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Article
Publication date: 23 November 2010

Thomas John Holton, Paul B. Raymond and Curtis Stefanak

The purpose of this paper is to explain certain SEC and state registration, disclosure, and recordkeeping requirements for US and non‐US investment advisers and fund…

279

Abstract

Purpose

The purpose of this paper is to explain certain SEC and state registration, disclosure, and recordkeeping requirements for US and non‐US investment advisers and fund managers as defined in the Dodd‐Frank Wall Street Reform and Consumer Protection Act of 2010.

Design/methodology/approach

The paper explains SEC and US state registration requirements; the elimination of the “private adviser” exemption; the creation of new, narrower adviser registration exemptions; reporting and recordkeeping requirements relating to private funds; information and confidentiality provisions for private funds; the SEC's authority to make rules and regulations defining technical, trade, and other terms used in the amendments set forth in the Act; provisions of the “Volcker Rule” concerning banking entities' ownership interests in hedge funds and private equity funds; the adjustment of the “qualified client” test for inflation; the definition of an “accredited investor”; and disqualifications from using Regulation D.

Findings

The Act will require many US and non‐US investment advisers and fund managers to register with the SEC under the Investment Advisers Act of 1940, particularly those advisers that have previously relied on the “private adviser” exemption from SEC registration, which has been eliminated by the Act. The Act will also impose new disclosure and recordkeeping requirements on many investment advisers, including some who are not required to register with the SEC.

Originality/value

The paper provides expert guidance from experienced financial services lawyers.

Details

Journal of Investment Compliance, vol. 11 no. 4
Type: Research Article
ISSN: 1528-5812

Keywords

Article
Publication date: 23 November 2010

Anne Marie Godfrey, Thomas John Holton, Paul B. Raymond and Curtis Stefanak

The purpose of this paper is to to summarize Advisers Act registration implications for non‐US advisers that now rely on the “private adviser” exemption from Advisers Act…

247

Abstract

Purpose

The purpose of this paper is to to summarize Advisers Act registration implications for non‐US advisers that now rely on the “private adviser” exemption from Advisers Act registration and to summarize the principal changes affecting investors in funds managed by non‐US advisers contained in the Dodd‐Frank Wall Street Reform and Consumer Protection Act of 2010.

Design/methodology/approach

The paper explains the elimination of the “private adviser” exemption and the creation of the narrower “foreign private adviser” and other exemptions from Adviser Act registration, reporting and recordkeeping requirements relating to private funds; the Dodd‐Frank Act's provisions for information sharing by the SEC and the confidentiality of private fund information; the “Volcker Rule's” limitation of investment by banking entities and non‐bank financial companies in hedge funds and private equity funds; changes in the definition of “accredited investor”; and the future adjustment of the “qualified client” test for inflation.

Findings

The Dodd‐Frank Act will require many investment advisers and fund managers with their principal offices and places of business outside the USA to register with the SEC and to observe, with respect to US clients, the full spectrum of SEC regulations that apply to registered investment advisers. The Act will also impose new disclosure and recordkeeping requirements on many non‐US advisers.

Originality/value

The paper provides expert guidance from experienced financial services lawyers.

Details

Journal of Investment Compliance, vol. 11 no. 4
Type: Research Article
ISSN: 1528-5812

Keywords

Content available
Article
Publication date: 23 November 2010

Henry A. Davis

323

Abstract

Details

Journal of Investment Compliance, vol. 11 no. 4
Type: Research Article
ISSN: 1528-5812

Article
Publication date: 30 June 2007

Peter J. Rimmer and Paul T.W. Lee

As the Malacca and Singapore Straits are part of the shortest route between Europe and Asia any impedance to shipping has serious commercial and strategic repercussions…

Abstract

As the Malacca and Singapore Straits are part of the shortest route between Europe and Asia any impedance to shipping has serious commercial and strategic repercussions. What would be the consequences to tankers and container shipping if access was restricted or prevented? This issue is addressed by examining the costs of using alternative tanker routes to the Straits and the flow-on consequences of removing a mega-hub port from the container-shipping network. The analysis highlights differences between tanker shipping, where the ship itself is the prime unit of interest, and container shipping, where the door-to-door network is of paramount importance.

