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Article
Publication date: 4 September 2017

Breon S. Peace, Jennifer Kennedy Park, Robin M. Bergen and Nowell D. Bamberger

To explain and analyze two Enforcement Advisories that set forth the factors the US Commodity Futures Trading Commission Division of Enforcement may consider in assessing…

Abstract

Purpose

To explain and analyze two Enforcement Advisories that set forth the factors the US Commodity Futures Trading Commission Division of Enforcement may consider in assessing cooperation by companies and individuals in the context of CFTC enforcement proceedings.

Design/methodology/approach

Explains the background, including the 2007 Enforcement Advisory for Companies. Explains the 2017 Enforcement Advisory for Companies and the parallel Enforcement Advisory for Individuals, including policy-based considerations and factors such as the materiality, timeliness, nature, and quality of a company’s cooperation; the value of a company’s cooperation to the Commission’s broader law enforcement interests; and the company’s culpability, culture and other relevant factors. Provides examples of uncooperative conduct. Discusses a broader trend among enforcement authorities in the US and abroad of setting higher cooperation standards.

Findings

The new Advisories make clear that merely complying with requests for information from the CFTC staff will not be sufficient; a company or individual seeking cooperation credit as part of a resolution with the CFTC must go above and beyond its legal obligations in order to qualify for such credit.

Originality/value

Practical guidance from experienced white collar defense, regulatory enforcement, civil litigation and arbitration lawyers.

Details

Journal of Investment Compliance, vol. 18 no. 3
Type: Research Article
ISSN: 1528-5812

Keywords

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Book part
Publication date: 31 July 2020

Gretchen Spreitzer, Peter Bacevice, Hilary Hendricks and Lyndon Garrett

With increasingly precarious work contracts, more remote work, and additional flexibility in the timing of the workday, the new world of work is creating both relational…

Abstract

With increasingly precarious work contracts, more remote work, and additional flexibility in the timing of the workday, the new world of work is creating both relational opportunities and relational challenges for modern workers. In this chapter, we pair recent research on human thriving with trends we observe in organizations' efforts to create and maintain a sense of community. Key in these efforts is a new kind of built environment – the coworking space – which brings together remote and independent workers and, increasingly, traditional employees as well. We show that in curating community, or perhaps even the possibility of community, coworking spaces may support the interpersonal learning and vitality that help workers to thrive.

Details

Research in Organizational Change and Development
Type: Book
ISBN: 978-1-83909-083-7

Keywords

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Article
Publication date: 4 April 2019

Jennifer Kennedy Park and Abena Mainoo

To explain a recent enforcement action by the US Securities and Exchange Commission (SEC) highlighting risk factors for Foreign Corrupt Practices Act (FCPA) violations.

Abstract

Purpose

To explain a recent enforcement action by the US Securities and Exchange Commission (SEC) highlighting risk factors for Foreign Corrupt Practices Act (FCPA) violations.

Design/methodology/approach

Summarizes the basis of the SEC’s enforcement action against Sanofi for violating the FCPA’s books and records and internal controls provisions, reviews the terms of the SEC’s resolution with Sanofi, explains Sanofi’s remedial efforts and cooperation with the SEC’s investigation, and discusses factors contributing to corruption risks in the healthcare industry.

Findings

The SEC’s enforcement action against Sanofi, and other recent enforcement actions, underscore the importance of comprehensive anti-corruption compliance programs and strong internal controls across large multinationals and their subsidiaries.

Practical implications

Companies operating in high-risk industries and markets should regularly assess and address corruption risks.

Originality/value

Practical guidance from experienced enforcement lawyers.

Details

Journal of Investment Compliance, vol. 20 no. 1
Type: Research Article
ISSN: 1528-5812

Keywords

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Article
Publication date: 29 April 2021

Robyn Ramsden, Delwyn Hewitt, Joanne Williams, Lee Emberton and Catherine Bennett

This paper explores the impact of a suite of alcohol culture change interventions implemented by Deakin University in Melbourne, Australia. The interventions were designed…

Abstract

Purpose

This paper explores the impact of a suite of alcohol culture change interventions implemented by Deakin University in Melbourne, Australia. The interventions were designed to change the alcohol culture at a bi-annual nation-wide university multi-sport competition known as Uni Nationals. This study aims to understand the critical success factors of the alcohol culture change initiatives that were developed by the university and implemented as part of a broader set of institutional practices.

Design/methodology/approach

A qualitative research design utilised in-depth, semi-structured interviews with nine Uni Nationals student team leaders. In total, two group interviews and four individual interviews were conducted with student team leaders who participated in the Uni Nationals. The interview transcripts were coded and themed. The themes were further refined and interpreted into a narrative. A total of two transcripts were independently coded by the first two authors. Discordant coding was flagged and discussed until a consensus was achieved. The remaining interviews were coded by the first author and discussed with the second author to ensure consistency. A socio-ecological framework was used to understand perceived changes to alcohol culture.

Findings

Student leaders were aware of and felt supported by the university-wide approach to changing the culture of Uni Nationals. Overall, the qualitative study indicated that students were positive about the alcohol culture change interventions. The leadership training that engaged team leaders in interactive activities had the greatest impact. Student leaders found the targeted messages, mocktail events and Chef de Mission (CdM) less effective cultural change strategies. However, they helped to establish expectations of students in this setting where a heightened focus on sport was associated with higher alcohol consumption.

Originality/value

While there has been growing academic interest in exploring “drinking cultures”, there has been relatively little focus on alcohol culture of university students at sporting events. The paper contributes to addressing this gap by shedding light on the impact of a group of interventions on the drinking culture of the Uni Nationals subculture.

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Article
Publication date: 1 January 1954

Aarhus Kommunes Biblioteker (Teknisk Bibliotek), Ingerslevs Plads 7, Aarhus, Denmark. Representative: V. NEDERGAARD PEDERSEN (Librarian).

Abstract

Aarhus Kommunes Biblioteker (Teknisk Bibliotek), Ingerslevs Plads 7, Aarhus, Denmark. Representative: V. NEDERGAARD PEDERSEN (Librarian).

Details

Aslib Proceedings, vol. 6 no. 1
Type: Research Article
ISSN: 0001-253X

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