Other authors note a pattern of blunting of the transformative qualities of AAMs due to conventionalization and mainstreaming in the market. The literature on AAMs is organized following a Four Questions in Agrifood Studies (Constance, 2008) framework. The section for each Question ends with a case study to better illustrate the historical dynamics of an AAM. The literature review ends with a summary of the discourse applied to the research question of the book: Are AAMs the vanguard social movement of our time? The last section of this introduction provides a short description of each contributing chapter of the book, which is divided into five sections: Introduction; Theoretical and Conceptual Framings; Food Sovereignty Movements; Alternative Movements in the Global North; and Conclusions.

Details

Alternative Agrifood Movements: Patterns of Convergence and Divergence
Type: Book
ISBN: 978-1-78441-089-6

Book part
Publication date: 29 March 2021

Raymond Talinbe Abdulai and Kwasi Gyau Baffour Awuah

The world has been witnessing a new dreadful disease since the latter part of 2019. The disease known as the novel coronavirus disease often referred to as COVID-19…

Abstract

The world has been witnessing a new dreadful disease since the latter part of 2019. The disease known as the novel coronavirus disease often referred to as COVID-19 originated from the Chinese city of Wuhan in the Hubei province and has since spread across the world resulting in the World Health Organisation to declare it a global pandemic. Whilst it appears obvious that the pandemic continues to generate several impacts, knowledge of the true idea, nature and extent of the impacts is scanty, partly because the disease is novel, ongoing and an antidote is yet to be found for it as well as the fact that no or little systematic studies have been conducted into the impacts and the results codified. This study, therefore, explores the global overview of the environmental and socioeconomic impacts of COVID-19 based on evidence in the literature. The chapter found that several measures such as imposition of partial or total lockdowns, social distancing and stay-at-home policies, wearing of face masks and the use of gloves and hand sanitizers have been instituted to contain the pandemic since its outbreak. Apart from 4,766,468 infections with 318,201 deaths, which had occurred as at 19 May 2020 and are still counting, the measures instituted have resulted in increase in domestic energy consumption, generation of waste pollution, contraction in production, loss of income and jobs, disruption in market activities and depreciation in asset prices and values across the various sectors of the world's economy, increases in domestic violence and limited access to health services among others. Conversely, the pandemic has partly resulted in positive outcomes such as reduction in greenhouse gas emissions and boost in the operations of the ITC and other allied industries. However, in broad terms, it is a huge threat to sustainable development (SD) and gains made in that regard over the years are eroding. Furthermore, although there have been interventions from governments, United Nations and other international development organisations to ease the adverse impacts, more such interventions and efforts will be required to put the SD agenda on track.

Details

Sustainable Real Estate in the Developing World
Type: Book
ISBN: 978-1-83867-838-8

Keywords

Book part
Publication date: 8 September 2022

Juan Pablo Castilla

The growing displacement of theory and other forms of wide-ranging knowledge of social phenomena by empirical research methods in economics is widely noted by economists…

Abstract

The growing displacement of theory and other forms of wide-ranging knowledge of social phenomena by empirical research methods in economics is widely noted by economists and historians of economic knowledge. Less attention has been devoted, however, to understand the materialization of such changes in the scientific practices. This article studies the recent transformations in the epistemological practices at CEDE, a research center in Colombia. I use a machine learning technique called Topic Modeling, interviews to CEDE researchers, and exegesis of papers to characterize a shift in the production of knowledge in microeconometrics at CEDE during the years 2000 and 2018. I explain this shift by characterizing two sets of epistemological practices that implies a recent tendency to disdain research that cannot make a “strong” causal inference.

Details

Research in the History of Economic Thought and Methodology: Including a Symposium on the Work of William J. Baumol: Heterodox Inspirations and Neoclassical Models
Type: Book
ISBN: 978-1-80382-708-7

Keywords

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