Details

Journal of International Logistics and Trade, vol. 5 no. 1
Type: Research Article
ISSN: 1738-2122

Keywords

Article
Publication date: 1 April 2003

Georgios I. Zekos

Aim of the present monograph is the economic analysis of the role of MNEs regarding globalisation and digital economy and in parallel there is a reference and examination…

65225

Abstract

Aim of the present monograph is the economic analysis of the role of MNEs regarding globalisation and digital economy and in parallel there is a reference and examination of some legal aspects concerning MNEs, cyberspace and e‐commerce as the means of expression of the digital economy. The whole effort of the author is focused on the examination of various aspects of MNEs and their impact upon globalisation and vice versa and how and if we are moving towards a global digital economy.

Details

Managerial Law, vol. 45 no. 1/2
Type: Research Article
ISSN: 0309-0558

Keywords

Book part
Publication date: 6 December 2004

Lawrence Angus is Professor is Head of the School of Education at the University of Ballarat. His most recent book (with Professor Terri Seddon of Monash University) is…

Abstract

Lawrence Angus is Professor is Head of the School of Education at the University of Ballarat. His most recent book (with Professor Terri Seddon of Monash University) is Reshaping Australian Education: Beyond Nostalgia. His publications include several books over 50 refereed book chapters and articles in academic journals. His particular research and teaching interests include education equity and policy.Eve Gregory is a Professor in the Department of Educational Studies at Goldsmiths’ College, University of London She joined the Department of Educational Studies in 1987, after having taught for nine years in schools and two years at Nene College, Northampton. During her years at Goldsmiths, she has co-ordinated language and literacy programmes for the BA Ed, taught across Early Years programmes and established student exchanges in France, Spain and Austria. Recent research has included studies on family literacy history, on siblings (both funded by the ESRC) and children’s home and school literacy practices (funded by the Leverhulme Trust).Kathleen Gwinner began her career in education as a high school art teacher in rural areas near Kansas City, Missouri and El Paso, Texas, and then in Houston’s urban schools. Travel and a continuing interest in art history prompted her to return to university for a Masters degree in European history, and she subsequently taught history and art history courses at private and public schools with a great variety of student populations. Her doctoral research was conducted at a specialized vocational school within the Houston metropolitan district where she was a teacher. She now teaches at a school for the gifted and talented where she is continuing her research on high achieving girls.Martyn Hammersley is Professor of Educational and Social Research, Faculty of Education and Language Studies, the Open University. His early work was in the sociology of education. Much of his more recent work has been concerned with the methodological issues surrounding social and educational research. He is currently investigating the representation of research findings in the mass media. He has written several books, including: (with Paul Atkinson) Ethnography: principles in practice (Routledge, 1995); The Dilemma of Qualitative Method (Routledge, 1989); Reading Ethnographic Research (Longman, 1998); What’s Wrong with Ethnography? (Routledge, 1992); The Politics of Social Research (Sage, 1995); (with Peter Foster and Roger Gomm) Constructing Educational Inequality (Falmer, 1996); Taking Sides in Social Research (Routledge, 1999); and Educational Research, Policymaking and Practice (Paul Chapman, 2002).Sam Hillyard is a lecturer in sociology at the Institute for the Study of Genetics, Biorisks and Society and a member of Nottingham’s Institute for Rural Research. Her research interests include ethnographic research and theorising; the Sociology of Education; the history of symbolic interactionism and the sociology of Erving Goffman. At Nottingham, she teaches rural sociology and recently finished a research project studying images of farming in children’s literature.Caroline Hudson is Basic Skills Advisor in the Home Office National Probation Directorate. Caroline has published on offending and education, evidence-based policy, and family structure (intact nuclear, reordered nuclear, single parent and care) and young people’s perceptions of family and schooling. Her principal research