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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

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…

281

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

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: 1 June 2002

Barrie O. Pettman and Richard Dobbins

This issue is a selected bibliography covering the subject of leadership.

22809

Abstract

This issue is a selected bibliography covering the subject of leadership.

Details

Equal Opportunities International, vol. 21 no. 4/5/6
Type: Research Article
ISSN: 0261-0159

Keywords

Book part
Publication date: 22 November 2016

Lawrence Hazelrigg

This paper reviews and assesses the aim, substance, and impact of Simon Susen’s book, “The Postmodern Turn” in the Social Sciences.

Abstract

Purpose

This paper reviews and assesses the aim, substance, and impact of Simon Susen’s book, “The Postmodern Turn” in the Social Sciences.

Methodology/approach

The review follows the structure of Susen’s book, by description and by evaluation.

Findings

Susen’s book encompasses a very large volume of literature of the self-defined “postmodern,” then concludes that the covered material has contributed little that is new to the social sciences.

Originality/value

The review has not been previously published, does not replicate any prior assessment known to the author.

Details

Reconstructing Social Theory, History and Practice
Type: Book
ISBN: 978-1-78635-469-3

Keywords

Book part
Publication date: 18 November 2020

Ramnath Dixit and Vinita Sinha

This chapter discusses key training challenges that organizations need to confront with the objective of building a robust human resource management system. Given the…

Abstract

This chapter discusses key training challenges that organizations need to confront with the objective of building a robust human resource management system. Given the dynamics of the current business environment, training and development has become an indispensable function in global organizations. Building an effective human capital that contributes to continual organizational growth has become the established norm to survive in a competitive business landscape. However, the training and development function is often rendered ineffective, on account of various bottlenecks existing in the organization. Addressing these bottlenecks is quintessential in ensuring the creation of a performance-driven human capital. The goal of this chapter is to draw attention to the training impediments that hinder organizational growth and to diagnose the underlying causes for the same. This chapter concludes with recommendations that organizational decision-makers can leverage in their quest to strengthen the human capital, by utilizing their training and development infrastructure optimally.

Details

Contemporary Global Issues in Human Resource Management
Type: Book
ISBN: 978-1-80043-393-9

Keywords

Abstract

Details

Managing Technology and Middle- and Low-skilled Employees
Type: Book
ISBN: 978-1-78973-077-7

Book part
Publication date: 20 December 2017

Zophia Edwards

In the periods, following the First and Second World Wars, colonial states across the British empire underwent waves of reforms that were geared toward improving human…

Abstract

In the periods, following the First and Second World Wars, colonial states across the British empire underwent waves of reforms that were geared toward improving human well-being, from enhancing social conditions, such as health and education, to expanding opportunities for economic and political engagement. The literature on the colonial state typically traces these state-building efforts to the agency of European colonial officials. However, evidence from a historical analysis of Trinidad and Tobago reveals a different agent driving state reform: the colonized. A local labor movement during colonialism forced the colonial state to construct a number of state agencies to ameliorate the economic, political, and social conditions in the colony, thereby resulting in an increase in state capacity. This study, therefore, provides critical intervention into the colonial state literature by showing that the agency of the colonized, as opposed to just the colonizers, is key to state-building, and specifying the mechanisms by which the subaltern constrained colonial officials and forced them to enact policies that improved colonial state capacity.

Details

Rethinking the Colonial State
Type: Book
ISBN: 978-1-78714-655-6

Keywords

Book part
Publication date: 24 July 2020

Wayne A. Hochwarter, Ilias Kapoutsis, Samantha L. Jordan, Abdul Karim Khan and Mayowa Babalola

Persistent change has placed considerable pressure on organizations to keep up or fade into obscurity. Firms that remain viable, or even thrive, are staffed with…

Abstract

Persistent change has placed considerable pressure on organizations to keep up or fade into obscurity. Firms that remain viable, or even thrive, are staffed with decision-makers who capably steer organizations toward opportunities and away from threats. Accordingly, leadership development has never been more critical. In this chapter, the authors propose that leader development is an inherently dyadic process initiated to communicate formal and informal expectations. The authors focus on the informal component, in the form of organizational politics, as an element of leadership that is critical to employee and company success. The authors advocate that superiors represent the most salient information source for leader development, especially as it relates to political dynamics embedded in work systems. The authors discuss research associated with our conceptualization of dyadic political leader development (DPLD). Specifically, the authors develop DPLD by exploring its conceptual underpinnings as they relate to sensemaking, identity, and social learning theories. Once established, the authors provide a refined discussion of the construct, illustrating its scholarly mechanisms that better explain leader development processes and outcomes. The authors then expand research in the areas of political skill, political will, political knowledge, and political phronesis by embedding our conceptualization of DPLD into a political leadership model. The authors conclude by discussing methodological issues and avenues of future research stemming from the development of DPLD.

Details

Research in Personnel and Human Resources Management
Type: Book
ISBN: 978-1-80043-076-1

Keywords

Book part
Publication date: 22 December 2016

Janet L. Kottke, Deborah A. Olson and Kenneth S. Shultz

To demonstrate how applied projects integrated within master’s level graduate programs in the organizational sciences provide students with experiences that facilitate the…

Abstract

Purpose

To demonstrate how applied projects integrated within master’s level graduate programs in the organizational sciences provide students with experiences that facilitate the translation of classroom concepts into practices that positively impact individual, organizational, and societal level outcomes.

Methodology/approach

We discuss how the scientist-practitioner model guides our thinking regarding the development of cocurriculum options for master’s level students. To give context, we provide thumbnail sketches of two applied programs — a master’s of science degree program in industrial-organizational psychology and a master’s of business administration (MBA) program — that serve as exemplars for linking practice with science.

Findings

We demonstrated, with specific examples, how practicum courses can bridge curricular and cocurricular offerings in stand-alone master’s programs, thus offering a glimpse into the range of activities completed by master’s students with little to over 20 years of work experience: job analysis, interview protocol development, program evaluation, talent acquisition, performance management, coaching, as well as training strategy ideation and delivery. We conclude the chapter with final reflections on the use of practicum classes in master’s level training.

Originality/value

The practicum courses detailed serve as unique exemplars of how to apply theory and research to organizational problems, thus bridging science and practice in the organizational sciences.

Details

Integrating Curricular and Co-Curricular Endeavors to Enhance Student Outcomes
Type: Book
ISBN: 978-1-78635-063-3

Keywords

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