Search results

1 – 10 of over 20000
Article
Publication date: 8 May 2018

Edward J. Johnsen and John H. Grady

To explain a new set of rules, detailed in FINRA Regulatory Notice 17-30, proposed by the Financial Industry Regulatory Authority (FINRA) and approved by the US Securities…

Abstract

Purpose

To explain a new set of rules, detailed in FINRA Regulatory Notice 17-30, proposed by the Financial Industry Regulatory Authority (FINRA) and approved by the US Securities and Exchange Commission (SEC), that revise and streamline the number and types of proficiency exams broker-dealer personnel must take in order to become registered, as well as the categories of registration.

Design/methodology/approach

Discusses the background, including FINRA’s consolidation of National Association of Securities Dealers (NASD) rules; the new registration regime; conditions for waivers; criteria for “permissive” registration; firms’ requirement to designate “Principal Financial Officers” and “Principal Operations Officers”; new categories of principal registration; FINRA’s elimination of certain registration categories; research analyst, research principal and supervisory analyst exam requirements; the ability of a registered representative to function as a principal for a limited period; the prohibition of unregistered persons to accept orders from customers; and the Securities Industry Essentials (SIE) Examination Content Outline.

Findings

The new structure is intended to bring greater consistency and uniformity to the qualification process. Among other changes, it eliminates several registration categories that either have become outdated or have limited utility, permits persons not yet associated with a broker-dealer or employed in the securities industry to take a preliminary registration exam prior to entering the securities industry, and makes other changes intended to modernize the registration and examination regime for broker-dealer personnel.

Originality/value

Practical guidance from lawyers with broad stock brokerage, investment management and related financial services experience.

Book part
Publication date: 26 February 2008

Louise Hallenborg, Marco Ceccagnoli and Meadow Clendenin

This chapter provides an overview of five modes of intellectual property (IP) protection – patents, designs, copyrights, trademarks, and trade secrets – available in the…

Abstract

This chapter provides an overview of five modes of intellectual property (IP) protection – patents, designs, copyrights, trademarks, and trade secrets – available in the United States, the European Union, and Japan. After describing the purposes of and principal differences among the five types of IP protection and outlining the advantages of each form, the chapter provides country- and region-specific information. The authors highlight the aspects of IP law in which international harmonization has, or has not yet, occurred, and offer insights into the relative advantages of various national and regional IP protection systems.

Details

Technological Innovation: Generating Economic Results
Type: Book
ISBN: 978-1-84950-532-1

Book part
Publication date: 2 August 2016

Anne M. Rector, Bunny Sandefur, Marco Ceccagnoli, Meadow Clendenin and Louise Hallenborg

This chapter provides an overview of the five main modes of intellectual property (IP) protection – patents, copyrights, trademarks, trade secrets, and designs – available…

Abstract

This chapter provides an overview of the five main modes of intellectual property (IP) protection – patents, copyrights, trademarks, trade secrets, and designs – available in the United States, the European Union, and Japan. After describing the purposes of and principal differences among the five types of IP protection and outlining the advantages of each form, the chapter provides country- and region-specific information. The authors highlight the aspects of IP law in which international harmonization has, or has not yet, occurred, and offer insights into the relative advantages of various national and regional IP protection systems.

Details

Technological Innovation: Generating Economic Results
Type: Book
ISBN: 978-1-78635-238-5

Keywords

Article
Publication date: 21 January 2021

Noor Azimah Ghazali, Ibrahim Sipan, Mohammad Tahir Sabit Haji Mohammad and Muhammad Arif Ab Aziz

This paper aims to propose a new framework for the management of a waqf land registration system in Malaysia that is compliant with Islamic law and the Malaysian legal…

Abstract

Purpose

This paper aims to propose a new framework for the management of a waqf land registration system in Malaysia that is compliant with Islamic law and the Malaysian legal system. The study sought to answer the following two research questions: what are the issues of the waqf land registration system and how to solve the issues of waqf land registration in Malaysia.

Design/methodology/approach

This study used a qualitative research method by using content analysis, legal investigation and doctrinal research. Data were collected through semi-structured interviews with lawyers, academicians and executive officers from the Department of Land and Mines, the State Islamic Religious Council and reviewed documents mainly from the Department of Waqf, Zakat and Hajj Malaysia.

Findings

A new framework for the management of waqf land registration in Malaysia was identified, which was developed based on current waqf issues such as problematic registration methods, lengthy and complicated procedures, interference in the jurisdiction of the civil court and idle waqf land. The framework overcame the flaw of the previous waqf land registration system in Malaysia.