interest is issues related to social exclusion. Prior to working in the Home Office, Caroline was a researcher at Oxford University Department of Educational Studies and Oxford University Centre for Criminological Research. Before doing a Master’s and doctorate at Oxford University, Caroline was a secondary school English teacher for 12 years.Bob Jeffrey’s ethnographic research at The Open University has focussed on the effects of policy reform and managerialism on the creativity of primary teachers in England. Together with Peter Woods, he has identified their dilemmas and tensions, their creative responses, identity reconstructions, and changes in professional role. He has, together with Geoff Troman, and Dennis Beach, established an extensive European network of ethnographic research interests and his current research project involves ten European partners focussing on the student’s perspectives of their learning experiences with particular reference to their creativity. He has maintained a regular flow of articles concerned with ethnographic methodology.Susi Long is an Associate Professor in Early Childhood Education and Language and Literacy at the University of South Carolina in the U.S. Her research interests include language and literacy learning in marginalized populations and teacher education. In 1997, she received the National Council of Teachers of English (NCTE) Promising Researcher Award for her ethnographic study of cross cultural learning in Iceland. She continues similar work in the United States with projects that include a study of professional development at the University of South Carolina’s Children’s Center, a six month study of Mexican American kindergartners, and a long-term study of new teachers during their first three years of teaching. Key publications can be found in the journals, Research in the Teaching of English; The Journal of Teacher Education; Reading, Language and Literacy; NCTE’s Primary Voices; and in an upcoming issue of the NCTE’s Language Arts. Her most recent work is coedited with Eve Gregory of Goldsmiths College and Dinah Volk of Cleveland State University. The volume, Many Pathways to Literacy (Routledge Falmer, 2004) is a collection of studies that illuminate mediators of language and literacy learning in the lives of young children across a range of cultural settings in the U.S. and in the U.K.Colton Paul worked as a primary school teacher for a number of years in the London Borough of Haringey and Tower Hamlets. He is now employed as a lecturer at Goldsmiths College educational department. Colton Paul is primarily concerned in his research with culture, identity and education, in particular the ways in which notions of race, power, and representation interact to influence cognitive development. his current area of research for his PhD thesis is focused on the effects of mythologies and power relations on the educational development of children of Caribbean heritage.Ilana Snyder is an Associate Professor in the Faculty of Education, Monash University, Australia. Her research focuses on changes to literacy, pedagogical and cultural practices associated with the use of information and communication technologies (ICTs). Four books, Hypertext (Melbourne University Press & New York University Press, 1996), Page to Screen (Allen & Unwin and Routledge, 1997), Teachers and Technoliteracy (Allen & Unwin, 2000), co-authored with Colin Lankshear, and Silicon Literacies (Routledge, 2002) explore these changes. In collaboration with Simon Marginson and Tania Lewis, her current research includes a three-year Australian Research Council-funded project examining the use of ICTs in higher education in Australia. The focus is on innovation at the interface between pedagogical and organisational practices. She is also working on the application of Raymond William’s ideas about technology and cultural form to a study of the Internet.Ruth Silva teaches at the College of Education, University of North Texas having completed her doctorate in teacher education at the University of Houston. She has been a teacher and administrator in high schools in Australia and an administrator with the Department of Education (Independent and Catholic Schools) in Sydney. Her research focuses on the role of the classroom teacher as researcher, instructional supervision, and pre-service teacher education.Katie Van Sluys is a doctoral research student at Indiana University.Ilana Snyder is an Associate Professor in the Faculty of Education, Monash University, Australia. Her research focuses on changes to literacy, pedagogical and cultural