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Article
Publication date: 3 July 2017

Brynn D. Peltz, Ilan S. Nissan and Evyn W. Rabinowitz

To explain a Risk Alert published on February 7, 2017 published by the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) describing…

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Abstract

Purpose

To explain a Risk Alert published on February 7, 2017 published by the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) describing the five compliance topics most frequently identified in deficiency letters sent to investment advisers after the completion of an OCIE examination.

Design/methodology/approach

Discusses deficiencies noted by the OCIE relating to the Compliance Rule, required regulatory filings, the Custody Rule, the Code of Ethics Rule, and the Books and Records Rule.

Findings

The OCIE published the Risk Alert with its noted deficiencies only one month after releasing its exam priorities for the year.

Practical implications

All investment advisers should consider reviewing their compliance practices, policies and procedures in light of the deficiencies and weaknesses identified in the SEC Risk Alert.

Originality/value

Practical guidance from experienced lawyers specializing in asset and funds management.

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Article
Publication date: 14 April 2014

Reinhard Peter Biedermann

China holds a global monopoly of up to 97 percent for rare earth elements (REEs), which are indispensable for all kinds of twenty-first century high-tech applications. Since China…

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Abstract

Purpose

China holds a global monopoly of up to 97 percent for rare earth elements (REEs), which are indispensable for all kinds of twenty-first century high-tech applications. Since China has disrupted its exports and started discriminating between domestic and foreign demand, REEs have become a geostrategic resource. In March 2012, Japan, the USA and the European Union jointly filed a World Trade Organization dispute settlement case against China. The purpose of this paper is to elaborate why China implemented export quotas and tariffs on REEs and how the state is engaged in this sector domestically and abroad.

Design/methodology/approach

The analysis frames China as a “competition state” and connects domestic with foreign economic policy on REEs. It uses data from Chinese official documents and non-Chinese sources.

Findings

Better government control aims to consolidate the sector and lay the foundation for three other goals, namely: the establishment of integrated and innovative Chinese corporations that compete globally; the provision of incentives to attract high-tech foreign direct investment to China; and better environmental protection. China wants to climb the next step of the technological ladder to gain global economic leadership.

Practical implications

Global environmental protection in mining is eased. However, non-Chinese market players can only take advantage of new business opportunities when the prices remain high. Since REEs are of strategic importance, rising political interference and raw materials diplomacy will continue to distort markets and price building.

Originality/value

The paper connects domestic reregulation of China's rare earth sector with foreign policy goals (or “going in” and “going out”) using the competition state approach.

Details

International Journal of Emerging Markets, vol. 9 no. 2
Type: Research Article
ISSN: 1746-8809

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Book part
Publication date: 16 May 2017

Eric J. Bolland

Abstract

Details

Comprehensive Strategic Management
Type: Book
ISBN: 978-1-78714-225-1

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