Originality/value

The new framework will provide solutions to the current registration system within the National Land Code, 1965, which will secure property in the future.

Details

International Journal of Islamic and Middle Eastern Finance and Management, vol. 14 no. 3
Type: Research Article
ISSN: 1753-8394

Keywords

Article
Publication date: 13 June 2022

Ogochukwu Monye and Louis De Koker

Nigeria needs to improve its national identification coverage to support improved anti-money laundering and combating of financing of terrorism and proliferation (AML/CFT…

Abstract

Purpose

Nigeria needs to improve its national identification coverage to support improved anti-money laundering and combating of financing of terrorism and proliferation (AML/CFT) measures. This study aims to examine its ongoing identification harmonization project, which seeks to create a central database for digital identification across designated entities. It identifies the key stakeholders in the project, progress to date as well as key challenges, especially relating to the inclusivity and privacy and data protection concerns of the current scheme to provide national identification numbers.

Design/methodology/approach

The authors apply a doctrinal research methodology and use the Principles on Identification for Sustainable Development to identify and reflect on key challenges.

Findings

The national identification harmonization project and the ongoing drive to register National Identity Numbers for Nigerians could provide valuable support for more effective and efficient AML/CFT identity verification and authentication. The project and processes, however, hold significant risks in relation to data protection. These are exacerbated by the absence of a comprehensive data protection framework. National identity data can be vulnerable to political abuse and targeting by bad actors. National identity data systems must, therefore, be protected by clear, fair and comprehensive privacy and data protection rules and appropriate and accountable governance mechanisms. While Nigeria is adopting and implementing the relevant framework, the NIMC can do more to advance data protection by supporting informed consent and compliance by all participants and publishing this information to build public trust in the system. It can also be disciplined about only collecting minimal and necessary personal data and printing only basic personal details such as name and age on the general multi-purpose ID card. The NIMC should furthermore improve access to the national identification number by streamlining the process of registration, including supporting same day registration and on-the-spot card printing; setting up more registration points as well as mobile registration to cut down queues; and increasing the range of registration agents and points to include schools, police stations and health facilities. Consideration for social, cultural and religious norms is also vital to appropriately accommodate the variety of groups and cultures in Nigeria.

Research limitations/implications

Research materials include government policy documents as well as newspaper articles and reports on more recent developments and experiences that are not yet reflected in more formal documents. The research materials, however, reflect both the intention of the government and the reported experiences of those registering for a National Identification Number.

Practical implications

This study identifies the practical steps that can be taken to enhance data protection and increase the inclusivity of the measures to provide Nigerians with National Identification Numbers.

Social implications

The recommendations that are made are aimed at increasing the inclusivity of the National Identification Number scheme and at providing improved protection of personal data of applicants for, and holders of, these numbers.

Originality/value

This study contributes to the policy discussion around the national identification harmonization project by applying as a lens key elements of the Principles on Identification for Sustainable Development that are relevant from a financial integrity perspective.

Details

Journal of Financial Crime, vol. ahead-of-print no. ahead-of-print
Type: Research Article
ISSN: 1359-0790

Keywords

Article
Publication date: 17 August 2018

Pamela M. Nordstrom, Jennifer A. Kwan, Mengzhe Wang, Zhenguo (Winston) Qiu, Greta G. Cummings and Cathy Giblin

The purpose of this paper is to examine relationships between internationally educated nurses’ (IENs’) performance in a registered nurse competency assessment process and…

Abstract

Purpose

The purpose of this paper is to examine relationships between internationally educated nurses’ (IENs’) performance in a registered nurse competency assessment process and the outcomes of their nursing registration applications. Assessments of nursing practice competencies, IEN applicant characteristics and registration outcomes were explored.

Design/methodology/approach

This is a secondary statistical analysis of a subset of IEN application data from a previous study in combination with assessment data from an additional database. Application data between 2008 and 2011 were analyzed using univariate/bivariate analyses and regression models to explore the relationship of performance in the assessment process and outcomes of the registration process.

Findings

Competency categories IEN applicants had difficulties with (from least to most) were Professional Responsibility and Accountability, Ethical Practice, Self-Regulation, Service to the Public, Knowledge-Based Practice: Specialized Body of Knowledge and Knowledge-Based Practice: Competent Application of Knowledge. IENs educated in the UK and USA had the highest scores and odds of meeting competencies. Applicants educated in India and Asia had lower scores and odds ratios. All national entry-to-practice examination and registration eligibility competencies were significantly related to registration outcomes. Applicants passing the exam had higher competency scores while applicants ineligible for registration had lower competency scores.