practices associated with the use of information and communication technologies (ICTs). Four books, Hypertext (Melbourne University Press & New York University Press, 1996), Page to Screen (Allen & Unwin and Routledge, 1997), Teachers and Technoliteracy (Allen & Unwin, 2000), co-authored with Colin Lankshear, and Silicon Literacies (Routledge, 2002) explore these changes. In collaboration with Simon Marginson and Tania Lewis, her current research includes a three-year Australian Research Council-funded project examining the use of ICTs in higher education in Australia. The focus is on innovation at the interface between pedagogical and organisational practices. She is also working on the application of Raymond William’s ideas about technology and cultural form to a study of the Internet.Wendy Sutherland-Smith is a lawyer turned teacher and an Associate- Lecturer in the Faculty of Business and Law at Deakin University. She has taught in secondary and tertiary institutions for the past fourteen years. Currently, she is teaching Corporations and Business Law to international students, whilst also undertaking doctoral studies in the Faculty of Education at Monash University in Australia. Her Ph.D is a cross-disciplinary investigation of notions of plagiarism, from perspectives of Legal and Literary theory. She is particularly interested in the Internet literacy practices of tertiary undergraduate ESL students. In her doctoral work, Sutherland-Smith is focuses on Bourdieu’s notions of symbolic violence, cultural capital, habitus and field. She applies these critically in analyses of international ESL students’ academic writing, both print-text and Web-text based, with respect to plagiarism and intellectual property. She has published articles in The Reading Teacher (2002), Prospect (2002), and TESOL Journal (2003) on her research of international students’ reading practices in paper-text compared to hyper-text environments. She has also published in the broader area of the nexus between linguistic and legal theory. Her email address is wendyss@deakin.edu.au.Dinah Volk is a Professor and Coordinator of the Early Childhood Program, Cleveland State University, Cleveland, Ohio, USA. She has taught young children in the U.S. and Latin America and her research interests include sibling and peer teaching and the language and literacy practices of young bilingual children and their families. Volk is co-editor, with Gregory and Long, of Many Pathways to Literacy: Young Children Learning with Siblings, Peers, Grandparents, and Communities (RoutledgeFalmer, 2004) and is co-author, with DeGaetano and Williams, of Kaleidoscope: A Multicultural Approach for the Primary School Classroom (Prentice Hall, 1998). Her articles have been published in Research in the Teaching of English, the Journal of Early Childhood Literacy, Reading: Language and Literacy, and the Early Childhood Research Quarterly.Geoffrey Walford is Professor of Education Policy and a Fellow of Green College at the University of Oxford. He was previously Senior Lecturer in Sociology and Education Policy at Aston Business School, Aston University, Birmingham. His recent books include: Affirming the Comprehensive Ideal (Falmer, 1997, edited with Richard Pring), Doing Research about Education (Falmer, 1998, Ed.). Durkheim and Modern Education (Routledge, 1998, edited with W S F Pickering), Policy and Politics in Education (Ashgate, 2000) Doing Qualitative Educational Research (Continuum, 2001) and British Private Schools: Research on policy and practice (Woburn Press, 2003, Ed.). His research foci are the relationships between central government policy and local processes of implementation, choice of schools, private schools, religiously-based schools and ethnographic research methodology. He is editor of the Oxford Review of Education and has recently completed a Spencer Foundation funded comparative project on faith-based schools in England and the Netherlands.Sue Walters completed her DPhil research in the Department of Educational Studies at Oxford University and is now a Research Fellow in the Faculty of Social Sciences, The Open University, Milton Keynes (researching Ethnicities and Contemporary Rural Identities). She was previously a Secondary School English teacher and an English as an Additional Language specialist and has academic degrees in Literature, Women’s Studies and Educational Research Methods. Her current research interests lie in issues concerning academic achievement and Bangladeshi pupils, ethnic minority and bilingual pupil’s experiences of schooling and ethnicities and identities.