Research limitations/implications

Limitations include integrity of data extracted from active databases, IEN motivation to complete the RN registration process and conversion of assessment scales for research analysis.

Originality/value

Results inform regulation policies that improve IEN registration processes and may be informative to regulators, assessment centers, educational institutions and IENs.

Details

International Journal of Migration, Health and Social Care, vol. 14 no. 3
Type: Research Article
ISSN: 1747-9894

Keywords

Article
Publication date: 1 April 1995

Howard Johnson

On 21st July 1994 the Trade Marks Act 1994 received the Royal Assent. It introduces the most radical overhaul of British trade mark law for over 50 years and replaces the…

Abstract

On 21st July 1994 the Trade Marks Act 1994 received the Royal Assent. It introduces the most radical overhaul of British trade mark law for over 50 years and replaces the current regime set out in the Trade Marks Act 1938 as amended. The reforms reflect the increased significance of trade marks in modern commerce and the concerns of business that the current law was increasingly anachronistic.

Details

Managerial Law, vol. 37 no. 4/5
Type: Research Article
ISSN: 0309-0558

Article
Publication date: 1 June 1994

Roger J. Callan

Indicates that it is 14 years since the Beavis Consultative Committeerecommended that the matter of hotel registration and its effectivenessbe reviewed within three to…

2003

Abstract

Indicates that it is 14 years since the Beavis Consultative Committee recommended that the matter of hotel registration and its effectiveness be reviewed within three to five years. Presents definitions of registration, classification and grading together with a recent historical perspective of the developments of statutory registration in the United Kingdom. Examines the reasons for statutory registration and describes existing UK compulsory schemes outside the mainland. Contrasts the lack of progress in the UK, and the degree to which price and tariff controls are in operation, with schemes in the European Community. A brief literature review presents the support for statutory registration and classification. Re‐examines the eight conclusions of the Beavis Consultative Committee. Concludes that it may be pertinent to review the position of statutory hotel registration, classification and grading.

Details

International Journal of Contemporary Hospitality Management, vol. 6 no. 3
Type: Research Article
ISSN: 0959-6119

Keywords

Article
Publication date: 27 September 2013

Martin Dixon

The purpose of this paper is to analyse whether title to land is secure in England and Wales when registered under the Land Registration Act 2002, in particular when a…

596

Abstract

Purpose

The purpose of this paper is to analyse whether title to land is secure in England and Wales when registered under the Land Registration Act 2002, in particular when a title is registered without the proprietor being able to establish good title under pre‐registration rules of property law.

Design/methodology/approach

This paper analyses reported judgments, with particular emphasis on the decision in Walker v. Burton [2012].

Findings

The paper identifies an uncertainty at the heart of the registration system: the uncertainty as to the extent to which a registered title may be rectified to remove the proprietor. This is acute when it appears that the registered proprietor has no claim to the land other than by reason of his registration. There may be a difference in this regard between intangible property titles and tangible titles.

Originality/value

The Land Registration Act 2002 is meant to replace registration of title with title by registration. The real force of this is only now being realised and there are few reported judgements, and less consistency, working out what this means in practice.

Details

International Journal of Law in the Built Environment, vol. 5 no. 3
Type: Research Article
ISSN: 1756-1450

Keywords

Article
Publication date: 4 May 2012

Daniel Domeher and Raymond Abdulai

The purpose of this paper is to critically examine the argument linking land registration to agricultural investment and to provide theoretical reasons as to why this…

2423

Abstract

Purpose

The purpose of this paper is to critically examine the argument linking land registration to agricultural investment and to provide theoretical reasons as to why this linkage may not materialise in Africa within the short to medium term.

Design/methodology/approach

The paper takes the form of a critical review of the relevant literature on land registration, access to credit and agricultural investment; arguments are built on empirical studies found in the literature and theoretical concepts.

Findings

It has been established in this paper that the links between landed property registration and agricultural investments are made defective in Africa by factors such as poverty, lack of appropriate agro‐based infrastructure and the fact that land registration per se does not improve the profitability of agriculture, neither does it improve access to credit.

Research limitations/implications

The fact that this paper is based on literature review may be seen as a weakness to some extent.

Originality/value

Even though previous researchers have looked at the relationship between landed property registration and agricultural investment in the developing world, they fall short of critically explaining why land registration has been found not to enhance agricultural investment. This paper fills the gap through a combination of various theoretical and practical arguments which could call for a rethinking on the policies for promoting agricultural growth. The rigorous theoretical argument may also provide the basis for further empirical research.

Details

Agricultural Finance Review, vol. 72 no. 1
Type: Research Article
ISSN: 0002-1466

Keywords

1 – 10 of over 20000