Details

Ethnographies of Educational and Cultural Conflicts: Strategies and Resolutions
Type: Book
ISBN: 978-1-84950-275-7

Article
Publication date: 1 May 1983

In the last four years, since Volume I of this Bibliography first appeared, there has been an explosion of literature in all the main functional areas of business. This…

14758

Abstract

In the last four years, since Volume I of this Bibliography first appeared, there has been an explosion of literature in all the main functional areas of business. This wealth of material poses problems for the researcher in management studies — and, of course, for the librarian: uncovering what has been written in any one area is not an easy task. This volume aims to help the librarian and the researcher overcome some of the immediate problems of identification of material. It is an annotated bibliography of management, drawing on the wide variety of literature produced by MCB University Press. Over the last four years, MCB University Press has produced an extensive range of books and serial publications covering most of the established and many of the developing areas of management. This volume, in conjunction with Volume I, provides a guide to all the material published so far.

Details

Management Decision, vol. 21 no. 5
Type: Research Article
ISSN: 0025-1747

Keywords

Article
Publication date: 1 March 1974

Frances Neel Cheney

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Tenn. 37203. Mrs. Cheney does not sell the books listed here…

Abstract

Communications regarding this column should be addressed to Mrs. Cheney, Peabody Library School, Nashville, Tenn. 37203. Mrs. Cheney does not sell the books listed here. They are available through normal trade sources. Mrs. Cheney, being a member of the editorial board of Pierian Press, will not review Pierian Press reference books in this column. Descriptions of Pierian Press reference books will be included elsewhere in this publication.

Details

Reference Services Review, vol. 2 no. 3
Type: Research Article
ISSN: 0090-7324

Article
Publication date: 1 March 1984

Raymond R. Panko

Office work has grown explosively in this century. Once a small occupational category, office work now includes about 40 percent of the American work force. Yet office…

Abstract

Office work has grown explosively in this century. Once a small occupational category, office work now includes about 40 percent of the American work force. Yet office work continues to be “the familiar unknown”: we worry about its growing size, we are concerned about its productivity, and we design systems to improve it; but our real knowledge of what goes on in the office is very shallow. This article discusses only a few of the many subtle facets of office work that vendors and users must understand to meet the needs of this attractive, but difficult market.

Details

Office Technology and People, vol. 2 no. 3
Type: Research Article
ISSN: 0167-5710

Book part
Publication date: 11 October 2022

Juliana Alves and Mansour Ghanian

This chapter provides the results of the motivations and the profile of the creative tourist. Results originate from the major studies done worldwide, concerned with the…

Abstract

This chapter provides the results of the motivations and the profile of the creative tourist. Results originate from the major studies done worldwide, concerned with the different types of activities. This analysis is essential to design new products based on Creative Tourism and sustainability. Also, because at an international level, including South Europe, the profile of the creative tourist has not been characterised, especially the one that visits medium-sized cities and rural areas. This chapter intends to answer the following questions: Who is the participant in Creative Tourism activities? Is he/she mainly domestic or an international tourist? Why does this type of tourist participate in these creative experiences? What type of information sources do these tourists use to find the experiences in which he/she participates? This chapter uses primary and secondary data. The secondary data follow a content analysis approach of activities offered by Airbnb Experiences Platform. Regarding the primary data, 595 questionnaires applied in 45 creative experiences in the Northern region of mainland Portugal were analysed. The creative experiences were divided into seven categories: ‘creative festivals’, ‘nature and creativity’, ‘photography workshop’, ‘gastronomy experience’, ‘industrial experience’, ‘technology and creativity’ and ‘art and crafts’. The methods used were quantitative in nature. The questionnaire used consisted of 31 closed questions aimed at the profile and the motivations of the creative experience participants. Descriptive statistical analysis was used. The main results showed that participants in the seven categories of Creative Tourism experiences have relatively large differences in terms of demographic and socio-economic characteristics. These differences were also evident in their motivations for participating in Creative Tourism experiences.

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